Lean Government
Event Scoping Guide
          i

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     OTHER PUBLICATIONS FROM ERA'S LEAN GOVERNMENT INITIATIVE

   Lean in Government Starter Kit
   Working Smart for Environmental Protection: Improving State Agency Processes with Lean and
   Six Sigma
   Lean in Air Permitting Guide
   Lean Government Metrics Guide
   Lean Leadership Guide
These resources, as well as case studies and other information about Lean government, can be
found on EPA's Lean Government website (www.epa.gov/lean/government).
                          Lean Government Event Scoping Guide

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Lean Government Event Scoping Guide
This Lean Government Event Scoping Guide is a resource to help government agencies select,
scope, and charter successful Lean events. Each section includes lessons, examples, and/or
quotes drawn from environmental agencies' experiences with scoping and conducting Lean
events. This guide includes the following sections:
       Introduction to Scoping
           Select a  Lean Process
           Improvement Project
                Set the Scope for the Event
                     Develop the Event Charter
This guide assumes the reader is familiar with Lean government, which is the application of
Lean methods to government processes. Lean enables environmental agencies to work more
effectively and efficiently to protect human health and the environment by identifying and
eliminating waste in government processes. Whether your organization has conducted Lean
events in the past or is beginning to plan its first event, this guide provides practical advice for
the critical initial steps for planning a Lean event. It is a supplement to the  Lean in Government
Starter Kit, which provides overall guidance on how environmental agencies can use Lean
methods to improve their processes.
Introduction to Scoping a Lean Event

What Does "Scope" Mean?
Scope refers to the segment of a work process—involving
specific activities and steps—that is addressed in a Lean
event. In any organization, there are typically numerous
processes that are each designed to deliver a specific
product,  service, or result with specified features and
functions. However, such processes often have blurry
boundaries in the real world. Processes overlap,
interconnect, and are embedded within each other. Some
      IN THIS SECTION:
 INTRODUCTION TO SCOPING

•  What Does "Scope" Mean?
•  Why Does Scoping Matter?
•  Managing Expectations Related
   to Scope
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processes are dependent on outputs from other processes. Other processes share steps or
resources, including people and equipment. The scope for a Lean event defines the specific part
(or parts) of a process on which a team will focus its attention, including its beginning and end
points.

Why Does Scoping Matter?

Lean initiatives often succeed or fail based on an organization's ability to scope Lean events
effectively. Poor scoping not only limits a team's ability to meet its goals, it can also undermine
support for future improvement activities.  The stakes are high. How often have we heard, "we
tried that before and it didn't work, we won't do that again!"? Disagreement or confusion about
an event's scope can also make it difficult to create an atmosphere of trust at a Lean event.

So what happens when Lean events are not well scoped?

   •   Unclear scope.  Teams spend excessive time      "| Hgn't think it is DOSSiblG to
       trying to agree about what they will be                 ^ ^  •    ^
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facilitators, and participants can calibrate their expectations by explicitly discussing the types of
results that are realistic under various event scopes.

In many cases, the magnitude and complexity of the process improvement being sought will be
beyond that which can be fully addressed in a single Lean event. By acknowledging this
honestly, managers and teams can scope their Lean events to achieve rapid progress in the
context of a broader improvement strategy.  This guide will help you consider event scope in the
context of expectations, results, and broader improvement strategies. The next section discusses
steps and considerations for selecting a Lean improvement project.


Select a Lean Process Improvement  Project
The first stage in planning for a Lean event is to select a process to target for improvement.  This
important step should take place before the pre-event scoping meeting, which should typically be
held three to six weeks before the event. There are three key steps for selecting a Lean process
improvement project.
                                                     STEPS FOR SELECTING A
                                                          LEAN  PROJECT
Step 1: List Potential Processes to
Target

