21019916
The
Quality Course
" building blocks to successful environmental management."
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The Environmental Protection Agency has printed this material under a licensing agreement
with Organizational Dynamics, Inc. (contract number 68W1-0036).
First Printing: May 1991
EPA Quality Advisory Group
Office of Human Resources Management
401 M St., SW
Washington, DC 20460
(202) 382-6241
©1991
by Organizational Dynamics, Inc.
Printed in the United States of America
All rights reserved
The contents, or parts thereof, may not be reproduced in any form for any purpose without
the written permission of the publisher, Organizational Dynamics, Inc. (ODI), Twenty-five
Mall Road, Burlington, Massachusetts 01803
-------
Introduction The Quality Course for EPA
EPA is faced with mounting challenges, not only nationally, but
also worldwide. The pressure on our agency to perform its
mission is increasing dramatically, from funding requirements, to
public expectations, to competition from environmental groups
and other federal agencies. We need not look far to see how
numerous laws enacted by Congress have a direct effect on the
EPA—from the Great Lakes, to coastal initiatives, to the Clean
Air Act, to pollution prevention, and many more. New challen-
ges spark hopes and fears in all of us. These times provide us
with an opportunity to crystalize and capitalize on our hopes and
to communicate and work openly with our fears. Through top-
down commitment, bottom-up support, and effective communica-
tion side to side across functional areas, our environmental goals
can be met. The harnessing of the collective wisdom of all
people who are a part of EPA is what The Quality Course for
EPA is all about.
Addressing new challenges requires planning, prevention, and
continuous improvement. Planning can help us sharpen our vision
and mission in order to more clearly guide our everyday actions.
Prevention of pollution is the preferred approach, while total
quality management (TQM) can provide an effective delivery
system to make these objectives happen. Meeting new challenges
means understanding, on an ongoing basis, what we do and how
we do it. We cannot afford the status quo. If we are going to be
the leaders in protecting our environment, we must together
continuously seek a higher ground.
TQM is not meant to be a process or end in itself. It is meant to
be a way of life, a journey in which all employees actively
participate in decision making in order to achieve the goals of
EPA, increase job satisfaction, and provide results that will
maximize environmental health. It frames a context within which
people can use a common language to design work processes
based on the requirements of both internal and external cus-
tomers. We need to assess whether each activity we as individu-
als engage in is adding value to accomplishing our mission.
Doing so will help to ensure that the right things are being done
in the right ways the first time.
It is people who make our mission successful. Within an
environment that stimulates their self-motivation, creativity, and
thoughtful sharing of information, employees can take ownership
of the processes that will enable us to meet our environmental
goals.
i Introduction
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Quality must be seen as an actionable strategy for achieving the
goals of the agency, from preventing pollution, to benefiting from
cultural diversity, to fulfilling the agency's overall mission and
vision. To that end, we are providing this course on quality. As a
result of this course, participants should acquire
• An understanding of the meaning and fundamental concepts
of total quality
• An understanding of the FADE problem-solving methodology
• Practical experience in applying a core set of problem-
solving tools required for successful implementation of TQM
• An understanding of and experience in applying key features
of group dynamics
• Practical experience in applying several problem-solving skills
• Knowledge of structuring effective meetings
• An understanding of the evolutionary phases of quality
improvement as well as key elements necessary to manage
and implement the quality process
ii Introduction
-------
Contents The Quality Course for EPA
Module One: The Meaning of Quality
Module Two: Identifying the Cost of Quality
Module Three: You and Your Customer
Module Four: Quality Action Teams—Focus
Module Five: Quality Action Teams—Analyze
Module Six: Quality Action Teams—Develop
Module Seven: Quality Action Teams—Execute
Module Eight: Promoting Total Involvement
Module Nine: Implementing Total Quality Management (TQM)
Reference Readings
iii Introduction
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Module One The Meaning of Quality
-------
-------
Contents The Meaning of Quality
Overview: The Meaning of Quality 2
Questionnaire: The Meaning of Quality 3
Presentation: Approaches to Quality 4
Video: "The Quality Advantage" 6
Presentation: The Foundation and Pillars of Quality 7
Exercise: Rediscovering Core Values 8
Presentation: The Five Pillars of Quality 9
Exercise: Rating Your Organizational
Pillars 13
Key Points: The Meaning of Quality 14
1 The Meaning of Quality
-------
Overview
The Meaning of Quality
This module introduces us to the meaning and foundation of total
quality management. We shall examine the differences in
approaches to quality in a little-q versus Big-Q organization. We
shall also learn a new definition of quality that incorporates the
five pillars on which a quality organization is built.
Objectives
By the end of this module, you will be able to
• Identify the differences between little-q and Big-Q ap-
proaches to quality
• Use a common language to talk with others in your organiza-
tion about quality improvement
• Compare your understanding of the core values of the agency
with that of other participants
• Use the five pillars of quality to analyze how well your
organization is currently functioning
2 The Meaning of Quality
-------
Questionnaire The Meaning of Quality
Quality is the most important topic of discussion in organiza-
tions today. There are probably as many different ideas about
quality as there are organizations.
To begin, let's look at what quality means to you. Respond to
the following statements:
1. Compared to French gourmet cuisine, x-v.
McDonald's food is not high quality. -4-- i (T/
2. If we want our products and services to
be high quality, we have to spend more
money and more time on that goal. -. 1" T
3. Quality performance must be supported
by financial rewards. a ^ T
\J 4. Eighty-five percent of quality improve- ^^
va ment does not depend on workers. > T F)
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V 5. Cost of quality can be calculated as accurately ^
- as cost of production or a person's income tax. ;•• '"T F)
6. Doing things right is more difficult than . ^
^ deciding what the right thing to do is. • "" T • F)
i i .f
\ 7. My boss is my most important customer. 7- T F)
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8. Knowing the requirements of my customer's , ^
customers is not really useful. ,'- T F)
^ 9. The goal of quality is to meet the ^,
^ customer's needs—no more, no less. <\*\ T F/
<-1 ~^
10. "If it ain't broke, don't fix it." ^ T
11. The highest quality performance is achieved when
everyone in the organization follows SOPs , ,/-
(standard operating procedures). T ( F
12. Quality will improve if workers are encouraged
to figure out what's wrong and to make ,' /-v
improvements. / TJ F
3 The Meaning of Quality
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Presentation Approaches to Quality
Most organizations say that they are committed to quality. One
way to determine the actual level of commitment is to examine
the organizational approaches that are reflected in people's
behaviors and beliefs. The matrix on the following page shows
behaviors and beliefs that will differ between little-q organiza-
tions and Big-Q organizations.
4 The Meaning of Quality
-------
Approaches to Quality
Quality EtemeM
The definition of quality la product oriented
customer oriented
Quality priorities are
less important than cost,
schedule, and volume
first among equals: "the driver"
of business decisions
Business decisions
are based on
short-term goals
balancing short-term
and long-term goals
Emphasis is on
detection of errors
prevention of errors
Costs are
raised (when quality
is emphasized)
lowered (when quality
is emphasized)
Errors are understood
to result from
Organizational culture
tends toward
special causes
(workers making
individual mistakes)
finger pointing, blame
finding, and punishing
risk takers
common causes
(ineffective systems and
management practices)
.Responsibility for
quality belongs to
quality control/
quality assurance,
inspectors, and
specialists
everyone
continuous improvement,
innovation, and permission
to fail
Organizational
structure is
Problem solving is by
hierarchical,
bureaucratic, and static
those in authority,
top of pyramid
flat, integrated, and fluid
teams, all employee levels
5 The Meaning of Quality
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Video "The Quality Advantage'
So far, you have considered your assumptions and beliefs about
quality as well as the characteristics of a quality organization.
This video introduces a model- you can use to build characteris-
tics of quality into your organization.
Discussion Questions 1. How has watching the video changed your view of quality?
2. What values do the best organizations have in common?
3. The video describes quality as doing right things right. What
does this mean to you?
The Meaning of Quality
-------
Presentation
The Foundation and Pillars of Quality
A quality organization has five elements called the pillars of
quality. These pillars are based on organizational values such as
honesty, commitment to customer satisfaction, and commitment to
creating an environment in which employees can do their best
work.
The Pillars of Quality
The Quality Advantage
1 II II II 1 1 1
er Focus
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Organizational Values
7 The Meaning of Quality
-------
exercise
Rediscovering Core Values
The five pillars are based on a foundation of organizational
values. In this exercise you will discuss what you believe to be
the core values of your organization.
Directions
Step 1. In subgroups, discuss and list what you believe to be the
core values of the organization.
Step 2. Reduce your list to the five core values you believe are
the most critical.
Step 3. Select one representative to present your five core values
to the larger group.
8 The Meaning of Quality
-------
Presentation
The Five Pillars of Quality
Definitions
Before you can assess how well your organization is working,
you need to understand what each of the pillars represents.
Customer focus (meeting requirements). Within an organization,
employees supply products, services, and information to one
another. These exchanges link coworkers as internal customers
and suppliers. An organization can better meet the needs of its
final, external customers when it also works to meet the require-
ments of its internal customers.
Total involvement (taking responsibility for quality). Quality is
not just the responsibility of management or quality control.
Everyone in the organization must be involved in achieving
quality.
Measurement (monitoring quality). An axiom of quality is, "You
can't improve what you don't measure." An organization can't
meet quality goals unless it establishes baselines and charts
progress against them. Deciding what to measure should be
heavily influenced by customer requirements.
Systematic support (leading and reinforcing). All systems in the
organization, such as planning, budgeting, scheduling, and
performance management, need to support the quality effort.
Continuous improvement (preventing and innovating). An
organization needs to do things better tomorrow than it did
yesterday and be constantly on the lookout for ways to correct
flaws, prevent problems, and make improvements. Through
continuous improvements, organizations foster creativity and
breakthroughs that increase their credibility with their customers.
Dimensions
Each of the five pillars has been further divided into three
component parts, for a total of fifteen specific dimensions, to
provide a working model of a total quality organization.
The fifteen dimensions are summarized on the following pages.
Each dimension includes a capsule description of its essential
elements.
9 The Meaning of Quality
-------
Pillar: Customer Focus
1. External customer orientation. Everyone in your organization
knows who uses your products and services, and what
customers do with your products and services.
2. Internal customer orientation. Everyone in your organization
understands that he or she is a customer and a supplier to
others within the organization. Everyone understands that
satisfying internal customer-supplier requirements affects the
quality of the products or services provided to external
customers.
3. Trends in customer satisfaction. Because they understand that
the final judge of quality is the customer, employees are
concerned with trends in customer satisfaction. The organiza-
tion places a high priority on being close to the customer
and responding to the customer's needs. Employees deal
quickly and effectively with customer problems.
Pillar: Total Involvement
1. Top-down leadership. A total quality organization is driven
by senior management and administered by middle manage-
ment. Management demonstrates its commitment to quality
by educating itself about total quality, providing resources
and support to quality activities, and visibly using and
supporting the process in its own work. Quality is as
important as budget or schedule on the scale of organiza-
tional priorities.
2. Bottom-up employee involvement. No organization can
achieve total quality without extensive employee involve-
ment. Employees at all levels are encouraged to take part in
organized quality-improvement activities. Suggestions for
improvement from lower levels are given serious considera-
tion.
3. Side-to-side integration. There is coordination among work
units and across functions. Teams composed of people from
different areas tackle common problems collaboratively.
External suppliers are part of the quality effort.
10 The Meaning of Quality
-------
Pillar: Measurement
1. Self-measurement. Employees are expected to verify the
quality of their own work rather than depend on others to
inspect for quality. In addition to monitoring their own
performance, they also receive regular feedback from their
managers. Their teams keep records on their efforts to
improve quality.
2. Measures of work. The organization has a consistent set of
quality-measurement standards that are reevaluated periodical-
ly. Work groups monitor how well employees follow work
procedures. They also track indicators that can give early
warning of problems. The organization collects information
on the extent to which people make timely corrections.
3. Measures of user feedback. Groups measure how well they
meet the needs of those who depend on them. They receive
regular feedback from their customers. Problems are reported
back to them quickly enough to allow for speedy correction.
Pillar: Systematic Support
1. Training and resources. The organization provides the
resources and education needed to improve quality. Employ-
ees are given the time to be trained, and also the tools and
support necessary to apply their new skills to their jobs.
2. Recognition and reward. The organization demonstrates its
commitment to quality by recognizing and rewarding those
who work to improve the quality of products, services, and
work processes. Employees who strive for quality have a
better chance for advancement.
3. Policies and procedures. The rules and procedures by which
the organization operates help to produce quality. Obsolete
policies, redundant approval steps, and other structural
barriers are removed in the interest of customer focus.
Pillar: Continuous Improvement
1. Prevention and problem solving. The organization stresses
prevention rather than temporary quick fixes and seeks to
learn from mistakes.
2. Participative management. All employees are encouraged to
discuss work problems in an open way and to participate
actively in decisions on how to do things better.
11 The Meaning of Quality
-------
3. Initiative and risk taking. Even when things are working
well, people are encouraged to make improvements. All
progress requires taking calculated risks and creative
initiatives. Management fosters a climate in which initiative
and prudent risk taking are an accepted and necessary part of
organizational life.
12 The Meaning of Quality
-------
Exercise
Rating Your Organizational Pillars
In the previous presentation, you examined the characteristics of
the five pillars of quality. Now you will rate the strength of
those pillars in your organization and suggest ways to make
improvements.
Directions
Step 1. For each of the pillars below, mark a line from 0 to 5
(0 = low, 5 = high) indicating how strong you feel this
pillar is at present in your organization.
Step 2. Present your responses to the group for the creation of
combined ratings.
Your Pillars of Quality
The Quality Advantage
1 II II II II 1
1 II II II II 1
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Organizational Values
13 The Meaning of Quality
-------
Key Points The Meaning of Quality
Below are some of the key points in this module. Please add
your own.
• Quality means doing right things right.
• People behave differently and have different beliefs in
organizations with little-q versus Big-Q approaches.
• The five pillars that support quality in an organization are
customer focus, total involvement, measurement, systematic
support, and continuous improvement.
• The pillars rest on a foundation of core values.
• Everyone in the organization must be responsible for
strengthening the pillars of quality.
14 The Meaning of Quality
-------
Module Two Identifying the Cost of Quality
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Contents Identifying the Cost of Quality
Overview: Identifying the Cost of Quality 2
Presentation: The 1-10-100 Rule 3
Exercise: Using the Cost-of-Quality Iceberg 4
Presentation: Necessary and Avoidable Costs 6
Video: "The Cost of Quality" 7
Presentation: The Quality Grid 8
Exercise: Estimating Your Cost of Quality 10
Key Points: Identifying the Cost of Quality 13
1 Identifying the Cost of Quality
-------
Overview
Identifying the Cost of Quality
In the previous module, we explored what quality means and
why it matters. In this module, we will discover the true costs of
not doing quality work. Any time the wrong things are done or
things are done wrong, there is a cost to the organization. These
costs include such things as waste, rework, unnecessary overtime,
and job dissatisfaction.
Objectives
By the end of this module, you will be able to
• Recognize the cost to your organization whenever quality
work is not done
• Break down the cost of quality into two categories: necessary
costs and avoidable costs
• Estimate your own avoidable cost of quality and its impact
on your work
2 Identifying the Cost of Quality
-------
Presentation
The 1-10-100 Rule
It makes a difference when a problem is fixed. The 1-10-100 rule
shows that if a problem is not anticipated or fixed in your work
area when it occurs, it will only become more costly to fix later,
in terms of both time and money.
Prevention
Catching and fixing
problems in your work area
Inspection
Catching and fixing problems
internally, but after they have left
the work area
Failure
Repairing the damage of
problems caught by external
customers
3 Identifying the Cost of Quality
-------
Exercise
Using the Cost-of-Quality Iceberg
The cost of quality is like an iceberg: A small part of it is
visible, while the larger part is hidden from view.
Directions
Step 1. On the next page, place a check next to any of those
costs that apply to your work area.
Step 2. Write any additional cost-of-quality items in the blank
areas.
Step 3. Circle the five most significant costs in your work area.
Step 4. Be prepared to present these five costs of quality to the
group.
4 Identifying the Cost of Quality
-------
The Cost-of-Quality Iceberg
Obvious
Mistakes /
Inspection
Scrap Overtime
Customer dissatisfaction
Unnecessary field service
Rush delivery costs
Late
Turf battles
Lost business
: Duplication of effort
Excess inventory
Confusion
tow
Grievances
Workplace hasslesv^
Unwanted turnover
Lost time due to accidents
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Presentation
Necessary and Avoidable Costs
The cost of quality is composed of two types of costs: necessary
and avoidable. Necessary costs are required to achieve and
sustain a defined standard of work. Avoidable costs occur
whenever wrong things are done or things are done wrong.
Necessary costs include prevention and inspection. Avoidable
costs include some inspection (or appraisal) costs and failure
costs.
The Cost of Quality
Prevention costs
are the costs of any
actions intended to
make sure, in
advance, that things
will not go wrong.
Prevention costs also
include the costs of
on-the-spot corrections.
Inspection costs are
the costs of finding
out if and when
things are going
wrong so correction
or prevention
actions can occur.
Some inspection is
necessary, while
other inspection is
redundant and does
not add significant
value.
Failure costs are the
costs you incur when
a customer is or will
be dissatisfied and
you have to pay the
price in damaged
reputation, rework,
waste, legal penalties,
special charges,
or loss of pride.
Identifying the necessary and avoidable costs of quality is the
first step toward reducing those costs. An organization's
managers and employees are the people close enough to the
action to know where the waste really is.
6 Identifying the Cost of Quality
-------
Video "The Cost of Quality'
You have identified some costs of quality in your work area. In
this video you will learn what you can do to reduce your
organization's cost of quality.
Discussion Question If all the employees in your organization did exactly what they
were supposed to do, and did their jobs perfectly, would all your
cost of quality disappear?
7 Identifying the Cost of Quality
-------
Presentation
The Quality Grid
Every job has two dimensions: what you do and how you do it.
1. What you do falls into one of two categories: right things
and wrong things.
Right Things
Wrong Things
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2. How you do it also falls into two categories: things done
right and things done wrong.
How You Do It
Things
Done
Wrong
Things
Done
Right
8 Identifying the Cost of Quality
-------
Both dimensions (what you do and how you do it) can be
combined to create what we call a quality grid. You can use the
grid to evaluate your work. The example below shows the
categories for various work activities.
The Quality Grid
How You Do It
t
Right Things Wrong
Installed service as
requested and on
schedule, connected
incorrectly
Filled out correct form,
information inaccurate
Right Things Right
Completed necessary
report correctly and on
schedule
Provided information as
requested, in an accurate,
timely manner
Wrong Things Wrong
Scheduled unnecessary
meeting, poorly run
Sent bill to wrong person,
calculation incorrect
Wrong Things Right
Ordered wrong
equipment, installed
correctly
Completed unnecessary
report, written well, and
submitted on time
o
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9 Identifying the Cost of Quality
-------
Exercise Estimating Your Cost of Quality
Now that you understand the importance of doing right things
and doing things right, it is time to examine your own work.
Directions Step 1. In the space below, list the major work activities you
have been engaged in during the last two weeks.
Examples: wrote memo on department absenteeism,
attended meeting on budget variance, filled out standard
requisition form, wrote recommendation for revising an
SOP, listened to an employee's complaints.
10 Identifying the Cost of Quality
-------
Step 2. Review your list. Write each of the activities you listed
in the appropriate box below.
The Quality Grid
How You Do It
Right Things Wrong
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11 Identifying the Cost of Quality
-------
Step 3. Estimate the percentage of time you spent doing the
activities that you listed in each square of the quality
grid. Write your estimates in the grid below.
Step 4. Subtract your right things right (RTR) percentage from
100 percent, and you will have your avoidable cost of
quality.
Total
-RTR
100%
Avoidable
Cost of
Quality
12 Identifying the Cost of Quality
-------
Key Points Identifying the Cost of Quality
Below are some of the key points in this module. Please add
your own.
• Quality means doing right things and doing things right.
• An organization can improve quality while reducing costs.
• The cost of quality includes two components: necessary costs
and avoidable costs.
• Necessary costs are required to ensure quality work.
• Avoidable costs are the result of not doing right things right.
• Whenever employees do not do right things right, they add
to the avoidable costs of quality.
• Everyone is responsible for reducing the avoidable costs of
quality.
13 Identifying the Cost of Quality
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Module Three You
r Customer
-------
Contents You and Your Customer
Overview: You and Your Customer 2
Presentation: Work as a Process 3
Exercise: Identifying Customers and Suppliers 6
Video: "You and Your Customer" 8
Presentation: The Customer's Expectations for Quality 9
Video: "Moving toward Alignment" 10
Exercise: Aligning with Your Customer 11
Key Points: You and Your Customer 15
1 You and Your Customer
-------
Overview
You and Your Customer
This module introduces us to a new way of thinking about work.
We will see that everyone in our organization is both a customer
and a supplier. And we will see how establishing and meeting
agreed-upon customer requirements and building positive relation-
ships between customers and suppliers are critical to doing right
things right.
Objectives
By the end of this module, you will be able to
• Recognize how everyone in a quality organization is part of
a customer-supplier chain
• Identify your key customers and suppliers
• Understand the importance of first aligning customer needs
and supplier capabilities and then meeting agreed-upon re-
quirements
• Use three simple questions to help build positive and
productive working relationships with your customers
• Use the PRIDE elements—product or service, relationship,
integrity, delivery, and expense—to guide the development of
customer-supplier agreements
2 You and Your Customer
-------
Presentation
Work as a Process
In order to integrate quality into everything he or she does,
everyone in an organization must understand the following:
• All work is a process in which employees are both customers
of and suppliers to each other, forming a chain.
• You are a customer when you get material, information, or
services from others in your organization or from an outside
source.
• You are a supplier when you provide material,.information,
or services to others in your organization or to external
customers.
• The materials, information, or services you receive from
others as a customer are inputs.
• The materials, information, or services you provide to others
as a supplier are outputs.
• When you are doing right things right, you add value to the
inputs you handle.
• Adding value is a key concept of TQM. Everyone in the
agency should examine all of his or her activities to
determine whether each creates an output which adds
significant value to the input received.
The Customer-Supplier Chain
3 You and Your Customer
-------
You can create a flowchart of any work process in order to
identify the customer-supplier chain. Below, you'll find a
simplified flowchart illustrating the process of publishing a book.
Publishing a Book
Author writes
book, sends it
to editor.
Input
Output
Editor makes
corrections on
manuscript, sends
it to production.
Value Added
Input
Output
Production supervisor
has manuscript
typeset, sends
it to printer.
Value Added
Input
Output
Printer prints book,
sends copies
to warehouse.
Value Added
Input
Output
Warehouse
manager
ships books
to bookstores.
Value Added
Although this flowchart does not show all the steps required to
get a book into print or all the customers and suppliers involved,
it does illustrate essential customer-supplier links. In this chain,
the author is the supplier of the manuscript, and the editor is the
customer. The editor adds value to the book and produces output
(the edited manuscript), which he or she then supplies to
production, the next customer in line.
4 You and Your Customer
-------
In the process of turning the manuscript over to production, the
editor moves from the role of customer to that of supplier. In
fact, in the customer-supplier chain, everyone is at one time or
another both a customer and a supplier. We all wear two hats.
Identifying your role at any given point in the customer-supplier
chain helps you improve your customer-supplier relationships and
determine whether you are adding value, and also makes the
work flow more smoothly.
Summary
• In an organization everyone is both a customer and a
supplier.
• The handoff of work from suppliers to customers creates the
customer-supplier chain.
• Your work is part of a process of inputs, added value, and
outputs moving through the customer-supplier chain. It is not
an isolated activity.
• Your boss is both a customer of and a supplier to you, and
you are both a customer of and a supplier to your
employees.
• When the requirements of every customer in the chain are
met, your organization can reach its quality goals.
5 You and Your Customer
-------
Exercise
Identifying Customers and Suppliers
In this exercise, you will identify your role in the customer-
supplier chain.
Directions
Step 1. Think of yourself as one link in a chain of activities.
Step 2. On the worksheet on the next page, write three of your
most important outputs in the appropriate spaces.
Step 3. Write the names of key customers who use these
outputs.
Step 4. Write the most critical inputs you need to complete your
outputs.
Step 5. Write the names of the key suppliers who give you
these inputs.
6 You and Your Customer
-------
Worksheet
Identifying Customers and Suppliers
Supplier
Input
Value-Added
Activity
Output
Customer
7 You and Your Customer
-------
Video
"You and Your Customer"
This video emphasizes the importance of listening to your
customers. By focusing on what your customers want, you are
more likely to do right things right
Discussion Questions
1. What are the "lettuce and tomato rules" in your organization?
2. Are the employees in the restaurant doing right things?
3. How could the restaurant and its customers be better aligned?
8 You and Your Customer
-------
Presentation
The Customer's Expectations for Quality
You have just seen a video in which well-meaning suppliers were
not aligned with the needs of their customers. The concept of
PRIDE was introduced as a way of identifying the key elements
that must be aligned between customers and suppliers. Let us
take a closer look at PRIDE.
Elements
Product or service
Criteria
1. Is it what my customer
needs?
2. Does it do what my customer
wants?
Relationship
1. Do we trust each other?
2. Have we talked about how
we will work together?
Integrity
1. Can I provide the support that
my customer needs?
2. If requirements are not met,
what will I do?
Delivery
1. Do I ensure that the product
or service is delivered on
time to the right person or
location?
2. Do I see that it arrives in
usable form?
Expense
1. Does the customer believe
that the product or service is
a good value?
2. Do I provide the customer the
product or service in a cost-
effective manner?
9 You and Your Customer
-------
Video "Moving toward Alignment'
Discussions between customers and suppliers must be based on
understanding and mutual support. To create this kind of
relationship, it is often necessary to remove barriers that separate
customers and suppliers. In this video, you will see how three
key questions can help you remove these barriers and begin to
build positive working relationships with your own customers and
suppliers:
1. What do you need from me?
2. What do you do with what I give you?
3. Are there any gaps between what I give you and what you
need?
Discussion Questions 1. Could any of your existing customer-supplier relationships be
improved by asking the three key questions? Which ones?
2. Are there any other questions you think suppliers and
customers should ask each other?
10 You and Your Customer
-------
Exercise Aligning with Your Customer
The PRIDE concept is helpful in specifying the requirements that
you as a supplier need to meet. In this exercise, you will have an
opportunity to practice using the three alignment questions to
establish requirements with a customer.
Directions Step 1. Read the PRIDE reference page.
Step 2. Form a customer-supplier pair and complete the
worksheet, "Aligning with Your Customer."
Step 3. Summarize the agreed-upon requirements in the
worksheet, "Agreed-Upon Requirements."
11 You and Your Customer
-------
Reference Page PRIDE
The three questions that can help you align with your customers
are
1. What do you need from me?
This first question can help you use the PRIDE elements to
understand different facets of your customer's requirements.
2. What do you do with what I give you?
This second question can help you understand how the
customer uses your input so that you can make additional
suggestions that may not have occurred to the customer and,
therefore, better meet customer requirements.
3. Are there any gaps between what I give you and what you
need?
The third question can give you an opportunity to make
explicit your capabilities with respect to customer require-
ments so that both you and your customer are clear about
what is and is not possible. This alignment between customer
requirements and supplier capabilities is what solidifies
agreed-upon or valid requirements.
12 You and Your Customer
-------
Worksheet Aligning with Your Customer
1. What do you need from me?
Product or service
Relationship
Integrity
Delivery
Expense
2. What do you do with what I give you?
3. Are there any gaps between what I give you and what you need?
13 You and Your Customer
-------
Worksheet Agreed-Upon Requirements
Product or service
Relationship
Integrity
Delivery
Expense
14 You and Your Customer
-------
Key Points You and Your Customer
Below are some of the key points in this module. Please add
your own.
• Work processes link employees as customers and suppliers in
a chain.
• Your work is part of a process of inputs, added value, and
outputs moving through the customer-supplier chain.
• It is important that all employees determine whether each of
their activities adds value to the overall mission of the
agency, and, if not, that they help redesign work processes to
ensure that each activity is value-added.
• Aligning customer needs with supplier capabilities helps
ensure that you are doing right things right.
• Three key questions can facilitate alignment between
customers and suppliers:
1. What do you need from me?
2. What do you do with what I give you?
3. Are there any gaps between what I give you and what you
need?
• PRIDE is a way of identifying key elements that must be
aligned between customers and suppliers.
• Customer satisfaction is the result of meeting agreed-upon
requirements.
15 You and Your Customer
-------
I"-, i
Module
-------
Contents Quality Action Teams—Focus
Overview: Quality Action Teams—Focus 2
Presentation: The Quality Blueprint 3
Video: "Introduction to QAT" 4
Presentation: The FADE Problem-Solving Process 5
Presentation: Integration of the Quality Blueprint and FADE 6
Video: "Focus—Defining a Problem" 10
Tool: Brainstorming 11
Exercise: Practicing Brainstorming 13
Tool: Multivoting 14
Exercise: Practicing Multivoting 15
Tool: Selection Grid 16
Exercise: Using a Selection Grid 18
Tool: Impact Analysis 19
Exercise: Practicing Impact Analysis 21
Tool: Problem Statement 22
Exercise: Writing a Problem Statement 24
Application: Focus 25
Exit Criteria: Focus 28
Key Points: Quality Action Teams—Focus 29
1 Quality Action Teams—Focus
-------
Overview
Quality Action Teams—Focus
We have completed the first three modules of The Quality
Course for EPA, which cover essential quality concepts and
techniques. In this module we shall introduce three conceptual
models: the Quality Blueprint for process improvement, the
FADE model for problem solving, and an integrated model which
shows the interrelationship of the Quality Blueprint and FADE.
The FADE model is used by quality action teams (QATs) and
includes four phases: focus, analyze, develop, and execute. This
module will take us through the focus phase to help us clearly
define a problem.
Objectives
By the end of this module, you will be able to
• Select a single problem that is worth working on and that is
appropriate for your team or group
• Write a problem statement that defines
The current problem situation
Its impact
The desired state of affairs
The impact of correcting or eliminating the problem
• Use a method of problem selection that involves the steps of
Generating a list of problems
Selecting one problem
Verifying that the problem exists and defining it
• Use the following tools:
Brainstorming
Multivoting
Selection grid
Impact analysis
Problem statement
2 Quality Action Teams—Focus
-------
Presentation
The Quality Blueprint
Before introducing the FADE model, we shall take a look at
the quality blueprint, a disciplined way to undertake quality
improvement efforts that will make a difference in your
organization. The first four steps are a guide to doing right
things. The next three steps are a guide to doing things right.
In the first three modules, we have already discussed key
customers and suppliers, agreed-upon requirements, and gaps, all
of which are part of doing right things. In modules 4 through 7,
we turn to doing things right.
1. Identify
improvement
opportunities.
2. Identify key
customers
and suppliers.
Develop and
execute solutions.
5. Describe and
analyze the
current process,
3. Establish
agreed-upon
requirements
3 Quality Action Teams—Focus
-------
Video
'Introduction to QAT"
Discussion Questions
So far you have been introduced to the quality blueprint for
continuous improvement. The blueprint is intended to emphasize
the need for quality to be seen as a comprehensive process which
includes, but goes beyond, effective problem solving. Paying
serious attention to key customers and their requirements is
central to the success of a total quality implementation. Once
those requirements have been established, gaps have been
identified, and an opportunity for process improvement has been
selected, it is equally important to engage in effective problem
solving. This video introduces you to the FADE model. This
model provides the people in your organization with a common
language and set of problem-solving tools that they can use in
quality action teams to improve all your products and services.
1. What are some of the ways in which quality action teams
will be important to you and your quality improvement
process?
2. What seemed important to the success of the team's process
in the video?
3. What contribution can you make to the success of your
quality action teams?
4 Quality Action Teams—Focus
-------
Presentation
The FADE Problem-Solving Process
The FADE problem-solving process is a team-based approach to
problem solving and continuous improvement The FADE
methodology includes four phases and twenty-three problem-
solving tools. Each phase has a distinct output or set of outputs.
Written statement of problem
Select one
problem
Generate
list of
problems
Verify/
define
problem
Record of
impact
Baseline
data
Decide what
you need to
know
Monitor
impact
Collect data
baselines/
patterns
Execute
plan
Executed
plan
List of
most
influential
factors
Determine
influential
factors
Gain
Organi- \ commitment
zational
commit-
ment ^ ^
Develop
mplementatioy Se|ect
P'an / solution
Generate
promising
solutions
Solution for
problem
A plan for
implementation
5 Quality Action Teams—Focus
-------
Presentation
Integration of the Quality Blueprint and FADE
The quality blueprint is intended for managers to use, either
individually or in informal work groups, in order to continuously
improve work processes within their authority.
The FADE methodology is a more structured problem-solving
discipline within the process-improvement cycle. It is used by
formal QATs when criteria include:
• Process complexity
• Data-intensive requirements
• Significance of impact on agency goals
• Cross-functional or work-group team composition
The Quality Blueprint and FADE
1. Identify Improvement
opportunities
7. Measure & monitor
Doing
Things
Right
Doing
Right
Things
2. Identify key customers
and suppliers
6. Develop & execute
solutions
3. Establish agreed-upon
requirements
4. Identify gaps
5. Describe & analyze the
current process
6 Quality Action Teams—Focus
-------
Doing Right Things
Steps
1. Identify improvement
opportunities.
2. Identify key customers
and suppliers.
3. Establish agreed-upon
requirements.
4. Identify the gaps.
How
Listen to your customers.
Look at your current measures of the
five pillars.
Identify avoidable costs of quality.
Set priorities for critical improvements.
Ask, "Who gets my output?"
Ask, "Whose input do I need?"
Determine critical customers and
suppliers.
Ask your customers
"What do you need from me?"
"What do you do with what I give you?"
"Are there any gaps between what I
give you and what you need?"
Establish performance measures.
On the basis of your data, identify the
gaps between what your customers
need and what your work process
can supply.
Ask, "What data do I have to
confirm gaps?"
7 Quality Action Teams-—Focus
-------
Doing Things Right
Steps
5. Describe and analyze the current
process.
6. Develop and execute solutions.
7. Measure and monitor.
How
Flowchart processes to understand
how things work now.
Focus on bottlenecks, nonvalue-added
steps, and rework.
Analyze Vne root causes of breakdowns
using the why technique and other
quality improvement tools.
Ask, "Does the current process consis-
tently meet customer requirements?"
If the current process can meet
requirements, fix it so that it
meets them every time.
If the current process cannot meet
requirements, develop a new process.
Use contingency diagrams and
prevention checklists to anticipate
and eliminate problems.
Execute your action plan for improving
the process.
Establish comprehensive measures and
feedback systems.
Document results.
8 Quality Action Teams—Focus
-------
Phase I—Focus
Written statement of problem
Select one
problem
Generate
list of
blems
Nfenfy/
define
problem
Record of
impact
Decide what
you need to
know
SL I baselines/
List of
most
influential
factors
Determine
influential
factors
Gain
Organi- \ commitment
zational
commit-
ment
Generate
promising
solutions
Solution for
problem
A plan for
implementation
9 Quality Action Teams—Focus
-------
Video "Focus—Defining a Problem"
Use this space to record any ideas, questions, or comments you
may have after watching the video on Phase I of problem
solving.
10 Quality Action Teams—Focus
-------
Tool
Brainstorming
What It Is
A technique for generating a list of ideas about an issue.