Selection of a process to target in a Lean
event is typically guided either strategy or
"pain" (or both)—that is, the greatest            •  SteP 1: List Potential Processes to Target
perceived problems.  Problems could include     •  Step 2: Assess Project Desirability
backlogs, bottlenecks, complaints, funding       .       3. ^^ for Readjness fo Se|ect ^
constraints, or quality and performance
concerns.  The box below lists several
example reasons for selecting processes for
Lean events.
                  STRATEGY AND PAIN-DRIVEN PROCESS SELECTION1
 Strategy-Driven Process Selection              Pain-Driven Process Selection
   •   Based on new initiatives or regulatory          •   Based on organizational concerns
      programs                                          _   inadequate capacity or resources
           -   New challenges or needs                        due to workload or budget cuts
           -   New or shifting agency priorities               -   Concern for meeting regulatory
   •   Based on connections to other organizational                 deadlines
      changes or initiatives                        •   Based on process problems
           -   Reorganization                             _   Backlogs
1 Based on a presentation by Guidon Performance Solutions, "How to Scope a Lean Event," at the Lean Government Exchange in
Des Moines, IA, 9-11 June 2009, www.slideshare.net/guidon/how-to-scope-a-lean-event.



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            -  Other process improvement efforts
   •   Based on a value stream map analysis of the
      organization or process area2
Missed deadlines
Quality issues
Customer, stakeholder, or staff
complaints about process or
outputs
Productivity problems
Either approach—strategy or pain, or a blend of both—can be used to generate a list of potential
processes to target in a Lean event or process improvement project.  For each process added to
the list of potential candidates for a Lean project, try to identify the high-level purpose of a
potential improvement effort (e.g., reduce lead times, improve  quality, or eliminate rework).
These processes with high-level improvement needs form the universe of potential Lean projects
to consider.
                                        Improvement
                                            Need
                                          (Purpose)
                Potential
               Lean Project
Step 2: Assess Project Desirability

The next step in project selection is to assess the processes being considered for improvement to
determine if they would work well in a Lean event.  An efficient way to assess project
desirability is to qualitatively rate (high, medium, and low) each process identified in Step 1
according to the following three criteria:
    •    Value to the organization. Refers to the effect potential improvements to the process
       will likely have on the organization or its stakeholders. Value could be considered in
       terms of environmental outcomes, quality of service, or cost-effectiveness of budget
       investments, among others.
          -  It is important to consider that improvement of large volume, low variability
              processes may  have significant value to an organization  since potential results are
              realized each time the process is used (e.g., each time a permit is issued).
          -  While certain low volume, high variability processes (e.g., leadership transition
              processes, periodic planning processes, etc.) may be important to an organization,
              the cumulative value  of potential improvements may not be as high.  For example,
              reducing permitting timeframes may be medium to high  value.
2 Value stream mapping refers to a process of mapping the current state and desired future state for key high-level processes in an
organization. Value stream maps are frequently used to guide selection of specific areas (e.g., processes, sub-processes) where
improvement activities are needed to move towards the desired future state.
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   •   Effort required. Refers to the amount of time and resources that will likely need to be
       devoted to the Lean event and follow-up activities to realize the value. Processes that are
       complex (e.g., changing an organizational strategic planning process, changes that affect
       regulatory interpretations, guidance, or rules, etc.) and involve many participants or
       organizations may require a high level of effort, whereas processes that involve fewer
       people may require a low level of effort. Processes that are well established by years of
       tradition and institutional knowledge may also require a high level of effort to change.
       Another factor to consider is whether the process is politically sensitive and therefore
       may require significant and potentially significant communications with the public and
       legislators, in addition to managers and staff.
   •   Probability of success. Refers to a reflection on the various risk factors that may affect
       the likelihood of identified improvements being successfully implemented. Factors that
       make for a low probability of success can include:
          -  Projects that will  not likely show benefits for more than a year
          -  Projects that depend on completion of other risky projects (e.g., changes needed
             through regulatory processes)
          -  Projects that require substantial assistance from extremely busy people
          -  Projects that are not clearly aligned with the organization's strategic priorities and
             objectives
          -  Project fixes that  require a large financial investment

Once each potential project is rated for each of the criteria above, it can be plotted on a project
desirability matrix.
                              Project Desirability Matrix

                                                        Probability of
                                                            Success
                                                               ^   Low
         High

 01
•     Medium
            Low
                                                                     Medium
                                                                     High
                   Low     Medium   High
                       Effort Required
   Source: Based on a presentation by Guidon Performance Solutions, "How to Scope a Lean Event," at the Lean
 Government Exchange in Des Moines, IA, 9-11 June 2009, www.slideshare.net/quidon/how-to-scope-a-lean-event.
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It is important to note that agencies may choose to select Lean projects other than those that fall
in the most desirable section of the project desirability matrix—that is, the section representing
high value, low effort, and high probability of success.  There may be important reasons to
continue with the event; however, it is important to calibrate everyone's expectations about the
types of results that can reasonably be expected.

Step 3: Screen for Readiness to Select the Project

Next, the most desirable projects should be screened for readiness. To assess readiness, consider
the following factors:
   •   Presence of a "champion."  If there is no obvious individual to oversee and lead a Lean
       event on the process and motivate others to change (a "champion"), then it is not likely a
       good candidate for improvement.
   •   Engagement of key managers.  If key managers show resistance or opposition to an
       improvement effort, it can be difficult to move forward with implementation following
       the event.

Many environmental agency managers with Lean experience and other experienced Lean
practitioners attest that leadership engagement and commitment is the single most important
factor for the long-term success of Lean initiatives.  For guidance on effective roles for leaders in
Lean initiatives, see EPA's Lean Leadership Guide on EPA's Lean Government website.  The
next section discusses factors to consider when setting the scope for a Lean event.


Set the Scope of the Lean Event
To enable a successful Lean event, it is critical to
define exactly what the team will be asked to
accomplish.  The event scope sets the "fence posts"
that the team will be operating within. Scoping helps
STEPS FOR SETTING THE SCOPE
      OF THE LEAN EVENT

•  Step 1: Define Key Components of
answer the following questions:                            the Event Scope
   •   What is the purpose of the event?                 .  Step 2: Consider Whether Scope is
   •   What specific process or part of the process will      Sufficiently Narrow
       be targeted in the event?                         .  step 3. Consjder |mp|ications of
   •   What are the desired outcomes?                     Scope and Align Expectations
Answering these questions can significantly increase
the probability that the event is successful. Effective scoping is as much art as science. Refining
the scope of the event is usually done during the pre-event scoping meeting, three to six weeks
prior to the event; sometimes more than one pre-event meeting is needed. For a detailed
explanation of the pre-event meeting, see chapter 3 of the Lean in Government Starter Kit.
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Step 1: Define Key Components of the Event Scope
Discuss and identify the key components of the Lean event scope that will keep the team focused
on the specific areas and work steps that will best enable them to improve the process and
address the purpose of the Lean project. The scope should include the following information:
   •   Process and purpose. Identify the process targeted for improvement, as well as the high-
       level purpose of the improvement project.
   •   Event name. Identify a name for the Lean event that is easily recognized.  Event names
       should be descriptive, but not too long.
   •   Process trigger. Identify the process trigger that sets in motion the action in the first step.
       The trigger should answer the question, "How do the people who perform the first step
       know to begin work?"  The trigger could be the receipt of something such as a request or
       application. With scheduled activities, the calendar or a schedule may be the trigger.
   •   First step in the process. Identify the first activity in the process (beginning "fence
       post") that the team should focus on in the event.
   •   Last step in the process. Identify the last activity in the process (ending "fence post")
       that the team should focus on in the event.
   •   Specific conditions. Identify the specific process conditions that should be assumed by
       the team during the event.  Processes often vary depending on  specific conditions or
       circumstances, such as geography, type of work product or service delivered, or type of
       customer, among others.

Be as specific as possible when documenting this information to avoid confusion.

Step 2: Consider Whether Scope is Sufficiently Narrow
Once you have clearly documented the components of
the event scope, step back and consider whether the
scope is sufficiently narrow. Will the team be able to
fully map and examine the current state process steps,
develop a desired future state map, identify specific
improvement needs and solutions, and plan for their
implementation during a two- to five-day event?
While some events may be scoped too narrowly, the
tendency is often to set the scope for a Lean event too
broadly.

If the scope feels too large, consider the following
approaches for narrowing the scope further:
   •  Adjust the specific conditions. Consider
      whether it is helpful to focus the event on a
      specific type of work product (e.g., Title V air
      permit renewals instead of all air  Title V air
      permitting). Alternatively, it may be useful to
"The selection and scoping of the
event was critical. For our first
event, we selected one specific
aspect of our audit process-
tracking corrective actions. We
deliberately started small—yet that
one aspect took a full week to
work through.  We resisted the
temptation to allow for scope
increase and managed to stay
focused on one single issue with
good  results in the end."
Barbara Freggens, EPA Office of the
Chief Financial Officer
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       focus on how the process is implemented in a specific geographic region or in a specific
       sector.  It may also be helpful to consider if certain cases in the process can be segmented
       by complexity or in some other manner.  For example, some processes may have cases
       that trigger a certain type of analysis, review, or consultation—if so, it may be useful to
       focus on or exclude these cases from the event scope. If the event is narrowed to address
       a specific subset of cases in the broader process, the team can later consider the relevance
       of applying identified improvements to other cases in the broader process.