What to Use It For
Generating lists of
Problems (Phase I of FADE)
Topics for data collection (Phase II)
Potential solutions (Phase III)
Items to monitor (Phase IV)
Obtaining multiple ideas and/or more group energy
How to Use It
Step 1. Decide on a topic (such as "problem ideas" or "ideas for
solutions").
Step 2. Have each member in turn offer an idea about the topic.
Other members should refrain from any comment, listen
carefully, and build on each other's ideas.
Step 3. Have one person record all the ideas on a flipchart.
Step 4. Continue the process until the team feels it has ex-
hausted its ideas on the topic.
Step 5. Discuss and clarify the ideas on the list.
Example
A cross-divisional work group was given the task of coming up
with a "wish list" for the new agency lunchroom. Six people got
together and generated the following list of ideas:
Running water and sink
Relaxing music
Tables and chairs
Microwave oven
Chandelier/candlelight
Full-time attendant
Food delivery service
Massage lounge chairs
Recycle containers
Soft drink machine
High-capacity coffee maker
Refrigerator
Toaster
Linen tablecloths
Fruit-juice fountain
Free bagels and cream cheese
Multi-beverage dispenser
11 Quality Action Teams—Focus
-------
Keep in Mind • Set a time limit for the brainstorming session.
• Offer ideas only when it is your turn. Between turns, write
down ideas so you do not forget them.
• Any idea is acceptable, even if it seems silly, strange, or
similar to a previous idea. Some of the best ideas are simply
variations on what somebody else just said.
• Say "pass" if you do not have an idea on your turn.
• Never criticize, question, or even praise others' ideas during
the brainstorming session.
12 Quality Action Teams—Focus
-------
Exercise
Directions
Practicing Brainstorming
Use one or more of the following topics to practice
brainstorming.
• The possible uses of a brick
• Methods for cutting down on 5:00 P.M. traffic congestion
• Possible improvements to a box of facial tissues
• Ways to reduce teenage pregnancies
13 Quality Action Teams—Focus
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Tool
Multivoting
What It Is
A technique for narrowing down a list of ideas or options. It is
used in conjunction with brainstorming.
What to Use It For
Selecting a problem, topic for data collection, solution, or item to
monitor
How to Use It
Step 1. Use brainstorming to generate a list of topics. Have one
person record the ideas on a flipchart. Review and
clarify each idea. With the consent of the group, similar
ideas can be combined.
Step 2. Have each member assign ten points to one or more of
the ideas (e.g., team members can assign all ten points
to one idea, five to one and five to another, one to each
idea, or any other combination).
Step 3. Ask team members to record their points for each idea
on a separate Post-it note and to place the Post-it note
next to the idea on the flipchart, or have team members
call out their votes in turn.
Step 4. Tally the votes for each idea. Narrow down the list to
the four to six ideas that received the most votes.
Example
The cross-divisional work group who brainstormed a wish list for
the new agency lunchroom wanted to narrow down their list of
ideas from seventeen to five. Each group member was assigned
ten points with which to vote for the topics. Here is the resulting
list.
Running water and sink (4)
Relaxing music (1)
Tables and chairs (11)
Microwave oven (7)
Chandelier/candlelight
Full-time attendant
Food delivery service
Massage lounge chairs
Recycle containers (10)
Soft drink machine (8)
High-capacity coffee maker (10)
Refrigerator (15)
Toaster (4)
Linen tablecloths
Fruit-juice fountain
Free bagels and cream cheese
Multi-beverage dispenser
Keep in Mind
Feel free to distribute your votes in any way you like.
To preserve anonymity, multivoting can also be done by
written ballot (sometimes called nominal group technique).
14 Quality Action Teams—Focus
-------
Exercise Practicing Multivoting
Directions Use the list generated in the brainstorming exercise to practice
multivoting or choose another topic from those suggested in the
brainstorming exercise. Brainstorm a list, and then use multi-
voting to narrow down that list.
15 Quality Action Teams—Focus
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Tool
What It Is
Selection Grid
A method for selecting one option from several possibilities. It
involves deciding what criteria are important and using them as a
basis for reaching an acceptable decision.
What to Use It For
Choosing a single problem from a list of problems (Phase I)
Choosing a single solution from a list of solutions (Phase III)
How to Use It
Step 1. Narrow the list of potential choices: Ask which items
are of special interest to the group (or use multivoting).
Step 2. Choose criteria, each with a scoring system.
Step 3. Make a grid with the criteria across the top and the
options on the left side. Fill in the grid to evaluate how
well each option satisfies each criterion.
Step 4. Use the information on the grid to help you select the
best option.
Here are two ways to think about criteria.
1. Worthwhile. Is the problem worth working on? This can
include quality (for the customer), cost (to the organization),
and hassle (for those who do the work).
2. Doable. Can we make progress on the situation? This can
include support (from management and others), time (for us
to see the work through to completion), knowledge (about the
topic), and interest (in working hard at it).
Example
The Pied Pipers were a quality action team from Local #256,
Pipefitters and Welders. The team, composed of six individuals,
was trying to decide among three problems they might work on:
(1) poor washer assemblies, (2) inadequate inventories of large-
scale pipes in the field warehouses, and (3) lack of coordination
between the Pied Pipers and other working teams. Each member
of the team voted once on whether he or she thought the prob-
lems were worth tackling, whether management support could be
gained, and whether he or she had sufficient time and interest to
work on that particular concern.
16 Quality Action Teams—Focus
-------
Selection Grid
Problem
Poor washer
assemblies
Inadequate
inventories
Lack of
coordination
Selection Criteria
Worthwhile?
Yes: 3
No: 3
Yes: 5
No: 1
Yes: 6
No: 0
Mgmt.
Support?
Yes: 3
No: 3
Yes: 4
No: 2
Yes: 2
No: 4
Time?
Yes: 4
No: 2
Yes: 5
No: 1
Yes: 1
No: 5
Interest?
High: 3
Low: 3
High: 4
Low: 2
High: 5
Low: 1
While the selection grid did not answer precisely what problem
to work on, it was clear to the Pied Rpers that inadequate inven-
tories of large-scale pipes was something that most of the mem-
bers felt strongly about and for which there was time, interest,
and probably management support. The team chose this problem
to work on.
Keep in Mind
List your criteria without regard to the options.
The selection grid may not give you a clear-cut decision, but
it does provide information. You must still make the final
judgment.
17 Quality Action Teams—Focus
-------
Exercise
Directions
Using a Selection Grid
Use one or more of the following situations to practice using the
selection grid. For each situation, first choose some important
criteria, then use those criteria to evaluate a few possibilities.
• Select a vacation spot from among several options. (Assume
you are a family.)
• Select a model of automobile you wish to purchase.
• Select a book to take with you on a trip.
• Select a type of music you want to have piped into your
store. (Assume you run a shoe store.)
• Select a new activity (such as playing a sport, learning a
musical instrument, or taking part in a civic organization) to
be involved in.
18 Quality Action Teams—Focus
-------
Tool
What It Is
Impact Analysis
A procedure for discovering what impact a situation has on
people and their environment. It involves getting specific stories
and other available information, such as statistics, about the
situation.
What to Use It For
• Confirming whether a project is worth working on
• Indicating how extensive a problem is
• Uncovering new aspects of a problem
• Letting team members share their viewpoints and come to
agreement about what exactly is going on
• Ensuring that each team member is invested in solving the
problem
• Helping to determine if the right people are on the team
How to Use It
Step 1. Ask each team member to describe, as specifically as
possible, the impact the chosen situation has on him or
her, on the organization, and on customers.
Step 2. Discuss these stories, looking for common themes.
Example
A team of six trash collectors was asked to describe how they
had experienced the problem of "dirt on clothes." Here are some
of their responses.
"Every Thursday, when we collect from the industrial
area, I get a lot of brown slime on my clothes. It comes
out in the wash, but it leaves my skin itchy for a day or
two afterwards."
"We get only three uniforms for five days' work, and I
have a hard time cleaning them often enough to get to
work clean each day."
"I just figure it's part of my job, but some people have
told me that they'd rather call in sick than wear a dirty
uniform again. The Human Resource Department told me
that absenteeism in Trash Collection is the highest in the
company."
19 Quality Action Teams—Focus
-------
"We are definitely having a problem with people being out.
Each team is usually short one or two people each day. We
just can't get enough work done. The industrial people are
complaining that the chemicals aren't taken away soon
enough and that they're running out of disposal room."
Keep in Mind • Impact analysis should always be used in the FADE process.
It confirms that the project is really worthwhile. Often it
uncovers new information and ideas.
• The leader should be persistent in probing team members for
specifics.
20 Quality Action Teams—Focus
-------
Exercise
Directions
Practicing Impact Analysis
Use one of the following situations to practice impact analysis.
For whichever problem you choose, relate a personal story or
information that describes the impact of the situation.
• It's hard to find a good restaurant around here.
• You'd like to have a prizewinning lawn.
• On many cars, one or more tires have a very slow leak.
• Kids take too many drugs these days.
• You'd like to make your meals more exciting.
21 Quality Action Teams—Focus
-------
Tool
What It Is
Problem Statement
A technique for describing a problem, its impact, and the desired
state.
What to Use It For
Gaining consensus among team members on what the prob-
lem is
Explaining to someone outside the team what the problem is
Demonstrating the effects of the problem and the benefits of
solving it
How to Use It
Step 1. Divide a flipchart page into three horizontal sections.
Label the first Current State, the second Impact, and the
third Desired State.
Step 2. In the first section, write a concise description of the
current state.
Step 3. In the second section, describe the impact of the particu-
lar problem you have chosen. (Refer to the impact anal-
ysis tool.)
Step 4. In the third section, describe in one or two sentences
what it would be like if the problem were solved (the
desired state).
Step 5. If it seems useful, include a short description of the im-
pact of correcting or eliminating the problem.
Step 6. Review the current state, impact of the problem, and
desired state to be sure all team members are in agree-
ment.
Example
After doing impact analysis on the problem of damaged pack-
ages, a team of package handlers realized there were really two
different problems: (1) packages were being damaged en route,
and (2) packages were being damaged during sorting. The team
decided that the sorting problem was the more important one, but
that it should be turned over to a joint management-worker team
for quicker solution.
The team decided to work on the problem of packages being
damaged en route. The contents of the flipchart page that the
team wrote its problem on appears on the next page.
22 Quality Action Teams—Focus
-------
Current State
Currently, 17 percent of our packages are delivered damaged.
Impact
The damaged packages result in dissatisfied customers, lost
business, employee frustration, and an increased backlog.
Desired State
All packages are delivered undamaged.
Keep in Mind • Be careful not to include causes of the problem or possible
solutions to it in your problem statement.
• Once you have chosen a problem, focus your impact analysis
on that problem exclusively.
• Express the desired state in realistic and attainable terms.
23 Quality Action Teams—Focus
-------
Exercise Writing a Problem Statement
Directions Using the situation you chose for impact analysis, write a state-
ment of the problem. Include the relevant points of your impact
analysis and a description of the desired state.
24 Quality Action Teams—Focus
-------
Application Focus
It is now time to select and describe a problem that your team
will address. After you have completed the steps for Phase I,
listed below, record your problem statement (Phase I output) on
the worksheet provided.
Steps
Step I-A. Generate a list of problems.
Your problem should be one that exists within one of your key
repetitive work processes. Refer to the reference page that
follows for criteria that may help you choose an appropriate
process within which to brainstorm a list of problems.
Step I-B. Select one problem.
Step I-C. Verify and define the problem.
Preliminary Steps
If you are in a training session with people who do not have
"real" problems in common, follow these preliminary steps before
you begin.
Preliminary step A. Divide into small groups of about five
members.
If your small group has no real identity in common, decide on a
fictional one.
Preliminary step B. Select a temporary leader and a chart keeper.
Give everyone a chance to practice leading by choosing a differ-
ent person as leader for each step. But choose one person to
keep track of the flipchart pages you produce.
Preliminary step C. Determine your team identity (real or ficti-
tious) and select a team name.
You can use brainstorming to do this.
25 Quality Action Teams—Focus
-------
Reference Page Criteria for Process Selection
The process you choose should
• Be relevant and important to the team or work group
• Be actionable, in that the work group has at least partial
control over its outcome
• Be repetitive, not a one-time or infrequently occurring event;
it must exist now as something that can be identified, stud-
ied and flowcharted
• Be aligned with the organization's mission and strategies
(i.e., have a service or product-improvement goal)
• Be recognized as needing change and improvement
• Not have obvious solutions for improvement
• Involve multiple customers and suppliers who can be identified
• Have a high enough priority to secure the necessary commit-
ment of time to improve it
• Be a manageable size; if your process is too long or
complicated, use a part of it that fits the criteria above
26 Quality Action Teams—Focus
-------
Worksheet Focus
Use the space below for a written statement of the problem.
Include a description of
• The current problem situation
Its impact
The desired state of affairs
(Optional) The expected impact of correcting or eliminating
the problem
27 Quality Action Teams—Focus
-------
Exit Criteria Focus
Before you leave the focus phase, you should check whether you
have satisfied each of the exit criteria for Phase I.
1. You have selected a single problem.
2. The problem is realistic and worth working on.
3. The problem is appropriate for your team.
4. The problem is measurable.
5. The team is motivated to address the problem.
28 Quality Action Teams—Focus
-------
Key Points Quality Action Teams—Focus
Below are some of the key points in this module. Please add
your own.
• The steps and tools for Phase I—Focus—are as follows:
Suggested Steps Tools Taught in Phase I
Step I-A. Generate a list of Brainstorming
problems.
Step I-B. Select one problem. Multivoting
Selection grid
Step I-C. Verify and define Impact analysis
the problem. Problem statement
• It is important to focus your QAT in order to clearly define
the problem on which you will work.
• Generating a list of problems helps the team see the range of
problems and whether some are widespread or especially
important.
• It is important to verify whether a problem is significant
enough to be worth the effort.
• The output of the focus phase is a clearly written statement
of the problem.
29 Quality Action Teams—Focus
-------
"" ' r r TT
Module Five Quality Action
feams—Analyze
statement of I >robl
Selects one
problem
Generate
list of
problems
Baseline
data
Record of
impact
Decide what
you need to
know
Collect data:
baselines/
patterns
Gam
Organi-\ commitment
zational
com mil-
Determine
influential
factors
Generate
promising
Develop
Implementation
plan
Solution for
Drdblem
A plan for
implementation
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Contents Quality Action Teams—Analyze
Overview: Quality Action Teams—Analyze 2
Video: "Analyze—Gathering and Analyzing Data" 3
Tool: Checklist 4
Exercise: Creating a Checklist 6
Tool: Data-Gathering Plan 7
Exercise: Creating a Data-Gathering Plan 9
Tool: Sampling 10
Exercise: Practicing Sampling 12
Tool: Survey 13
Exercise: Creating a Survey 16
Tool: Checksheet 18
Exercise: Designing Checksheets 20
Tool: Pareto Analysis 22
Exercise: Practicing Pareto Analysis 25
Tool: Fishbone Diagram 28
Exercise: Constructing a Fishbone Diagram 30
Tool: Flowchart 31
Exercise: Making a Flowchart 34
Application: Analyze 35
Exit Criteria: Analyze 37
Key Points: Quality Action Teams—Analyze 38
1 Quality Action Teams—Analyze
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Overview
Quality Action Teams—Analyze
This module will take us through the second phase of the FADE
model—Analyze—in which we shall gather and analyze data.
Objectives
By the end of this module, you will be able to
• Develop baseline measures—data on the current state of
affairs—for the extent or seriousness of a problem
• Determine the important contributing factors to a problem by
gathering and analyzing objective data
• Use a method of data gathering and analysis that involves the
steps of
Deciding what you need to know
Collecting data on baselines and patterns
Determining the most influential contributing factors
• Use the following tools:
Checklist
Data-gathering plan
Sampling
Survey
Checksheet
Pareto analysis
Fishbone diagram
Flowchart
2 Quality Action Teams—Analyze
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Video "Analyze—Gathering and Analyzing Data"
Use this space to record any ideas, questions, or comments you
may have after watching the video on Phase II of problem
solving.
3 Quality Action Teams—Analyze
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Tool
What It Is
What to Use It For
Checklist
A list of things to be done or items to be obtained.
Providing an inventory of information needed for data collec-
tion
Helping you be sure you have done everything you need to
do
Keeping you organized so you do not have to backtrack
How to Use It
Step 1. Brainstorm and discuss what items of data or informa-
tion are needed or what needs to be done.
Step 2. Write the items in a list. Put the items into categories if
that is helpful.
Step 3. As needed, indicate the source of each type of data or
information, who will get it, and any other actions you
will need to take.
Example
Here is an example of a checklist constructed by a team of
wheat farmers who wanted to cut down on the amount of
cheatgrass (a type of weed) in their fields. This example lists not
only the types of information but also the sources of the
information and the people responsible for collecting it. Thus, the
checklist can be expanded to become an action plan.
Information Needed
Distribution of
cheatgrass (which
fields? which seasons?)
Flowchart of farming
cycle to show when
cheatgrass occurs
Source
Our own
fields
Information on cheatgrass Herbicide
growth and causes from company
chemical companies
Who Will Get It
Rudolph, Clem
Ourselves Group discussion
Paul
4 Quality Action Teams—Analyze
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Information Needed Source Who Will Get It
Information on cheatgrass Agricultural Al
growth and causes from Extension
the government Service
Keep in Mind • Checklists are not only easy to make but also very useful.
• Checklists can be used at any point in the problem-solving
process when you need to decide and keep track of what
should be done.
5 Quality Action Teams—Analyze
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Exercise Creating a Checklist
Directions Brainstorm for all the different types of checklists you use or
might use both in your personal life and at work.
6 Quality Action Teams—Analyze
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Tool
What It Is
Data-Gathering Plan
Data are facts that can be used as a basis for discussion or
decision. There are many techniques for collecting data. Separate
tool descriptions for three of them—sampling, survey, and
checksheet—follow.
What to Use It For
Verifying whether a problem is worth your efforts
Suggesting possible causes of the problem
Helping you explain the problem clearly to others
Comparing costs and benefits of proposed solutions
Monitoring effectiveness of solutions and procedures
How to Use It
Step 1. Decide in advance what information you need.
Step 2. Select the right kinds of data to answer your questions.
Step 3. Do not reinvent the wheel—use information that is
already available whenever possible.
Step 4. Create a standardized form to collect the data—and one
to summarize it as well.
Step 5. "Pilot" and fine-tune your data-collection method.
Examples
Data take various forms, each of which has its own particular
strengths and uses.
Numbers enable you to measure and compare. They have an
exact meaning, which makes them less subject to interpretation
and, therefore, an excellent way to describe something in terms
that everyone can understand. Examples: sales volume, number of
calls to the agency per week, and number of patients in a
hospital.
Words are useful for expressing judgments, describing a sequence
of actions, summarizing decisions, and labeling. Words are best
used for describing qualities rather than quantities. Examples:
standard operating procedures, minutes of meetings, reports, titles,
and equipment names.
7 Quality Action Teams—Analyze
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Pictures illustrate spatial relationships, motion, and location. They
often capture sequence, patterns, and relationships better than
words or numbers. Examples: videotapes, flowcharts, drawings,
and photographs.
All these types of data are legitimate and valuable. Which type
you use depends on the kind of problem you are investigating.
Keep in Mind • Explain how the data will be collected and seek opinions
about how to improve the process.
• Report the results and solicit ideas about how to interpret the
data.
8 Quality Action Teams—Analyze
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Exercise
Creating a Data-Gathering Plan
Directions
In this exercise you will explore why data are collected and what
problems are inherent in data collection. Read the cases below
and answer the questions.
• You and other members of your group jointly own a super-
market. Business has been good, but during the last few
months a number of customers have complained that the
lines at the checkout stands are too long. What information
would you seek? What kinds of data gathering might you
employ?
• The personnel office of Ajax Computers in Gransville, West
Virginia, is housed in cramped quarters, as shown below.
Secretaries, interviewers, managers, and compensation special-
ists all work in proximity to each other. Furthermore, there is
lots of clutter and litter—half-empty soda containers, over-
flowing wastebaskets, and so on. The personnel team has
decided to focus on the problem of clutter and litter. What
kinds of data should be gathered? How would you go about
gathering these data? What kind of form would you use to
gather your data?
Floor Plan of Personnel Office
Compensation
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9 Quality Action Teams—Analyze
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Tool
Sampling
What It Is
What to Use It For
The process of selecting a small group of individuals or items
that represent the whole population in which you are interested.
You can sample people, objects, opinions, or anything else.
Random sampling. Items are picked at random from the entire
population. This sampling method is the most common and safest
way to ensure a fair representation of the "big picture."
Stratified sampling. The population is divided into parts (strata)
that are likely to differ systematically (for example, "men,
women, and children" or "small, medium, and large boxes").
Each part (stratum) is sampled separately, usually by random
sampling.
Systematic sampling. Every Xth item or every 7th minute, and so
on, is sampled. This is easier than random sampling but leads to
error unless you know that the items are randomly mixed already.
Getting accurate, representative information when you cannot
measure all the items you want to know about
How to Use It
Step 1. Decide what kind of sampling is most appropriate for
your data gathering.
Step 2. Whichever method you choose, review the group you
have selected to make sure that the entire population is
well represented.
Example
Jane, Bob, and Jack decided to attend the International Associa-
tion of Brunchers' Fourth Annual Buffet at the Hilton in New
York City. From past experience, they knew that selecting a few
items to eat from all the food choices would be a challenge.
After much discussion, they each chose a different method for
exploring the buffet offerings.
Jane decided simply to walk the length of the long table and
make random selections from all the food choices. This ensured
that she got a representative idea of all the foods offered.
Bob decided to stratify his selections. He concentrated on his
four favorite food groups (appetizers, salads, breads, and desserts)
and randomly chose from among those foods. This method gave
him accurate information about his areas of interest.
10 Quality Action Teams—Analyze
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Jack's plan was systematic. He walked the length of the table
and took a little of every sixth item displayed, which was easier
for him than figuring out what to choose. Since the types of food
were displayed more or less randomly, Jack knew he would get a
fairly representative sample.
Keep in Mind • The smaller the sample, the less accurate it is likely to be.
• If it is very important that your sample be accurate, consult
an expert to determine the best sampling method.
11 Quality Action Teams—Analyze
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Exercise Practicing Sampling
Directions Use one or more of the following examples to practice sampling:
• Less difficult
A friend told you that the Snazzmobile is a very good car.
You are thinking of buying one but have only the opinion of
your friend to go on. How should you sample?
A number of Afghan restaurants (over fifty at last count)
have been opening in your town recently. You have never
tried Afghan cuisine and you want to decide whether you
like it. What is your strategy for sampling?
• More difficult
Sparkle Brothers' Bakery has a business office with three du-
plicating machines. All the machines make poor copies from
time to time, but nobody knows if any one of the machines
is significantly better or worse than the others. All the
machines are heavily used. The Sparkle Brothers' controller
estimates that more than 7,000 sheets are printed each day.
However, nobody knows if one machine is used more than
the other two. The bakery now has money to repair or
replace one machine. How can the Sparkle Brothers'
employees sample the work of each machine and decide
which machine should be replaced or repaired?
12 Quality Action Teams—Analyze
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Tool
What It Is
Survey
The process of asking people for their opinions, reactions, knowl-
edge, or ideas, using face-to-face interviews, paper-and-pencil
questionnaires, or a combination of both.
What to Use It For
Collecting usable data about what people know, think, or feel
regarding a specific issue
How to Use It
Step 1. Decide what you want to know.
Step 2. Develop a set of questions to get this information.
Step 3. Do a trial run.
Step 4. Administer the survey.
Example
In Santa's workshop, the Equipment Systems Crew decided to
survey members of the Repair Department about the availability
of equipment. Their survey questionnaire appears on the fol-
lowing page.
13 Quality Action Teams—Analyze
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Equipment Systems Crew Survey Form
Memorandum
To: Repair Department
From: Equipment Systems Crew
Subject: Equipment Policy
This is a survey to determine time and money lost searching
for equipment. You do not have to sign your name; this survey is
for the use of the Equipment Systems Crew only. Please circle just
one answer for each question.
1. How many minutes do you spend looking for equipment
each day?
5 10 20 30 Over 30
2. Do you have all the basic equipment that you need?
Yes No
3. Do you feel that you should supply your basic equipment or
that Santa should supply it?
Individual Company
4. Have you lost or had any equipment stolen in the past year?
Yes No
If yes, how much?
Please return to John C. Elf as soon as possible. Thank you for
your time in assisting your Equipment Systems Crew.
Keep in Mind
• Give the people answering the questions a clear idea of why
you want the information.
• Make the survey as brief as it can be to obtain the informa-
tion you need. Think carefully about exactly what you need
to know.
• Give the survey to the right people. Think carefully about
who can best provide the information you need.
14 Quality Action Teams—Analyze
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• Make the survey easy to participate in and to administer.
• Phrase the questions in clear language that is appropriate to
the audience.
• Leave enough space on the form so that answers can be
recorded clearly.
15 Quality Action Teams—Analyze
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Exercise Creating a Survey
Directions Read the following case and answer the questions.
You run a health club that serves both men and women. Lately,
business has been falling off. You have investigated and
discovered that comparable clubs are not losing business. Most of
your business is from repeat customers. You need to find out
why people who used to be your clients are not coming back.
• Whom will you survey? (What is your sampling strategy?)
How will you survey them?
What specific pieces of information do you want?
What specific questions will you ask?
16 Quality Action Teams—Analyze
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In what form do you want the answers given (e.g., multiple-
choice, true/false, free form)?
You might find it helpful to organize your questions using the
form below.
Information Wanted
Corresponding Questions
1.
2.
3.
etc.
1.
2.
3.
etc.
17 Quality Action Teams—Analyze
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Tool
Checksheet
What It Is
A data-recording form that tells how many times something has
happened.
What to Use It For
Providing a clear record of data gathered
Ensuring that everyone will get comparable data
How to Use It
Step 1. Decide what data you need.
Step 2. Design an individual checksheet form for people to use
as they record these data.
Step 3. Test the checksheet by having someone who did not
help design it actually use it.
Step 4. Revise the checksheet as needed.
Step 5. Design a tally checksheet to combine the results from
the individual forms.
Examples
There are as many types of checksheets as there are reasons for
collecting data. Here are two examples.
To measure a process:
Checksheet of Customer Complaints by Time of Year
= 30
25
20
10
I
w
1
w
II
w
w
w
m
m
w
w
M
W
HI
w
w
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1
m
w
M
w
m
ii
m
w
w
i
m
w
II
m
w
m
M
Jan. Feb. Mar. Apr. May June July Aug. Sept. Oct. Nov. Dec.
Time of Year
18 Quality Action Teams—Analyze
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To show location of events or problems (visual checksheet):
Burn Spots on Gloves
Keep in Mind
• Design the checksheet to simplify both data gathering and
later interpretation.
• In designing a checksheet, involve those who know the work
best.
• Review each checksheet frequently to see if it is still useful.
19 Quality Action Teams—Analyze
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Exercise
Designing Checksheets
Directions
For part I of this exercise on checksheets, read the case and
answer the question that follows. After you finish part I, wait
until instructions are given to turn the page.
Part I
Krasvoerd Safaris offers tourists the chance to observe elephant,
lion, zebra, and other African wildlife at close range. The
tourists, or "guests," as they are called, camp for two to three
weeks in the countryside where the animals are seen. The guests
are attended by guides, cooks, and porters. The cooks have
formed a team and are trying to find ways to improve the quality
of their meals. They decide to examine "on-time completion"—in
this case, whether meals are ready on time each night. Since the
guides are the best-educated members of the party, the cooks
have asked them to construct a checksheet. The guides come up
with the following:
Guides' Checksheet
Krasvoerd Safaris Checksheet
Lobster bisque
Tofu teriyaki
Grilled venison
Viper-tail stew
Was meal served on time?
'Definitely
•Sort of
*No
Complaints/Month
Question: What is wrong with this checksheet—and why?
Wait to turn page.
20 Quality Action Teams—Analyze
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Part II
After finding that the guides' form is not helpful, the cooks ask
the porters for help. The porters come up with the following
form:
Porters' Checksheet
Krasvoerd Safaris Food Service
Weight of dinner
Distance from stove to table
Time needed to run from stove to table
Date:
Question: What is wrong with this checksheet—and why?
Part III
Assume that you are one of the cooks. Meals are to leave the
kitchen at 6:00 every evening. Design your own checksheet to
determine whether meals leave the kitchen on time.
21 Quality Action Teams—Analyze
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Tool
What It Is
Pareto Analysis
A bar chart (Pareto diagram) that visually represents the
distribution of occurrences being studied. The most frequent
occurrence is represented at the far left, with other occurrences
represented in descending order to the right.
Pareto analysis is based on the work of Vilfredo Pareto, an
Italian economist who studied the distribution of wealth in Italy
in the late 1800s. Pareto found that about 20 percent of the
families in Italy held about 80 percent of that country's wealth.
Finding this uneven distribution in many other situations as well,
Pareto formulated what came to be known as the 80/20 rule,
which states that for most types of events most instances are
found among a small portion of the possible circumstances.
What to Use It For
Identifying the one or two situation categories in which most of
your problems occur
How to Use It
Step 1. Define the categories to be used in your diagram.
Step 2. Sort the data into categories. Arrange the categories in
descending order as defined by the data.
Step 3. Make a bar graph based on the data, with the highest
category on the left.
Step 4. Check your diagram for a Pareto pattern (in which the
highest categories are responsible for most of the
effects).
Step 5. Use the Pareto diagram as a guide to action or to fur-
ther analysis.
Example
A division of Morton's Service Agency was interested in
determining the most frequent concerns expressed by customers
when they called the agency for information. The division formed
a representative QAT in which they determined what they needed
to know and developed a survey to gather the information. They
then polled a random sampling of customers over a one-week
period and charted the results on a Pareto diagram.
22 Quality Action Teams—Analyze
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Most Frequent Customer Telephone Complaints
120-
110-
100-
90-
80-
£ 70-
c
I 6°-
E 50-
3
0 40-
•5
is 30~
9
1 20-
C
i 10-
43%
n*o/
11/0 1 10% |
Person Did n't get Nobody else Left message Not told
requested information tried to but call not that person
unavailable requested -help returned requested
was
unavailable
for two
Cateaorv of Corrmlalnts weeks
The QAT found the results very helpful. The top category (43
percent) was that the person requested by the caller was unavail-
able. Realizing that the agency could not always control
availability, they combined that category with the second highest,
that the caller did not get the information requested (21 percent).
They decided that for those callers who could not speak directly
with the person requested, they could at least be helped if they
could get the necessary information from someone else.
Therefore, the QAT decided to determine solutions for helping
customers get the information requested on the first call.
Keep in Mind
Find appropriate categories by asking the questions what,
where, when, who, why, and how.
Most problems require more than one Pareto diagram, each
exploring a different question.
Draw the diagrams you want before you begin to collect
data. Include the subcategories and a unit of measure.
23 Quality Action Teams—Analyze
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The information in the Pareto diagram can tell you where to
focus in solving the problem. If the diagram does not give
you enough information to proceed to solutions, it may still
suggest what to investigate next. Typical next steps are a
fishbone diagram, a flowchart, or more Pareto diagrams
(based on new data).
24 Quality Action Teams—Analyze
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Exercise Practicing Pareto Analysis
Directions In this exercise you will have an opportunity to practice Pareto
analysis.
Step 1. (Work individually.)
" List (in any order) the five to ten issues over which you
believe married couples tend to argue most frequently.
5 2. Ctf/LD
5 3.^%^' -ycMcf, 8. o^rr^-- c.^7
> 4. , ^ '_ ', , 9.
3 5. • '' ^ //ye-/ ''--fc 10.
Step 2. (Work as a team.)
Discuss your list with other team members and arrive at
a consensus on the five most common issues. Write the
new list below (in no particular order).
2
3.
5. (' tL X tC-S. "—
Step 3. (Work individually.)
Distribute ten points among the five most common
issues on the basis of which issues seem most important
to you. For example, if issue #2 in your opinion seemed
much more important than any of the others, you might
give it eight of your ten points; that would leave you
with two points to allocate to the remaining issues. If no
issue seemed more important than any other, you might
assign two points to each of the five issues.
25 Quality Action Teams—Analyze
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Individual Issue Points (from steps 2 and 3)
i. 3
3. <••
4. 0
5. H
Total = 10
Step 4. (Work as a team.)
Add up the points that each issue received from all the
individuals on the team.
Total Issue Points for the Team (from step 3)
2Q Quality Action Teams—Analyze
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Step 5. (Work as a team.)
Construct a Pareto diagram with the information from
step 4. Put the diagram on a flipchart page.
Pareto Diagram
(0
s.
Issues
27 Quality Action Teams—Analyze
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Tool
What It Is
Fishbone Diagram
A diagram showing a large number of possible causes for a
problem. Detailed causes are attached to a small number of main
causes so that the completed diagram looks something like the
skeleton of a fish.
What to Use It For
Getting the big picture of a problem
Facilitating team members' use of their personal knowledge
to identify causes of the problem
Providing ideas for data collection and/or solutions
How to Use It
Step 1. Write the problem on the right side of a flipchart. Draw
a large arrow that points toward the problem.
Step 2. Draw arrows indicating the main types of causes (or
contributing factors) and pointing toward the central
arrow.
Step 3. Brainstorm for specific causes. Attach each specific
cause to an appropriate main cause.
Step 4. Break down the causes further by brainstorming for
subcauses.
Example
The most commonly used categories of causes are people,
machines, methods, and materials. These categories usually apply
to a wide range of problems, and using them guarantees that
most of the relevant causes will be put into the diagram. Some
other possibilities include policies, procedures, and environment.
At the top of the next page you will see an example of how
fishbone analysis was used at the Jefferson Health Services
Agency to identify the causes for the high turnover rate of
personnel. Using the categories of people, machines, materials,
and methods, a team of supervisors identified possible causes.
28 Quality Action Teams—Analyze
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High Personnel Turnover Fishbone
Machines
lack of communication
fatjoue
X double shifts
Inadequate lab equipment
outdated
undereducated
\
no systematic training
\
not enough
inadequate office equipment
\ phone system breakdown
\
poor work areas
\ shared desk space
procurement bottleneck
poor recruitment
High
** Turnover
of Personnel
/ v
^V \ k{^adminisfrativ»/inadeouate training
\
\ changing procedures
changing budget
. .
too much red tape
/p
^~^
lack of advancement
opportunities
/
recognition
inability to reward
tow salaries
/diffused decision-making
\ lack of employee involvement
unclear direction to employees
Materials
Methods
The group decided to display their thinking in a very visible,
accessible area and invited others in the agency to add to or
change the categories and items. They determined that the
primary causes over which they had control were in the area of
methods. They were then able to gather further data to clearly
identify the primary causes of the problem and to work on
solutions.
Keep in Mind
The most commonly used categories of causes are people,
machines, methods, and materials.
The fishbone diagram only shows possible causes. If in
doubt, check your ideas with data.
In most cases, it is not of great importance where on the dia-
gram you put a particular cause.
Fishbone diagrams are very useful when displayed publicly.
You can invite people to add causes, and you can show what
progress is being made in eliminating the causes.
You may want to make a second or third fishbone diagram
based on the first fishbone diagram.
29 Quality Action Teams—Analyze
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Exercise
Directions
Constructing a Fishbone Diagram
Use one or more of the suggestions below to practice con-
structing a fishbone diagram.
• Construct a fishbone diagram that shows the factors
contributing to turnover in your organization.
• Every morning at 7:00, there is a traffic jam at Emerald
Lake City's main intersection. Construct a fishbone diagram
to show the causes of the traffic jam.
• Make a fishbone diagram to represent possible reasons why
people smoke.
• Every day at about 11:00 A.M., productivity in the business
office of the Acme Office Supply Company declines sharply.
Diagram the possible contributing factors in a fishbone
diagram.
When you are done, use the following four questions to discuss
your fishbone diagram(s):
1. Are there too many major categories?
2. Are there too few major categories?
3. Are you still satisfied with the main causes you chose?
4. Do you need to create a further fishbone diagram?
30 Quality Action Teams—Analyze
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Tool
What It Is
Flowchart
A drawing that shows the steps of a work process in the
sequence in which they occur.
What to Use It For
Understanding and improving the work process
Creating a common understanding of how work should be
done
How to Use It
graphic: 512
The main elements of a simple flowchart are
D Box — activities
Diamond — decision points
Arrow
direction of flow from one activity to
the next
Step 1. Gather a group of people who represent the various
parts of the process.
Step 2. Decide where the process begins and ends.
Step 3. Brainstorm the main activities and decision points in the
process.
Step 4. Arrange these activities and decision points in their
proper order, using arrows to show direction of flow.
Step 5. As needed, break down the activities to show their com-
plexity.
• Identify the problem areas, redundancies, or gaps in
the process as it currently exists, keeping in mind
customer requirements.
• Pick one of these problem areas or opportunities for
improvement on which you will work further to
determine root causes.
Example
The Clearwater Agency wanted to examine the steps involved in
working with the states to best coordinate the efficiency and
quality of the grant process. They decided to first determine the
process they currently were using. A team of four people
involved in different aspects of the grant process met to identify
initially the major steps in the process. From the master chart
31 Quality Action Teams—Analyze
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below, individual departments met to establish more specific
flowcharts. Taking into consideration internal and external
customer requirements, they were then able to identify inefficien-
cies and opportunities for improvement in the flow of the grant
process.
Flowchart for Clearwater Grant Process
Agency gives
guidance
to state
Agency and state
negotiate and
complete
workplan
State prepares
and submits
application
Agency
reviews
application
Award
committee
determines and
prepares
award
if incomplete >
Agency
makes comments
if complete
Award letter is
signed and
sent to state
State
responds to
agency comments
32 Quality Action Teams—Analyze
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Keep in Mind • Flowcharts make sense only when there is a standard flow to
the work process.
• When the process is complex, draw a simple sequence of
events first; then make up additional flowcharts to show the
details within complex portions of the work.
• Flowcharts can be done from top to bottom or from side to
side.
• It is important to determine initially the beginning and end
points.
33 Quality Action Teams—Analyze
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Exercise
Directions
Making a Flowchart
Use one or more of the following processes to practice drawing a
flowchart.
• Preparing a Thanksgiving dinner
• Building a house
• Growing vegetables in a garden
34 Quality Action Teams—Analyze
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Application Analyze
It is now time to analyze the problem you selected in Phase I.
After you have completed the steps for Phase II, listed below,
record your baseline data and most influential factors (Phase n
outputs) on the next page.
Steps
Step II-A. Decide what you need to know.
Step II-B. Collect data—baselines and patterns.
Step II-C. Determine the most influential factors.
35 Quality Action Teams—Analyze
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Worksheet Analyze
Use the spaces below to record your baseline data and the most
influential factors.
1. Baseline data
2. Most influential factors
36 Quality Action Teams—Analyze
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Exit Criteria Analyze
Before you leave the analyze phase, you should check whether
you have satisfied each of the exit criteria for Phase II.
1. You know the current extent of the problem.
2. You understand enough about the problem and its
contributing factors to solve all or part of it for good.
37 Quality Action Teams—Analyze
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Key Points Quality Action Teams—Analyze
Below are some of the key points in this module. Please add
your own.
• The steps and tools for Phase II—Analyze—are as follows:
Suggested Steps Tools Taught in Phase II
Step II-A. Decide what you Checklist
need to know.
Step II-B. Collect data— Data-gathering plan
baselines and Sampling
patterns. Survey
Checksheet
Step II-C. Determine the Pareto analysis
most influential Fishbone diagram
factors. Flowchart
• In deciding what data to gather to understand the problem, it
can help to ask where, when, and how often instances of the
problem have occurred or how people are organized in work
processes to do the job.
• Collect data that will give you baseline measures and will
help you identify key factors or root causes; when these are
controlled, the problem will also be controlled.
• If the data you have collected do not give you the most
influential factors, you need to ask more questions and
perhaps collect more data.
• Once you understand the problem and its contributing factors
well enough to develop solutions, you can move to the next
phase.
• The output for the analyze phase is baseline data and a list
of the most influential factors.
38 Quality Action Teams—Analyze
-------
Module Six
r "'""" ' rf r ni| """
Quality Act
on Teams—Develop
Written statement of problem
Select ope
problerh
Generate
list of
problems
Verify/
define
problem
Decide what
you need to
know
Collect data:
baselines/
patterns
List of
most
influential
factors
Gain
Organi- \ commitment
zational
commit-
ment
Generate
promising
solutions
Develop
implementatio
plan
Selec
solutio i
Solution for
problem
A plan for
implementation
-------
Contents Quality Action Teams—Develop
Overview: Quality Action Teams—Develop 2
Video: "Develop—Developing a Solution" 3
Tool: Innovation Transfer 4
Exercise: Practicing Innovation Transfer 6
Tool: Cost-Benefit Analysis 7
Exercise: Practicing Cost-Benefit Analysis 9
Tool: Force-Field Analysis 12
Exercise: Practicing Force-Field Analysis 15
Tool: Standard Operating Procedure 17
Exercise: Developing a Standard Operating Procedure 19
Tool: Action Plan 20
Exercise: Developing an Action Plan 22
Exit Criteria: Develop 24
Key Points: Quality Action Teams—Develop 25
1 Quality Action Teams—Develop
-------
Overview
Quality Action Teams—Develop
This module will take us through the third phase of the FADE
model—Develop—in which we shall develop both solutions that
will prevent the problem from recurring and a plan for executing
the solutions.
Objectives
By the end of this module, you will be able to
• Select a solution that will
Solve all or part of the problem permanently
Produce benefits that will be worth the time, cost, and
effort required
Get the support needed for successful implementation
• Create a plan for implementing the solution. The plan will
include
Necessary modifications to or development of standard
operating procedures (SOPs)
An action plan for putting the solution into operation
• Select a solution using a method that includes
Generating a list of promising solutions
Selecting one solution
Developing an implementation plan
• Use the following tools:
Innovation transfer
Cost-benefit analysis
Force-field analysis
Standard operating procedure
Action plan
2 Quality Action Teams—Develop
-------
Video "Develop—Developing a Solution'
Use this space to record any ideas, questions, or comments you
may have after watching the video on Phase III of problem
solving.
3 Quality Action Teams—Develop
-------
Tool
What It Is
Innovation Transfer
A tool for developing innovative solutions. It involves using
approaches that apply to other situations in order to generate a
number of possible solutions to your chosen problem.
What to Use It For
Getting people out of their "ruts" of thinking
Developing new ideas that can be applied to the problem at
hand
How to Use It
Step 1. List feelings associated with the problem on which you
have chosen to work. (This is the current situation.)
Record these on a flipchart.
Step 2. List other situations in which you have had the same
feelings. Record these situations on a flipchart.
Step 3. On the basis of the two criteria below, choose one of
the situations.
1. Everyone can identify with the situation.
2. Everyone can imagine resolving the situation.
Step 4. Label a flipchart with two columns: Past Situation and
Current Situation.
Step 5. Brainstorm actions you took to alleviate the feelings you
had in the past situation. List these actions in the left
column.
Step 6. Transfer ideas from the past situation to the current
situation. List these ideas in the right column. In some
cases, the same idea may work in both situations. In
others, you will need to adapt the idea to the new situa-
tion.
Example
The management of Petite Boutique, Inc., a chain of women's
retail clothing outlets, was faced with a unique problem. The
home office, much like the boutiques themselves, was oppres-
sively tiny. Room for files and typewriters—not to mention
secretaries and senior management—was depressingly limited.
The senior management team had thought of getting larger quar-
ters, but funds for expansion were limited. The team knew what
they wanted: more room to work—and breathe. Innovation trans-
fer provided the opportunity to think of a related past situation
4 Quality Action Teams—Develop
-------
(packing a very small suitcase) and what it might suggest for the
staff of Petite Boutique.
Original problem—Overcrowding in the home office.
Current situation—Need more space!
Past situation—Packing a very small suitcase.
Past Situation
Repack the suitcase carefully.
Get ultra-thin-fabric clothing.
Stuff outside pockets of suitcase.
Buy a small shoulder bag to
accompany suitcase.
Roll some pieces of clothing
together to fill space.
Share a suitcase with a partner
who is not using all of his/hers.
Current Situation
Design a more economical
space plan for the office.
Obtain some compact
furniture.
Use the office balcony for
storage.
Rent a cheap adjoining
office.
Use leftover space, such
as the space under
desks, for storage.
Lease a part of some
other tenant's office.
The management of Petite Boutique recognized they had never
tried getting compact furniture, and the balcony certainly could
be weatherproofed and used for storage. They acted immediately
on these ideas.
Keep in Mind
This tool is meant to be quick and fun and to produce many
unusual ideas, one or two of which may bear fruit. Ten to
fifteen minutes is often enough time to get "unstuck" and to
produce new energy.
You can always move on to another topic and go through
the process again, should you choose.
Innovation transfer is not always needed. Sometimes a great
solution will jump out at you through customary thinking and
discussion.
5 Quality Action Teams—Develop
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Exercise Practicing Innovation Transfer
Directions Use one of the situations below to practice developing creative
solutions.
• You are a compulsive eater. You eat even when you are not
hungry, almost without noticing what you are doing. Later,
you find you are uncomfortably stuffed and are disgusted
with yourself. You want to control this behavior.
• Your rosebushes are being attacked by a fungus. There is a
chemical that kills the fungus, but it is a powerful poison
and you are worried about your children and your dog. (The
rosebushes are scattered all about the yard.) You want to get
rid of the fungus—if it stays, it may spread to the other
plants.
• Management has just announced that the number of people in
your work area is going to be increased by 30 percent. They
have left it up to you as a group to decide where to locate
these additional people.
• You are being kept up at night by young people in the house
next door, who play loud music with their windows open.
You have asked them to stop several times, and they have
told you to mind your own business.
6 Quality Action Teams—Develop
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Tool
What It Is
Cost-Benefit Analysis
A way to compare, in dollars, the costs and benefits of a number
of plans or activities.
What to Use It For
Comparing the financial outcomes of different actions
Determining whether a particular action makes sense finan-
cially
How to Use It
Cost-benefit analysis involves the following seven steps:
Step 1. Determine the time period to which your analysis will
apply.
Step 2. Brainstorm a list of those cost factors (both obvious and
nonobvious) that are related to the action.
Step 3. Determine the cost associated with each factor.
Step 4. Add the total costs for the action.
Step 5. Determine the benefits, in dollars, for the action. (Use
the same sequence as in steps 2 through 4 above.)
Step 6. Put the total cost and benefit figures into a ratio. The
easiest ratio to understand is
benefits
costs
which indicates how many dollars are saved (or made)
for every dollar of cost.
Step 7. Compare the ratio with others to help choose the best
option.
Example
The owners of a lunch-hour deli, the Sandbar, wanted to increase
revenues by expanding their business. The Sandbar was located
in an industrial park. The owners decided that one way to meet
their goal was to offer a luncheon-catering service. On the fol-
lowing page is the owners' analysis of the additional costs and
benefits that they thought would accrue in the first year of ex-
panded operation.
7 Quality Action Teams—Develop
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Cost-Benefit Analysis for the Sandbar
$7,500 Additional business
from new and old
Materials for preparing/ clients
serving lunches 400
Additional telephone line
Installation
Yearly cost
Salaries
Delivery person
Food preparer
(4 hrs./day)
Total Costs
$18,050 Total Benefits
The ratio of benefits to costs was $90,000/$18,050—a $4.99
return on every dollar spent. Other benefits the owners identified
included the satisfaction of supplying a needed service and the
opportunity to build their reputation. They developed cost-benefit
analyses of other solutions, including opening another deli and
continuing with the status quo. They decided that offering the
catering service would satisfy their financial and expansion needs
and they went ahead with the plan.
Keep in Mind
• If a dollar figure cannot be estimated for a factor, leave that
factor out of the cost-benefit analysis.
• Estimate conservatively. Estimate costs high and benefits low.
• Cost-benefit analysis can be very useful, but it is not the
only basis for choosing a solution.
8 Quality Action Teams—Develop
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Exercise Practicing Cost-Benefit Analysis
Directions Use one or both of the problems below to practice cost-benefit
analysis. Two worksheets are provided for your answers.
1. You have a six-year-old car. Should you buy a new car or
keep the old one?
2. You are looking for a new job and you've had two offers.
One job is in Florida, pays $30,000, provides a company car,
and pays for educating your thirteen-year-old daughter in an
excellent private school. The second job is in Minnesota,
pays $50,000, doesn't provide a car, and doesn't pay for
your daughter's schooling. (The second job is in a town that
has a terrible school system, and you'd want to send her to a
private school there at your own expense.) Additionally, the
average cost of living per year for a family of three in the
town in Florida is $21,820; in the town in Minnesota, it is
$34,360.
Other than these differences, the two companies would com-
pensate you equally. Which job should you take?
9 Quality Action Teams—Develop
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Worksheet
Types of Costs
(obvious and
nonobvious)
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Total Costs
Cost-Benefit Analysis— Problem 1
Types of Benefits
Dollar (obvious and Dollar
Value nonobvious) Value
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Total Benefits
fVtcf-hanafit ra*ln- benefits
costs
10 Quality Action Teams—Develop
-------
Worksheet
Types of Costs
(obvious and
nonobvious)
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Total Costs
Cost-Benefit Analysis— Problem 2
Types of Benefits
Dollar (obvious and Dollar
Value nonobvious) Value
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Total Benefits
rnct.Hanafit ratlw benefits _ _
costs
11 Quality Action Teams—Develop
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Tool
What It Is
Force-Field Analysis
A method for listing, discussing, and dealing with the forces that
make possible or obstruct a change you want to make. The
forces that help you achieve the change are called driving forces,
and the forces that work against the change are called restraining
forces.
What to Use It For
Determining if a solution can get needed support
Identifying obstacles to execution
Suggesting actions for reducing the strength of the obstacles
How to Use It
Step 1. Draw a force-field chart (a large T).
Step 2. Write the current situation at the top center of the chart.
Step 3. Write the desired situation at the top right of the chart..
Step 4. Brainstorm for driving forces (pushing toward what you
want) and enter them on the left side of the chart.
Step 5. Brainstorm for restraining forces (preventing you from
getting what you want) and enter them on the right side
of the chart.
Step 6. Discuss the chart and determine which factors can be
altered to increase the chances of success.
Step 7. Decide whether your solution is doable. If it is, make a
list of action items to alter the forces. If it is not,
develop another solution.
Example
In Morton's Service Agency, a division decided to try to resolve
the problem of customers not receiving information they
requested at the time of calling. The QAT working on the
problem decided that, while they could not always reach the
specific person requested by the caller, they could try to find out
the information needed by the caller and determine if someone
else was available who could help.
One solution they were considering was to develop a division
directory identifying key people in various areas of expertise as
well as back-up people in each of those areas. Before presenting
12 Quality Action Teams—Develop
-------
their solution to management, the group used a force-field
analysis to determine obstacles and to see how they could
increase the success of the solution.
Morton Service Agency's Force-Field Analysis of
Caller Satisfaction
Current Situation
Desired Situation
Sixty-four percent of
callers do not get
information requested
Directory to facilitate
information access
on first call
Driving Forces
Agency cares about
customers
Agency wants to practice
what it preaches
Low cost due to desktop
publishing
Management support
Restraining Forces
Difficult to keep directory current
enough to be useful
Questions will likely go beyond
information in the directory
Employees who receive customer
calls may not understand directory
The QAT decided that an important restraining force was
difficulty keeping the directory current. They decided to put the
directory in a format which could easily accommodate changes.
They also decided to come to their weekly meetings prepared to
do a quick update of any changes.
In order to address the restraining force of information that went
beyond the directory, the group decided to keep a log next to the
phone to be filled in any time the directory was insufficient to
help direct the caller to a person who could be of help. They
would then make necessary additions to the directory based on
the log.
13 Quality Action Teams—Develop
-------
Keep in Mind • You should always finish a force-field analysis by making a
list of action items.
• If restraining forces are too overwhelming, consider a differ-
ent solution.
14 Quality Action Teams—Develop
-------
Exercise
Practicing Force-Field Analysis
Directions
Use the problem below or on the following page to practice
force-field analysis.
• Imagine that you own a candy store. You are afraid that your
profits are being consumed by your employees. You have
decided to have employees weigh in and weigh out each day.
What are the driving and restraining forces? Make a short
list of action items that will maximize the driving forces and
minimize the restraining forces.
Current Situation
What You Want
15 Quality Action Teams—Develop
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Your office now has six secretaries, too few to cope with the
workload. You have decided to hire two more. List the
driving and restraining forces for this solution. Make a short
list of action items that will maximize the driving forces and
minimize the restraining forces.
Current Situation
What You Want
16 Quality Action Teams—Develop
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Tool
What It Is
Standard Operating Procedure
A set of explicit instructions detailing the actions necessary to do
things right on an ongoing basis.
What to Use It For
Minimizing confusion and inefficiency, especially in a new or
changing process
Creating common expectations about what needs to be done
Training new workers
Showing where to take corrective action
How to Use It
Step 1. Convene a group that represents the various people who
will carry out the standard operating procedure (SOP).
Step 2. Brainstorm all the activities (in any order) the SOP will
accomplish.
Step 3. Make a draft of the SOP, showing the right sequence of
activities. Note who does what and when.
Step 4. Review and refine the SOP, first with the whole team,
then using the approval process in your organization.
Example
Four college students decided to form a house-painting team to
earn money during summer vacation. They arrived at their first
job at 7:00 A.M. By 11:00 A.M., they had not even started
painting. Instead, they had made two extra trips for supplies and
had long discussions about who should do what.
They decided to take an early lunch and do something about the
costly delays. Two members canceled other plans for lunch so
everyone would be in on the planning. First, they made a list of
all the tasks involved in daily start-up, painting, and cleanup.
They did not worry about task sequence during this process.
When no one could think of anything else to add to the list, they
looked at the sequence of tasks. They drafted a standard operat-
ing procedure to use the following day.
17 Quality Action Teams—Develop
-------
Task
1, Check that all supplies are
on truck (checklist composed
by team).
2. Pick up Bob, Ralph, and
Harry by 6:30 A.M.
3. Unload truck.
4. Spread drop cloths, put up
ladders.
Mix paints, fill buckets,
check brushes.
5. Paint designated areas.
6. Collect paint, clean brushes.
Put ladders and drop cloths
on truck.
7. Review checklist to be sure
supplies are back on the
truck (eliminates doing
this in morning).
They used their SOP the next day and found they were now on
schedule for the day. Slight modifications were necessary, but all
in all the painters used their SOP to contribute to a financially
successful summer of house painting.
Who Does It
Jim (truck owner)
Jim
All
Jim and Bob
Ralph and Harry
All
Ralph and Harry
Jim and Bob
Rotate—Bob first
Keep in Mind
SOPs should be updated whenever necessary.
In developing or changing an SOP, try to include input from
the people who will be affected by the change.
18 Quality Action Teams—Develop
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Exercise
Developing a Standard Operating Procedure
Directions
Use one of the following situations to practice developing a
standard operating procedure (SOP):
• Smoking a cigarette
• Taking a vacation for a family of five which will satisfy all
five—mother, father, and their three children, ages five, ten,
and twelve
• Mowing a lawn
• Taking a shower
• Playing a game of your choice (Monopoly, baseball, gin
rummy, etc.)
• Cooking a gourmet Chinese dinner for eight
Choose one of these actions and use the space below to develop
a set of explicit instructions on how to do it.
19 Quality Action Teams—Develop
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Tool
What It Is
Action Plan
An outline of who will do what, when, and by what methods. It
ensures that nothing is left to chance as you set out to implement
a new way of doing things.
What to Use It For
Planning the implementation of a solution
Coordinating data collection
How to Use It
Create a chart that shows your plans in an organized way. In-
clude answers to the six questions below.
Step 1. What needs to be done (i.e., specific tasks, arrange-
ments, etc.)?
Step 2. When does each task need to be done (do some tasks
need to be completed before others; when should each
task be finished)?
Step 3. Who will do each task?
Step 4. How will it be done (i.e., specific methods)?
Step 5. What resources are needed (i.e., materials, equipment,
expert advice, etc.)?
Step 6. Are there special circumstances or needs that should be
taken into account?
Example
A committee interested in a more efficient and productive system
for responding to congressional decided, after doing a contin-
gency diagram, that one action they needed to take was to
educate the people in the Congressional Control Office about the
best procedures for responses. They developed the action plan on
the following page.
20 Quality Action Teams—Develop
-------
Action Plan for Educating the Congressional
Control Office
Action to
Be Taken
Gather data
to determine
necessary
components
of training
Develop
training
program
Print
training
booklets
Provide list
of people
to be
trained
Arrange
for
training
logistics
Conduct
training
Date
to Be
Completed
10/30
11/30
12/15
11/30
12/5
12/24
People
Respon-
sible
Sam
Myra
Sally
Roy
Rita
Joe
Ralph
Martha
Sally
Roy
Method
• Develop
survey
• Pilot
survey
• Conduct
survey
Follow
model
used in
telephone
training
program
Publishing
department
Check with
Mark
at Control
Office
•Find
location
• Organize
supplies
• Coordinate
times
Experiential,
using cases
Resources
Needed
Desktop
publishing
Check with
Publishing
Help from
Sally and
Roy in
identifying
needs
• Flipcharts
• Markers
• Training
booklets
• Note paper
• Pencils
Special
Needs
•Data
analysis
assistance
• Advice on
survey
questions
• Editing
assis-
tance
• Lowest
possible
cost
Lowest
possible
cost
Correct
number
of chairs
around
tables put
into
square
Keep in Mind
Put the action plan in writing.
Do not worry about filling in the columns one at a time. The
parts of the action plan can be filled out in any order.
You can use a flowchart to show the sequence of activities.
21 Quality Action Teams—Develop
-------
Exercise
Directions
Developing an Action Plan
Use one or more of the following situations to practice develop-
ing an action plan (you may record your action plan on the
following page).
• Y'all are a group that promotes the enjoyment of country and
western music. You have decided to do a set of radio
commercials to let people know how good this music is.
Now you have to get the commercials written, produced, and
broadcast.
• You are a member of a group of auto mechanics who have
decided to go into business for themselves. You have to open
a shop, advertise, set up an accounting system, and so on.
• You have decided to have a picnic. Now you have to plan
for it.
22 Quality Action Teams—Develop
-------
Worksheet
Action Plan
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23 Quality Action Teams—Develop
-------
Exit Criteria Develop
Before you leave the develop phase, you should check whether
you have satisfied each of the exit criteria for Phase HI.
1. You have selected a solution.
2. The benefits of the solution will be worth the time, cost,
and effort involved in implementing it.
3. The solution can get the support it requires.
4. You have an implementation plan for the solution.
24 Quality Action Teams—Develop
-------
Key Points Quality Action Teams—Develop
Below are some of the key points in this module. Please add
your own.
• The steps and tools for Phase III—Develop—are as follows:
Suggested Steps Tools Taught in Phase in
Step III-A. Generate a list Innovation transfer
of promising
solutions.
Step III-B. Select one Cost-benefit analysis
solution.
Step III-C. Develop an Force-field analysis
implementation Standard operating procedure
plan. Action plan
• The develop phase involves developing a solution and plan
of action.
• In order to generate promising solutions, it is useful to use
creative methods.
• You can start planning by assessing what obstacles stand in
the way of your solution and what forces will support it.
You may then want to do a trial run of the solution.
• An action plan helps ensure that the entire solution will be
correctly implemented.
• The output of the develop phase is a solution for the
problem and a plan for implementing the solution.
25 Quality Action Teams—Develop
-------
Module Seven Quality
earns—Execute
statejnenj cfprobleTi
Record of
impact
Monitor
impact
Decide what
you need to
know
3 \ Collect data:
£L I baselines/
patterns
Execute
plan
List of
most
influential
factors
Gain
Organi- \ commitment
zational
Commit- \^f / Develop
ment JT yNimP|ementetion,
plan
-------
Contents Quality Action Teams—Execute
Overview: Quality Action Teams—Execute 2
Video: "Execute—Implementing and Monitoring the Plan" 3
Tool: Building Individual Support 4
Exercise: Practicing Building Individual Support 6
Tool: Presentation 7
Exercise: Making Presentations 8
Tool: Measuring and Monitoring 9
Exercise: Practicing Measuring and Monitoring 11
Tool: Basic Descriptive Charts 12
Tool: Specifications and Control Limits 14
Exit Criteria: Execute 18
Key Points: Quality Action Teams—Execute 19
1 Quality Action Teams—Execute
-------
Overview
Quality Action Teams—Execute
This module will take us through the fourth phase of the FADE
model—Execute—in which we shall work on implementing your
plan and monitoring how well it works.
Objectives
By the end of this module, you will be able to
• Gain support for your implementation plan from both indi-
viduals and groups
• Execute your plan and change the work process accordingly
• Monitor the work process with appropriate measurement tools
• Use the following tools:
Building individual support
Presentation
Measuring and monitoring
Basic descriptive charts
Specifications and control limits
2 Quality Action Teams—Execute
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Video "Execute—Implementing and Monitoring
the Plan"
Use this space to record any ideas, questions, or comments you
may have after watching the video on Phase IV of problem
solving.
3 Quality Action Teams—Execute
-------
Tool
What It Is
Building Individual Support
Communication with other individuals to inform them and gain
their commitment. It is often used before a formal presentation.
Building individual support is a two-way process: You may find
yourself influenced by others at the same time that they are in-
fluenced by you. Identify who has formal and informal veto pow-
er. Your motto should be "no surprises."
What to Use It For
Gaining support
Informing people
Getting input
How to Use It
Step 1. Brainstorm a list of all key people whose support and/or
involvement is needed.
Step 2. Identify what you need from each of them.
Step 3. Assign responsibilities for communicating with each
person.
Step 4. Communicate to gain input and commitment.
Step 5. Evaluate the results and follow up as needed.
Example
Girl Scout Troop #23 wants to contribute $100 to the Children's
Zoo. They have decided to raise the money through a bake sale.
They will need contributions, cooperation, and approval from
many outside sources. Using the steps for building individual
support, they plan what to do.
1. Brainstorm a list of all key people whose support and/or
involvement is needed. They need to talk to their relatives
and a supermarket manager.
2. Identify what you need from each of them. They need baked
goods and a place to sell them. They can ask for baked
goods from their relatives. They can ask the supermarket
manager about using space in the store for their sale.
3. Assign responsibilities for communicating with each person.
They have written a poem explaining their project. They will
distribute it to their relatives before they talk to them. Three
4 Quality Action Teams—Execute
-------
very enthusiastic troop members are selected to talk to the
supermarket manager.
4. Communicate to gain input and commitment. The committee
is successful in getting store space for the sale. The manager
also volunteers a couple of tables and some chairs and even
throws in paper tablecloths.
5. Evaluate the results and follow up as needed. One week
before the sale, the girls find they have too many cakes and
not enough cookies. After a few telephone calls to their rela-
tives to explain the situation and ask for specific items, the
girls secure a better variety for their customers. They can
now have their sale.
Because of their excellent preparation, the scouts' sale is a great
success. The Children's Zoo gets a contribution.
Keep in Mind • People like to be included and considered.
• Use action-planning techniques (Phase III) to establish who
will talk with whom about what and by when.
• It pays to talk to people before you take action. If you do
not, you may spend even more energy talking to them after-
ward.
• Know your audience. Know what matters to each individual
or group.
• You will get the most mileage by being upbeat, honest, and
interested in what the other person has to say.
5 Quality Action Teams—Execute
-------
Exercise Practicing Building Individual Support
Directions Use one of the situations below to practice gaining individual
commitment. For the situation you choose, plan what you would
do, following these steps.
Step 1. Brainstorm a list of all key people whose support and/or
involvement is needed.
Step 2. Identify what you need from each of them.
Step 3. Assign responsibilities for communicating with each
person.
Step 4. Communicate to gain input and commitment.
Step 5. Evaluate the results and follow up as needed.
• Your eleven-year-old daughter is. doing poorly in math at
school. You have gotten her a tutor, who seems to be doing
a good job. However, the tutor says that your daughter will
continue to have trouble unless her teacher takes a more
positive attitude toward her. You want to get the teacher to
behave as if your daughter has good math potential, and you
want the teacher to be sure to praise your daughter when she
does well.
• A newspaper is delivered to your house every morning.
Unfortunately, the delivery boy always throws it into the
bushes. You understand how to throw newspapers correctly,
having delivered them yourself some years ago.
• You are the newest inmate in a prison for "hardened crimi-
nals." The warden is notoriously unsympathetic to requests
from any of the prisoners, much less a "tenderfoot." You
think you need more fresh air and exercise than you are get-
ting, and you are also not pleased with the menu at the
prison cafeteria. How can you influence the warden—or
anyone else who can help you?
6 Quality Action Teams—Execute
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Tool
Presentation
What it is
What to Use It For
How to Use It
Keep in Mind
A method of formal communication, usually conducted for
groups. A presentation can be made to any group that needs to
be informed or whose commitment is needed. Time is allowed
for discussion. More than one presentation may be needed. Pre-
sentations help create consensus as each person finds out what
others have to say.
• Sharing ideas and findings
• Gaining understanding and support
• Getting ideas from others
• Creating consensus among individuals
• Teaching skills and procedures
Step 1. Decide on the purpose of the presentation (focus).
Step 2. Analyze the audience (analyze).
Step 3. Plan the content and delivery (develop).
Step 4. Make the presentation and evaluate the results (execute).
• Be clear about your goal(s). You can do one or more of the
following: inform, involve, and/or instruct.
• Keep each segment of the presentation interesting, brief, and
to the point.
• Remember the three-tell method: (1) tell them what you are
going to tell them, (2) tell them, and (3) tell them what you
have told them.
• Target your content and style to your specific audience.
• Be flexible enough to respond to audience needs.
7 Quality Action Teams—Execute
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Exercise
Directions
Making Presentations
Use this exercise to explore presentations.
• Working individually, think of a few of the worst presenta-
tions you can remember sitting through. List below what was
bad about them and why.
• In small groups, discuss your lists and see what problems are
most common.
• Look at the steps of the presentation process below and
designate which one(s) you would utilize in order to prevent
each of the problems on your common list.
Step 1. Decide on the purpose of the presentation (focus).
Step 2. Analyze the audience (analyze).
Step 3. Plan the content and delivery (develop).
Step 4. Make the presentation and evaluate the results (execute).
8 Quality Action Teams—Execute
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Tool
What They Are
Measuring and Monitoring
Measuring is the means of obtaining data for monitoring or for
any other purpose.
Monitoring means keeping track of how close you are to where
you want to be—or how far from it.
What to Use Them For
Use measuring for
• Monitoring a work process
• Gathering data to understand a problem
Use monitoring for
• Identifying unwanted variation at the start of the problem-
solving cycle
• Completing the problem-solving cycle
How to Use Them
Step 1. Decide what to monitor.
Step 2. Decide who will monitor.
Step 3. Plan when to monitor.
Step 4. Decide how to record and present the results.
Example
The Donut Hole coffee shop has used the same batter recipe for
years. Their donuts have the reputation of being crispy on the
outside and light and airy on the inside. However, customers had
begun complaining that the donuts were soggy. The owners
monitored the complaints for a week; there were ten complaints
per day on average.
After studying the situation, they found that the instructions given
to Jane, the new donut maker, were wrong. The instructions were
corrected, and customer complaints were monitored for another
week. The data showed that the average daily number of custom-
er complaints had decreased to three (see the charts on the fol-
lowing page). Though this improvement was dramatic, the owners
will continue to work with Jane to perfect her baking technique.
9 Quality Action Teams—Execute
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Soggy Donut Complaints
Incorrect Instructions
Correct Instructions
16-,
14-
« 12-
1 10
I 8-1
-------
Exercise
Practicing Measuring and Monitoring
Directions
Use one or more of the situations below as time permits to prac-
tice measuring and monitoring. If data are not available, estimate
what the data might be. For each situation, indicate the desired
specifications, discuss the pattern of the data, and try to interpret
what you see. For whatever situation you choose, use the
following steps:
Step 1. Decide what to monitor.
Step 2. Decide who will monitor.
Step 3. Plan when to monitor.
Step 4. Decide how to record and present the results.
• Draw an hour-by-hour trend chart for the temperature in the
room where you are meeting.
• Choose a favorite sports team, decide on a measure of how
well they are doing, and draw a trend chart.
• Draw a day-by-day trend chart showing how many cars pass
through the Lincoln Tunnel in New York (or some other
traffic spot of your choosing) at rush hour each day.
• Choose a measure to indicate how good the weather is and
draw a trend chart.
11 Quality Action Teams—Execute
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Tool
What They Are
Basic Descriptive Charts
A way to describe what is happening by summarizing quantities
of data in simple visual displays. Three charts are discussed.
1. Pie chart
2. Bar chart
3. Trend chart
What to Use Them For
Seeing results yourself
Presenting results to others
Examples
The examples below refer to General Ian Charge's armed forces.
The Pie Chart
The pie chart divides the whole into its parts, showing each part
as a slice of the pie. It is most useful in illustrating percentages
in relation to the total, as shown below. Since 360 degrees equals
100 percent, each percentage point is represented by 3.6 degrees
in the pie.
Pie Chart of General Charge's Forces
Sharpshooters 10.0%
Cooks 7.7%
Infantry 43.1%
Cavalry 9.8%
Medical 7.7%
Officers 21.7%
12 Quality Action Teams—Execute
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The Bar Chart
The bar chart displays comparisons. Each bar indicates the num-
ber or volume of the items measured. Pareto diagrams (described
in Phase II) are one kind of bar chart.
Bar Chart of General Charge's Forces
15,000 —
3.
§ 10,000 —
^
"o
JS
| 5,000 —
z
3,153
2,428
13,602
3,090
2,428
6,841
Sharp- Cooks Infantry Cavalry Medical Officers
shooters
Category of Troops
The Trend Chart
The trend chart (or line graph) is one of the most widely used
monitoring displays. The chart below shows the number of new
recruits in General Charge's armed forces.
Trend Chart of New Recruits
16-
14- \
£
| 12-
C 10-
z 8-
•5
>- c —
2 6
E ,
3 4~
Z
2-
\ »X
\ /\ 1 \
\ / \
\/ \ /\
V \ / \
\ / \
\ ^^ ^" ^^ ^^
N/
2 4 6 8 10 12 14 16 18 20
Week
13 Quality Action Teams—Execute
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Tool
What They Are
Specifications and Control Limits
Specifications are indicators of the level of performance you want
or need.
Control limits are indicators of how the process usually performs;
they are calculated by applying mathematical formulas to the past
history of the process.
What to Use Them For
• Specifications can be used for monitoring your process so
that you can see at a glance whether it is giving you what
you want.
• Control charts can be used for monitoring your process so
that you can see at a glance whether it is doing something
unusual (i.e., whether it is "out of control").
Both specifications and control limits can be shown on trend
charts and can be used with other measurement tools.