   •   Move the fence posts. It may be worth considering whether the starting or ending point
       in the process outlined in the scope can be adjusted.  Event planners should carefully
       weigh the benefits of narrowing the process steps examined during the event, with the
       potential loss of information about upstream or downstream implications from focusing
       improvement activities on a specific portion of the process.

   •   Divide into multiple events. In some cases, it may be helpful to break the Lean project
       into a series of two or more coordinated events to address specific aspects of the process.


The textbox below discusses several environmental agencies' lessons regarding event scoping.
               LESSONS LEARNED ABOUT SCOPING EVENTS TOO LARGE
 Especially when agencies begin their Lean journeys, it's easy to want to try to do too much in a single
 Lean event. Here are some experiences environmental agencies have had:
     •   EPA Region 7, Iowa DNR, Kansas DHE, Missouri DEQ, and Nebraska DEQ: EPA Region 7
        and the States of Iowa, Kansas, Missouri, and Nebraska set the scope of their second joint
        event to address both permitting and enforcement in the NPDES process. Although they were
        able to work through the current and future state mapping, participants did not get as far into the
        implementation planning as they might have with a narrower scope. Some managers felt that it
        might have been better to have separate events on permitting and enforcement, in order to have
        more success with implementation afterwards.
     •   EPA Office of the Chief Financial Officer (OCFO): EPA OCFO had very different experiences
        in its first two Lean events based in part on how the teams scoped the events. In the first event,
        which was a kaizen event, OCFO focused narrowly on tracking corrective actions in its audit
        process and developed an action plan that the team could readily implement following the event.
        In the second event, a value stream mapping event with a much broader scope, the team looked
        at the entire budget and planning  process. Many participants were frustrated that the outcomes
        from the value stream mapping event were not more concrete or implementation-focused.
     •   Minnesota Pollution Control Agency (MPCA): MPCA initially addressed the entire NPDES
        water permitting process in a Six Sigma project, but found that it was too much to tackle in a
        reasonable amount of time.  MPCA then narrowed the scope of the process improvement efforts
        to focus on re-issuance of permits. The agency has found more success by implementing a few
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        projects overtime rather than an occasional "mega project," and has also shifted from relying on
        longer-term Six Sigma projects to implementing short, focused Lean events.3
Step 3: Consider Implications of the Scope and Align Expectations

As the image below suggests, setting the event scope is a balancing act.  On the one hand you
want to scope the event broadly enough to enable a strategic and systems-focused improvement
approach; on the other hand, you want to be able to focus in enough detail to be able to drive
timely and effective implementation actions during or immediately following the event.

                               Event Scope Balancing Act
                        Narrow
                         Scope
   Broad
   Scope
                                                     Current state map consumes
                                                     the event, leaving little time
                                                       for action planning
                          Misses big pjctun
                           understanding
                      Underutilizes resources and
                           staff time
 Implementation action
   Planning becomes
scattershot, not strategic
Complexity can paralyze
     Progress

When considering whether the current scope strikes the right balance, consider the likely
outcomes that may be achieved from the event as currently scoped.  If the scope remains broad,
it is especially helpful to consider the following steps to ensure that the investment of staff time
and resources in the event yield results.
   •   Be prepared for follow-up implementation planning and support. Make sure that the
       team is prepared to allocate significant time following the Lean  event to plan for and to
       conduct follow-up implementation.  Ideally, you should scope and design the event so
       that implementation begins the work day right after the event.
3 For more information on MPCA's Lean and Six Sigma efforts, see U.S. EPA and Environmental Council of the States, Working
Smart for Environmental Protection: Improving State Agency Processes with Lean and Six Sigma, March 2008, EPA-1OO-R-08-
007, www.epa.gov/lean/toolkit/LeanGovtPrimer.pdf, and the State of Minnesota Enterprise Lean website, www.lean.state.mn.us.
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   •   Be open to conducting additional Lean events.  In some cases, it may be appropriate to
       identify—and carve out—specific parts of a process to be examined in a separate,
       coordinated Lean event.  This can enable a team to devote more concentrated attention on
       specific areas during the next Lean event.

Finally, remember to align leaders' expectations for results with what can realistically be
achieved.  Many teams see management support for a project erode when they expect a Lean
event to yield substantial (and often unrealistic) results that do not rapidly materialize. In reality,
particularly for broadly-scoped events, the Lean event typically marks the beginning of a longer
improvement effort. The event should be a powerful start to a longer improvement journey.


Develop the Lean Event Charter
The team charter for a Lean event is one of the most important documents for ensuring the
success of the process improvement effort. The Lean event charter defines the scope, goals, and
objectives of the event, as well as the participants, meeting logistics, and work that must be
completed prior to the  event. The Lean team develops the charter in the pre-event scoping
meeting or meetings, ensuring that team members develop a common understanding of what the
team wants to accomplish and what success will look like. The entire Lean team should support
the items they decide to include in the charter. The charter also serves as the basis for external
communications about the event,  along with the event report-out presentation. For guidance on
communications associated with Lean, see chapter 3 of the Lean in Government Starter Kit.

The textbox below lists the seven steps to follow when developing a charter.
                     STEPS TO DEVELOP A LEAN EVENT CHARTER
     Step 1: Document the scope of the process to be leaned
     Step 2: Identify goals and objectives
     Step 3: Clarify boundary conditions for the event
     Step 4: Determine participants for the event
     Step 5: Identify pre-work needed
     Step 6: Record event dates and location
     Step 7: Review the charter with management and the team
On the following page is an example charter, showing the key elements of scope, goals,
objectives, participants, pre-work, and event logistics.
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                                 Example Team Charter
SCOPE

This event will address the Air Quality Bureau - Construction Permits section's process for reviewing and
issuing Complex Construction Projects.  The event will focus on the point at which an initial application is
received by the agency to the point at which a permit is issued.

Complex construction projects are generally those that involve Prevention of Significant Deterioration
(PSD) permitting, Air Toxics review under 112g of the Federal Clean Air Act, Netting evaluations for PSD
credit, Non-attainment State Implementation Plan (SIP) permitting, and other permitting that involves
establishing facility-wide or extensive permitting to limit potential emissions to reduce the facility's
regulatory burden. The process is defined as beginning when an application is received, and ends when a
permit is issued.

GOALS AND OBJECTIVES

The following will be accomplished within six months of the Lean event:
    1.  Issue 100% of Complex PSD permits in a maximum of 180 calendar days (132 work days) from the
       application received date.
    2.  Reduce lead time for processing projects from 210 days (including 40-day comment period) to 125
       days (including 40-day comment period). (Reduction of 50% not including comment period).
    3.  Reduce requests for additional information by 50%.
    4.  Reduce the number of unanticipated comments in the comment period by 50%.
    5.  Streamline the process to review and issue Complex Construction Projects and reduce variability.
    6.  Develop a standard operating procedures guide for project reviewers and project applicants.

BOUNDARY CONDITIONS

No changes will be made to existing regulatory requirements.

PARTICIPANTS
Team
Facilitator: [Insert name here]
Team leader: [Insert name here]
Event sponsor: [Insert name here]
Team members: [Insert names here]
Daily Briefing Participants:
[Insert name here]
[Insert name here]
[Insert name here]

PRE-WORK

    •   Process Mapping      ([Insert name here]) - Complete draft by 8/16
    •   Matrix Construction   ([Insert name here]) - Complete draft by 9/22
    •   Data Collection       ([Insert name here]) - Complete draft by 10/17
    •   Guide Materials       ([Insert name here]) - Complete draft by 11/11

EVENT LOCATION, DATES, AND TIMES

    •   Monday through Thursday, 11/15-11/18, 8:00 AM to 5:00 PM
    •   Friday, 11/19, 8:00 AM to 1:00 PM; Report-Out Presentation at 12:00 PM
    •   Location: Air Quality Bureau, Room XX
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Step 1: Document the Scope of the Process to be Leaned

In the pre-event scoping meeting(s), the Lean event team should discuss the scope of the process
that it will address in the Lean event and clearly define and document the start and end points of
the process in the charter.  See the above section, titled "Set the Scope of the Lean Event," for an
explanation of how to create an effective event scope.