How to Use Them
For specifications, use the following three steps:
Step 1. Construct a trend chart with lines drawn to show the
specification limits.
Step 2. Enter new data points on the chart as the data become
available.
Step 3. When you see a point outside the specification limits,
use the FADE problem-solving process to find and
remove the cause of the undesirable variation in your
process.
For control charts, use the following four steps:
Step 1. Follow the procedure established by your organization
for collecting samples, computing data points, and enter-
ing the data points on your control chart (i.e., a trend
chart with upper and lower control limits added).
Step 2. As each new point is entered, examine the entire se-
quence of points displayed on the chart.
14 Quality Action Teams—Execute
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Step 3. Apply the guidelines below to determine whether your
process is behaving normally (is in control) or is doing
something unusual (is out of control).
The process is in control when the sequence of points
displayed on the chart meets all four of the following
criteria:
1. All points are within the control limits.
2. Most of the points are much closer to the process
average than to the control limits.
3. About half the points are above the process average,
and about half are below.
4. No clear pattern has emerged which would allow
you to predict where the next point seems likely to
fall.
The process is out of control when the sequence of
points displayed on the chart exhibits any of the follow-
ing conditions:
1. One point falls outside the control limits.
2. There are two consecutive points close to one of the
control limits.
3. The points have begun to fall predominantly on one
side of the process average.
4. A clear pattern has emerged which would allow you
to predict where the next point seems likely to fall.
Step 4. After determining whether your process is in or out of
control, take action as required. When your process is in
control, no action is required. When your process is out
of control, use the FADE problem-solving system to find
and remove the cause of the abnormal variation.
Example A team of office workers decided to tackle the long-standing
debate about whether the temperature in their office was too hot
or too cold. The temperature control system was supposed to
maintain a constant temperature of 68 degrees during working
hours. It had become an accepted practice, however, for anyone
who felt cold to adjust the thermostat upward. Usually, someone
15 Quality Action Teams—Execute
-------
else soon began to feel that the office was too warm and pushed
the thermostat down.
In an effort to resolve the dispute, the team persuaded everyone
in the office to leave the thermostat alone for a one-week period
so they could gather data on how the temperature control system
actually performed. They also got everyone to agree that as long
as the temperature stayed between 67 and 69 degrees, they would
be satisfied.
On Monday morning, the team borrowed a sensitive thermometer
from the lab, set it up in a central location in the office, and
started to take temperature readings every half hour, beginning at
11:00. At lunchtime two of the team members got some graph
paper, constructed a trend chart with specification limits drawn in
at 67 and 69 degrees, and began entering the data points. At the
end of the day, the chart looked like this:
Trend Chart of Office Temperature
71° -,
70° -
2
0)
Q.
68° -
•67°
66° i
65° -
T^IIT i I ' I ' I ' I ' I ' I ' I
8:00 9:00 10:00 11:00 12:00 1:00 2:00 3:00 4:00 5:00
Time of Day
16 Quality Action Teams—Execute
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On Tuesday afternoon, using the data already collected, the team
proceeded to calculate control limits and set up a control chart.
The chart for Wednesday is shown below.
Control Chart of Office Temperature
71'
70°
69°
68°
&
I
8 67°
66° -
65° :
UCL
7
V
v Process
\ Average
LCL
i I >\ r \ i I
8:00 9:00 10:0011:0012:00
I
I
I
I
1:00
Time of Day
2:00 3:00 4:00 5:00
The control charts for Thursday and Friday looked very much
like the chart for Wednesday. After examining their control
charts, the team concluded that the temperature control system
could maintain a temperature very close to 68 degrees—when it
was allowed to operate on its own, without human interference.
When the team snared their data with the other people in the
office, everyone agreed to leave the thermostat alone and put on
sweaters if they felt cold.
17 Quality Action Teams—Execute
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Exit Criteria Execute
Before you leave the execute phase, you should check whether
you have satisfied each of the exit criteria for Phase IV.
1. All relevant individuals and groups are informed of
your solution and arc committed to supporting it.
2. The plan for change is fully executed.
3. Indicators are checked regularly to determine how
much improvement has occurred and to spot any new
problems.
18 Quality Action Teams—Execute
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Key Points Quality Action Teams—Execute
Below are some of the key points in this module. Please add
your own.
• The steps and tools for Phase IV—Execute—are as follows:
Suggested Steps Tools Taught in Phase IV
Step IV-A. Gain commitment. Building individual support
Presentation
Step IV-B. Execute the plan.
Step IV-C. Monitor the impact. Measuring and monitoring
Basic descriptive charts
Specifications and control
limits
• The execute phase involves implementing a plan of action
and monitoring the results and then adjusting as needed.
• As you approach individuals or groups, it is important to do
more than just give them the facts. Listening carefully to
their concerns and ideas is equally essential. Your plan may
be improved by their suggestions.
• Once responsibilities have been delegated, they need to be
carried out. Someone needs to coordinate, making sure that
the timetable is followed.
• When possible, pretest the solution before full implementa-
tion. If the plan is complex or involves potential snags, then
contingency plans and other preventive actions may be
necessary.
• Besides your original reference measures, you may also want
to add some other measures to the monitoring, now that you
know what your solution entails.
• The output of the execute phase is organizational commit-
ment, an executed plan, and a record of impact.
19 Quality Action Teams—Execute
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Module Eight Promoting
iil;
Involvemejr:
-------
Contents Promoting Total Involvement
Overview: Promoting Total Involvement 2
Exercise: The New Office 3
Discussion: Dynamics of Participation 5
Presentation: Group Dynamics 6
Discussion: Application of Group Dynamics 7
Exercise: Understanding Group Dynamics 8
Presentation: Problem-Solving Skills 10
Video: "Active Listening" 11
Video: "Clarifying" 12
Video: "Facilitating Action" 13
Exercise: Using Problem-Solving Skills 14
Presentation: Plan for Structuring Meetings 16
Exercise: Structuring the Meeting 18
Key Points: Promoting Total Involvement 22
1 Promoting Total Involvement
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Overview
Objectives
Promoting Total Involvement
We have now completed the seven modules of The Quality
Course for EPA which cover essential quality concepts and
techniques along with quality problem-solving skills. In this
module, we turn to promoting total involvement through working
productively in teams. We shall look at several aspects of
effective teamwork: group dynamics, communication skills, and
structuring meetings.
By the end of this module, you will be able to
• Identify important factors in the success of a team
• Use group dynamics to analyze effective problem solving and
problem prevention in teams
• Use problem-solving skills to facilitate effective problem
solving
• Structure effective meetings
2 Promoting Total Involvement
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Exercise
The New Office*
Directions
In this exercise you will experience the process of participative
decision making and relate it to your work experience.
Step 1. At the direction of your facilitator, break into small
groups.
Step 2. Read the material through the following page.
Step 3. At the direction of your facilitator, take the role of one
of the writers listed on the next page. Your facilitator
will give you directions for your role, which you should
read. Accept the facts and assume the attitude supplied
for your specific role. From this point on, let your
feelings develop in accordance with the events that
transpire in the role-playing process. When facts or
events arise that are not covered by the roles, make up
things that are consistent with how you imagine them to
be in real life.
Ashley Howard's technical writing staff at Mercury Electronics
has just been decreased from six to five. One of his veteran
writers has retired after thirty years on the job and will not be
replaced. This leaves a free office into which Ashley can move
someone. Unfortunately the budget will not allow for walls to be
knocked down or reconstructed. In this exercise, you will be
deciding who will have the new office. Some information about
the five writers and their current offices is provided on the next
page.
Mercury Electronics is a successful electronics firm which pays
careful attention to providing an environment that is conducive to
quality work. Management expects writers to work long hours
and realizes that an optimal work environment must be provided
for them.
'Norman R.F. Maier and Gertrude Casselman Verser,
Psychology in Industrial Organizations, 5th ed. (Houghton Mifflin,
1982), pp. 189-191. Reprinted by permission.
3 Promoting Total Involvement
-------
Good ventilation, proximity to photocopiers and coffee (re-
sources), adequate space, quiet, and windows are important to all
the writers. Most of the writers take pride in decorating their
offices and making them comfortable.
The vacated office is a large corner office with good airflow in a
prime location.
Yrs. w/
Name Mercury Current Office
Ashley 11 yrs.
Lee 19 yrs.
Dale
8 yrs.
Ramsey 7 yrs.
Dana 14 yrs.
Brook 11 yrs.
Will not move his office
Medium-sized office with window, adequate
ventilation, near photocopier and coffee
machine (resources), far from word-process-
ing noise
Small, windowless office, adequate ventila-
tion, next to busy resource area, next to
word-processing noise
Large windowless office, little air flow, near
resources, next to word-processing noise
Small windowless office, sufficient air flow,
next to resources, near word-processing noise
Small office with window, poor air flow,
near resources, far from word-processing
noise
4 Promoting Total Involvement
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Discussion
Dynamics of Participation
In the previous exercise you experienced participative decision
making. Now you will have an opportunity to discuss the
dynamics of employee involvement in decision making.
Discussion Questions
1. How would you describe the quality of the solutions
achieved in "The New Office" exercise?
2. Were all the participants satisfied with the solutions?
3. Thinking about your group experience in "The New Office"
exercise, what seems to be important to the success of
participative decision making?
4. Can you think of situations in which you would not want a
team to be engaged in participative decision making?
5 Promoting Total Involvement
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Presentation Group Dynamics
The dynamics of all groups are greatly influenced by four
features: goals, procedures, relationships, and roles. Think about
how these features apply to our group—in this course—and to
other groups with which you have been involved.
Goals
This refers to the group's objectives—the things its members
hope to accomplish. Groups usually function best when their
members share a common set of goals.
Procedures
When the members of a group decide to get something done,
they follow certain procedures. These steps or actions can be
formal (e.g., a set of safety regulations in a handbook) or infor-
mal (e.g., an agreement among the members of a secretarial pool
to check each other's work for errors).
Relationships
The relationships among the individual members of a group can
be formal or informal, distant or close, hostile or friendly. The
tone of the relationships within a group may be quite consistent
or it may vary by a little or a great deal.
Roles
Group members assume various roles within the context of the
group. These roles can be formal or informal. Facilitator, leader,
and member are examples of formal roles; taskmaster, entertainer,
and peacemaker are examples of informal roles.
6 Promoting Total Involvement
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Discussion
Discussion Questions
Application of Group Dynamics
As people work together to accomplish tasks, individual identities
combine to create a new group identity. That identity affects all
aspects of what the group does and how it does it.
Goals
1. What are some of the goals of the group in this course?
2. Given your experience as a member of various groups, what
kinds of problems would you say a group could have with
goals?
Procedures
1. What are some of the procedures that are utilized in our
group?
2. Given your experience, what kinds of problems would you
say a group could have with procedures?
Relationships
1. How would you describe the relationships in our group?
2. Given your experience, what kinds of problems would you
say a group could have with relationships?
Roles
1. What roles are played out in our group?
2. Given your experience, what kinds of problems would you
say a group could have with roles?
7 Promoting Total Involvement
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Exercise
Understanding Group Dynamics
In the following exercise, you will read brief descriptions of four
work situations. These situations illustrate problems that groups
can experience with goals, procedures, relationships, and roles.
Directions
Step 1. In the small group to which you have been assigned,
read the minicase your facilitator has selected.
Step 2. With the other members of your small group, answer the
questions at the end of your assigned minicase.
Step 3. Reassemble in the large group to discuss your answers.
Minicase One: Goals
You are part of a research team in R&D. You are concerned
because the team is not making much headway with its current
project. You are hearing conflicting messages both from people
on the team and from others in the department. Some people are
really excited about the project's potential; they want to develop
a state-of-the-art product, even if it will take a little longer. Other
people are frustrated by the state-of-the-art argument; they fear
that if the product does not get out the door soon, the customer
will go elsewhere.
1. In terms of goals, what might be going on here?
2. What could you do to resolve the problem that your team is
experiencing?
3. What might you have done to prevent the problem from
occurring?
Minicase Two: Procedures
You have recently been assigned to be part of an experienced
engineering design group. The group is in the middle of a
challenging project—developing a system for a new medical
complex in the Midwest. The project has been through many
revisions. Sometimes there have been additions and corrections
before the most recent set of drawings has been distributed. At
the customer's request, a number of group members, you
included, are called to a review meeting. Soon after the meeting
starts, you realize that you have a different set of drawings from
the others.
8 Promoting Total Involvement
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1. In terms of procedures, what might be going on here?
2. What could you do to resolve the problem?
3. What might you have done to prevent the problem from
occurring?
Minicase Three: Relationships
You have assigned two of your employees to produce an
improved scheduling program. One of the employees, a computer
whiz kid, will be developing the program. The other employee
has been doing scheduling for many years. When you made the
assignment, you believed that together these two would do an
excellent job. However, when you stop by their work area to
follow up, you are shocked to discover that there has been very
little progress. The two employees have been arguing over every
step of the project, and each one blames the other for not
cooperating.
1. In terms of relationships, what might be going on here?
2. What could you do to resolve the problem?
3. What might you have done to prevent the problem from
occurring?
Minicase Four: Roles
You are the manager of a customer service department, with ten
supervisors reporting to you. You have all been working together
on ways to improve the training of your people. The supervisors,
who are creative and fun to work with, come up with promising
ideas but do not act on them. As you think about it, you realize
that two of the senior supervisors always have strong opinions as
to why the new training will not work. Once they state their
opposition, the other supervisors act as if a decision has already
been made, and the suggested ideas seem to fade away.
1. In terms of roles, what might be going on here?
2. What could you do to resolve the problem?
3. What might you have done to prevent the problem from
occurring?
9 Promoting Total Involvement
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Presentation Problem-Solving Skills
Successful teams go through three steps in working together to
solve problems.
1. They develop rapport with and understand one another as
they bring up topics and identify what needs to be discussed.
2. They discuss the topics in detail, clarifying the facts and
perspectives on related issues.
3. They draw conclusions and decide on the next step they will
take.
In order to help your team work through these three steps, you
should know three corresponding sets of skills and encourage
team members to use these skills at all times.
1. Active listening
• Ask open-ended questions.
• Attend to verbal and nonverbal communication.
• Encourage participation.
2. Clarifying
• Ask directive questions.
• Paraphrase what has been said.
• Combine and build on ideas.
3. Facilitating action
• Summarize.
• Confirm that members are in consensus.
• Bridge to resolution or next steps.
The exercise, "Using Problem-Solving Skills," will help you use
these three sets of skills more effectively.
10 Promoting Total Involvement
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Video "Active Listening"
As you watch the video, look for examples of
• Asking open-ended questions
Attending to verbal and nonverbal communication
Encouraging participation
11 Promoting Total Involvement
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Video "Clarifying'
As you watch the video, look for examples of
• Asking directive questions
Paraphrasing what has been said
Combining and building on ideas
12 Promoting Total Involvement
-------
Video "Facilitating Action"
As you watch the video, look for examples of
• Summarizing
Confirming that members are in consensus
Bridging to resolution or next steps
13 Promoting Total Involvement
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Exercise Using Problem-Solving Skills
In this exercise, you will have an opportunity to use the problem-
solving skills of active listening, clarifying, and facilitating action.
Directions Step 1. Form groups of three, consisting of rotating players A,
B, and C. Review the sets of skills for each of the three
problem-solving skills in the previous presentation.
Step 2. Pick a topic that is controversial and likely to engender
strong feelings (e.g., nuclear power, smoking).
Step 3. Have A talk about his or her views on the controversial
issue, while B uses active listening, clarifying, and
facilitating action skills to encourage A. Have C use the
problem-solving skills worksheet to record at least one
example of each behavior.
Step 4. After five minutes, have C stop the conversation.
Discuss what happened.
Step 5. Switch roles and repeat the process two more times so
that each person has an opportunity to practice the
problem-solving skills.
Step 6. In the large group, discuss the following three
questions:
• What is easy about using the skills of active
listening, clarifying, and facilitating action?
• What is difficult?
What did you learn?
14 Promoting Total Involvement
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Worksheet Problem-Solving Skills
1. What examples of the skills for active listening did you observe in your small group?
List them below.
• Asking open-ended questions
Attending to verbal and nonverbal communication
Encouraging participation
2. What examples of the skills for clarifying did you observe in your small group? List
them below.
• Asking directive questions
Paraphrasing what has been said
Combining and building on ideas
3. What examples of the skills for facilitating action did you observe in your small
group? List them below.
• Summarizing
Confirming that members are in consensus
Bridging to resolution or next steps
15 Promoting Total Involvement
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Presentation Plan for Structuring Meetings
Planning effective meetings requires careful thought about what
should occur before, in the beginning, during, at the end, and
after the meeting.
Before the Meeting
1. Determine your objectives.
2. Plan how to accomplish your objectives.
3. Decide who besides regular team members will be invited to
the meeting.
4. Determine where the meeting will be held.
5. Decide when the meeting will be held.
6. Send out a statement of objectives.
7. Make arrangements for equipment.
8. Come to the meeting room early and set it up.
In Beginning the Meeting
1. Start on time.
2. Review and confirm objectives.
3. Make the time limits clear.
4. Review action items from the previous meeting.
During the Meeting
1. Make sure the group stays focused.
2. Be prepared to shift tools if one is not working well.
16 Promoting Total Involvement
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In Ending the Meeting
1. Establish action items and responsibilities.
2. Sum up the session and set the date, place, and objectives
for the next meeting.
3. Evaluate the meeting.
4. End the meeting crisply, positively, and on time.
5. Put the room back in order.
After the Meeting
1. Prepare the minutes.
2. Follow up on action items and plan carefully for the next
meeting.
17 Promoting Total Involvement
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Exercise
Structuring the Meeting
In this exercise, you will use the meeting guidelines to help plan
the kickoff meeting for your QAT team.
Directions
Step 1. Use the worksheets on the following pages to help
determine what will need to be done to ensure a
successful kickoff meeting.
Step 2. Talk about roles and responsibilities with an emphasis
on your personal commitment.
Step 3. Explore what might get in the way of following the
guidelines.
18 Promoting Total Involvement
-------
Worksheet Structuring Your First QAT Meeting
Before the Meeting What You Must Do
1. Determine your objectives.
2. Plan how to accomplish your objectives.
3. Decide who besides regular team members
will be invited to the meeting.
4. Determine where the meeting will be held.
5. Decide when the meeting will be held.
6. Send out a statement of objectives.
7. Make arrangements for equipment.
8. Come to the meeting room early and
set it up.
19 Promoting Total Involvement
-------
In Beginning the Meeting What You Must Do
1. Start on time.
2. Review and confirm objectives.
3. Make the time limits clear.
4. Review action items from the
previous meeting.
During the Meeting
LMake sure the group stays focused.
2. Shift tools if one is not working well.
In Ending the Meeting
1. Establish action items and
responsibilities.
2. Sum up the session and set the date,
place, and objectives for the next meeting.
20 Promoting Total Involvement
-------
What You Must Do
3. Evaluate the meeting.
4. End the meeting crisply, positively,
and on time.
5. Put the room back in order.
After the Meeting
1. Prepare the minutes.
2. Follow up on action items and plan
carefully for the next meeting.
21 Promoting Total Involvement
-------
Key Points Promoting Total Involvement
Below are some of the key points in this module. Please add
your own.
• Groups are powerful forces whose collective wisdom can be
used to further quality improvement.
• Effectively managing teams can enhance the quality of team
decision making.
• There are times when participative decision making is not
appropriate.
• The dynamics of all groups are greatly influenced by four
features: goals, procedures, relationships, and roles.
• Effective skill development in active listening, clarifying, and
facilitating action is important to. the success of a team.
• When structuring a meeting, it is important to consider
activities that should occur before, beginning, during, ending,
and after the meeting.
22 Promoting Total Involvement
-------
Module Nine Implementing Total Quality
Management (TQM)
-------
Mif '1
-------
Contents Implementing Total Quality Management (TQM)
Overview: Implementing Total Quality Management (TQM) 2
Presentation: TQM—Keys to Successful Implementation 3
Discussion: Granting Amnesty 7
Presentation: The Common Roadmap—Evolution Is Predictable 8
Presentation: Management of the Quality Process 10
Exercise: Managing the Quality Process 12
Exercise: Contracting for Change 13
Key Points: Implementing Total Quality Management (TQM) 16
1 Implementing Total Quality Management (TQM)
-------
Overview
Implementing Total Quality Management (TQM)
Objectives
In this module, we look at the "big picture"—the steps that must
be taken to implement total quality management throughout the
EPA. The implementation of TQM is not an overnight process. It
begins with a common language of quality, including problem-
solving tools and techniques. It continues as each employee
works individually and in functional and cross-functional teams to
identify and continuously improve the agency's key work
processes. Total quality management is a never-ending journey
that is fueled by an ongoing commitment to continuous improve-
ment and an openness to changing the way we work.
By the end of this module, you will be able to
• Understand the importance of using the voices of your
customers, employees, and processes in planning
• Help the Agency to "walk the talk" of amnesty
• Identify the evolutionary phases of quality improvement and
target possible road blocks
• Be aware of important steps for managing the quality process
• Determine your role in managing the quality effort
• Develop some action steps that specify your own personal
commitment to implementing TQM
2 Implementing Total Quality Management (TQM)
-------
Presentation
TQM—Keys to Successful Implementation
Successful implementation of TQM requires thinking not only
about where your organization is but also where you want it to
go.
It requires listening to the voice of customers, the voice of
employees, and the voice of key processes. Taking these voices
into account when planning grounds us in quality in the ways we
have been discussing throughout the previous modules.
TQM Implementation
The voice
of the
customer
TQM Implementation
The voice
of the
process
The voice
of the
employee
3 Implementing Total Quality Management (TQM)
-------
The Voice of the Customer
• Customer requirements
• Product
• Service
• Reputation
• Processes
• People
• Policies
• Responsiveness
• Communication
• Competitors
• Product/service gaps
• Anticipation of needs
The voice
of the
customer
4 Implementing Total Quality Management (TQM)
-------
The voice
of the
employee
The Voice of the Employee
• Awareness and validation of quality
strategy
• Amnesty
• Competing priorities
• Obstacles to successful
implementation
• Impact of quality on daily work
• Buy-in of the quality effort
• "Sacred cows" and myths
• Communication and interaction
• Knowledge of problem-solving and
process-improvement skills
• "Get ahead" norms
• Degree of involvement in decision making
• Perceptions of effectiveness of management styles
• Suggestions for proceeding
5 Implementing Total Quality Management (TQM)
-------
The Voice of the Process
• Output
• Productivity
• Cycle time
• Error rate
• Rejects
• Accuracy
• Returns
• Scrap
• Information
• Efficiency
• Effectiveness
• Communication
• Cost
The voice
of the
process
6 Implementing Total Quality Management (TQM)
-------
Discussion
Granting Amnesty
Inherent in listening to the voice of employees is the concept of
amnesty. For TQM to be successful, it is critical that employees
and managers alike speak the truth and take risks in the interest
of the greater good of the agency.
Therefore, for senior managers to be credible, they must grant
amnesty to those from whom they hear potentially uncomfortable
news. In the same vein, employees must be willing to take the
initiative to raise issues which they believe are important to the
EPA's mission.
In this discussion, you will explore what it means to "walk the
talk" of amnesty.
Discussion Questions
What are some of your concerns or fears about raising
difficult, potentially threatening issues with your colleagues
and the people to whom you report?
What would the other person need to say and do to make
you feel comfortable about raising concerns?
What concerns do you think your colleagues and people to
whom you report have with respect to your being open,
honest, and direct with them?
What can you do to help your colleagues and the people to
whom you report "walk the talk" when it comes to amnesty!
7 Implementing Total Quality Management (TQM)
-------
Presentation
The Common Roadmap—Evolution Is
Predictable
The implementation of TQM will proceed through four
identifiable phases—readiness, expansion, integration, and
regeneration.
Evolution Is Predictable
Readiness Expansion Integration
Regeneration
Reducil >le Resistar
At any given time:
• Different parts of the organization will have evolved at
different rates.
• Within any part of the organization different stages will be
present.
• Evolution through the phases will demand attention and a
continuous application of energy.
The phases of TQM are important for planning organization-
wide TQM deployment and serving individuals as a guide in
leading TQM in their department or small unit. Total quality
improvement requires asking people to change not only how they
do their work, but also how they actually view their work. It
requires a fundamental shift in norms, attitudes, and organization-
al culture. It is natural for people to resist change, especially
when it is complex. Therefore, as your total quality implementa-
tion proceeds through the identifiable phases, the strength and
nature of the resistance is predictable, and to some extent
preventable. Being aware of this evolutionary process can help
you anticipate the predictable stages and road blocks you will
likely encounter, as well as facilitate the eventual acceptance of
quality as the way of doing work.
8 Implementing Total Quality Management (TQM)
-------
Reference Page Four Phases of TQM Implementation
Phase 1—Readiness. The readiness phase is marked by variation
in understanding of TQM, its relevance to individual and/or
organizational work, its priority among other mission require-
ments and/or improvement initiatives, its suitability within
particular environments, its compatibility with certain management
styles, and its staying power as a lasting force in the organiza-
tion. Some parts of the organization will be in high readiness for
TQM and will absorb it quickly; other parts will be in low
readiness and will require more preparation for TQM to become
part of daily work.
Phase 2—Expansion. While some parts of the organization are
bogged down, others will be moving ahead. Gradually a critical
mass of successes will be achieved, and a "flywheel" effect will
create a broader and deeper deployment of TQM. Converts from
among those "bogged down" portions of the organization will be
made as they observe long-standing problems beginning to
disappear, as standards of operational effectiveness begin inching
upwards, and as doing the right thing right happens the first time
more and more often. These converts will take up the TQM
process in their work areas as success breeds success.
Phase 3—Integration. During this phase, TQM techniques and
ways of thinking about work (continuous improvement, total
involvement, measurement, etc.) will have become incorporated
into daily routines. Supportive systems (personnel systems like
performance appraisal, promotions, communications, planning, and
budgeting) will, during this phase, become linked in support of
TQM to reinforce it as a way of life within an organization.
Moreover, vendors to an organization will have adopted TQM
methodologies, and will be delivering services on time and within
cost and performance parameters. Customers will have joined in
partnership to further tighten the mutual understanding of
customer requirements and supplier capabilities.
Phase 4—Regeneration. In this phase, the organization appears to
have become "reborn" as the cultural transformation promised by
TQM becomes a reality. The entire organization is rededicated to
customer satisfaction, employee satisfaction, cost containment, and
productivity. The bottom of the organization is linked to the top
in its pursuit of strategic initiatives aimed at continuously
improving mission effectiveness. Horizontally, those elements
which are joined in a common work process are tightly
integrated, as measures of "handoff' effectiveness reveal a steady
drop in errors.
9 Implementing Total Quality Management (TQM)
-------
Presentation Management of the Quality Process
Being aware of key elements of quality implementation, including
understanding and anticipating the evolutionary phases, is critical
to successful implementation. To drive the evolution of TQM
forward throughout an organization, a further look at steps in
managing the quality process is required.
1. After establishing agreed-upon requirements with key cus-
tomers, top management agrees which work processes need
to be focused on to attain organizational objectives.
2. The quality council or division steering committee appoints a
process owner.
3. The process owner, with a small knowledgeable group,
flowcharts the process as it exists now.
4. The process owner, in collaboration with others, identifies
pieces of the process that need improving.
5. The quality council/division steering committee and process
owner set priorities, sanction teams, and assign facilitators
and team leaders.
6. The process owner sets the context with QAT members at
the first team meeting, identifying available resources,
constraints, and expectations (e.g., whether the QAT will
recommend or implement solutions).
7. The process owner visits the team periodically, setting
guidelines, offering encouragement, and removing obstacles to
the success of the team.
8. The team leader communicates group progress to the process
owner who keeps the quality council/division steering
committee informed.
9. The team leader makes sure that the team establishes baseline
measures, follows other FADE processes, keeps a record of
progress, communicates problem statements, solutions, and
progress regularly to the process owner, and establishes an
agreed-upon timetable. If a facilitator is assigned to a team,
he or she helps the team use the FADE methodology to its
fullest advantage.
10. The process owner and team leader unfreeze key individuals
around process change.
10 Implementing Total Quality Management (TQM)
-------
11. A pilot site is chosen for process change.
12. The team measures results of the process change.
13. Results of the intervention are communicated.
14. The process owner and quality council/division steering
committee choose other sites/shifts for process change.
15. Team members and the process owner unfreeze employees at
other sites.
16. New standards and SOPs are communicated.
17. Process owners establish periodic process reviews to establish
measures, review results, celebrate progress, and identify new
parts of the process to improve next.
18. For those areas not needing QATs, individuals and informal
teams focus on the first three modules of The Quality Course
for EPA, looking for continued process improvement and
using measures and indexes.
19. All individuals continually take responsibility for examining
customer requirements and work processes for process-
improvement opportunities to be suggested to management.
11 Implementing Total Quality Management (TQM)
-------
Exercise
Managing the Quality Process
In this module, we have discussed the critical determinants of
successful implementation, identified the predictable evolution of
a total quality effort, and identified steps for managing the
quality process. In this exercise, you will have an opportunity to
think more specifically of your role in managing the process in
your part of the organization.
Directions
Review the steps in the presentation, "Management of the Quality
Process," and discuss the following questions:
• As a member of a QAT, how do you see your role with
respect to managing the quality process?
What barriers or road blocks are apt to occur in managing the
process?
How will you work to prevent and overcome the barriers?
12 Implementing Total Quality Management (TQM)
-------
Exercise Contracting for Change
In this final exercise, you will develop some action plans to take
responsibility for the quality effort in your work group or in your
part of the organization.
Step 1. Pair off with one person in the group with whom you
can provide mutual support, reflection, and improvement
on your quality efforts. In your pair, brainstorm a list of
concrete actions you can take to visibly assume
responsibility for the quality effort.
Step 2. Each of you now pick at least one item from the list
which you believe should have a high priority and
important yield for you and your organization.
Step 3. Using the force-field analysis worksheet on the next
page, identify the present state and desired state for the
item you picked in step 2. Then list the driving and
restraining forces. Work jointly, first with one of your
pair's priorities and then with the other's.
Step 4. Discuss with your partner what you can do to strengthen
or build on the driving forces and reduce or eliminate
the restraining forces.
Step 5. Drawing from the force-field analysis, fill in the action
plan worksheet that follows.
Step 6. If time permits, follow steps 2 through 5 with other
items on your brainstorm list.
Step 7. In the large group, share your plans. As others report
their plans, add to your own plan any further activities
that would be helpful to you and your organization.
Step 8. Plan to meet with your partner in the future to discuss
your progress.
13 Implementing Total Quality Management (TQM)
-------
Worksheet
Force-Field Analysis—Contracting for Change
Area for Improvement:
Present State
Desired Outcome
Driving Forces
Restraining Forces
14 implementing Total Quality Management (TQM)
-------
Worksheet
Action Plan—Contracting for Change
Name:
Date:
Work Unit:
Leadership
Actions
(what)
1.
2.
3.
4.
5.
6.
Steps
(how)
Account-
ability
(who)
Dead-
lines
(when)
Monitoring
Mechanisms
(how it is going)
Resources
Needed
15 Implementing Total Quality Management (TQM)
-------
Key Points Implementing Total Quality Management (TQM)
Below are some of the key points in this module. Please add
your own.
• Successful implementation requires listening to the voice of
your customers, the voice of your employees, and the voice
of your processes.
• Amnesty will only work if managers "walk the talk" and if
employees are willing to express their suggestions and
concerns in the interest of the greater good of the agency.
• Implementation of TQM will likely evolve through four
phases: readiness, expansion, integration, and regeneration.
• Being aware of the four evolutionary phases can help you
anticipate and acknowledge road blocks and facilitate
eventual acceptance of your quality effort.
• There are a number of important steps to consider in
managing the quality process.
• It is important that every individual be held accountable for
managing quality implementation.
16 Implementing Total Quality Management (TQM)
-------
-------
Contents Reference Readings
Reading: The Meaning of Quality 2
Reading: Identifying the Cost of Quality 13
Reading: You and Your Customer 21
Reading: Quality Action Teams 30
Reading: The QAT Problem-Solving Process 43
Reading: Focus—Defining a Problem 51
Reading: Analyze—Gathering and Analyzing Data 58
Reading: Develop—Developing a Solution 70
Reading: Execute—Implementing and Monitoring the Plan 76
Reading: Introduction to Leadership 83
Reading: Leadership Skills 91
Reading: Structuring the Meeting 98
Reading: The Role of the Manager or Supervisor 106
1 Reference Readings
-------
Reading
The Meaning of Quality
"Consumers are witting
to pay more for higher
quality products."
A revolution in quality improvement is underway in organiza-
tions throughout the world. If supported and carefully nurtured,
this revolution will transform the way we work.
The ideas behind this revolution are simple once we look at
them. However, making these simple ideas work amid the com-
plexities of organizational life can be both difficult and
challenging.
The quality advantage will help you transform quality ideas into
action by presenting them in a language that everyone in your
organization can understand. Learning a common language of
quality will help you and the people who work for you com-
municate more effectively, work as a team, and solve problems
so that they don't recur. Finally, if reinforced by management,
this new attitude about quality will create an environment in
which people want to come to work and are able to do their best
work.
The Quality Revolution
The quality revolution is rooted deep in American soil, but it was
the Japanese who first put quality ideas into widespread practice.
After World War n, "Made in Japan" was synonymous with
junk. Then, in the early fifties the Japanese were introduced to
quality improvement techniques. Since that time, the Japanese
have become world-class competitors, largely through the sys-
tematic application of the quality concepts and techniques pio-
neered by the American consultants W. Edwards Deming, a
statistician, and Joseph Juran, an engineer, along with Japanese
colleagues, such as Kaoru Ishikawa.
The revolution in quality in the United States has been fueled not
only by foreign competition but also by rising customer expecta-
tions. With a broader array of products and services to choose
from, consumers are demanding higher quality in their purchases
than ever before. A Gallup poll conducted for Quality Progress
magazine, for example, found that consumers are willing to pay
more for higher quality products. That means they are less
concerned with cost than value. There is every reason to believe
that consumers' expectations about quality will continue to rise in
the years ahead, forcing organizations to improve quality—or lose
business to competitors who do.
3 The Meaning of Quality
-------
"Inspection-based
systems never catch
all the errors."
As Donald Ephlin, vice president of the United Automobile,
Aerospace, and Agricultural Implement Workers of America, has
said, "Quality is job security today. . . . There's no sense in
being competitive in cost if you're not competitive in quality. I
think quality has always been important, but it's much more
important today because our competition is good and they con-
centrate on quality."
Big-Q
In the United States, the concept of quality has evolved from
traditional quality control, called little-q quality, through the inter-
mediate stage of quality assurance, to the more comprehensive
concept of total quality improvement, known as TQI or Big-Q
quality.
Traditionally, organizations have sought to achieve quality stan-
dards through inspection and testing. This practice has placed the
responsibility for quality on quality control or quality assurance
specialists. In service industries, inspectors and supervisors per-
form many of the same functions, but they lack the formal status
of quality control specialists. Either way, quality guardians have
generally lacked the organizational status or political clout to
revise project schedules, let alone change the way work is per-
formed. Moreover, inspection-based systems never catch all the
errors.
In contrast, companies that embrace Big-Q quality make every
employee responsible for quality by teaching what quality means,
why it matters, and how to achieve it. These companies dramati-
cally reduce the number of errors or defects reaching customers.
When an organization begins supporting quality in Big-Q terms,
it makes a real breakthrough.