Step 2: Identify Goals  and Objectives

Having a clear target for your Lean event is critical to success. Goals and objectives enable this
targeting.  They are not the same, although they are often thought of together.

Lean Event Goals

Goals are statements of intent that focus team attention on the areas in which improvement
results are desired.  Goals typically precede objectives, and provide a useful starting point to
ensure that the highest priority areas are targeted by an event. While there may be many goals
for a specific event, it is important to have a shared understanding among the team of the 1-3
highest-priority goals. The textbox below lists common types of goals for Lean events.
Examples of goals include:
   •  Reduce the lead time for reviewing air construction permit applications.
   •  Decrease response time for customer calls related to sewer back-ups.
   •  Increase the percentage of permit applications that are complete and accurate.
                            TYPES OF LEAN EVENT GOALS
 The following types of goals are common to many Lean events. For a specific Lean event, these
 types of goals would typically include some description of the specific activity or work product
 that is relevant to the goal statement.
    •   Reduce lead time                         •   Standardize the process
    •   Improve quality                          •   Organize the workplace
    •   Improve productivity                     •   Define key performance indicators
    •   Free capacity                             •   Clarify roles and responsibilities
    •   Reduce response time to requests or
        inquiries
Lean Event Objectives

Objectives differ from goals in that they are specific and measurable. A team should be able to
observe and measure the current state relevant to the objective, as well as the status of progress
made over time.  Each objective should include:
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   •   The goal
   •   Metrics associated with the goal (often related to time, quality, or cost)
   •   Targets (desired performance level relative to current performance level)
   •   Timeframes (if possible)

Examples of well-defined objectives include:

   •   Reduce the maximum time for first response to permit applicant inquiries to 24 hours
       within 3 months.
   •   Improve first time quality of monthly water quality data submittals from 72 to 95 percent
       by June 1.

In cases where there is not sufficient data to define specific quantitative objectives, set general
goals and objectives that express a percentage improvement target.  For example:

   •   Reduce the average time it takes to conduct an administrative review of a permit
       application by 75 per cent within the next three months.

Objectives should be realistic,  but set the bar to encourage the team to "stretch." It may be
useful to communicate that the organization is committed to achieving the objective, but that the
Lean event team will not be penalized for failure to reach the objective—although significant
progress towards the objective is expected.
                             EXAMPLE EVENT OBJECTIVES
 Below are examples of objectives drawn from environmental agency Lean events. Note that
 some of the objectives could benefit from more explicit refinement to targets and timeframes.
    •   Florida Submerged Lands and Environmental Resources Permit Process: Reduce
        time of the first phase of the Dredge and Fill application process by 50 percent.
    •   Vermont Department of Environmental Conservation,  Wastewater Management
        Division: Reduce permit processing time (lead time) by 50 percent (while using the
        same environmental review standards); improve productivity by 100 percent.
    •   EPA Office of the Chief Financial Officer Corrective Action Tracking: Reduce
        missed milestones by 100 percent (e.g., no missed corrective actions); reduce rework
        and duplication by 75 percent (e.g., reduce the status-check phone calls, e-mails, and
        fire-drill mentality); reduce status update time by 50 percent (e.g., create one central
        place for data); make current data readily available to all stakeholders.
Step 3: Clarify Boundary Conditions for the Event

A crucial step in scoping a Lean event is for the event sponsor to establish clear boundaries.
Boundaries define the limits of the event in advance, which helps the Lean team to remain
focused only on potential solutions that they can reasonably expect to implement after the event.
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Some solutions might be off-limits, such as policy changes. Some agencies have used an in-
scope and out-of-scope list to help keep boundary conditions in mind throughout the event.