Over the past several years, we have spent hundreds of hours
listening to quality control professionals, line managers, and
hourly workers. They complain that they already know how to
correct—or even prevent—defects, but that they are not en-
couraged to do so. They feel frustrated by the diminished view
of quality reflected in statements like "It's good enough" or
"We'll correct it in the field if there's a problem."
By the time a problem is discovered in the field, corrective
action is more expensive, and the company's reputation has been
tarnished. Moreover, giving responsibility for quality to one
department or group of people may send a message to the other
people in the organization that they don't need to worry about
quality. In contrast, relying on the people who produce the
4 The Meaning of Quality
-------
product or deliver the service to ensure that it is done right sends
a very different message to the organization—a message that
quality is everyone's responsibility.
Big-Q quality differs from little-q in other respects, too (see next
page). For example, it
• Is customer oriented instead of product oriented
• Stresses prevention
• Is part of everyone's day-to-day work
• Focuses on the long term
Big-Q quality requires a revolution in organizational culture that
replaces finger pointing with continuous improvement, rewards
initiative, and encourages problem solving by employees and
teams at all levels.
5 The Meaning of Quality
-------
Approaches to Quality
vRwmjf tuemsnt ure«<| orgaimamon vqHa orgarweanon
The definition of quality is
Quality priorities are
Business decisions
are based on
Emphasis is on
Costs are
\
Error* are understood
to result from
Responsibility for
quality belongs to , •,
Organizational culture 4|
tends toward ;|
Organizational '!
structure 1* *
{
product oriented
less important than cost,
schedule, and volume
short-term goals
detection of errors
raised (when quality
is emphasized)
special causes
(workers making
individual mistakes) ;:
quality control/
quality assurance,
inspectors, and ;
specialists .,:
finger pointing, blame •,
finding, and punishing
risk takers
hierarchical, T
bureaucratic, and static ••
those in authority,
top of pyramid " \
customer oriented
first among equals: "the driver*
of business decisions
balancing short-term
and long-term goals
prevention of errors
lowered (when quality
is emphasized)
common causes
(ineffective systems and
management practices)
everyone
continuous improvement,
innovation, and permission
to fail
flat, integrated, and fluid
teams, all employee levels
6 The Meaning of Quality
-------
Defining Quality
Traditionally, quality has referred to the performance of a product
or service. But the quality of your final output is only one aspect
of a total quality organization. As you read this, the people who
work for you are hard at work (you hope). Each of those people
is part of a complicated chain of transactions that stretches from
the raw material vendor supplying your organization to the
ultimate customer receiving the completed product or service.
Most people are somewhere in the middle of that chain, receiv-
ing intermediate products (information, materials, goods, etc.)
from people and processing them to produce intermediate items
for other people in the chain.
Big-Q means that quality is not just for the end user. On the
contrary, every activity in the customer- supplier chain has a
quality dimension. For Big-Q to be realized, each of those inter-
actions needs to be performed well.
Big-Q also means that, in addition to product quality (the charac-
teristics of the end product or service), quality has other dimen-
sions, including the relationship with the customer, the integrity
with which we support our products and services, the timeliness
of delivery, and the cost to the customer of acquiring the product
or service.
There are many definitions of Big-Q quality. One of the simplest
is doing right things right. The two elements of this definition
are
1. Alignment, which is doing right things. Right things are the
results that meet customer requirements.
2. Execution, which is doing things right. Doing things right
refers to the way you do work.
Quality Pays
The realization that quality pays and furthermore, that it repre-
sents a potential competitive advantage in the marketplace is a
breakthrough for many agencies and companies.
Contrary to popular perception, higher quality need not cost
more. The attitude that there must be a trade-off between cost
and quality is based on the assumption that quality happens after
the fact (i.e., that it has to be inspected in). Companies that use
quality improvement techniques, however, build quality in from
7 The Meaning of Quality
-------
"Because it leads to
business growth and
expansion, quality
improvement can protect
jobs while creating new
ones."
the start. Through better processes that result in less waste and
rework, companies actually save money in the long run (and
often in the short run, too).
In terms of profitability, businesses in the United States that have
improved quality are showing the same spectacular results as
businesses in Japan—not only in products, where the Japanese
have done so well, but also in services. For example:
• AT&T has reported that its investments in quality yield a 20
percent return and an 18 percent net cost savings.
• In 1984, quality improvement efforts at General Electric led
to a 34 percent reduction in quality costs through less waste
and fewer rejects.
• At a leading utility company, where 1,400 teams and other
quality efforts involve virtually every employee in the com-
pany, savings attributed to quality improvement are estimated
at more than $1 million a week.
• At Westinghouse's Semiconductor Division, scrap has been
reduced 58 percent (saving over $2.4 million), material
returned by customers has decreased 69 percent (saving over
$600,000), and service performance has improved 20 percent
since quality improvement began in 1982.
Quality improvement has potential benefits in addition to cost
savings; it can help expand market share, boost sales, and justify
higher profit margins. Note that Japanese cars in the late eighties
represented 30 percent of the U.S. market, although in many
cases they were priced higher than comparable domestic models.
Finally, because it leads to business growth and expansion, qual-
ity improvement can protect jobs while creating new ones.
We need to take a broader view of the role quality plays in
achieving organizational and individual goals. We need to recog-
nize that quality needn't cost more, and that it will improve a
company's competitive position.
Furthermore, we need to see that quality involves more than just
products or services and that it applies to internal as well as
external customers. We must recognize that everything the or-
ganization does has a quality component, and that everyone
shares responsibility for quality.
8 The Meaning of Quality
-------
The Breakthrough in Action
Accepting a new definition for quality and making quality a
priority are essential, but they are not enough. For quality to
become the way we do business in our organizations requires a
breakthrough in action. We have to break out of established ways
of thinking and acting. We have to learn new behaviors, and we
need both skills and the mandate to practice them.
Douglas D. Danforth, former chairman of Westinghouse, has said,
"Everyone needs to say by his or her actions that quality is a
way of life . . . that we apply the same high standards of perfor-
mance to our jobs that we do to our personal lives."
In GDI's experience, accomplishing this breakthrough requires
dedication to five basic principles, along with knowledge of the
specific practices needed to implement each one. These five
pillars of quality are customer focus, total involvement,
measurement, systematic support, and continuous improvement.
To support quality, these pillars must be built on a foundation of
organizational values that employees can believe in and live by.
On the following pages we'll examine each of the pillars in turn.
The Pillars of Quality
The Quality Advantage
Organizational Value*
9 The Meaning of Quality
-------
"The unrecognized
quality experts in any
organization are the
people who do the
work."
Customer Focus
Quality means customer satisfaction, which can be measured by a
product's conformance to a customer's requirements. Quality is
not necessarily the same for every customer, but each customer
expects to have his or her requirements met. A satisfied
Chevrolet owner may have requirements different from those of a
satisfied Cadillac owner—or a satisfied van owner. Yet all three
vehicles may be of equal quality, if they meet the needs of their
respective owners.
Within your organization, people supply products, services, and
information to one another. In these exchanges, you are linked as
internal customers and suppliers. You can better meet the needs
of your final, external customers when you work to meet the
requirements of your internal customers. Everyone in your or-
ganization must understand the requirements of all of his or her
customers and continue to meet these requirements even while
working to improve his or her own processes.
Total Involvement
Beginning with senior management, every level of the organiza-
tion must be involved in organized quality improvement activ-
ities. Everyone in the organization is responsible for quality, top
to bottom and side to side. Each employee has an important role
to play.
The unrecognized quality experts in any organization are the
people who do the work. Who knows more than the experienced
sales representative about how to qualify prospects or reduce
unnecessary sales calls? Who knows better than the conscien-
tious production worker how to reduce product defects? Who
knows more than the customer service representative about what
customers do and don't like about your organization? Certainly,
the sales manager has a great deal to contribute to the reduction
of unproductive sales calls, and the engineer has ideas about how
to reduce defects. But it would be a mistake to solve those
quality problems without the advice and ideas of the unrecog-
nized quality experts.
Measurement
It's important to track your own progress, because you can't
improve what you don't measure. You can't meet quality goals
unless you establish baselines and chart progress against them.
10 The Meaning of Quality
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You should be influenced by customer requirements as you
decide what to measure, and you should have those closest to the
work do the measuring. You should make decisions using facts
and data, rather than using intuition or shooting from the hip.
"If quality counts, it
should be recognized
and rewarded."
Systematic Support
Too often, good ideas produce mediocre results because of a lack
of systematic support. If quality is important to your strategic
advantage, then it must be reinforced by structures, policies, and
procedures that encourage its development and discourage com-
peting priorities. It must be part of your strategic plan, your
budget process, and—most important of all—your performance
management system. If quality counts, it should be recognized
and rewarded. If you're not willing to promote and reward those
who improve how the work is done (as distinct from those who
rush in at the last minute to put out fires), you'll never achieve
quality.
Continuous Improvement
There's always room for improvement—and there always will be.
In a quality organization, "good enough" is never good enough.
Every aspect of Big-Q must be used to ensure customer satisfac-
tion, or you are not achieving quality. Keep looking for a better
way, even if your customers are satisfied with how you serve
them now. In a fast-changing world, it is only a matter of time
before their needs change. When they do, you want to be ready
to establish or maintain your competitive advantage.
Quality is really a never-ending journey, not a destination. We
need to do things better today than yesterday and be constantly
on the lookout for ways to correct problems, prevent problems,
and make improvements. Even when the customer's needs have
been completely and precisely met, a better, more efficient
approach is always possible. The quality journey is a continuous
search for a better way.
Implementing Quality
Many people agree that quality pays. But although they endorse
the principles of the five pillars of quality, they still complain
that there is no way to put the ideas into action. Their reasons
include the following:
• Top management isn't really committed to quality.
11 The Meaning of Quality
-------
"Quality improvement
can be the ultimate
integrator of your
organization. . ."
• Employees won't believe management is serious about it.
• Employees won't cooperate.
• There's too little money and expertise to undertake quality
efforts.
These are all plausible reasons not to do anything. But there
are powerful incentives—aside from the benefits of strategic
advantage—for implementing quality ideas. One is that people
really do support quality improvement efforts if senior manage-
ment is serious about them. We have seen this in our work with
organizations in all segments of industry, as well as government
agencies and healthcare institutions. Two essential truths can help
you establish and sustain a quality improvement effort.
1. Most people want to be proud of the work they do and the
organization they do it for. If you give people a mandate, a
mechanism, and the support (tools, training, and opportunity)
to do a job well, they'll do it. If you create an organization
with values people can support, they will.
2. People support what they help create. A person who does a
job five days a week, year in and year out, probably has
ideas about how to do the job better. But in practice, he or
she may rarely be encouraged to voice those ideas. Employ-
ees will take an active role in designing systems to improve
quality if you make it clear that jobs won't be jeopardized
by improvements they suggest.
Quality improvement can be the ultimate integrator of your
organization, the umbrella under which you can achieve some of
your most critical objectives: improved product quality, lower
costs, stronger customer loyalty, increased employee morale,
lower turnover, reduced absenteeism, a larger share of the market,
and even higher profits.
Quality can become a rallying cry for organizational improve-
ment. It can turn a company around, transform its culture, and
inspire the changes necessary to compete more effectively.
12 The Meaning of Quality
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Reading Identifying the Cost of Quality
Traditionally, when faced with shrinking resources, organizations
make across-the-board reductions or cut efforts such as training
and planning that have a long-term payoff. Without training and
careful planning, necessary costs are cut along with avoidable
costs—the wheat discarded with the chaff. Quality improvement
efforts suffer as a result. Managers can cut expenses without
cutting capabilities by taking a cost-of-quality approach to cost
assessment. This approach provides an attractive alternative to the
usual cost-cutting methods.
You can think of the cost of quality as an iceberg; on the sur-
face, there are the costs we often associate with quality, such as
defective products, rework, and quality control department expen-
ses. Below the surface is a less obvious but even larger block of
costs that we may not attribute to quality. It includes the costs of
unwanted employee turnover, poorly run meetings, overdue
receivables, and excess inventory. Once you have identified both
the obvious and the hidden costs of-quality, you can ferret out
avoidable costs and begin to reduce them.
A number of organizations working toward a quality advantage
have succeeded in cutting costs without cutting capabilities.
• A Federal Express quality team initiated a program to cut
waste that ultimately resulted in a $187,000 annual cost
savings and a one-time savings of $500,000 in capital expen-
ditures. The cost of the quality team's efforts was paid back
in just two weeks.
• A premier consumer products company found that 55 percent
of its billing department employees were engaged in correct-
ing and inspecting invoices. This amounted to a total of $35
million or a cost of $25 to collect an average bill of $90.
• At John Hancock Life Insurance Company, a senior vice
president noted that the thirty quality teams in his area
produced "hundreds of thousands of dollars in underwriting
cost savings and productivity gains" in one year.
• At a leading publishing house, printing crews identified
newsprint wastage as a major cost of quality. By careful data
gathering and problem solving, they reduced wastage by 75
percent, thereby saving $250,000 a year.
14 Identifying the Cost of Quality
-------
"Unlike most budget-
cutting efforts ... a
cost-of-quality approach
leads to doing better
with less."
Unlike most budget-cutting efforts, which lead to doing less with
less, a cost-of-quality approach leads to doing better with less.
The difference is that most budget cuts are conducted without the
cooperation and support of the managers and workers who will
be affected by the cuts and who know where the waste really is.
In an effort to protect themselves and their.departments, people
try to rationalize why particular cuts shouldn't be made. In Big-
Q organizations, managers and workers with the right techniques
afld attitudes can distinguish fat from bone and concentrate on
trimming the fat. This kind of an activity can lead to increased
morale and a greater commitment to the organization, instead of
to the demoralization that comes with most budget cuts.
How Do You Define the Cost of Quality?
As discussed in the reading on the meaning of quality, the two
key measures of an organization's success are alignment and
execution. Alignment, what you do, is measured by how well you
tax meeting your customers' needs. Execution, how you do it, is
measured by whether you achieve the highest return at the lowest
cost. Alignment is doing the right things, and execution is doing
things right. Ultimately, the key goal of the organization and
each of its members is to do right things right.
The cost of quality includes all the costs of providing defect-free
products and services. It includes the costs of prevention or
inspection (appraisal) and failure (see next page). Experts in the
field have found that these costs amount to 20 to 25 percent of
operating costs in manufacturing organizations, and up to 30
percent (or more) in service organizations.
Although some costs of quality are necessary and useful, other
costs of quality are avoidable and wasteful. Whenever you're
failing to do right things right, you're incurring an avoidable cost
of quality.
15 Identifying the Cost of Quality
-------
The Cost of Quality
Prevention
Costs
Necessary
Costs
Prevention costs
are the costs of any
actions intended to
make" sure, in
advance, that things
will not go wrong.
Prevention costs also
include the costs of
on-the-spot corrections.
Inspection costs are
the costs of finding
out if and when
things are going
wrong so correction
or prevention
actions can occur.
Failure costs are the
costs you incur when
a customer is or will
be dissatisfied and
you have to pay the
price in damaged
reputation, rework,
waste, legal penalties,
special charges,
or loss of pride.
16 Identifying the Cost of Quality
-------
As you pursue quality, you will find that your prevention costs
increase, while your inspection and failure costs decrease by a
much greater amount. Thus, your total cost of quality will go
down.
How Quality Pays Off
Total Cost of Quality
Total Cost of Quality
Inspection
Prevention
Before beginning the
quality improvement process
The Employee's Role
As a result of the
quality improvement process
The concept of doing right things right puts the responsibility for
quality where it belongs—in the hands of each employee. Most
employees have the ability to define what the right things are,
but they can't do it alone. They must work with their customers
and their manager to identify and understand customer and
organizational needs.
17 Identifying the Cost of Quality
-------
Employees can also determine how to do things right. Again,
employees do not operate in a vacuum. Quality is achieved only
when the knowledge and skills of all employees are brought to
bear on the work process in which they are involved.
The Manager's Role
In order, to reduce the cost of quality, managers must communi-
cate their priorities and expectations to their employees and
facilitate the quality improvement process by involving employees
and ensuring that they have the confidence and skills required to
do the job. It is not the manager's job to provide solutions. Big-
Q quality means that the best people to improve a work process
are the people who do the work.
Prevention and Correction
The key to reducing costs is prevention. For example, if you set
up and follow a maintenance schedule for your car that includes
checking the oil regularly, you will ensure that automotive prob-
lems related to lack of oil will never occur.
The next best thing to prevention is early detection and treatment
of problems. If you don't add oil regularly, you need to add it as
soon as the oil light goes on. If you don't do either prevention
or early treatment, you may wind up with a cracked engine
block, a large expense that could have been avoided.
The same principle applies to problems in organizations. The best
solution is prevention.
Despite prevention efforts, however, some quality problems may
still occur. This means that you need to develop your own
inspection systems rather than wait for someone else to catch
your mistakes.
For example, when a secretary makes an error in a letter, the
most cost-effective solution is for the secretary to catch it and
correct it, thus preventing the error from going out further.
But suppose the secretary doesn't catch the error. The boss finds
the typo, circles it, and gives the draft back to the secretary for
correction. Now, the cost of quality includes not only the secre-
tary's time but also that of the boss.
18 Identifying the Cost of Quality
-------
"// a customer does
bring a problem to your
attention, you should
consider yourself lucky."
It could be worse. Suppose this letter is written to a customer,
and suppose that neither the secretary nor the boss catches the
error. The important customer sees the error and thinks, "How
can I trust these people when they can't even send a professional
letter? Maybe I should take my business elsewhere." Now the
boss may have to get on the phone or visit the customer to make
amends. At best, the boss's time has been used up in regaining
the respect of the customer. At worst, the customer has been lost.
Ideally, a customer will never have a reason like this to com-
plain to you or your organization. However, if a customer does
bring a problem to your attention, you should consider yourself
lucky. Research indicates that only about 4 percent of dissatisfied
customers complain to their suppliers. The other 96 percent tell
their friends and associates instead. Thus, they become ill-will
ambassadors who undermine your organization's reputation and
help competitors take away business from you.
An old rule of thumb says that a satisfied customer will tell three
people, but a dissatisfied customer will tell twenty people.
Although making amends to a customer for a mistake is costly, it
is still less costly than losing the customer altogether.
The Cost of Quality: A Competitive Advantage
Traditional ways of measuring performance often place managers
and their departments in competition with one another. They are
often evaluated on different criteria that may not take into
account how well they work together toward organizational goals.
Sales may be evaluated by number of trips booked, seats sold,
new accounts opened, or contracts received. Production may be
evaluated by output per hour or number of units shipped.
Accounting may be evaluated by accuracy and ability to keep
costs down. Quality control inspection may be evaluated by the
number of defects discovered in the organization's products or
services.
Different criteria for different departments cause conflicting
values. Production sees the ideal world as one with long lead
times and high predictability, as well as a limited product line.
For marketing and sales, the ideal world has a warehouse or
service operation on every street corner, along with an infinite
variety of products that meet every whim and fancy of the
customer and that cost next to nothing. Finance values a
company without buildings, equipment, or even people, where
resources can be shifted to the hottest investment opportunities.
These opposing values lead to conflict and competition among
the different functions. To some degree such conflict is con-
19 Identifying the Cost of Quality
-------
structive. What better way to raise key issues than to have
marketing pushing its position against production, or finance
pushing its position against marketing? But it also results in
competition for resources and a win-lose mentality in which one
function's gain is another's loss.
A more effective model for organizations is a network of mutual-
ly reinforcing dependencies. If, for example, finance doesn't
provide the resources for better equipment, production loses the
opportunity to raise productivity or cut costs.
In today's tough, competitive environment, the win-lose mentality
is even more destructive than it was in the past. To succeed in
this tougher environment requires an ability to move faster with
fewer mistakes, to cooperate rather than compete, and to create
win-win situations. The traditional measures simply don't do the
job. A new measure is needed, one that encourages cooperation
and teamwork. The cost of quality can provide that measure.
20 Identifying the Cost of Quality
-------
Reading
You and Your Customer
"Work in the modern
organization has become
too complex to be
managed and controlled
only from the top down."
In recent years, more and more organizations have realized that
quality is important to gaining a competitive advantage and
essential to a company's survival. This increased awareness has
created a unique opportunity for organizations to apply the
principles of quality to day-to-day management in order to make
fundamental and lasting improvements in how they do business.
The key to quality improvement is to recognize and then act on
one simple proposition: Quality begins and ends with the cus-
tomer. While most organizations recognize the importance of the
customer, many fail to align their capabilities with the customer's
needs. Outdated managerial practices and organizational struc-
tures often frustrate the company's ability to meet customers'
needs.
Most organizations are structured into specialized functional units
whose members are more loyal to their function than to the
organization. These units compete with one another for money
and resources. The route to the top in these organizations is
through the vertical chain of command. We call this chimney
stack management because people get ahead by moving upward
in one vertical cylinder—defending the interests of marketing or
administration or region C rather than the interests of the
organization as a whole, much less the customer.
Other organizations are managed by the matrix model, which
attempts to link people across functions. In practice, this model
sometimes adds to confusion and conflict by imposing a second
reporting structure. Neither model seems flexible enough to
manage the complexity of a modem organization in a way that
ensures continuous responsiveness to customers. Why? Work in
the modern organization has become too complex to be managed
and controlled only from the top down.
The Customer-Supplier Chain
Managers at all levels are discovering that they can increase
effectiveness and efficiency by encouraging their employees to
see themselves as one another's customers and suppliers, linked
in a chain that extends back into the organization from the
ultimate, external customer.
22 You and Your Customer
-------
This simple structure can support complex work processes. It
represents the natural flow of work across functions and between
employees in an organization. In many companies, only a small
percentage of employees have direct contact with the organiza-
tion's paying customers. However, all of us depend on others for
the products or services we need to do our jobs. We are sup-
pliers to the people who depend on us for input and customers of
the people who supply us with output.
In fact, work can be seen as a process in which customers re-
ceive inputs (e.g., machine parts or data) from their suppliers,
add value (e.g., assembly or information processing) to those
inputs, and then pass outputs (e.g., assembled units or finished
reports) on to their own customers.1
You can describe a process broadly (processing a customer's
request from the first meeting or telephone inquiry to payment
for work completed) or narrowly (ordering a needed part for a
computer). Either way, the customer's needs are better satisfied if
the people from the separate functions—parts, customer service,
field service, and billing—are all trying to meet the needs of the
next internal process, rather than if they are primarily concerned
about the welfare of their own functions.
As a manager concerned with customer satisfaction in a competi-
tive world, you don't want your parts department thinking only
of its own interests and asking, "How can we minimize inventory
and thus reduce costs?" Rather, you want your parts department
thinking of its customers' interests as well as the organization's
interests and, therefore, asking, "How can we make sure we have
the parts the service department needs to do its job without
carrying unnecessary parts in inventory?"
Alignment
Alignment, or the matching of supplier capabilities with customer
needs, is a requisite of the quality process.
The process of alignment begins with a redefinition of the
customer-supplier relationship. Rather than see each other as
adversaries trying to take advantage of each other, customers and
suppliers work together as collaborators to achieve alignment.
Their collaboration must also help promote the overall goals of
the organization.
'For more on the internal customer-supplier chain, see G.H.
Labovitz, "Keeping Your Internal Customers Satisfied," Wall Street
Journal, July 6, 1987.
23 You and Your Customer
-------
When you achieve alignment, customer satisfaction becomes a
shared goal; it is no longer the burden of the supplier alone.
Internal customers are responsible for making their needs known
to their suppliers.
Why should the internal customer make this effort? Because the
ultimate goal of alignment is to support the mission of the
overall organization. And this is the one goal that applies equally
to all your employees, in both roles—customer and supplier.
Conceptually, alignment is easily grasped. It has three variables:
(1) customer needs, (2) supplier capabilities, and (3) organiza-
tional values, vision, mission, and strategies—or what we shall
refer to for simplicity's sake as organizational goals.
As a manager, your challenge is to help your people achieve
three-way alignment. That means matching supplier capabilities
with customer needs, to reach the goals of the organization.
Alignment
Organizational
goals
Customer Needs
In every transaction, both customers and suppliers must have
their needs and interests met, or alignment will not occur. If
customers feel that the value of the product or service isn't worth
the price, they won't buy it. On the other hand, if suppliers don't
feel that they are receiving a fair price for the product or service,
they won't willingly sell it.
24 You and Your Customer
-------
Traditionally, suppliers within an organization have had a captive
market in their internal customers, so they have not had to take
their internal customers' needs into account. In more and more
organizations today, however, managers are free to decide
whether to buy their services internally or purchase them outside,
thus forcing internal suppliers to become increasingly customer
oriented.
One of the dangers in seeking customer-supplier alignment is that
the supplier will go overboard in meeting customer needs and
will subvert organizational goals.
Lack of Alignment with Organizational Goals
Organizational
goals
X
Customer Needs
As a manager, you need to monitor carefully the alignment
process between your employees and avert situations in which
customers and suppliers may be seeking alignment in ways that
will not promote organizational goals.
Gaps
Sometimes supplier capabilities lag behind customer require-
ments. That is, while the customer's needs are in line with
organizational objectives, the supplier lacks the capability to meet
them. This results in a performance gap, which usually requires
rework to prevent customer dissatisfaction.
25 You and Your Customer
-------
Performance Gap
Organizational
goals
Performance gap
Customer Needs
In this case, suppliers need to increase their capability to meet
customer requirements, or they'll lose the business to someone
who can. And customers need to provide clear and complete
feedback to help their suppliers close this gap.
A gap can also occur when supplier capabilities exceed customer
requirements. If you are giving customers more than they want or
appreciate, you are, in the short term, wasting your effort. A
customer who wants to buy a telephone that will last five years
won't pay extra for one built to last forty years if given a choice
—unless, of course, you can convince this customer that it is
worth making the additional investment
Educating the customer about some of your potential capabilities
opens the door to even higher levels of alignment, especially if
no competitor is able to match these capabilities.
26 You and Your Customer
-------
Opportunity Gap
"You need to know
your boss's objectives,
and your people need
to know yours."
i
.$
a
Organizational
goals
I
•Opportunity gap
Customer Needs
Building Customer-Supplier Alignment
How do you foster customer-supplier partnerships that build
alignment?
First, you must identify your own customers and suppliers, and
then meet with them to discuss and agree upon requirements. To
help facilitate this exchange, we suggest you ask the following
questions of your customers:
• What do you need from me?
• What do you do with what I give you?
• Are there any gaps between what I give you and what you
need?
Next, you must help your employees understand alignment Meet
with them to make sure they follow through with their customers
and suppliers. To do this effectively, you need to know your
boss's objectives, and your people need to know yours. That way
you can ensure that the alignment processes between customers
and suppliers actually contribute to organizational goals. The
same three questions can be used to clarify requirements between
managers and employees, who are customers of and suppliers to
one another.
27 You and Your Customer
-------
Third, once the requirements are agreed upon, focus on a few
highly visible work processes. The requirements tell you what
needs to be done; the work processes show how it should be
done. In the course of this program, you have been introduced to
flowcharting. A flowchart describes the steps in a work process
in graphic form. When you bring together the people involved in
a work process and have them draw a flowchart, you and they
can sometimes resolve conflicting perceptions between what is
actually happening and what should be happening. The flowchart
also makes it easy to identify unnecessary steps and bottlenecks.
Once these are identified, you can work to eliminate them, thus
improving your capability to meet your customers'—and your
organization' s—needs.
Alignment Works
A major division of Jostens, a Fortune 500 publishing company
based in Minneapolis, committed itself to total quality improve-
ment as a long-term competitive strategy. The first step in this
effort was making sure everyone in the division knew that he or
she had his or her own customers and suppliers, according to
Fred Bjork, divisional vice president and general manager.
That realization "opened up all kinds of doors," Bjork recalls,
"because people suddenly had a context in which they could
surface problems and iron them out together. What might have
been taken as 'bellyaching' before was now seen by suppliers as
helpful feedback."
Jostens Printing and Publishing prints high school and college
yearbooks. The division's dedication to internal customer satisfac-
tion was soon extended to external customers. "Our customers—
the students and the schools—are also our suppliers. They pro-
vide the text, pictures, logos, and other art we need to produce
their yearbook," he explains.
"We've had great success expanding our customer focus to the
students. By helping them see their relationship with us in
customer-supplier terms, we have significantly reduced the proof-
ing and approval process. And they feel more comfortable and
involved throughout the production process," Bjork adds.
Organizational Collaboration
We've all read stories about people in flood-stricken areas who
form a human chain to pile sandbags against a rising river.
Working together, they safeguard their homes and families.
28 You and Your Customer
-------
The sandbags are passed from hand to hand—supplier to cus-
tomer, supplier to customer—and put in place to form a dike.
The first few exchanges are awkward, but soon suppliers and
customers understand one another's needs and capabilities, and
the flow becomes smooth and orderly. The partnerships between
people enable the sandbags to flow faster and faster to the end of
the line. If the citizens can keep the river from flooding, the
whole community benefits.
A cooperative and effective human chain benefits organizations
too. Working toward quality goals fosters greater organizational
collaboration based on alignment and on strong customer-
supplier relationships.
When you manage your work processes in a way that encourages
alignment and facilitates customer-supplier partnerships, you are
pushing responsibility and encouraging initiative through the
entire organization. The resulting gains—in communication and
commitment, in effectiveness and efficiency—will go a long way
toward creating a competitive advantage for your organization.
29 You and Your Customer
-------
Reading
Quality Action Teams
"Today's competitive
environment demands
constant attention to
improvements in
quality."
Imagine an organization where everyone—not just management—
is committed to improving both quality and productivity, shares
responsibility for achieving organizational goals, and uses a
common problem-solving language. That's the kind of organiza-
tion that quality action teams (QAT) can help you build. Based
on years, of applied management research in dozens of countries,
QAT is rooted in the idea that the most important goal for any
organization in the 1990s is the pursuit of quality, not only in
services and products but also in every aspect of the work pro-
cess.
Why quality? Today's competitive environment demands constant
attention to improvements in quality. Consumers are ever more
insistent on getting full value for their money, whether they're
buying goods or services. They want to know that what they've
bought will work well and keep working well. Reputations and
relationships are established that make consumers return again
and again to the proven vendor of quality—even if the price is
higher. The organization that fails to strive for a measurable in-
crease in quality every year will fall behind.
Conventional wisdom in many organizations holds that quality is
costly and that it always competes with productivity, timeliness,
and other critical factors. This theory of trade-offs may be true in
extreme cases but otherwise has proven to be false. Actually,
improved quality means less rework and, therefore, higher pro-
ductivity. But to get a high payoff, quality has to be built into
the actual work process. It's far cheaper and more reliable to
build quality in than to try to inspect it in later. What's needed
is a system for involving every employee, at every level, in
designing the work process for maximum quality and minimum
cost.
Fortunately, it's not hard to involve people in the quest for
quality. Both employees and consumers recognize and admire
quality. They derive a sense of satisfaction and pride from their
association with a high-quality organization and product.
31 Quality Action Teams
-------
The Three Pillars of QAT
Quality action teams work well because they're a balanced
system that rests on three pillars: (1) technical competence, (2)
teamwork, and (3) administrative structure.
QvalttyActton Teauna
Technical Administrative
Competence Structure
Just as a stool will fall down if any one of its legs is missing,
QAT also needs each of its three pillars to be strong.
1. Technical competence lets team members experience success
and personal development as they learn to use new skills.
Problem-solving steps and tools relate directly to doing things
right, that is, to getting high-quality work done in the most
efficient manner.
2. Teamwork is crucial because without it ideas that are techni-
cally correct may still be doomed to failure. Teamwork is the
ability to communicate with and take account of others—the
basic human relations that are the underpinning of a success-
ful organization.
3. Administrative structure is absolutely necessary if technical
competence and teamwork are to be integrated within an or-
ganization. QAT is not a natural process for most organiza-
tions. It competes with other philosophies, habits, and priori-
ties. If it's not supported by a committed organizational
structure, it will simply be absorbed by the usual way of
doing things.
Any single pillar of the system can be emphasized, perhaps
successfully, for a time, but used alone it will soon lose its
impact.
32 Quality Action Teams
-------
"Very quickly, QAT
leads to greater
organizational
integration."
For example, Rensis Likert and Stanley Seashore2 explored
what happened when organizations implemented just the tech-
nical pillar. They looked at a number of companies that had
taken "strong steps to reduce costs, eliminate waste, and increase
productivity." In the first year's results, there were usually mea-
surable gains in productivity, earnings, and the like. Management
had definitely changed in the desired direction. But even by the
end of that first year, Likert and Seashore began to see declines
in employee attitude, motivation, and communication.
As they watched for a longer time, these employee reactions
began to take very measurable forms. Turnover and absenteeism
increased, as did labor grievances. The quality of products and
services suffered, and in the end customers reacted by taking
their business elsewhere. The initial gains had been overshadowed
and offset by adverse reactions.
A similar dynamic of initial gains and longer-term losses is likely
to be encountered by a purely human relations program that
doesn't emphasize high standards of quality and production at the
same time. As you work with QAT, you'll need to preserve the
balance between the three pillars of this program, never
overemphasizing one at the expense of the others.
The Benefits of QAT
The first thing you'll see as you implement QAT is a change in
attitude. Employees who participate take much greater personal
responsibility for the success of all aspects of the work process.
This shows up in better morale, less blaming of others, and a
more positive attitude. It also shows up in higher productivity,
lower absenteeism, and fewer employee grievances. After about
six months you'll see the teams beginning to solve specific
quality problems. As they implement their ideas, they will
produce cost savings, improve service, reduce waste, and, most
importantly, begin to improve the quality that the outside
customer receives.
Very quickly, QAT leads to greater organizational integration,
producing improved communication up and down the hierarchy.
Side-to-side links are enhanced as groups of managers begin to
use the team problem-solving approach to deal with the problems
they have in common. This happens because QAT provides a
2Rensis Likert and Stanley E. Seashore, "Making Cost Control
Work," Harvard Business Review, Nov.-Dec. 1963.
33 Quality Action Teams
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legitimate and structured way for employees—both workers and
managers—to have a more effective say in improving the way
work is done. It's the combination of structured meetings, new
techniques, and organizational support that allows these benefits
to occur.
Top-Down Implementation of QAT
QAT works best when it has the active support of all levels of
the organization. In fact, the same need for management support
and involvement is paramount in other such programs, whether
developed in-house or implemented by a consultant.
For example, in one study twenty-two experts who had long
worked with and studied such programs were asked to rate the
influence of sixty-six different factors.3 The scale used was
1 = not important
2 = some importance
3 = important
4 = very important
5 = critical importance
The chart below shows the top five of those sixty-six factors and
indicates both the mean score and the variance (a measure of
how widely the individual scores differed from the mean).
Top Five Factors to QAT Success
Factors
1. Voluntary participation
2. Top management support
3. Support of first-line supervisors
4. Involvement of middle
management in the process
5. Middle management support
Mean
4.8
4.7
4.7
4.6
4.6
Variance
.16
.21
.22
.23
.44
3H. Ned Seelye and Joyce A. Sween, "Critical Components of
Successful U.S. Quality Circles," Quality Circles Journal, March
1983, pp. 14-17.
34 Quality Action Teams
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"The QAT system is a
synthesis of participative
management and statis-
tical quality control."
These data convey one essential message: For a program like
QAT to reach its potential, it needs the support, understanding,
and active involvement of every part of the organization. This
makes sense when you consider that QAT is really a system—not
just a bunch of isolated teams. The system requires communica-
tion, coordination, resources, and a culture that supports involve-
ment by all employees in quality improvement.
The most logical way to do this is to begin at the top and work
down, making sure that QAT is clearly understood and vigorous-
ly supported by managers and supervisors before it is used by
those who work under them. This is why we recommend that
any implementation scheme gain commitment from higher levels
before it proceeds down the hierarchy. Of course, the final aim
of the program is to reach everyone in the organization.
The Foundations of QAT
The QAT program is based on two management systems that
have been studied and developed over the last thirty years and
that have become cornerstones of modern organizational success.
The QAT system is a synthesis of participative management and
statistical quality control.
Participative management. The concept of participative manage-
ment evolved from research such as the study conducted in the
late 1920s at the Western Electric Company's Hawthorne Works
in Illinois. There researchers examined the factors influencing
worker efficiency. Flying in the face of the conventional wisdom
that "a kick in the pants and a nickel in the pay envelope" would
motivate workers, this research revealed that workers' attitudes
and nonmonetary needs were at least as important to productivity
as working conditions and pay.
For example, the Hawthorne researchers tested the impact of
lighting on employee output. They increased the amount of
lighting in a sample work area and found that the productivity of
the workers increased, as they had expected. To confirm this
finding, they then reduced the amount of lighting in a different
work area—but productivity increased there as well!
The researchers were puzzled by this apparent contradiction.
Interviewing workers, they discovered that it wasn't the change in
lighting that made the workers produce more; it was the interest
and concern of the researchers that made the difference. This
research finding became known as "the Hawthorne effect" and
was generalized into a principle of human behavior—namely, that
35 Quality Action Teams
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"Researchers like
McGregor and Rensis
Likert argued in effect
that workers respond in
kind to the way they are
treated."
people respond positively to a show of interest in their well-
being, almost regardless of the form that interest takes. It gradu-
ally became clear that such traditional incentives as money and
the threat of job loss were not the only factors involved in
worker motivation; other, more intrinsic concerns were at work as
well.
In the 1940s, psychologist Abraham Maslow developed a motiva-
tional theory centering on a universal hierarchy of needs, from
the most basic physiological needs (e.g., air, food, water) to
higher order needs (e.g., self-esteem). The hierarchy culminates in
a feeling of personal fulfillment that Maslow called self-
actualization. According to Maslow, as a person satisfied one
order of needs—the physiological, for example—needs at the next
level became activated, and this implied that motivational tech-
niques had to shift accordingly.
When this theory was translated to the workplace, it was argued
that an organization that tries to spur its employees to greater
effort with promises of higher pay and fringe benefits may be
aiming at the wrong target. Food may be an incentive to a
hungry worker, but to one with a full belly and a need for self-
esteem, more meaningful job responsibility may be a greater
stimulus to productivity.
Still, management hadn't changed its view of the worker as
basically passive, someone who had to be motivated from the
outside. A carrot had merely been substituted for a stick. But in
the 1960s, Douglas McGregor, relying on thirty years of research,
challenged even this traditional management assumption. Labeling
managers who held such views as "Theory X" managers,
McGregor suggested that a new, more enlightened "Theory Y"
manager was making his or her way up the ladder of the best
organizations, managing more successfully by operating on a
different set of assumptions: (1) that work is as natural a human
activity as rest and play, (2) that people at all levels of an
organization are capable of creative thought, and (3) that given a
chance to develop their potential, people will welcome greater
responsibility.
Researchers like McGregor and Rensis Likert argued in effect
that workers respond in kind to the way they are treated. If
management treats them as irresponsible and lazy, then they will
act irresponsibly and lazily. If, on the other hand, workers are
encouraged to show initiative and take responsibility, they will do
so. These, then, were the seeds of the idea of participative man-
agement: abandoning the carrot-and-stick approach to motivation
and making work more meaningful by encouraging worker par-
ticipation and responsibility.
36 Quality Action Teams
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"In the 1950s and after,
the concept of total
quality control was
developed."
Although participative management made good sense to social
scientists, it remained until recently a strange and threatening
concept to many managers. For one thing, they felt it was un-
proven. Who could demonstrate that giving managers, let alone
workers, responsibility for improving productivity through the
techniques of participative management would translate into a
better bottom line on the balance sheet? What if it proved an
expensive and time-consuming exercise in futility that destroyed
organizational discipline and authority?
Moreover, though it was developed in the United States, there
was something foreign about participative management. It wasn't
something that managers had experience doing. It wasn't taught
in M.B.A. programs, and it didn't fit the take-charge, I'm-the-
boss-here image that managers had for generations adopted in
organizations in the belief that it would produce results. Besides,
many would suggest, hadn't the American management system
wrought an economic miracle, making the United States the
strongest nation on earth and providing the average family with a
standard of living unmatched anywhere? When it came right
down to it, why tamper with success?
Indeed, there would have been no reason to tamper with success
if it had continued unabated. However, despite its economic
miracle, the United States eventually had to confront the limits of
its success and face the problem of international competition.
Since money, working conditions, and job security seemed to
have lost their power as motivators for American workers, man-
agement needed to consider other alternatives. The work of
Maslow, McGregor, and others was persuasive in suggesting that
participative management might be worth a try.
Statistical quality control. The second major principle behind
QAT is statistical quality control. Quality control got its start in
the 1920s at the Bell Laboratories, where the concepts of
statistical quality control and control charts were introduced into
the production process.
Later, the demands of World War II led the U.S. armed forces to
enlarge the scope of quality control to include inspecting outside
vendors to see that the military's quality standards were being
met in every aspect of the production process.
In the 1950s and after, the concept of total quality control was
developed. It was an idea that expanded quality control by (1)
making it the responsibility of everyone in the company, from
37 Quality Action Teams
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"Quality control pro-
grams take advantage of
the powerful tools of
sampling and statistical
analysis."
bottom to top, and (2) including consumers as the final arbiters
of quality, to be consulted regularly about their satisfaction with
the product or service. Total quality control means that insistence
on quality is built into every organizational system and process.
Quality control programs take advantage of the powerful tools of
sampling and statistical analysis developed by scientists and
mathematicians over the last century. These techniques make it
possible to understand the capabilities of a process, monitor it,
and set specifications beyond which deviations will not be toler-
ated. Thus, a process can readily be determined to be either in
control or out of control. Minor variations in processes need not
signal trouble, but significant variations can be spotted at once
and corrected before they become too costly or disruptive.
Moreover, quality control techniques can help sort out problems
that are within the control of line workers as well as problems
inherent in the system itself, hence controllable only by manage-
ment. This sorting-out capacity allows problems to be attacked
and solved at their appropriate levels.
"A process can readily
be determined to be
either in control
or out of control."
Synthesis in Japan
Although both participative management and quality control were
developed largely in the West, particularly in the United States,
the idea of participative management, as we have seen, did not
coincide with the traditional hierarchical notions of management
which were prevalent. For many years participative management
remained more an ideal than a reality. On the other hand, quality
control was readily accepted by many American companies as
another aspect of the technical rationalization of the work pro-
cess.
Following World War II, an unforeseen development led to a
synthesis of the two concepts. In an effort to make Japan into a
westernized nation and a strong ally, the United States sent
several American experts, including W. E. Deming, an authority
on statistical quality control, to aid Japan in strengthening its
industry. The Japanese government and the JUSE (Japanese
Union of Scientists and Engineers) supported Deming's ideas, and
statistical quality control was adopted by Japanese industry. In
1954 another American, Joseph D. Juran, advised the Japanese
that quality control should involve a total program of organiza-
tional excellence promoted by management, thus linking quality
control to participative management Excellence would be pos-
sible only when everyone in the organization, including the line
workers, understood the need for quality and could contribute
directly to its attainment.
38 Quality Action Teams
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This idea was refined and implemented by Dr. Kaoru Ishikawa
and other Japanese researchers. They developed a system wherein
small groups of workers (quality control circles) meet on a
voluntary basis to solve their own work problems. Quality was
very broadly defined, and these quality circles could work on
almost any problem allowed by management. By 1982, twenty
years after the first companies formed quality circles, Japan had
more than 600,000 circles in operation, involving an estimated
eight million workers.
Among the features of Japanese quality circles were
• Company-wide participation
• Emphasis on the education and training of quality circle
members
• Solution of problems by quality circles
• Formulation of new standard procedures by quality circles
• Careful monitoring of quality circle activity by management
and constant input from management
• Voluntary participation by workers and mandatory participa-
tion by management
• Nationwide promotion of quality circle activity
Quality circle programs began in factories, but they now embrace
workers in hotels, restaurants, department stores, insurance com-
panies, construction firms, and other sectors of the economy.
Today, one out of every eight Japanese workers is involved in a
quality circle.
The Synthesis Is Adopted in the United States
For the most part, quality circles were unknown in the United
States until Juran, who had worked with the Japanese, introduced
the idea to Americans in an article published in 1967. Four years
later, in 1971, General Motors introduced a variation of the
quality circle concept, which it called Quality of Work Life. Since
that time, this program has been a model of the system-wide
benefits that result when quality circle concepts are adopted by
an entire organization.
39 Quality Action Teams
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"Many once-skeptical
executives now sing the
praises of team problem-
solving programs."
By 1982, the International Association of Quality Circles (IAQC)
estimated that 1,500 American organizations in the public and
private sectors had team problem-solving programs, up from 150
organizations three years previously. These programs, according
to the IAQC, involved up to 300,000 workers, in virtually every
sector of the economy, who looked for ways to cut costs,
improve quality, guarantee on-time performance, lower the acci-
dent rate, and raise morale. The results were often dramatic. For
example:
• A group of workers at Westinghouse in Baltimore noted that
it took fifteen minutes to warm up the wire-bonding
machines they worked on and that, while they waited, vir-
tually no work got done. Their solution: Have one worker
come in fifteen minutes before the others and warm up all
the machines. Estimated savings: $800,000.
• At Lockheed, where documented savings in the first two
years totaled $2.8 million, one operation managed to reduce
the product reject rate from approximately thirty units per
1,000 working hours to fewer than six per 1,000 working
hours.
• At General Motors in Tarrytown, New York, the percentage
of substandard body welds in one department plunged from
35 percent to 1.5 percent within a few months after a
quality-of-work-life program was introduced.
• At a Jones and Laughlin steel mill in Youngstown, Ohio,
production of seamless pipe rose 40 percent when employees
were encouraged to use participative management techniques.
• The Mount Sinai Medical Center in Florida achieved savings
of more than $189,000 in an 18-month period as a result of
its program.
In fact, fourteen QAT users who kept comprehensive cost figures
found an average of better than $14,000 saved per team each
year in 1983 and 1984.
Many once-skeptical executives now sing the praises of team
problem-solving programs. In the words of Chairman Walter A.
Fallen of Eastman Kodak, "You can't drive a good work force
30 percent harder, but we've found we could often work 30
percent or even 150 percent smarter." He explained, in an article
in Fortune magazine, that the answer lies in instilling a strong
sense of teamwork among employees and giving them more say
about how they do their jobs.
40 Quality Action Teams
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"QAT gives the people
closest to the problems
the responsibility, train-
ing, and support neces-
sary to solve them."
In the years that lie immediately ahead, the most successful
organizations will be those that both innovate and implement
effectively. Given the forces of competition and accelerating
technology, organizations increasingly need to draw the best
efforts from their most critical internal resource: their people.
QAT gives the people closest to the problems the responsibility,
training, and support necessary to solve them. Implemented
vigorously, QAT will help ensure the kind of innovation and
implementation necessary for an organization to survive and
prosper in the years ahead.
In fact, we have moved far beyond the simple concept of worker
teams in the early U.S. quality circle efforts. While retaining
voluntary problem-solving teams as one fundamental element,
QAT now encompasses a variety of both mandatory and volun-
tary teams at all levels, cemented together by a strong organiza-
tional structure. By giving employees an understanding of how to
work effectively in teams and by emphasizing their crucial
importance to quality, QAT provides the foundation for a whole
series of quality efforts—such as policy deployment from above,
clear standards for work which reflect user needs, the ability to
work with suppliers to improve their quality, and zero-inventory
programs—efforts that together make up a total program of
quality improvement for the organization.
Trouble in Paradise
Success stories about participative management are abundant
today. But a closer look reveals a number of failures—partici-
pative management programs that aren't working and that may
leave an organization with less teamwork than when the program
started. Why do some programs succeed—often with documented
savings of as much as eight times the investment—while others
founder?
There is a myth that the problem lies in the difference between
the "Japanese way" and the "American way." To be sure, Japan
has a very different culture from the West, yet we see frequent
examples of successful collaboration between American and
Japanese firms. Even more striking is the fact that American
workers are sometimes more productive when they are managed
by the Japanese than when they are managed by their American
counterparts. What, then, is the nature of the problem?
In case after case where participative management programs fail,
we see that management wasn't brought in at the outset to
understand the new program, learn to make it work for them, and
contribute to its design and implementation. Participative manage-
ment has too often solicited the participation of the workers but
41 Quality Action Teams
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not of the managers. Managers who were not adequately prepared
for and involved in the participative program viewed the new
system as undermining their ability to function effectively, and
they actively resisted its implementation.
The Japanese are accustomed to a consultative mode of operating
that involves all levels of the organization. There is nothing
foreign about this; American companies with successful employee
involvement programs do exactly the same. The support and
involvement of management are vital to the success of these
programs, and when that support and involvement are present, the
programs succeed.
All that problem-solving teams require to be successful is good
management, which involves (1) listening to ideas and opinions
and considering them seriously, (2) making information easily
accessible instead of hoarding it, (3) planning activities well in
advance, and (4) creating an atmosphere in which people feel
they are all working toward the same goal.
42 Quality Action Teams
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Reading The QAT Problem-Solving Process
Learning to solve problems effectively is one of the most worth-
while of quality activities. Here are some of the benefits.
• Problems get solved permanently. The whole idea of problem
solving is to prevent problems from recurring, not just to
"clean up the mess" after they happen.
• The quality of work life is improved. Every time a problem is
solved permanently, it's one more annoyance that doesn't
have to be dealt with anymore. As problems get solved, the
work begins to go more smoothly, and it's easier to plan
effectively.
• Everyone is able to do better work. As people (at all levels)
learn new skills and see that their ideas are supported by
others, they become more involved in their work and are
able to do it better.
• Communication and coordination are improved. Effective
problem solving involves coordination among different indi-
viduals and different work units. A problem-solving system
creates communication paths that clarify what needs to be
done and that help people address problems more effectively.
In the end, a good problem-solving system does much more than
just solve problems. It trains everybody in habits of thinking and
acting that allow the whole organization to work more smoothly
and more effectively.
Outline of the System
The quality action teams problem-solving system consists of four
phases. Each phase is complete once you have certain outputs.
These are used as the inputs for the phase that follows (except,
obviously, in the last phase). Here is an outline of the four
phases and the outputs for each.
Phases Outputs
I. Focus. Choose a problem A written statement of the
and describe it. problem
II. Analyze. Learn about the Baseline data
problem from data. A list of the most
influential factors
44 The QAT Problem-Solving Process
-------
"The system—
abbreviated FADE
—works for all
problems, no matter
how big or small"
III. Develop. Develop a
solution and a plan.
IV. Execute. Implement the
plan, monitor results,
adjust as needed.
A solution for the problem
A plan for implementing
the solution
Organizational commitment
An executed plan
A record of impact
The system—abbreviated FADE—works for all problems, no
matter how big or small. Let's take a very simple example from
everyday life to show how the FADE system works.
Focus. Let's suppose that every so often the circuit breaker for
your living room is tripped and all the lights there go out. Each
time this happens, you go to the basement, reset the switch, and
the lights come back on—until the next time. Finally, you realize
that this problem will continue to annoy you until you take
decisive action. You want a solution that will safely keep the
living room circuit breaker from being tripped.
Analyze. You collect data, testing all the outlets in the house to
see which ones are connected to the offending circuit breaker.
You discover, to your surprise, that the refrigerator and the
upstairs bathroom share the circuit breaker with the living room.
You suspect that whenever your son uses a hair dryer upstairs,
the circuit breaker is likely to be tripped. You collect more data
(by having your son use the dryer) and find that you were
correct. You now understand the main factors contributing to the
problem. You also have a baseline measure, because you know
that the problem has occurred seven times during the last three
months.
Develop. Using your analysis as a basis, you consider solutions.
You could tell your son not to use the dryer at certain times, but
you know that this solution will last only as long as your son's
memory, which is currently not long. To ensure that you solve
the problem safely, you decide to have some rewiring done that
will lessen the load on any single circuit breaker. You and your
son create an action plan to call the electrician, arrange a time
for the work that won't disturb the rest of the family, and get
your spouse's approval to spend the money.
Execute. You secure your spouse's support for the plan and have
the electrician do the work. You are there to coordinate the ef-
forts and make sure the work is done the way you want it. Three
months later, there have been no more problems with the living
room lights. Your solution has worked perfectly.
45 The QAT Problem-Solving Process
-------
can compare the
FADE system to building
a frame house."
You can compare the FADE system to building a frame house,
which involves a few fundamental phases. First, you have to
make a foundation. Then you can build the frame. The next
phase involves putting on a roof and the external walls. Finally,
you can do the internal work.
Within these phases, there's room for variation. Just as specific
houses differ from each other, every problem also is unique and
may require a somewhat different approach. The four phases and
their outputs are still necessary, but the specific steps that are
followed and the tools that are used have to be chosen to suit the
situation.
Even so, there's a particular series of steps (three steps per
phase) that works for most problems. There are also certain basic
tools (like the hammer or drill in house building) that are almost
always very useful for problem solving. These steps and tools are
what we teach in the phases that follow. You'll find that once
you learn the steps and understand the tools, you can use them in
new sequences, as required by each problem. The steps for each
phase, plus a toolbox, are listed below and on the next page. The
tools are presented in the order in which you're likely to first use
them. Many of the tools are used again later, just as you'd use a
hammer or a drill at many different points in building a house.
Suggested Steps
Phase I: Focus
Step I-A. Generate a list
of problems.
Step I-B. Select one problem.
Step I-C. Verify and define the
problem.
Tools
(in sequence as taught)
Brainstorming
Multivoting
Selection grid
Impact analysis
Problem statement
Phase II: Analyze
Step II-A. Decide what you need
to know.
Step II-B. Collect data—baselines
and patterns.
Checklist
Data-gathering plan
Sampling
Survey
Checksheet
46 The QAT Problem-Solving Process
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Step II-C. Determine the most
influential factors.
Pareto analysis
Fishbone diagram
Flowchart
Phase III: Develop
Step in-A. Generate a list of
promising solutions.
Step III-C. Develop an imple-
mentation plan.
Innovation transfer
Step III-B. Select one solution. Cost-benefit analysis
Force-field analysis
Standard operating
procedure
Action plan
Phase FV: Execute
Step IV-A. Gain commitment.
Step IV-B. Execute the plan.
Step IV-C. Monitor the impact.
Building individual
support
Presentation
Measuring and monitoring
Basic descriptive charts
Specifications and con-
trol limits
47 The QAT Problem-Solving Process
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Below is a guide that shows some of the common uses for each
of the tools. Each tool is taught in only one phase (indicated by
the circled checkmarks) but can be used in any of the phases
indicated.
Tool Selection Guide
Action plan
Basic descriptive
charts
Brainstorming
Building individual
support
Cost-benefit analysis
Checklist
Checksheet
Data-gathering plan
Fishbone diagram
Flowchart
Force-field analysis
Impact analysis
Innovation transfer
Measuring and
monitoring
MuKivoting
Pareto analysis
Presentation
Problem statement
Sampling
Selection grid
Specifications and
control "limits'
Standard operating
procedure
Survey
Focus
/
0
/
/
/
/
/
0
/
0
/
0
0
/
/
Analyze
/
/
/
/
0
0
0
0
0
/
0
/
0
/
9
Develop
0
/
/
0
/
/
/
0
0
/
/
/
0
/
Execute
/
0
/
0
/
/
0
/
0
0
/
/
48 The QAT Problem-Solving Process
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How to Learn the FADE Cycle
"Most employees learn
the FADE cycle the
same way you'd learn to
play tennis—learn a
little theory, but spend
most of your time
practicing and doing it."
"You're learning some
measurement skills and
some communication
skills that can help you
not just in your formal
teams, but whenever you
try to improve how
things are done."
Most employees learn the FADE cycle the same way you'd learn
to play tennis—learn a little theory, but spend most of your time
practicing and doing it. If you're a member of a new quality
action team, you'll be meeting over a period of time to do one
or more projects.
In the team, you'll get an overview of the FADE cycle. Then
you'll work on your project, learning the details of the steps and
tools as you go along. You'll probably pay more attention to
some tools than to others, depending on how much you have to
use them for your immediate problem.
You may work this way for three or more months before you
finish the first project. By the time you've finished it, you'll
have a pretty good idea of how the cycle works. As you get into
new projects, you'll be able to concentrate on other tools and fill
in some of the gaps. By the time you've finished three or four
projects, you'll be working very efficiently, and you'll feel com-
fortable using whatever tool you need whenever you need it. For
other employees—particularly leaders and managers—the first
exposure to the FADE cycle may be in a training group. There
you will try to learn the concepts of problem solving rather than
solve an immediate problem. In that case, you'll probably use
any problem that helps you understand the steps and tools. It
could be something from work life, from home, or a problem
you make up. You'll probably go through the process more
quickly than you would working in a team because you'll not
really be trying to solve the problem. You'll put a bigger por-
tion of your time into learning than into doing. By the time
you're done, you'll understand the cycle well enough to help
others use it.
In either case, you're learning a process that is simple yet sys-
tematic. You're learning some measurement skills and some
communication skills that can help you not just in your formal
teams, but whenever you try to improve how things are done.
The process we present here can be used equally well in any
situation, no matter what you're doing or what your position
may be.
49 The QAT Problem-Solving Process
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Learning the FADE Process and Tools
Do reading.
Leam tools.
Watch phase video.
Participate in exercises
to practice tools.
Use appropriate tools to
solve quality problems.
50 The QAT Problem-Solving Process
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Reading
Overview
Focus—Defining a Problem
Output for Phase I
A written statement of the problem.
Suggested Steps Tools Taught in Phase I
Brainstorming
Step I-A. Generate a list
of problems.
Step I-B.
Select one
problem.
Multivoting
Selection grid
Step I-C. Verify and define Impact analysis
the problem. Problem statement
Phase I deals with the first major phase of problem solving:
selecting a problem to work on and defining it. Phase I allows
the team to focus on a significant problem and state it clearly. It
also allows the team members to learn what's on each other's
mind and establishes a cohesive attitude early in the process.
Later phases of problem solving are bound to go more smoothly
when the focus phase is completed correctly.
Since Phase I is intended to let the team focus on a problem,
let's begin by stating how we define problem.
A problem is a situation that is different from what
is wanted.
Here is a typical problem.
Smith gets into his car, inserts the key, and turns it. He
expects the engine to begin working (what is wanted). But
the engine does not begin working (what is different from
what is wanted). Smith will probably say, "My car doesn't
start." This is a problem because what is happening is differ-
ent from what is supposed to happen.
However, our definition of problem also includes situations you
would like to change even though they aren't causing complaints
or discomfort at the moment. Such problems are really opportuni-
ties for quality improvement. For example, a balloon company
decided to develop balloons that were easier to blow up and
harder to puncture. Customers had not complained about the
existing balloons—people expect balloons to puncture easily and
to be a little hard to blow up. But the balloon company felt that
52 Focus—Defining a Problem
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people would want the new balloons if they could be developed
and advertised. This was a quality improvement opportunity that
was identified and treated as a problem according to the FADE
system.
"// there are several Prevention: Eliminating Causes
problems to work on,
begin by focusing on Often, we know that a problem exists but don't know why it
one of them." exists. Smith's car may not start because the starter has worn
out, because the car is out of gas, or for any number of other
reasons. To solve the problem, somebody has to figure out the
cause and remove that cause. If there is more than one cause,
they will all have to be addressed.
This means getting down to the underlying factors (the root
causes) that are causing the problem, and correcting them. Once
these root causes are corrected (or at least controlled), the prob-
lem will not happen again. That is why FADE takes time and
effort. It's not enough just to "clean up the mess" when a prob-
lem occurs. Your goal is also prevention: to make sure the
problem won't happen again.
You'll know you have completed Phase I when the following
four exit criteria have been satisfied:
1. You have selected a single problem. If there are several
problems to work on, begin by focusing on one of them.
After you're well under way with one problem, you can take
up another. In this way, you'll effectively solve each problem
you attack. Over a period of time, you'll be able to deal with
all the problems—and opportunities—on your list.
2. The problem is worth working on. What is worthwhile de-
pends on the needs of your customers, your team, and your
organization. For example, a project might be considered
worthwhile if it ensures quality for the customer, eliminates
hassles in your work, or saves money or time for the organi-
zation.
3. The problem is appropriate for your team. Even if a problem
is worth working on, your team may not be an appropriate
group to handle it. Do you have the interest, the knowledge,
and the position in the organization to take a major role in
solving it? If not, the problem can be referred to another
team or individual who can better deal with it.
53 Focus—Defining a Problem
-------
4. The team is motivated to address the problem. It's important
that everybody on the team be willing to pitch in and sup-
port the work. This is why problem selection should be given
some time for discussion.
Now let's look more closely at the output, suggested steps, and
tools of Phase I.
Output When you have finished Phase I, you should have the following
output:
A written statement of the problem. The statement should include
a description of
• The current problem situation
• Its impact
• The desired state of affairs
• (Optional) The expected impact of correcting or eliminating
the problem
In addition, you need a plan for immediately fixing whatever is
wrong in the short term. The problem statement describes your
prevention goal for the long term.
Here are some examples of problem statements.
From a team of fishermen. Our fishnets now tear regularly (about
three tears each day). The tears take several hours of our time
each day to fix and result in the nets wearing out sooner than
they should. They should not tear more than once a week.
From a team of hospital employees. At present, there are many
reports of visitors to the hospital spending a lot of time finding
where they need to go, employees taking a lot of time guiding
visitors, and outpatients not getting to appointments on time.
Visitors, patients, and employees should be able to find their
way easily around the hospital. If this problem were solved, a
significant amount of confusion and wasted staff time could be
eliminated.
From a team of purchasing clerks. At present, about 25 percent
of the purchase orders are not filled out correctly. This results in
our spending extra time to track down the right information and
in the late arrival of many orders. One hundred percent of the
orders should be filled out right. This would cut our rework costs
by almost $10,000 annually.
54 Focus—Defining a Problem
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Steps There are many ways to identify a worthwhile problem. The
three steps we suggest here are likely to be useful as you work
on your first few problems as a team.
Step I-A. Generate a list of problems. Make a list of all the
different problems that members might like to solve. The team
can see the range of existing problems and can also see at a
glance whether certain problems are especially widespread or
important. Suggested tool: brainstorming.
Step I-B. Select one problem. From the list, one problem must be
selected to begin with. (Others can be taken up later.) Suggested
tools: multivoting, selection grid.
Step I-C. Verify and define the problem. Is the problem really
important enough to be worth the effort? How does it affect
people? How extensive is it? It's important to answer these
questions as best you can with the information already available
in the team. You can verify that you really do have a worthwhile
project and can get a better idea of what the problem is about.
Suggested tools: impact analysis, problem statement.
Tools We teach the following tools in this phase to help you achieve
the objective of a written problem statement:
• Brainstorming. Brainstorming is a way to accomplish step
I-A (generate a list of problems). It lets team members
generate many ideas about an issue (such as work problems).
It helps the team set aside immediate, pressing concerns and
exercise their imaginations creatively. It also encourages
tolerance and creativity as people build upon each other's
ideas. Brainstorming is useful during step I-A because it
helps a team identify many different problems that may be of
interest
• Multivoting. Multi voting is a way to narrow down a list of
ideas generated by brainstorming. It moves the team from
step I-A to step I-B by homing in on a few ideas, usually
four to six. At this point, the team can use a selection grid
to pare the list down further.
• Selection grid. The selection grid is a way to accomplish step
I-B (select one problem). It helps a team select one alterna-
tive according to clear criteria that everyone understands and
agrees to. It helps the team avoid making decisions purely on
the basis of "gut feelings."
55 Focus—Defining a Problem
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"Much of your team's
effectiveness comes from
the willingness of its
members to pitch in and
work on a project,"
Impact analysis. Impact analysis is a way to accomplish step
I-C (verify and define the problem). It simply asks team
members to describe why they think the situation ought to be
changed. Usually there are personal stories about what went
wrong, how things could be better, or why the issue is
important. There may also be quantitative information that
people on the team already know. Impact analysis is useful
during Phase I because (1) it confirms whether the problem
is really worth working on, (2) it indicates the extent of
impact, (3) it may uncover new aspects of the problem for
the team, (4) it lets the team share their viewpoints and
develop ownership of the problem, and (5) it is an oppor-
tunity to make sure the right people are on the team.
Problem statement. Impact analysis often reveals that the
problem the team has chosen is multifaceted. In fact, the
analysis may uncover more than one problem. At this point,
the team will have to decide which problem to attack. Writ-
ing a problem statement will help clarify the problem for all
team members as well as for others outside of the team. The
team's problem statement should be a publishable document
and should include a summary of the impact analysis that
directly applies to the specific problem described, as well as
a statement of how things should be once the change has
been made.
Other Phase I Tools
Besides the tools described above, some tools taught in other
phases may be useful during Phase I.
Survey (taught in Phase n). Surveys can be useful for finding out
what issues concern people who are outside the team.
Specifications and control limits (taught in Phase IV). These tools
are important indicators that allow you to see whether a process
is performing as it should. Once you have set up indicators for
your work processes, you may not have to brainstorm for prob-
lems—the problems will be apparent from your indicators.
56 Focus—Defining a Problem
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A Few Words on Consensus
Consensus is the process of discussing an issue until all views
have been heard and everyone is able to go along with one
decision. It is a very important idea in quality action teams.
Much of your team's effectiveness comes from the willingness of
its members to really pitch in and work on a project. Consensus
is more effective than voting for creating this spirit. Voting indi-
cates which ideas are most popular, but it can leave the "losers"
unwilling to really pitch in. Even if a vote is taken, strong dif-
ferences should still be dealt with afterward.
57 Focus—Defining a Problem
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Reading
Analyze—Gathering and Analyzing Data
Overview
"Many problems are
caused by underlying
factors (sometimes catted
root causes) that need to
be changed in order to
achieve a permanent
solution."
Outputs for Phase II
1. Baseline data
2. A list of the most influential factors
Suggested Steps Tools Taught in Phase II
Checklist
Step II-A. Decide what you
need to know.
Step II-B.
Step II-C.
Collect data—base-
lines and patterns.
Determine the most
influential factors.
Data-gathering plan
Sampling
Survey
Checksheet
Pareto analysis
Fishbone diagram
Flowchart
Phase n deals with the second major phase of problem solving:
understanding the problem and its contributing factors. This is
done by gathering and analyzing data. This procedure ensures
that the solution you choose will really work, that it will perma-
nently eliminate all or part of the problem.
Many problems are caused by underlying factors (sometimes
called root causes) that need to be changed in order to achieve a
permanent solution. But this is not always how problem solving
is done. People sometimes decide to "fix" a problem temporarily
because "there's no time" to solve it permanently. Of course, this
approach may lead to spending even more time later when the
problem crops up again. Or people may assume, often incorrectly,
that they know what the root causes are. Phase n helps you
avoid these mistakes. It shows you how to study and analyze the
problem systematically before you try to solve it.
The type of analysis presented in this phase and the kind that is
done by a good medical diagnostician are essentially the same. If
you have a headache and want to fix the pain temporarily, you
can take an aspirin. But if the headaches are recurring or severe,
you may go to a physician. You want him or her to do more
than give you an aspirin. Good physicians should find out what's
really wrong. They're not doing a good job for you if they
merely say, "Oh, I've seen a lot of these headaches lately—you
have the flu."
59 Analyze—Gathering and Analyzing Data
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"Knowledge of root
causes or factors is the
first step in ensuring
that the solution will
really work."
You want them to be sure whether it's the flu that's bothering
you or a brain tumor or toxic substances at your work or some
other cause. They do this by finding out when you get the
headaches, what you're doing when you get them, and so forth.
They collect data about your basic bodily functions and listen
carefully to your history. They do whatever is needed to really
understand the problem. Once they know, they lose no time in
acting.
That's the job of analysis—to find out, as exactly as necessary,
why a problem is occurring. Knowledge of root causes or factors
is the first step in ensuring that the solution will really work.
You'll know you have completed Phase n when you have satis-
fied the two exit criteria below.
1. You know the current extent of the problem. You should
have one or more baseline measures about the extent or
severity of the problem. The baseline suggests how much
effort the problem is worth and provides a point of com-
parison for future monitoring.
2. You understand enough about the problem and its contribut-
ing factors to solve all or part of it for good. There are
many different ways to study and understand a problem. In
this phase, we will teach several of the most common and
useful techniques. You'll probably have to gather some kind
of objective data—facts independent of your own judgment.
You may have to gather data more than once, or in different
ways, until you are reasonably certain you understand what
needs to be changed.
Now let's look more closely at the outputs, suggested steps, and
tools of Phase II.
Outputs
When you have finished Phase n, you will have two outputs.
1. Baseline data. These give you a profile of the current and/or
past extent of the problem.
2. A list of the most influential factors. These may be related to
the work process, the environment, the pattern of occurrence,
or any other relevant circumstances.
Here are some examples.
From a team of fishermen. Tears are showing up in the fisher-
men's nets. At first the team assumed that the tears were caused
60 Analyze—Gathering and Analyzing Data
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primarily by poor technique in hauling in the nets. However, the
data indicated a different factor at work.
• Baseline data. We find three tears each day, on average.
It takes an average of two hours per day to mend them.
"You . . . must ask sen- • Factors. The tears are due to shellfish, rocks, and other sharp
sible questions about the objects being caught in the nets close to shore at the end of
problem, collect relevant the fishing day.
data, and see what they
tell you." From a team of hospital employees. The team members want
people to be able to find their way about the hospital more
easily. To learn how to bring this about, they not only studied
their own hospital but went to other hospitals to see how the
problem was handled there.
• Baseline data. A questionnaire taken by hospital visitors
shows that 24 percent of them spent at least ten minutes
"being lost."
• Factors. Lack of good signs is the most significant contribut-
ing factor. In a similar hospital with different signs, only 4
percent of visitors spent ten minutes or more being lost.
From a team of purchasing clerks. The team members want to
find a way to deal with incorrectly filled out purchase orders. At
first, they believed that the errors on the forms were due to
laziness on the part of the persons who filled them out. However,
the data showed other factors at work.
• Baseline data. 25 percent of purchase orders have been filled
out incorrectly over the last seven weeks.
We spend about 17 percent of our working time tracking
down missing or incorrect information.
Of stock that has been ordered, 12 percent of items arrive
late.
• Factors. Major factors appear to be (1) the design of the
forms and (2) employees' lack of education about the conse-
quences of filling out forms incorrectly.
Steps Phase n requires a lot of common sense and some creativity as
well. There's no single, right way to understand a problem. And
there's no way of knowing absolutely when you really under-
stand. You simply must ask sensible questions about the problem,
collect relevant data, and see what they tell you.
61 Analyze—Gathering and Analyzing Data
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"Make the data
collection as simple
and straightforward
as you can."
Tools
Step II-A. Decide what you need to know. Consider what data
might help you understand the problem. Typically, people want to
know the incidence of the problem (where, when, and how often
it happens) or they want to look at the work process (how people
are organized to do the job). Suggested tool: checklist.
Step II-B. Collect data—baselines and patterns. Collect data that
will give you baseline measures and will help you identify the
key factors or root causes; when these are controlled, the problem
will also be controlled.