By establishing clear boundaries for a Lean event, the team can clarify the team's expectations
for what they will address during the event. It can also help address concerns that some
stakeholders might have.  A few advantages of setting discrete boundaries include:
       Clear boundary conditions ensure that agency
       objectives—such as environmental protection and
       public participation—are not undermined. For
       example, changes that would require rulemaking
       action are generally considered out of bounds during a
       Lean event, although these ideas could be held in a
       "parking lot" for future consideration.
       Boundary conditions can be helpful in addressing key
       stakeholder concerns up front.  For example, when
       conducting a Lean event on a permitting process, it
       may be necessary to clearly state that public comment and
       not be lessened.
               "The in-scope and out-of-
               scope list is very important.
               We had it right on the wall in
               the event."
               Paul Foster, Delaware
               Department of Natural Resources
               and Environmental Control
               participation opportunities will
   •   Boundary conditions can help set clear expectations about the availability of additional
       resources. Lean events are designed to strongly encourage creativity to find ways to
       reduce costs rather than to increase capital expenditures.
                     EXAMPLE IN-SCOPE AND OUT-OF-SCOPE LIST4
 In Scope
     •   Interpretation of agency rules,
        policies, and guidance documents
     •   Internal organizational structure
     •   Internal permit process and timing
     •   Applicant internal process and timing
     •   Electronic submittals
     •   Application content and format
     •   Permit and technical memo format
     •   Special condition content
     •   Communication (internal/external)
Out of Scope
   •   EPA regulations
   •   Interpretation of EPA rules, policies,
       and guidance documents
   •   Modifying existing agency rules
   •   Additional resources
   •   Permit appeal process
   •   New software/computer systems
   •   Mandated public participation
       requirements
   •   Permit involving enforcement action
   •   Public hearing process/officer
The pre-event scoping meeting(s) should include time to discuss the team's thoughts about the
scope and boundary conditions for the event, as well as time to incorporate any changes needed
' In Scope, Out of Scope List from a presentation of the Delaware Department of Natural Resources and Environmental Control.
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to ensure that the team is fully supportive. Sometimes, it becomes clear during an event that
something outside the boundaries must be addressed in order to achieve the event's goals.  It is
acceptable to change the boundaries, but the team should be explicitly clear about why it has
decided to make the change, and evaluate whether the change will require any increase in team
size or the timetable of the event.

Step 4: Determine Participants for the Event

Selecting the best possible combination of people to participate in a Lean event can have a
tremendous impact on the success or failure of the event. Instruct team members that they
should expect to participate fully by attending the entire event.  Make sure that team members
anticipate completing assignments before, during, and after the event.
                                                            THE "THIRDS RULE"
                                                     The "thirds rule" provides a guide for
                                                     structuring the Lean Team. Include:
                                                     •  1 /3 of participants who work directly
                                                        in the process
                                                        1/3 of participants who manage
                                                        supervise the process
or
                                                     •  1 /3 of participants who are not
                                                        directly involved in the process (e.g.,
                                                        people from the agency, external
                                                        stakeholders, customers)
Some key steps to follow when selecting the members
of the event team include:

   •   Start with the "Thirds Rule." This guideline
       will ensure that the team has representation
       across multiple functions. Select one-third of
       team members who work directly with the
       process, one-third who are managers or
       supervisors in the process, and one-third
       customers or stakeholders (see textbox).
   •   Select 8-14 team members for most events.
       Some processes are extremely complex and
       may require additional participants; however,
       teams should  not be larger than 20 members.
       Very large teams can be difficult to manage
       and may require dividing into subgroups.
   •   Include high-level managers on the team to
       secure buy-in from decision makers and to ensure that implementation will continue after
       the event.
   •   Balance participants throughout the process, and avoid loading the team with members
       involved in just one part of the process. Consult with staff to identify all activities in the
       event's scope and select participants with connections to those activities.
   •   Consider including a representative from the agency's information technology and/or
       human resources, legal, or accounting branches, if the process involves these functions.
   •   Consider people's personalities and informal leadership roles as well as their formal titles
       and relationship to the process. For example, it's helpful to have people who are doers
       and connectors, as well as people who are open to change and can act as change agents
       after the event ends.

Key participants in the event should include:
   •   Event Sponsor. This person will own the process, helping team members by  approving
       time away from work to participate in the event and by removing any roadblocks.
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          -  Note that it is critical for the sponsor to kick off the event, enable Lean teams to
             make decisions during the event, participate in the report-out presentation, and
             monitor implementation after the event; however, in some cases, the sponsor may
             not participate in all of the day-to-day activities of the event. (See EPA's Lean
             Leadership Guide for more guidance.)

   •   Facilitator: This person will guide team members through the Lean event, helping the
       team develop the event charter and scope by facilitating the pre-event scoping meeting,
       facilitating and managing the discussions during the event to ensure participants' goals
       are achieved, and advising team members on assigning follow-up activities.