In this phase, we'll suggest several ways to collect and organize
data, depending on the questions you want to answer. Make the
data collection as simple and straightforward as you can. Some-
times data are already available (in company files or data bases).
Some data come from the knowledge of the team members (how
the work is done). Often, you have to go outside the team to
find more data. Suggested tools: data-gathering plan, sampling,
survey, and checksheet.
Step II-C. Determine the most influential factors. If the data
you've collected do not give you this information, you need to
ask more questions and perhaps collect more data. Once you
understand the problem and its contributing factors well enough
to develop solutions, you can move to Phase HI—Develop. Sug-
gested tools: Pareto analysis, fishbone diagram, and flowchart.
In Phase II, we teach the following tools to help you achieve the
two outputs of baseline data and a list of the most influential
factors:
• Checklist. The checklist is used in step II-A (decide what
you need to know). A checklist is a list of things to be done.
It's used to ensure that nothing is forgotten. Checklists can
be used at many points in problem solving. One of the most
useful checklists is a list of data to be collected.
• Data-gathering plan. Data gathering helps with step II-B
(collect data—baselines and patterns). It answers the ques-
tion "How often does the problem occur, both overall and in
different circumstances?"
To use data gathering, you most often start by assuming you
don't know much about the problem. You can develop a
"picture" of the problem by asking relevant questions in the
following categories:
When does the problem occur? (For example, what time of
day, which day of the week, which month?) Also, when
did it start occurring?
62 Analyze—Gathering and Analyzing Data
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Where is it located? (For example, which floor of a build-
ing, which town, which business location?)
What does it consist of? (What types of complaints, what
types of products?)
"Many specific tech- who is involved? (What types of people are complaining,
niques can be used to which work group is on duty when the problem occurs?)
gather data."
Why is it happening? (What are the reasons for each
instance of the problem?)
How does it happen? (How is it caused, does it happen
quickly or slowly?)
Later, each distribution you find can be displayed as a bar
chart (called a Pareto diagram).
Many specific techniques can be used to gather data. The
next three tools—sampling, survey, and checksheet—are some
of the most useful.
• Sampling. This technique involves selecting a small group of
items that reflects the whole population in which you are
interested. You can sample people, objects, opinions, or any-
thing else. Sampling lets you get accurate information when
you can't measure all the items you want to know about.
• Survey. A survey involves asking people for their opinions,
reactions, knowledge, and ideas. People can be surveyed by
an interviewer face-to-face, by a paper-and-pencil question-
naire, or by a combination of both. Surveys can be as formal
or informal as need be. A survey lets you find out informa-
tion that can be gained only by asking other people.
• Checksheet. A checksheet is a data-recording form that tells
how many times something has happened. It provides a clear
record of the data that have been gathered. The use of a
standardized checksheet helps everyone get comparable data
so that all the pieces can be easily compiled and compared.
Each checksheet is custom-designed to suit the purpose it
serves.
• Pareto analysis. This tool is used after data gathering to help
determine the most influential factors (step n-C). A bar chart
(the Pareto diagram) shows how the problem is distributed—
how much or how often it's occurring in the various cate-
gories you are examining. The Pareto diagram identifies the
situations in which the problem chiefly occurs. By working
on these you can eliminate a large part of your problem.
63 Analyze—Gathering and Analyzing Data
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"Don't ever use a com-
plicated tool when a sim-
ple one would do just as
well!"
Fishbone diagram. This tool is also useful in determining the
most influential factors (step II-C). It helps your team think
broadly but still systematically about causes.
The fishbone diagram shows a large number of possible
causes. To construct a fishbone, team members pick several
main types of causes, then brainstorm to fill in specific
causes under each main type. The fishbone diagram is most
often useful when a problem is well understood, so that the
team members can use their knowledge to identify causes on
which action will be taken. For this reason, the fishbone is
often used after a Pareto analysis. However, a fishbone
diagram can also provide new ideas on where to gather data
(and make further Pareto diagrams).
Flowchart, Making a flowchart is one way to collect and
organize data (step II-B). It is also a way to determine the
most influential factors (step II-C).
A flowchart is a diagram of the sequence of steps in a work
process. Flowcharting helps people understand and improve
the work process. Team members can see how their work is
organized. They can also see inconsistencies, ambiguities, and
redundancies that can be corrected on the spot. Or they may
decide that the problem is too big to tackle at that point and
should be further broken down. In this way, they create an
action plan for solving the problem one step at a time.
Other Phase II Tools
As you become more sophisticated in problem solving, you may
want to add other tools to this phase. The number of tools avail-
able is just about endless—ranging from experimental methods to
psychic clairvoyance. What's important is that the tool be suited
to its purpose. In most cases, the tools we'll give you will be
adequate. Don't ever use a complicated tool when a simple one
would do just as well! Here are some tools from other phases
that can be helpful in getting and analyzing data.
Brainstorming (taught in Phase I). Brainstorming allows groups to
share their ideas in a free way. In the analyze phase, teams can
use brainstorming to generate lists of data to be collected, people
to be contacted, and possible influential factors.
Measuring and monitoring (taught in Phase IV). The measuring
and monitoring tools are important indicators that allow you to
see whether a process is performing as it should. Indicators
involve gathering and analyzing data, so they are often useful
during Phase II.
64 Analyze—Gathering and Analyzing Data
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Presentation (taught in Phase IV). Presentations involve a one-
way explanation and a two-way discussion with the audience.
During the discussion, you're likely to learn a great deal about
the problem.
Using the Steps and Tools of Phase II
Very often, several of the tools in this phase are used together.
The most typical sequence is described below. As an example,
we use a grocery warehouse where a quality action team studied
the problem of breakage of grocery items.
Step II-A. Decide what you need to know. Plan to gather baseline
data as well as data on the distribution of the problem: when,
where, what, who, and why. Once the problem has been nar-
rowed down, more specific areas can be studied.
The warehouse team decided to look at the total percentage of
grocery items broken in the warehouse and to find out (1) the
day of the week on which breakage happened (when), (2) the
shift (when), and (3) the type of product involved (what). Note
that they limited themselves to the categories they thought would
be important.
Step II-B. Collect data—baselines and patterns. This step
involves the following three processes:
1. Evaluate existing data. When data about your problem have
already been collected, you can examine them to see whether
they tell you what you need to know. In many cases, exist-
ing data will answer some of your questions, but you may
still need other data to complete your analysis.
In our example, there were no existing data.
2. Gather information in words, numbers, or pictures. This may
involve sampling if there are too many items to look at all
of them. It will involve surveys if you need to talk to people
about the problem. It will require some kind of recording
form, very likely a checksheet.
The grocery warehouse team used the individual recording
form on the next page to collect information on breakage. As
you can see, they also collected data in addition to the three
categories they had decided on—just in case.
65 Analyze—Gathering and Analyzing Data
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Checksheet on Grocery Damage
Date: Day of the Week: Shin:
Item
Milk
Pork
chops
Rasp-
berries
Orange
soda
Type
of
Damage
Breakage
Squashed
Mold
Breakage
Amount
of
Damage
1Case
1 Case
1 Carton
1 Case
Apparent Reason
Poor
Packing
/
Dam'gd
Delrv'y
/
/
Stolen
Other
^Run
over
Estimated
Cost
3. Combine all the data on a single form. You may have had
many different people collecting data. Now you have to sum-
marize their data.
In our example, the tally checksheet looked like the one on
the next page.
66 Analyze—Gathering and Analyzing Data
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Damage Project Tally Checksheet
WeekofApril12
Total Damage
By Day of Week
Monday
Tuesday
Wednesday
Thursday
Friday
By Shift
First
Second
Third
By Type of Product
Dairy
Meat
Dry
Produce
Number of Instances
10
3
2
6
18
16
7
16
7
12
9
11
Estimated Cost
Step II-C. Determine the most influential factors. The following
two processes are involved in this step:
1. Develop baseline measure(s). A baseline measure of damage
was easily calculated from the data that had been collected.
There were 390 units of merchandise. Since there were
thirty-nine instances of damage, the damage rate was 10 per-
cent.
2. Make a separate Pareto diagram for each category. On the
next page are two of the Pareto diagrams that were made
from data on the tally checksheet.
67 Analyze—Gathering and Analyzing Data
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Damage by Day of Week and Shift
20-
9
10-
5-
20-
5-
Fri. Mon. Thu. Tue. Wed.
Day of Week
1st 3rd 2nd
Shift
In the analysis by shift, no single cause or circumstance stands
out. In fact, the first and third shifts are identical. The Pareto
analysis for type of product (not shown here) was similar. This
information does not give us a clear point of attack.
However, the Pareto diagram by day of week shows a more
clear-cut difference. Most of the damage was happening on
Fridays and Mondays. By looking at the various Pareto analyses
created from the checksheet, the team had isolated a single factor
well enough to work on it.
At this point, the team could do a more detailed analysis of the
key factors. They did this by asking "Why is Friday the worst
day?" and making a fishbone diagram.
Causes of Friday Damage
People
\Rushing to
avoid overtime
Machines
\
Forklifts
\
Weekend coming
Tiredness
Inattention
\ Absenteeism
Friday
Damage
Floors cluttered
' Largest deliveries
come in
Methods
/
Materials
68 Analyze—Gathering and Analyzing Data
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Using the ideas generated in the fishbone, they could collect new
data or take a second look at old data to determine which fac-
tor(s) accounted for the Friday damage. They decided to use a
Pareto diagram to examine the old data and found that dirty ma-
chines and floors were responsible for the largest percentage of
the damage.
When you've finally determined a specific contributing factor (or
a set of factors) by the combined use of fishbone, Pareto, and
general discussion, you may want to use a flowchart to indicate
where in the work process these factors occur. In our example,
the team thought a flowchart was not necessary. They proceeded
to the next phase (Phase III—Develop) in which they would de-
velop a solution.
69 Analyze—Gathering and Analyzing Data
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Reading
Develop—Developing a Solution
Overview
"Now we're in a position
to develop a solution
that will really eliminate
all or part of the prob-
lem permanently."
Outputs for Phase in
1. A solution to the problem
2. A plan for implementation
Suggested Steps
Step lU-A. Generate a list
of promising
solutions.
Step ffl-B. Select one
solution.
Step ffl-C.
Develop an
implementation
plan.
Tools Taught in Phase in
Innovation transfer
Cost-benefit analysis
Force-field analysis
Standard operating procedure
Action plan
Phase HI deals with the next major phase of problem solving—
developing a solution that will prevent the problem from recur-
ring and developing a plan for executing the solution. Phase in
assumes that you have already focused clearly on a problem and
have used objective data to understand it Like the earlier phases,
Phase III demands clear thinking and cooperative teamwork. In
addition, Phase HI requires you to find solutions that can be suc-
cessfully implemented. This means knowing how to create change
in the organization by getting understanding and support from
others. Phase IE also may require you to think creatively about
solutions.
You'll know you have completed Phase El when the following
four exit criteria have been satisfied:
1. You've selected a solution. In contrast to how we usually
proceed in everyday life, in the FADE cycle we put off the
search for a solution until we've systematically gathered and
analyzed data. Now we're in a position to develop a solution
that will really eliminate all or part of the problem perma-
nently.
2. The benefits of the solution will be worth the time, cost, and
effort involved in implementing it. The benefits of a solution
can include better quality for the customer, lower costs to the
organization, and less hassle for the people doing the work.
71 Develop—Developing a Solution
-------
Each project will have a somewhat different set of benefits.
For instance, you may be willing to spend a fair amount of
money if it will improve quality significantly.
3. The solution can get the support it requires. Every organiza-
tion has people with good ideas. Yet many of the best ideas
"Many of the best ideas never get implemented—because other people don't support
never get implemented— them. Your solution will already have support from the team
because other people members. Now it's time to plan for support from outside the
don't support them." team as well.
4. You have an implementation plan for the solution. The
solution needs to include an action plan for purchasing new
materials, educating and training staff, or whatever else will
have to be put in place. It may also need a new standard
operating procedure to tell people how to do the job after the
implementation is in place.
Let's look more closely now at the outputs, suggested steps, and
tools of Phase in.
Outputs When you have finished Phase HI, you will have two outputs.
1. A solution to the problem. This is a solution that you believe
will work, given what you learned in Phase II and the crite-
ria for selection you develop here in Phase in. It is a solu-
tion whose benefits will be worth the time, cost, and effort
of implementation and for which you believe you can get the
needed support.
2. A plan for implementation. This includes both an action plan
for putting the solution in place and a new or revised stan-
dard operating procedure to tell people how to use the new
systems once they are in place.
Here are some examples of solutions and implementation plans.
From a team of fishermen. Tears are showing up in the fishing
nets. The main contributing factor (root cause) is the catching of
the nets on shellfish, rocks, and other sharp objects close to the
shore at the end of the fishing day.
• Solution. Stop fishing close to shore and fish longer in deep
waters instead. A cost-benefit analysis shows that there will
be little, if any, difference in profits. Savings in time and
repair costs will offset a slight drop in profits, and the
shallow-water nets can be sold.
72 Develop—Developing a Solution
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• Plan. The action plan includes selling the shallow-water nets
and making sure that the increased load of deep-water fish
will be accepted by wholesalers. The new standard operating
procedure involves staying in deep waters two hours longer
and selling only deep-water fish.
"For many problems, From a team of hospital employees. The team members want
solutions jump out at people to be able to find their way about the hospital more
you as you study them." easily. They have found that the lack of good signs is the most
significant contributing factor.
• Solution. Make and install a new set of signs and other
markers. The team did further research and found that a
combination of signs and color-coded corridors would be
most effective.
• Plan. The action plan involves designing the signs, having
them made by a professional company, and having the hospi-
tal crew install them. It also involves having the corridors
painted.
From a team of purchasing clerks. The team members want to
deal with the problem of incorrectly filled out purchase orders.
The major contributing factors appear to be (1) the design of the
forms and (2) the lack of employee education about the conse-
quences of filling out forms incorrectly.
• Solution. Test the design of a new form to be sure it is
better than the old, and send memos to all departments
educating them about the new forms and the benefits of
filling them out correctly.
• Plan. The action plan involves developing, testing, and print-
ing the new forms. It also involves writing the educational
memo. The new standard operating procedure is to be written
on the form itself.
Steps For many problems, solutions jump out at you as you study
them. By the time you get to Phase HI, you may have already
thought about a preferred solution. Even so, the following steps
are worthwhile. You can check whether your solution is really
the best, whether it can be improved, and how you'll need to
implement it. For more complex problems and solutions, it's even
more important to follow these steps.
Step HI-A. Generate a list of promising solutions. This can be
done through brainstorming or by using more creative methods.
In this phase, we will show how you can be not only creative
but also very systematic in making sure your solutions will work.
73 Develop—Developing a Solution
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Step III-B. Select one solution. If there's more than one promis-
ing solution, then one must be selected or further defined. The
selection grid can be used for this step, as it was in Phase I.
Another tool that is useful for this step is introduced in this
phase: cost-benefit analysis.
Step 11I-C. Develop an implementation plan. You can start plan-
ning by assessing what obstacles stand in the way of your solu-
tion and.what forces will support it (using force-field analysis).
You may then want to do a trial run of the solution. Once you're
sure it works, a new or changed standard operating procedure
may be needed to let people know how to do their jobs when
implementation begins. Finally, an action plan ensures that all of
the solution will be correctly implemented.
Tools We teach the following tools in this phase to help you achieve a
solution for the problem and a plan for implementation:
• Innovation transfer. This tool provides you with a way to
accomplish step ffl-A (generate a list of promising solu-
tions). It has people identify a topic or situation that is
similar to the real problem but from a different arena. By
solving a comparable problem in the new arena, ideas may
emerge which can be applied back to the real problem.
• Cost-benefit analysis. This is helpful in accomplishing step
III-B (select one solution) when used as an adjunct to the
selection grid (taught in Phase I). Cost-benefit analysis com-
pares the financial costs and benefits of a proposed solution
to determine the financial impact of implementing it.
• Force-field analysis. This tool is useful in accomplishing step
III-C (develop an implementation plan). It allows the group
to identify the important forces that may hinder or support a
solution and, thus, suggests actions that should be taken to
ensure success.
• Standard operating procedure. Part of step III-C (develop an
implementation plan), SOPs are descriptions of how work is
regularly done. A solution to a problem often involves new
ways of doing work and so requires a new or revised SOP.
• Action plan. Also a part of step lE-C (develop an imple-
mentation plan), action planning is useful here and elsewhere
in the problem-solving process. The team uses an action plan
to decide what must be done, at what times, by whom, and
with what resources. The plan is written to create account-
ability.
74 Develop—Developing a Solution
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Other Phase III Tools
Brainstorming (taught in Phase I). Brainstorming (getting ideas
from people in the team) can be used for generating potential
solutions.
Selection grid (taught in Phase I). This tool helps the team
choose one solution from several possibilities.
Checklist (taught in Phase n). With the aid of a checklist, the
team can more easily brainstorm possible action items, people to
involve, resources needed, and a variety of other items necessary
to develop a doable action plan.
Survey (taught in Phase n). The survey (getting ideas from
people outside the team) can also be used for generating potential
solutions.
Presentation (taught in Phase IV). Since members of the audience
have a chance to comment after a presentation, this tool may be
helpful in coming up with new or modified solutions and imple-
mentation plans.
75 Develop—Developing a Solution
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Execute—Implementing and
Monitoring the Plan
-------
Reading
Overview
Execute—Implementing and Monitoring the Plan
Outputs for Phase IV
1. Organizational commitment
2. An executed plan
3. A record of impact
Suggested Steps
Step IV-A. Gain commitment.
Tools Taught in Phase IV
Building individual support
Presentation
Step IV-B. Execute the plan.
Step IV-C. Monitor the impact.
Measuring and monitoring
Basic descriptive charts
Specifications and control
limits
Phase IV deals with the end of the problem-solving cycle: imple-
menting your plan and monitoring how well it works. This is
where you see your ideas carried into action. Even if you're not
completely successful in this round of quality improvement,
you'll learn more about the situation from watching your plan at
work, and you'll be able to try again with a greater chance of
success. The emphasis of this phase is on (1) gathering the sup-
port, from individuals and groups, needed for success, (2)
executing the plan, and (3) monitoring the situation to make sure
it's going well or taking more corrective steps if it isn't.
You'll know you've completed Phase IV when you've satisfied
the following three exit criteria:
1. All relevant individuals and groups are informed of your
solution and are committed to supporting it. The relevant
parties are any people whose work life will be affected by
the changes. This includes people who can obstruct the plan
as well as those who will carry it out Even people outside
the organization, like customers or vendors, may be included.
All of them should understand what changes will take place.
They should have the opportunity for input and understand
enough about the plan to accept the changes as positive.
77 Execute—Implementing and Monitoring
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2. The plan for change is fully executed. The plan works only
when it leaves the "drawing board." The new SOPs (de-
signed in Phase HI) must be put into action. Full implemen-
tation may require careful planning, delegation, and follow-
up.
"AH groups or indi- 3. Indicators are checked regularly to determine how much
viduals who mil be improvement has occurred and to spot any new problems.
affected by your plan, You need a feedback loop to let you know how successful
even those outside the you are: to let you know whether more action is needed and
organization, need to whether new problems have arisen. Indicators of success can
support it." be qualitative (such as regular reports by key individuals)
and/or quantitative (such as graphs and charts). You can
compare your progress against the baseline you established in
Phase n and against specifications established with your cus-
tomers and users.
Now let's take a closer look at the outputs, suggested steps, and
tools of Phase IV.
Outputs The three outputs of Phase IV correspond exactly to the exit
criteria above.
1. Organizational commitment. The people who need to support
and implement your plan must be committed to it. Most of
these people will be within your organization; but all groups
or individuals who will be affected by your plan, even those
outside the organization, need to support it.
2. An executed plan. A plan is useless unless it is fully exe-
cuted. Your plan must be implemented, and it must show
results.
3. A record of impact. To control results and make adjustments
as conditions change, you must have a record of what has
taken place.
Here are examples of Phase IV outputs.
From a team of fishermen. The team found that their nets were
tearing because of sharp objects being caught in them close to
shore. The solution was to stop fishing close to shore.
• Organizational support. The fishermen made a presentation to
their shipmates and their wholesalers and received valuable
input. They also spoke to management and gained approval
for their plan.
78 Execute—Implementing and Monitoring
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• Executed plan. One of the team members agreed to coordi-
nate the project. The shallow-water nets were sold, and the
new SOP was put into operation. It took about three weeks
for the new system to begin running smoothly.
• Record of impact. Two indicators were used: (1) number of
tears in the nets—the original baseline—and (2) gross reve-
nue each week. After monitoring for two months, the team
concluded that the average number of tears had been reduced
from three each day to one every other day. They also found
that gross revenues had increased slightly. They concluded
that hassle and time were being saved by the new system,
with no cost to the operation and a possible net gain. At this
point, they made the SOP official for everyone (including
other fishing boats) to follow.
From a team of hospital employees. The team wanted to make it
easier for people to find their way about the hospital. They
wanted to design and install new signs and color code the corri-
dors.
• Organizational support. A memo to all hospital employees let
people know what was happening. Most of the feedback was
positive. The team had a meeting with skeptics to get their
input and improved the plan as a result. A special brief pre-
sentation was made to the installation and painting crews to
ensure their cooperation and coordinate their efforts.
• Executed plan. The team met with a production company and
oversaw the manufacture and posting of the signs. They also
oversaw the painting of the corridors.
• Record of impact. The indicator used was the percentage of
hospital visitors who said they had become lost for at least
ten minutes. The reference figure was 24 percent A
follow-up study three months after the new signs were in-
stalled showed that only 8 percent of visitors complained that
they were getting lost. The new study also indicated which
parts of the hospital still created the most confusion, so the
team could now fine-tune the signs and eliminate almost all
of the problem.
From a team of purchasing clerks. The team had a problem with
incorrectly filled out purchase order forms. The solution was to
(1) design a new form and (2) educate other departments about
the new forms and the benefits of filling them out correctly.
79 Execute—Implementing and Monitoring
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"While earlier phases
required flexibility and
new ways of thinking,
Phase TV requires dedi-
cated action to execute
the decisions that have
been made."
Organizational support. A memo was written and distributed
to all employees. In addition, the team scheduled meetings
(mostly in groups) with all the department heads to get their
commitment to the new system. They in turn were to encour-
age the people in their departments.
Executed plan. The new forms were produced and put into
use. A hotline was established to deal with questions. The
number of calls on the hotline gradually went down over a
six-week period.
Record of impact. The three reference measures used origi-
nally were restudied ten weeks after the new system was
introduced. The findings: (1) only 10 percent of purchase
orders were being filled out incorrectly, compared with 25
percent previously; (2) 6 percent of the team's time was
being spent on missing or incorrect information, compared
with 17 percent previously; and (3) 4 percent of items or-
dered were arriving late, compared with 12 percent pre-
viously.
When the study was repeated six months later, the percent-
ages had begun to move up again, though there was still a
significant improvement over the original situation. The team
decided to analyze where the greatest percentage of errors
was coming from, and this became their new project.
Steps
You completed most of your planning in Phase HI. In Phase W,
you must carry out the plan you developed. This includes gaining
support from others, going through the steps of the plan, and
setting up a monitoring system. While earlier phases required
flexibility and new ways of thinking, Phase IV requires dedicated
action to execute the decisions that have been made.
Step IV-A. Gain commitment. You've probably determined already
who needs to be approached (perhaps using force-field analysis).
As you now approach individuals or groups, do more than just
give them the facts. Listen carefully to their concerns and ideas.
Your plan may be improved by their suggestions.
Because commitment is so crucial, use every means at your dis-
posal to encourage it. This can include (1) getting support of
management, (2) using data to convince people, (3) showing peo-
ple the anticipated benefits of the change you propose, and (4)
having people monitor themselves so they'll see when they're
doing better.
Step IV-B. Execute the plan. Once responsibilities have been dele-
gated, they need to be carried out. Someone needs to coordinate,
80 Execute—Implementing and Monitoring
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making sure that the timetable is followed. When possible, pretest
the solution before full implementation. If the plan is complex or
involves potential snags, then contingency plans and other preven-
tive action may be necessary.
Step IV-C. Monitor the impact. You'll probably reuse your origi-
nal reference measures for this purpose, but you may also want
to add some other measures now that you know what your solu-
tion entails. Monitoring techniques may be simple or complex,
but you need to have some indication of how well your solution
is working.
Tools • Building individual support. This tool is useful in step IV-A
(gain commitment). Building individual support is the pro-
cess of talking with other individuals to let them know
what's happening, get their ideas, and enlist their support.
• Presentation. Also useful in step IV-A (gain commitment),
presentation involves explaining your ideas to a group and
getting their feedback. A presentation is more formal than
building individual support but still involves two-way com-
munication. Presentations can serve many purposes, depend-
ing on your audience—for example, letting people know
what's happening, getting their ideas, or training them in
needed skills or procedures.
• Measuring and monitoring. These tools are useful in step
IV-C (monitor the impact). The basic idea of monitoring is
to see how closely a situation corresponds to what you want
or need. Measuring and monitoring tools—like basic descrip-
tive charts and specifications and control limits—can also be
used as part of your presentation and during Phases I and II
to identify or study problems.
• Basic descriptive charts. The bar chart, pie chart, and trend
chart are useful in step IV-C (monitor the impact). They are
also useful in gaining commitment (step IV-A) and in analyz-
ing data (Phase II).
• Specifications and control limits. Also useful in step IV-C
(monitor the impact), these tools let you interpret the data
you collect. They allow you to identify whether events are
deviating from what is desired or expected. Therefore, they
let you know when there is a problem, and so signal when
you should return to Phase I.
81 Execute—Implementing and Monitoring
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Other Phase IV Tools
Because Phase IV puts a heavy emphasis on both communication
skills and measurement skills, a very large number of tools may
be useful here. The ones listed below are taught in earlier phases;
you'll also find other tools useful from time to time.
Keep up-to-date on major developments in measuring and moni-
toring, and don't hesitate to consult an expert when you need
one.
Brainstorming (taught in Phase I). This tool is useful for listing
people who must be contacted, for developing methods of presen-
tation, and for listing items that may need to be monitored.
Checklist (taught in Phase n). This is useful for brainstorming
and keeping track of follow-up actions, items to monitor, and
topics to be covered in building support and making presenta-
tions.
Data gathering (taught in Phase II).- This is useful for gathering
the data needed to monitor.
Pareto analysis (taught in Phase II). This tool can be used to
organize the data you've collected in the process of monitoring
the remaining problems.
Action plan (taught in Phase HI). This tool is useful for develop-
ing your strategies of diplomatic influence and presentation.
82 Execute—Implementing and Monitoring
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Reading
"The leader of a meeting
is not the master of the
group but its servant"
Introduction to Leadership
To achieve quality, everyone in an organization needs the skills
and the support to do a quality job. Everyone needs to have a
sense of responsibility for how the work is done. Everyone must
learn to coordinate his or her efforts with those of other people
and groups in the organization. We approach this goal through
the development of teams that are skilled in problem solving and
that can also undertake other quality improvement activities. In
this section, we examine how the team itself should work and
how a leader can help it work well.
Your Role as Leader
The team leader is most often the supervisor or immediate man-
ager of the group. That person's leadership style will vary tre-
mendously, depending on the skill of his or her employees, the
type of work being done, and many other factors.
In becoming team leader, a supervisor or manager must some-
times leave behind some of the more autocratic (controlling)
aspects of his or her role. As a leader, he or she needs to help
the group achieve its objectives through participative (team)
decision making, not by issuing orders. In quality action teams,
the leader's role is based on the assumption that groups can
achieve excellence by cultivating the creative and productive
energies of each member. For this to happen, team members
must see themselves as equals in the decision-making process.
The leader thus joins the group in making decisions. As
Dr. George Labovitz has put it, "When you're aiming for quality,
you are managing with your people, rather than managing your
people."
In fact, according to Anthony Jay, the British organizational
expert, the leader of a meeting is not the master of the group but
its servant. Instead of bossing people, the leader serves them by
helping them to be as productive as possible. This servant role is
a very active one. While it doesn't mean making decisions for
the group, it may require providing strong direction to get the
group to make its own decisions. When it comes to the actual
decisions, however, the leader is only another member of the
group.
Many leaders find that their relationship with workers is different
during the time when the team meets. Team meetings offer an
opportunity for leaders to help their groups develop; in turn,
during regular working hours, the job of management becomes
easier, more satisfying, and more productive.
84 Introduction to Leadership
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"People must feel
wanted and accepted
if they are to partic-
ipate productively"
What Every Group Needs
All groups must be concerned with two main issues. First, the
group always has some task to accomplish and, second, the group
needs to attend to its own maintenance as an effective team. A
group's task may be anything from going to see a movie together
(for a group of friends) to developing a new treaty with the
Russians (for a group of government officials). For a quality
action team, the immediate task is to solve particular problems,
and the long-term task is to improve the quality and efficiency of
every aspect of the operation.
While the value of problem solving is obvious, spending time
and energy improving and maintaining relationships among group
members may seem less important. However, the care and feed-
ing of the group is crucial to its success as an effective quality
action team. The very process of trying to accomplish a task
inevitably generates some tension or conflict. This is true whether
the group is as intimate as a married couple or as impersonal as
some government agencies. Tensions must be dealt with. People
must feel wanted and accepted if they are to participate produc-
tively.
To help the team with these issues, the leader needs to perform
the five leadership roles described by J. R. and L. M. Gibb.4 The
first three roles are task-related, and the last two have to do with
maintenance.
1. Initiating. Keeping the group moving or getting it going (e.g.,
suggesting action steps, pointing out goals, proposing proce-
dures).
2. Regulating. Influencing the direction and tempo of the
group's work (e.g., summarizing, pointing out time limits,
restating goals).
3. Informing. Bringing information or opinions to the group.
4. Supporting. Creating an emotional climate that holds the
group together, thus making it easy for members to contrib-
ute to the task at hand (e.g., relieving tension, voicing group
feeling, encouraging members).
5. Evaluating. Helping the group evaluate its decisions, goals,
and procedures (e.g., testing for consensus, noting group
processes).
4Adapted from Matthew B. Miles, Learning to Work in Groups,
2nd ed. (New York: Teachers College Press, 1981).
85 Introduction to Leadership
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"One mark of a success-
ful leader is the develop-
ment of team members
who can take over
official leadership for
themselves and do a
good job at it."
All these roles are crucial to the survival and well-being of your
team. Initiating is important whenever the activity changes or
bogs down. Regulating is necessary, or else the team may exceed
its boundaries, work too quickly or too slowly, or lose track of
its goals. Informing is crucial as the team and management stay
in touch, sharing plans and ideas. Supporting is vital when the
team encounters difficulties and conflicts. Evaluating keeps the
team from becoming too confident or unnecessarily discouraged;
it also helps the group improve its own way of working.
Will the Real Leader Please Stand Up?
A common trap that leaders sometimes fall into is thinking that
they themselves must lead all the time, personally filling all the
roles just described. This way of thinking assumes that there is
only one leader in a group. Actually, groups work better when
they have more than one leader. If you are the official leader,
you're responsible for being sure that all the roles get carried
out; but you don't have to perform all those roles yourself. A
skillful leader encourages members to develop confidence in their
own leadership abilities.
Sometimes team members may be more adept at certain roles
than their leader. If so, it's a wonderful chance for you, the
formal leader, to learn from informal leaders. You must always
remain a coordinator and make sure that the task is done while
team cohesion is maintained. But you'll find that, as your team
develops, you'll be able to entrust more and more responsibility
(for both tasks and group maintenance) to the members.
One mark of a successful leader is the development of team
members who can take over official leadership for themselves
and do a good job at it. Thus, one of your objectives as a team
leader is to work yourself out of a job, that is, to foster leader-
ship skills among team members and gradually provide increased
opportunities for them to exercise those skills.
Helpful Hints
Here are some things you can do to make yourself a more
effective leader. If you memorize this list and review it frequent-
ly before meetings, you'll find that your ability as a leader will
improve very quickly.
Use objectives as a tool for managing the group. Objectives are
one of your most valuable tools. They keep the team focused
while they help you establish authority. Since teams consist of
many individuals, each with different needs and desires, there are
86 Introduction to Leadership
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"Creativity and
commitment flourish
when people feel they
won't be attacked for
being different or for
making mistakes."
many possible objectives for each team meeting. If you don't
help the group reach consensus on an official objective, these
personal objectives can begin to compete, often sending a meet-
ing completely astray. Of course, personal objectives are also
important and must be addressed. But you can organize these
diverse objectives into a unified effort.
If the group goes astray, you can point out that the team is not
fulfilling, its purpose at the meeting, that it isn't satisfying the
objective. Thus, the objective becomes the taskmaster, and you
do not have to take personal responsibility for whipping the
group into line.
Adopt a listening attitude. It's important to analyze problems
carefully before leaping in with solutions. This same principle
applies even more strongly to leading a group. It's all too tempt-
ing, in the heat of the moment, to jump in with advice, criticism,
or demands. In most cases, however, jumping in with suggestions
or solutions doesn't allow you to find out what's really going on.
Consider the following group scenario:
Mary:
Terry:
Team Leader:
Here's the data I collected! [Displays data]
You call this data? I can't even understand what
these numbers mean . . . What in the world is
this? [Points to graph]
Mary, this is a mess. We've got a long way to
go to get action on this project, and we can't
afford second-class work. Terry, can you take
over and redo the data collection?
After the responses from Terry and the team leader, Mary sits
down, humiliated and angry. She knows that Terry won't do any
better than she did, because there's a serious flaw in the data
collection system. Now another week will be wasted. If the
leader had been able to hold back and fully examine the circum-
stances, everybody could have learned something of value.
As the example above shows, leaders can become so involved
that they lose their perspective. One cure for this is to cultivate
the habit of imagining yourself sitting in a chair above, or out-
side of, the actual meeting, watching yourself lead the group.
This will help you see when you should be intervening and when
you should be holding back.
Create a psychologically safe environment. Creativity and com-
mitment flourish when people feel they won't be attacked for
being different or for making mistakes. The leader's role is all-
important in setting this tone of acceptance.
87 Introduction to Leadership
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Consider the example below.
"A safe environment
must be established from
the very outset of the
team's existence, because
a strong, productive team
needs every member's
willing involvement."
Randy:
Jeff:
Team Leader:
Maybe we should have a hotline so customers
can call us directly to tell us how they like the
product.
You must be kidding, Randy. That would cost a
fortune. We shouldn't even talk about the idea or
management will get all bent out of shape.
Wait a minute, Jeff. Let's hear a little more
about Randy's idea. Maybe it has potential—we
can always decide that later.
As they talk, the team members decide that the principle behind
Randy's idea is a good one, even though the idea itself is too
expensive. They realize that preaddressed postcards could be used
to do the same thing—at a much lower cost.
When group members are shot down for their ideas or mistakes,
the team can become demoralized. The most frequent cause of
apathy among team members is fear of what might happen if
they really participated. A safe environment must be established
from the very outset of the team's existence, because a strong,
productive team needs every member's willing involvement.
Take the time to encourage competence. In quality action teams,
the big payoffs come as team members become better able to
work together, share their knowledge, and become more skilled
and more involved in their work. You can foster this competence
by allowing time for members to practice techniques and under-
stand concepts until they feel confident in using them. At times it
may seem better to forge ahead quickly, but this must always be
balanced against a long-term view. Remember that building indi-
vidual skills and group teamwork now will result in high-quality
results later. In the quality action teams philosophy, developing
people is as important as churning out projects.
Stress quality. Teams are most effective when they stress the
achievement of quality—in products, services, the work process
itself, and the work environment. If you take the time to build in
quality at the beginning, then your product or service will
ultimately be more satisfactory and less expensive, because you
won't be spending so much time correcting mistakes.
In team meetings, stress the quality of the team process itself. By
constantly letting team members know that they're expected to
work carefully, intelligently, and cooperatively, you can help
strengthen these virtues.
88 Introduction to Leadership
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"You'll be most effective
as a leader when you
put the objectives and
needs of the team ahead
of your own."
Keep focused on the group's goals. Much of what we've already
said can be summarized in this last hint You'll be most effective
as a leader when you put the objectives and needs of the team
ahead of your own. Leaders, unfortunately, are in a perfect posi-
tion to perform for the group. They may want to appear smart or
likable or dynamic. This can be gratifying to the leader in the
short run, and in small doses it is not harmful. But when the
leader is a prima donna, it hurts the group, because it shifts the
focus from the team's objective to the leader's personality.
The more clearly you can observe the team's activities, the more
you'll be able to help the team work better. The best way to
accomplish this is to be keenly aware of your own needs and
how you act in a leadership role. We all have special needs for
affection, power, or respect, but these should be the by-product
of effective leadership—not the main goal. Keep the group's
objectives foremost, and you'll naturally be recognized and
respected as a good leader.
A First Step: Code of Conduct
One of the first tasks initiated by the leader but carried out by
the team is setting up a team code of conduct, which sets out the
expectations for behavior during team meetings. The code of
conduct is specific to your team and must be discussed and
agreed upon by all members in order to be effective.
Here are some issues that a code of conduct may address.
• What is the purpose of having the team, and how can this
purpose best be fulfilled?
• What kinds of communication are encouraged or discouraged
(e.g., talking, shouting, interrupting)?
• How are group members to be addressed (e.g., last name,
first name, title)?
• How should team members talk about team activities to other
members of the organization? Is there any information that
should be kept within the team?
• What are the expectations about arriving at team meetings on
time?
• What are the expectations about carrying out assignments?
• What are the team's expectations about sharing work and
benefits equally?
89 Introduction to Leadership
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• How can discussions be conducted so that an idea can be
criticized without attacking the person who offered it? (This
is one of the most important points in the code.)
Your team may want to suggest additional issues to be addressed
in your code of conduct.
90 Introduction to Leadership
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Reading
Leadership Skills
"As a leader, you have
the job . . . of seeing to
it that the people on
your team feel comfort-
able enough to
participate."
So far, we've looked at the role of the team leader and at the
four features of group effectiveness—goals, procedures, relation-
ships, and roles. In this reading, we will look at three sets of
skills that will help you lead a team successfully.
1. Active listening. Skills for active listening let you help team
members feel comfortable, relaxed, and ready to work. They
also help people understand what needs to be worked on.
This means clarifying not only the official topic under dis-
cussion but also the hidden topics—like people's feelings—
that will have an impact on the group's effectiveness.
2. Clarifying. Skills for clarifying allow team members to figure
out exactly what is going on, to gather any information they
need, and to make sure everybody understands the topic at
hand.
3. Facilitating action. Skills for facilitating action let team
members figure out what's been learned, what to do next,
and how to do it.
Active Listening
As a leader, you have the job, more than anyone else does, of
seeing to it that the people on your team feel comfortable enough
to participate, to speak their minds, and to get down to work.
The last thing you want is a group in which people are distrust-
ful or upset and won't commit themselves to the task at hand.
The skills listed below will help you establish an open and
trusting atmosphere, encourage participation, and allow people to
agree on what it is they intend to accomplish. These skills are
particularly useful whenever you're going to move to a new topic
or when people seem to have lost their way and need a new
sense of direction.
1. Asking open-ended questions. Closed questions that can be
answered yes or no often end a conversation. They provide
no clear message that you are really interested in what the
person thinks, feels, or has done. Open-ended questions, on
the other hand, issue an invitation to share thoughts and
feelings; they encourage the group to open up. Examples of
both kinds of questions are at the top of the next page.
92 Leadership Skills
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Open-ended Questions Closed Questions
"To be sure the group is
working well, you have
to pay attention to all
the people involved,"
How do you think we
could make this easier?
How do you view the
situation?
Do you think we could
make this easier?
Have you been thinking
about any of this?
2. Attending to verbal and nonverbal communication. Skills for
attending to communication let you, the leader, concentrate
on how the group is doing. If you see that the team is not
going in the right direction, you can alter your own behavior
to get the team back on track. You may be convinced that
you should be acting in a certain way, but the only proof
that you're getting the response you want is in the group's
behavior. To be sure the group is working well, you have to
pay attention to all the people involved.
There are two basic kinds of communication: verbal and
nonverbal.
Verbal communication. What is said and how it is
communicated.
• Word choice—direct and implied meanings
• Tone of voice
• Emphasis/inflection
• Pace
Nonverbal communication. Messages communicated through
body language.
• Eye contact
• Facial expressions
• Posture
• Hand, leg, and other body movements
3. Encouraging participation. You can show, both verbally and
nonverbally, that you're interested in what's being said.
When you do this, people will feel encouraged to participate.
At the top of the next page is a list of ways to show interest
and encourage participation both verbally and nonverbally.
93 Leadership Skills
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Verbal encouragement
"By asking specific, rele-
vant questions, you can
direct the team members'
attention toward the in-
formation or insights
they may need."
• Repeat, confirm, or comment on what the speaker has
said.
• Ask other people what they think of the speaker's com-
ment.
• Ask short, encouraging questions, such as "And then?"
"Really? . . . tell me more!" etc,
Nonverbal encouragement
• Maintain frequent (though not continuous) eye contact.
• Face the person (or people) you're talking to.
• Use expressive gestures and movements.
• Let your face be expressive.
• Write the speaker's idea on a blackboard or chart.
Clarifying
Once people feel comfortable and agree on the topic at hand,
your job is to help them discover and interpret information that
will help resolve the situation. As before, you're interested in
getting the team to do the work. The following skills will help
you do this:
1. Asking directive questions. As a facilitative leader, you don't
usually provide answers. You do often provide the questions,
however. By asking specific, relevant questions, you can
direct the team members' attention toward the information or
insights they may need. Here are some examples.
• "How have we dealt with this problem in the past?"
• "What other angles should we look at?"
• "What action should we take at this time?"
2. Paraphrasing what's been said. Paraphrasing means repeating
or summarizing in your own words what someone has said.
You can use paraphrasing to
• Make sure everyone understands what was said
94 Leadership Skills
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• Encourage others to comment on what was said
• Make complex information easier to understand
• Provide an opportunity for correction and clarification
"The leader can For example:
encourage the team to
resolve discrepancies Team Member: I'm frustrated with the way we've been looking
and conflicts so that at this whole problem. It seems to me that the
logical conclusions can main cause lies in lack of communication, not
be reached." in lack of money. If we got the Research
Division to talk to Marketing more often, we'd
have it solved.
Team Leader: You think we've been looking at this wrong,
that the answer should lie in more talking, not
more dollars—right?
Team Member: Right, and there should be an overhaul in our
policies about who gets to talk to whom. It
seems to me that if any member of the line
could talk to any vice president, problems
would surface more quickly.
Team Leader: You'd like to have it so that almost anyone
could feel free to talk to upper management.
3. Combining and building on ideas. Paraphrasing helps clarify
particular statements or opinions. As the discussion continues,
however, you also need to be able to go beyond single state-
ments and create a sense of movement toward new under-
standing. This means encouraging people to discuss whether
one statement contradicts another, how the difference can be
resolved, how to make sense of several related ideas, and so
on. We call this process combining ideas.
Combining ideas helps the group come to a consensus. The
leader can encourage the team to resolve discrepancies and
conflicts so that logical conclusions can be reached. For
example:
John, chief machinist for Farragut Fixtures, insisted that all
machines must have a morning warm-up time of fifteen
minutes; otherwise, maintenance costs would double. Jim,
the chief accountant, insisted that it would be too costly to
have five machine operators sit around for fifteen minutes
waiting for the machines to warm up.
95 Leadership Skills
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The team leader pointed out that both John's and Jim's
observations were valid. Rather than arguing for one or the
other side (thus producing a winner and a loser), the lead-
er encouraged the team to build on the two opinions—to
see how both ideas could be taken into account. They con-
cluded that having one machinist come in fifteen minutes
"Consensus is achieved early to turn on all the machines would be a financially
when members of a and mechanically sound solution to the conflicting interests
group, whether or not presented by John and Jim.
they are in full
agreement, . . . can
accept the group Facilitating Action
position."
Once an issue has been discussed and the details analyzed,
what's the outcome? Is the issue now resolved? Should further
action be taken and, if so, what action? Here are three skills to
help the group come to a reasonable conclusion, with appropriate
plans for action.
1. Summarizing. The first step in facilitating action is to sum-
marize what's been done and learned so far. Help the group
review the significant pieces of information, the important
arguments, and the significant insights. The more the mem-
bers of the group do the summarizing for themselves, as
opposed to you summarizing for them, the more the group
will accept and take ownership of the end results.
2. Confirming that members are in consensus. The second step
is to be sure that the members understand and have reached
consensus on what's been said. Consensus is achieved when
members of a group, whether or not they are in full agree-
ment, have discussed the issues and listened to each other
enough so that everyone can accept the group position. If the
people in the group are comfortable with each other, you can
ensure understanding simply by asking, "Do you all under-
stand?" and trusting that people who don't will speak up. In
the same way, to gain consensus, you can ask, "Are we all
in agreement?" If the group is at a less trusting stage of
development, you may have to ask other questions to dis-
cover whether people share an understanding and a consensus
about the specifics.
3. Bridging to resolution or next steps. Finally, you have to
help the group get to the next stage of its work. This may
mean coming to a decision that enough has already been
done on the topic at hand and that it's time to focus on a
new one. It may be that further action (such as gathering
96 Leadership Skills
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more data or implementing a change in how work is done)
should be taken. The action should be clearly specified and
planned. As before, your job is to get the group to do as
much of this work as possible. For example:
"It seems that we all have a feeling for what we want as
our solution. What kind of action planning do we need to
move on to?"
97 Leadership Skills
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Reading
Structuring the Meeting
"For a meeting to run
smoothly, it must be
structured,"
For a meeting to run smoothly, it must be structured in such a
way that all the important activities are completed and all the
objectives are met or brought closer to completion. You can
create this structure by preparing an agenda for each team
meeting. A typical agenda for a quality action team is shown
below.
Sample QAT Agenda
Cumulative
Time
(in minutes)
5
15
20
56
59
60
Time
5
10
5
36
3
1
Activity
Review of what we're
doing/objectives for this
meeting/special
developments since last
meeting
Reports on activities
conducted during the
week
Discussion of
the reports
Taking the
next step
Assigning tasks
Ending the meeting
Who Does It?
Leader
Participating
members
Everybody
Everybody
Volunteers or
I6ciu6r~
directed
Leader
99 Structuring the Meeting
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"Besides formulating an
agenda, you should keep
minutes of every
meeting."
Typical QAT Meeting Agenda
In the sample agenda, taking the next step is obviously the focus
of the meeting (it takes the most time), while ending the meeting
is short and sweet.
Your agenda will be somewhat different for each meeting,
depending on where the team is in its development, whether
guests are involved, what your objective is, and so forth. It's
crucial that you actually make an agenda. You may want to
distribute copies to the team members so that time limits and
sequence will be clear. Then you can use the agenda, like the
objectives, as a tool for managing the group, as in the following
example:
Team Leader:
Maxine, what you're saying is very interesting,
but we'll have to take it up later. Right now,
our agenda calls for moving on to Rachel's
report. Rachel, let's hear from you . . .
You can depart from the agenda whenever it becomes obvious
that unforeseen circumstances require it. You may need to do this
when your team finds itself bogged down in the middle of a
project, that is, when discussion is at a standstill and the group
doesn't know what to do next. At such times, you may need to
turn to some other technique to reformulate the issue. For
example, if during data analysis the group is unable to come up
with real causes of the problem, you may want to suggest a
fishbone diagram or a fresh Pareto analysis.
Besides formulating an agenda, you should keep minutes of every
meeting. Assign someone to do this or ask for volunteers. The
minutes can be reproduced and distributed to team members, co-
workers, and various managers, including the QAT facilitators
and steering committee. The minutes are highly important; they
remind the team of its progress, accomplishments, and the tasks
to be completed. They also keep outsiders informed about team
activity so that their input can be timely and so that unpleasant
surprises can be avoided. Minutes needn't be long or cumber-
some; like the agenda, they should be clear and concise. Minutes
should summarize the important points of the meeting without
overloading the reader.
What to Do Before, During, and After the Meeting
This section describes a number of considerations that will help
your meeting run smoothly and productively.
100 Structuring the Meeting
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"A meeting will run
smoothly only if it has
a clear objective or set
of objectives."
Before the Meeting
1. Determine your objectives. A meeting will run smoothly only
if it has a clear objective or set of objectives. As leader, you
must be clear about what you want the meeting to accom-
plish before it begins. Your objectives should be included in
your written agenda.
2. Plan how to accomplish your objectives. As leader, you have
the job of thinking about how the objectives should be
accomplished. Usually the objectives themselves are fairly
straightforward. You may need to analyze data that were
collected during the week, or you may need to begin think-
ing about a solution to a problem. Since each problem is
unique, the choice of methods for analyzing a given problem
will vary, and you must decide which technique is most
useful to you at the time.
A second issue you may want to consider is the structure of
the meeting itself. Should reports be given? Will there be
open discussion on certain points? Is there to be a speech by
an expert consultant? It's up to you, as leader, to decide how
to structure the meeting.
3. Decide who besides regular team members will be invited to
the meeting. There may be other individuals who are invited
or who wish to attend the meeting, including members of
other teams, management representatives, and staff experts.
You need to make sure that visitors attend the session that
suits their purpose, that team members are informed in
advance about such visits, and that the business of the meet-
ing proceeds as efficiently as possible when visitors are in
attendance.
4. Determine where the meeting will be held. Your choice of a
meeting place is important, because the meeting place must
provide the privacy and quiet space necessary for doing good
work. If the meeting must be held in a space occupied by
other people or machines, choose the quietest possible area.
Try to meet in the same place every time rather than moving
around; when team members have to reorient themselves, it
lessens the efficiency of the meeting.
101 Structuring the Meeting
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5. Decide when the meeting will be held. Ideally the meetings
are held at the same time each week. When team members
change shifts or have other scheduling difficulties, however,
the meeting time may have to change. The leader must
coordinate members' schedules and the meeting time to
ensure that the maximum number of members can attend.
Members should be informed well in advance of all meeting
times and locations.
6. Send out a statement of objectives. Although it may seem
obvious that the team is to take up a certain matter at its
next meeting, it is always good practice to inform team
members in writing of what will be happening. This helps to
solidify expectations about the meeting and prevents the team
from drifting into irrelevant topics. The statement of objec-
tives should also be sent to appropriate management, staff,
and other members of the organization so that they can give
feedback before the meeting.
7. Make arrangements for equipment. You'll almost always
want a flipchart so that you can-save your pages for manage-
ment presentations and future reference. You may also wish
to have a videocassette player and television monitor for
reviewing video tapes. Arrangements for this and any other
special equipment need to be made prior to each meeting.
8. Come to the meeting room early and set it up. As team
leader, you can't take anything for granted. Other groups
may have used your meeting space and rearranged it. You
need to set up the chairs (usually in a circle), adjust the
temperature, make sure that the space is quiet, and perhaps
straighten up the room. Make certain that the environment
for your team's work is as comfortable and pleasant as it can
be.
In Beginning the Meeting
1. Start on time. Always start on time, even if some of the
team members have yet to arrive. This lets people know that
you intend to adhere to the meeting time. If you begin the
meeting late, members will come late to the next meeting
and you'll have to begin even later. This situation perpetuates
itself, and you'll end up with little or no time for your
meetings.
102 Structuring the Meeting
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"Let the group members
know how much time
you expect to spend on
each part of the
meeting."
2. Review and confirm objectives. Even though the objectives
for the meeting usually have been specified at the previous
meeting and sent out in written form, it's wise to briefly
review them at the outset. This ensures that everyone under-
stands the objectives and that members will be prepared to
focus on them. If there is other business, it should be briefly
discussed so that you can judge whether to include it in the
present meeting or hold it for future meetings.
3. Make the time limits clear. Let the group members know
how much time you expect to spend on each part of the
meeting. By setting this expectation, members will tend not
to exceed it.
4. Review action items from the previous meeting. In many
cases, team members will have taken on responsibility for
activities between meetings. At the beginning of each meet-
ing, review whether those activities have been completed and
what the results are.
"Regardless of the issue,
your job is to keep
things focused on the
most important topic at
hand."
During the Meeting
1. Make sure the group stays focused. Just as you need to place
an emphasis on establishing objectives, you also need to see
that the group stays focused on the issue it is addressing. At
times, however, the group may get off on tangents that you,
as a wise leader, will realize are important to its develop-
ment.
For example, the group, particularly in its early stages or
when the normal process has been disrupted, may begin to
reconsider its purpose. If you feel that this is legitimate
business for the group, you will choose to focus attention on
that issue, possibly just by allowing members to continue to
explore the topic until they feel satisfied enough to move on.
Regardless of the issue, your job is to keep things focused
on the most important topic at hand. This helps maintain the
group's energy and motivation. Nothing is more demoralizing
to a group than to feel that it's accomplishing nothing worth-
while. Your team needs to feel that things are happening and
that the process is working, even if no specific action is
taken on a particular day.
2. Be prepared to shift tools if one isn't working well. QAT
relies on the use of specialized tools. There will be times
when a meeting goes awry because the tool you've selected
turns out to be inappropriate for the task at hand. Be pre-
pared to switch to a different tool if the first one fails.
103 Structuring the Meeting
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"Whenever a team
session ends with a
decision, roles and
responsibilities need
to be assigned."
"It's important to end
the meeting on an
optimistic note, without
endless discussion,"
For example, if you're using Pareto analysis to organize data
and your diagram turns out to be a flat distribution, you'll
usually want to consider a different way to analyze the same
data or, if necessary, to collect new data. In general, the way
to handle a tool or a step that is not working is to return to
an earlier tool or step in the cycle. There will also be times
when a certain tool is simply irrelevant to the problem at
hand. At those times, the leader's role is to steer the group
quickly toward a more productive technique.
In Ending the Meeting
1. Establish action items and responsibilities. Whenever a team
session ends with a decision, roles and responsibilities need
to be assigned. Everybody should know what is to be done,
who will do it, and when it will be accomplished. The distri-
bution of tasks should be fair. Those who can do the tasks
best should do them, but everyone should be involved at one
point or another in the labor that QAT requires.
2. Sum up the session and set the date, place, and objectives
for the next meeting. You need to be sure that team members
know where and when the next meeting will be held and that
they agree on what will be accomplished there. These deci-
sions are usually simple and straightforward and grow
directly out of the activity in your meeting. However, it's
still a good idea for the leader to sum up briefly by review-
ing what's been accomplished and what will be done at the
next session.
3. Evaluate the meeting. Ask for feedback from the team: "To
what extent did we meet our objectives?" This needn't be a
lengthy discussion, but some time can be provided for team
members to express themselves about how the group func-
tioned, what went right, and what went wrong. In general,
members need to feel a sense of satisfaction and closure—
that they got what they wanted out of the meeting or, if not,
that they had a chance to express their discontent. Periodi-
cally, you'll want to conduct a more formal evaluation of the
meeting by using a survey questionnaire.
104 Structuring the Meeting
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4. End the meeting crisply, positively, and on time. You may
recall meetings that simply faded away because the leader
didn't seem to know how to end them, or meetings in which
a good spirit was established but that ended with the feeling
that the meeting had served no purpose. It's important to end
the meeting on an optimistic note, without endless discus-
sion. Never ask a question at the end of a meeting. Just state
what will be done next time, thank people for their work,
and announce that the meeting is over.
5. Put the room back in order. This is a courtesy to others that
you hope they will also show to you.
After the Meeting
1. Prepare the minutes. With the help of the individual who
was assigned to take notes, prepare a comprehensive but
concise summary of the meeting. Do this as soon as you can
after the meeting has ended, before you lose the flavor of
what really happened. Distribute the minutes in time to get
feedback before the next meeting.
2. Follow up on action items and plan carefully for the next
meeting. One of your most important tasks is making sure
that members who have been assigned responsibilities carry
them out. Offer whatever help they need, since the advance-
ment of the group depends on their work. During the week
you'll also want to plan the details of the next meeting.
105 Structuring the Meeting
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The Role of the Manager or
Supervisor
-------
Reading
The Role of the Manager or Supervisor
"As your people learn
and use these skills, they
will need your support to
be successful"
Quality action teams are a resource. They are designed to be
used by you and for you. Within the structure of the program,
QAT gives you and your people the tools and support to improve
the way work is done—including attitudes, relationships, work
practices, and the final output. To reach its potential, it needs
your participation and your enthusiasm.
Your role in QAT has three major components.
1. Learn it and use it. You'll have the chance to learn skills for
solving problems, monitoring processes, and leading teams.
Your people will be using many of these skills, so you'll
want to understand them. But you'll also want to use them
yourself—when you lead groups, solve problems, and monitor
how things are going.
2. Support the people who are using it. As your people learn
and use these skills, they will need your support to be
successful. As they become adept, they'll be able to
undertake projects and solve problems that would have
landed on your doorstep before.
3. Integrate the activities of people above, below, and beside
you. This, of course, is your job as a manager—to coor-
dinate the activities and needs of diverse groups so that the
end result is a product that satisfies everyone. QAT provides
a way to integrate these groups more effectively. But it
requires your attention to integrate them properly.
Now let's examine in more detail the different aspects of your
leadership position.
Learning about Quality Action Teams—Getting Trained
There are different ways you can learn about the QAT program.
What's important is that you obtain at least a basic understanding
and then get more complete training in whatever parts of the
program you need. Depending on the training schedule that's
been set up for you, you'll have access to the following topics:
• General overview. You get a bird's-eye view of the
program—its philosophy and techniques, how it's structured
in your agency, and your role in the whole thing.
107 The Role of the Manager or Supervisor
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"You can use the QAT
problem-solving skills
and philosophy in a wide
variety of situations."
• Your own role. You learn specifics about how to join with
other managers in teams, how to form teams of your
employees, how to support those teams, how to convey
organizational priorities to the teams, and how to integrate
your QAT efforts with other organizational efforts toward
quality and productivity.
• Problem-solving process. You receive a detailed introduction
to the QAT problem-solving steps and tools, as well as
practice in using them. This instruction may take place in a
classroom format, or you may simply be trained as you face
your own first management-level problem.
• Leading teams. You learn how to take charge of a team, how
to guide and move the group without imposing your own
opinions, how to keep others involved in the team's activity,
how to deal with problems in group dynamics, and, finally,
how to train team members in problem-solving techniques.
Your committees or people coordinating the quality effort can
arrange a training schedule that accommodates all of these areas.
It's your job to let them know what you need.
Using the Problem-Solving Skills
You can use the QAT problem-solving skills and philosophy in a
wide variety of situations.
You can lead a team of your employees. If you have employees
who want to form a voluntary team, then you're probably the
person who'll lead it If you prefer not to lead, you'll need at
least to help get the team going and give it your blessing.
You can participate as a team member. If you want to work with
others in a team, quality action teams provide the support that
will help your efforts pay off. You'll have the services of a
facilitator, and you'll know a sequence of techniques. Most
important, you'll have formal access to various parts of manage-
ment through the presentation process. You can join any team
where your help is needed. Most often, the other members will
be from your level, but mixed membership is also useful.
You can assist the teams in your jurisdiction. At every stage of
the problem-solving process your help may be useful. A more
detailed discussion of how to relate to your teams appears in the
remainder of this reading.
108 The Role of the Manager or Supervisor
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"The QAT techniques
are useful in any
situation where there are
problems."
You can use the techniques with existing groups (ones that are
not quality action teams) and in everyday work. The QAT tech-
niques are useful in any situation where there are problems. They
have been used by groups and individuals the world over for
every sort of problem. Once you know these techniques, you can
use them at any time, as needed.
Feel free to adapt the QAT techniques to your needs. These tech-
niques are especially useful for diagnosing repetitive problems.
You'll find too that they needn't be used in a fixed sequence.
"Teams will almost
always make the 'right'
decisions if they're well
informed,"
Leading Teams
When you lead a team, your job is to help the team work effec-
tively. In other words, you are there to serve and facilitate the
team, not to boss it. This means that you help the team recognize
what it's trying to accomplish, facilitate dialogue among the
members so they can agree on their objectives, and guide them
so they stay on the track they've set. You may have to push
hard sometimes—insisting that members listen to each other, stick
to the task at hand, and move on when they're getting bogged
down.
Your job is not to impose your own ideas or agenda on the
team. This may be difficult if the team members are your direct
reports and you're used to telling them what to do. But, during
the team meeting, you'll do best in the facilitator role.
Of course, you may have areas of expertise that the team mem-
bers don't have. And you may have information from other parts
of the organization that is important for the team to know. Don't
hesitate to share that information. But remember that the final
decisions are up to the team. Teams will almost always make the
"right" decisions if they're well informed. Your obligation is to
make sure they make each decision with their eyes open.
For example, if the team members want to do a project that may
be very difficult because some departments will object, they
should be aware of the obstacle. If they choose to go ahead
anyway, even though you disagree, work with them as well as
you can to reach a good solution. Sometimes the collective
wisdom of the group is greater than that of the individual leader.
109 The Role of the Manager or Supervisor
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"Self-monitoring is a
powerful incentive in
QAT, as it is in sports."
Interacting with Teams
As a manager or supervisor, you may have teams in your work
area that are led by somebody else. You are in a position to
support and influence those teams. As you do, you want to avoid
common errors. First, there's the error of being too directive—of
failing to give the team enough autonomy. It's an easy trap to
fall into because the boss's word is taken very seriously. Even an
informal comment by you may be taken as a constraint. If you're
an active type of manager, you may have to hold yourself in
check sometimes, even letting the team make mistakes (from
your point of view) and learn from them.
There's also the risk of staying too distant from the team. Some
managers, afraid they'll discourage autonomy, decide to stay
strictly out of the team's business. This can be useful at times
(as previously noted), but most of the time it's a mistake. The
team loses one of its most valuable sources of information and
experience. You do, after all, have a perspective that those below
you probably lack. You can help the team see beyond its usual
horizon.
Your job is to be helpful without being autocratic. Like the team
leader, you want to encourage the team to work autonomously.
This means, for example, being careful not to dictate projects for
the team. As a manager or supervisor, you're in a good position
to suggest projects, but you must leave the final decision to the
team. Be prepared to explain why you feel that some projects
deserve more attention than others, but don't coerce the team into
working on a project to which it's not wholeheartedly committed.
When the team has a sense of ownership, it's motivated to make
the project succeed. And the more responsibility team members
take, the better your department will run.
Autonomy also means self-monitoring by the team. Self-
monitoring is a powerful incentive in QAT, as it is in sports. Just
as runners or climbers set their own goals and then continuously
push to achieve them, your team will want to chart its own
progress according to goals and measures that it has agreed are
worthwhile. Monitoring should be easy so that it can be incor-
porated into the work routine and can show the team when to
take corrective action.
When a team gets to monitoring and choosing measures for
evaluation, you can be helpful by finding out what measures
other teams are using and by encouraging your team to coor-
dinate its work with the other efforts. Try to have teams gather
comparable data and use common baselines. This lets teams
assess the effectiveness of their solutions more precisely and
110 The Role of the Manager or Supervisor
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"Your job is to break
down artificial barriers
to the sharing of
information."
comprehensively, and it provides data that everybody in the
organization can use.
Probably your most important role in terms of information is to
encourage the open sharing of accurate information. QAT em-
phasizes decision making and problem solving based on facts.
But in some organizations the facts may be hard to get Your job
is to break down artificial barriers to the sharing of information
and to create an atmosphere in which information is made avail-
able as needed.
Finally, you'll want to keep in touch with your teams, main-
taining the face-to-face contact that lets you know how the
process is working and that lets team members know you're
really interested in their work. To keep in touch with each team,
consider these options.
• Attend team meetings occasionally.
• Attend team presentations to management even if you're not
the key decision maker.
• Maintain regular contact with team leaders and facilitators.
• Read minutes from the team meetings.
"Nothing sends a
message as clearly as
management's action or
inaction on something it
has promised."
Sharing Responsibility for Implementation
The problem-solving process is often exciting for the team. It's a
time to cut loose, to be creative, to figure out how things work.
But more difficult tasks may come later in the process—when the
solution must be painstakingly executed, monitored, and sus-
tained. Moreover, implementation not only may be arduous but
also may require resources that the team just doesn't have. This
is a time when managers really show their colors. You need to
work out a realistic plan with the team to ensure that resources
are provided and the work is fairly allocated.
Management has to commit itself to some parts of the implemen-
tation plan. And management has to follow through. Nothing
sends a message as clearly as management's action or inaction on
something it has promised. Enthusiastic managers can get them-
selves in trouble by biting off more than they can chew in the
excitement of seeing teams at work. So, follow these three steps:
(1) do your fair share in each implementation, (2) don't make
promises you can't keep, and (3) follow through. This will be
much easier if you have a structured participation in QAT at
your own level. A team of fellow managers can help you do
what you ought to be doing.
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"Recognition is one of
the manager's most
powerful tools."
Supplying Recognition and Reward
Recognition is one of the manager's most powerful tools. Yet,
paradoxically, it's one of the least used in proportion to its ease
and its value. You'll often hear employees complain that they are
criticized when something goes wrong but are rarely praised for
good work. Maybe that is because managers, like everyone else,
tend to notice the "squeaky wheel" and take competent work for
granted.
In supporting QAT, you should make frequent use of recognition
as a motivator. Make a special effort to notice and commend
good work rather than emphasize mistakes or poor work.
Recognition should be timely. It's most valuable when it's given
immediately after a particular achievement. This means you can't
wait for formal recognition ceremonies. Your day-to-day attention
to the team's achievements usually has the greatest impact. You
don't even have to praise people; just the knowledge that you're
genuinely interested is usually recognition enough. Thus, you can
recognize the ongoing work of a team and applaud their persis-
tence and creativity even when they can't yet point to any
specific achievement.
Recognition should also be equitable. Everybody's contribution
should be acknowledged, including that of nonmembers.
Recognition of teamwork should be directed at the team as a
whole. Avoid singling out individuals for recognition. Recogniz-
ing some team members but not others can create a sense of
competitiveness that is destructive to the team process.
Take advantage of all the possibilities for recognition, from the
most informal to the most formal. Informal recognition can take
the form of a simple compliment.
"Hey, Mary, I think your team is doing a great job on the
tardiness project. It's been a problem for years, but it
looks as though your group will make some real improve-
ments."
It can also mean passing along praise from someone else.
"Mrs. Ross in personnel was telling me she's very
interested in the progress you've made on the tardiness
project. She thinks it's an important issue and that
you have some good ideas about it."
112 The Role of the Manager or Supervisor
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Now and then, you might want to send an encouraging memo
like the one below to the team leader to acknowledge the wholt
team's efforts.
"Ample recognition will
usually sustain QAT
through its initial years.'
From the Desk of Ann Rhlnes
I've been watching the progress of your team, and I want you
to know that I really appreciate everyone's efforts to reduce
errors in our department. This is a great contribution to the
department.
Formal recognition can take the form of organization-wide cere-
monies or parties. Such ceremonies underline the importance of
the QAT program and honor outstanding teams. You can also put
articles about QAT in the employee newsletter or even create
special publications (like a pamphlet or booklet describing QAT
efforts). Because these formal types of recognition involve people
outside your team and department, you should plan them jointly
with those others.
Now let's consider more concrete rewards. Ample recognition
will usually sustain QAT through its initial years. People will get
a great deal of satisfaction from the added responsibility and
interest that QAT brings to their work. But after a time workers
may want to have more tangible rewards for their efforts.
Reward and incentive systems are a very significant part of
organizational life and should be changed only after careful
thought and planning. We want to stress that decisions about
rewards must be made in conjunction with senior management,
other managers, and the steering committee.
Your input into these decisions is also important. You can con-
vey what team members think about rewards—what seems most
fair, most practical, and most effective. You're also in a position
to take a broader perspective and consider how new rewards will
affect work and productivity overall.
113 The Role of the Manager or Supervisor
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"Most reward systems
focus on tangible
results, but this is just
one aspect of the QAT
syste,m."
As you think about reward systems for QAT, keep in mind the
basic axiom of reinforcement theory: You get more of whatever
behavior you reward and less of unrewarded behavior. So, for
instance, if you reward people only for doing projects that save
money, you'll find that more people are trying to save money—
but little attention is being paid to the consequences for morale,
customer satisfaction, organizational integration, and the like.
Projects that might be very valuable to the organization but that
have no obvious monetary payoff will be avoided.
For this reason, think carefully about what you want, and design
the reward system to reinforce all those things. Most reward
systems focus on tangible results, but this is just one aspect of
the QAT system.
You may want to have separate categories of reward for financial
gains, safety improvements, improvements in operating efficiency,
public relations, or whatever. You may also want to encourage
everyone to feel part of the QAT process, rather than focus on
just a few outstanding teams. This requires a reward system that
gives many people a piece of the pie—perhaps spreading the
rewards among all team members or even among all employees.
Creating Supportive Personnel Policies
Use your influence on personnel policy to support QAT. For
example, performance evaluation and promotions should take
account of a worker's QAT involvement. And an orientation to
QAT for new workers will enhance their receptivity to the pro-
gram and their ability to participate easily. Encouraging workers
to avail themselves of opportunities for continued training, on and
off the job, will strengthen teams by making members more
knowledgeable and skilled.
Another important area for personnel policy coordination is
maintaining stable membership on the teams. It takes time for
team members to develop comfortable working relationships with
each other. Rapid turnover can interrupt this process, continually
sending the team back to square one in its efforts to become a
productive working unit. You may want to time promotions and
transfers so that team membership stays reasonably stable and
projects aren't interrupted unnecessarily.
Working with Other Departments and Managers
When it comes to working with your peers, your most important
task in QAT is establishing cooperative working relationships and
clear channels of communication. Since each team works on a
114 The Role of the Manager or Supervisor
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"It's a good idea to
share with your peers
the experience of guiding
and supporting QAT."
variety of projects, the team is likely to affect the activities of
many other departments, both staff and line. Since you can't
always predict just who will be affected, it's worthwhile to wo^k
out some simple procedures for sharing information and for
cooperating with all other departments. This becomes crucial
when teams reach the point of tackling larger issues that cros s
departmental boundaries and affect the system as a whole. Such
projects are easier to carry out if you've paved the way in
advance by creating cooperative relationships and procedures i
It's a good idea to share with your peers the experience of '
guiding and supporting QAT. Regular meetings of managers land
supervisors will facilitate your ability to administer the program
effectively. Some organizations create a framework of managerial
teams in every department, and we recommend this procedure
many QAT users.
for
In the early stages, when the program is new to you, don't
hesitate to seek expert help when you need it. There may be
people in your organization who have experience in QAT or who
can direct you to helpful contacts. You may want help from the
facilitator staff as you do training. Later, as the team becomes
skilled in problem solving, you may need the help of statistic
experts for data gathering and monitoring.
Finally, remember that the success of this process depends on
goodwill and efforts of many people who are not directly in-
volved in the problem-solving process. They need and deserve
recognition as much as team members do. Be sure to acknowl-
edge the contribution of your peers and let them know you
appreciate their cooperation.
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