   •   Team Leader. This person should have previous experience with process improvement
       efforts. The team leader helps with logistics; supports the Lean facilitator during the pre-
       event meeting, Lean event, and follow-up meetings; and helps lead the team in the event.

   •   Team Members. These participants are key managers and staff who work within the
       process, with the process, or are customers of the process.

Step 5: Identify Pre-Work Needed

Collecting data  on baseline metrics and other prep work related to the process prior to the event
can help the team use event time efficiently and effectively. Pre-work assignments should
include:
   •   Clear identification of the person responsible for each pre-work task
   •   Due dates
   •   People responsible for following up with those performing pre-work
   •   A clear link between data analysis and the event goals and objectives
   •   The goals and objectives that the team has defined for the event should be the primary
       drivers of data collection.  For example, if one goal is to achieve 100 percent of permit
       evaluations completed within 60 days, then the team should collect data on the current
       number  of permit evaluations that take longer than 60 days. In addition, in many cases, it
       can be difficult to  define specific quantitative objectives when the Lean event charter is
       first drafted. Data gathered between the pre-event scoping meeting(s) and the Lean event
       can be used to refine the goals and objectives for the event to  be more specific and
       measurable.

Step 6: Record Event  Dates and Location

Use the charter  to record key logistical  information about the event, including meeting locations,
event dates, and meeting times. Consider whether any special arrangements are needed for the
final report-out  presentation, which often involves additional people.  Often the logistical
arrangements for the event are made at the same time as the arrangements for the pre-event
scoping meeting(s). For more information on preparing for a Lean event, see chapter 3 of the
Lean in Government Starter Kit.
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                                EXAMPLES OF PRE-WORK
  Categories of pre-work to be completed prior to the event could include:
  •  Data collection to establish baseline metrics
  •  Gathering background documents (such as existing process maps or examples of process
     outputs)
  •  Getting approval for making some types of changes during the event
  •  Analysis or documentation of related processes (e.g., a state process map when the event is
     focused on a regional review process)
  •  Gathering information on the perspectives of any groups who will not be represented at the event,
     such as stakeholders outside the process who are affected by it

  Specific examples of pre-work assignments from Lean events include:
  •  Participants should bring copies of all forms and templates used in the process.
  •  Develop a timeline of national rule development activities showing how they connect to the State
     Implementation Plan process.
  •  States will map their current wastewater permitting process from application to draft permit.
  •  Collect baseline data related to the goals, including the lead time to process air construction permit
     applications.
Step 7:  Review the Charter with Management and the Team

After the team has developed the charter during the pre-event scoping meeting(s), distribute the
charter to everyone who will be involved in the event. Be sure that managers as well as staff
have the  opportunity to review the charter. This is also a good time to remind participants of
their pre-work assignments. Make any appropriate revisions to the charter based on input from
team members, and ensure that all participants support the charter. At the beginning of the Lean
event, review the charter with the team. Make sure that event participants agree to the scope,
goals, objectives, and boundary conditions for the event, including any modifications the team
has made based on process data collected since the pre-event scoping meeting(s). In this way, the
charter will serve as an effective and targeted guide for what the team intends to accomplish.


Conclusion
A carefully selected, clearly defined, and well documented scope is essential to the success of
Lean process improvement events. It's important that Lean efforts get off on the right start
through smart project selection, focusing project scope in order to ensure success, and
developing charters that clearly define the expectations for the event. We hope that this Lean
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Government Event Scoping Guide has been helpful in providing you and your Lean team with
guidance for selecting, scoping, and chartering Lean events. For more Lean government
resources, visit the EPA Lean Government website at www.epa.gov/lean/government. We wish
you luck in your process improvement efforts, and encourage you to share your ideas and
experiences.
                          EPA LEAN GOVERNMENT CONTACT
     To learn more or to share your ideas and experiences, visit the EPA Lean Government website
                          (www.epa.gov/lean/government) or contact:
                                 Kim Green-Goldsborough
                                 U.S. EPA, Office of Policy
                                     (202) 566-2355
                            green-goldsborough.kimberly@epa.gov
       This document was prepared for EPA by Ross & Associates Environmental Consulting, Ltd.
                        United States Environmental Protection Agency
                                    www.epa.gov/lean
                                       June 2011
                                    EPA-100-K-11-002
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