ean in Government
Starter Kit  ver
How to Plan and Implement Successful Lean Initiatives
at Environmental Agencies

Working Smart for Environmental Protection: Improving State Agency Processes with Lean
and Six Sigma (Lean Government Primer)
Lean in Air Permitting Guide: A Supplement to the Lean in Government Starter Kit
Lean Leadership Guide
Lean Government Event Scoping Guide
Lean Government Metrics Guide
Guide to Lean Government Training
Lean: Excellence in Government (Fact Sheet)
Case studies and other information about EPA and State Lean activities can be found at the
EPA Lean Government Initiative website (www.epa.gov/lean/government).
                              $           •&

                             Lean in Government Starter Kit

We are pleased to announce the release of version 3.0 of the Lean in Government Starter Kit.  In
the spirit of Lean and continuous improvement, version 3.0 (released 2011) builds on the
information, guidance, and resources included in the original Starter Kit published in 2007 and
version 2.0, published in 2009. In particular, version 3.0 includes new and expanded sections
and resources on Lean methods, Lean training, Lean event follow-up and implementation
tracking, and building a Lean enterprise.

This Starter Kit was developed through a collaborative process involving representatives from
five States (Delaware, Iowa, Michigan, Minnesota, and Nebraska), the Environmental Council of
the States (www.ecos.org), and the U.S. Environmental Protection Agency (www.epa.gov).
EPA's Office of Policy provided advisory and contractor support to this effort.

The EPA-state workgroup coordinating the development of this Starter Kit included the
following agencies:

    •  Delaware Department of Natural Resources and Environmental Control

    •  Iowa Department of Management (www.dom.state.ia.us)

    •  Michigan Department of Environmental Quality (www.michigan. gov/deq)

    •  Minnesota Pollution Control Agency (www.pca.state.mn.us)

    •  Nebraska Department of Environmental Quality (www.deq.state.ne.us)

Special recognition should be given to the Iowa Department of Management's Office of Lean
Enterprise.  Many of the resources in this Starter Kit are based on resources that have been
prepared for agency managers in Iowa (these resources are available at http://lean.iowa.gov).

Version 3.0 of this Starter Kit includes more recent input from the Environmental Council of the
States (ECOS) and state environmental agencies, including many agencies who were not
originally involved in the development of the Starter Kit. Additionally, this version draws on
experience, resources, and lessons with Lean implementation shared by representatives at EPA
and other federal agencies who have used Lean, such as the U.S. Department of Defense.

Ross & Associates Environmental Consulting, Ltd. (www.ross-assoc.com) prepared this Starter
Kit for EPA under subcontract to Industrial Economics, Inc. (EPA Contracts # EP-W-04-023,
EP-W-04-093, and EP-W-10-002).
                                 Lean in Government Starter Kit

Table of Contents
Chapter 1. Introduction	1
  Key Questions the Starter Kit Answers	1
Chapter 2. Understanding Lean and the Continual Improvement System	3
  What Is Lean?	3
  How Does Lean Relate to Government?	5
  What Is Needed for Long-Term Success with Lean?	11
Chapter 3. Selecting a Lean Project	17
  Step 1: Select a Lean Process Improvement Project	17
  Step 2: Select a Lean Method	22
  Step 3: Identify a Lean Facilitator	26
Chapter 4. Lean Event Scoping and Preparation	29
  Team  Selection and Planning Event Logistics	29
  Pre-event Scoping Meeting: Develop the Event Charter	34
  Event Preparation	42
Chapter 5. Conducting a Lean Event	45
  Lean Event Overview	45
  Kick Off a Lean Event	47
  Manage the Phases of a Lean Event	48
  Manage Change During a Lean Event	49
  Identify Follow-up Action Items from the Event	50
  Report Out at the End of the Event	50
  Celebrate a Successful Event	51
Chapter 6. Lean Event Follow Up	53
  Track  and Implement Event Follow-up Actions	53
  Document the New Process and Communicate Internally	57
  Evaluate Performance	58
  Communicate Externally	60
  Integrate Lean Follow-Up into a Continual Improvement System	61
Chapter 7. Diffusing Lean Activity and Becoming a Lean  Enterprise	63
  Understanding the Lean Journey	64
  Getting Started with  Lean Diffusion	66
  Four Deployment Models for Lean Diffusion	70
  Future Directions: Building a Lean Continual Improvement Agency	73
  Concluding Thoughts	75
Appendix A. Bibliography of Lean References	77
Appendix B. Resources	82
                                   Lean in Government Starter Kit


This Starter Kit contains three types of resources:

   >=>  Practical guidance and background information on how to use Lean methods to
       improve agency processes (Chapters 1-7)
          o   Look for "Resources" textboxes throughout the document for links to supporting
              tools in Appendix Band web-only resources
   ^>  Bibliography of Lean References (Appendix A)
   ^>  Resources, tools, and templates to support agency Lean implementation efforts
       (Appendix B), covering the following topics:
          o   Understanding Lean and the continual improvement system
          o   Selecting a Lean project
          o   Lean event scoping
          o   Event planning
          o   Lean event implementation
          o   Lean event follow-up
          o   Diffusing Lean activity and becoming a Lean enterprise

The website version of the Lean in Government Starter Kit (www.epa.gov/lean/government/starterkit)
contains downloadable versions of all the resources in Appendix B, as well as additional resources
available only on the website.
                                  Lean in Government Starter Kit

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       Lean in Government Starter Kit

Chapter 1.  Introductio
Since 2003, environmental agencies at federal, state, and local levels have used Lean methods to
advance their mission—protecting human health and the environment—in better, faster, and
cheaper ways. Numerous other government agencies have also used Lean to improve the
effectiveness, efficiency,  and transparency of government programs and services. Lean
government enables agencies to work more effectively and efficiently by eliminating waste in
government processes. This Lean in Government Starter Kit—Version 3.0 is designed to assist
government agencies in planning and conducting successful Lean improvement events. The
Starter Kit builds on ideas presented in Working Smart for Environmental Protection: Improving
State Agency Processes with Lean and Six Sigma.

The Starter Kit contains practical tools, resources, and tips for:

   >=>  Understanding what Lean is
   ^>  How to select a Lean project
   ^>  How to scope and prepare for a Lean event
   >=>  How to conduct and manage the phases of a Lean event
   ^>  How to implement follow-up activities after a Lean event, ensure accountability, and
       evaluate performance
   >=>  How to diffuse  Lean activity and become a Lean enterprise
The Starter Kit answers questions to help agency managers determine whether Lean is right for
their agencies, provides practical "how to" guidance on implementing Lean events successfully,
and presents ideas for agencies interested in expanding their Lean initiatives. The underlying
goal of this Starter Kit is to provide information, tools, and resources that agencies can use to
develop  or incorporate into a Lean continual improvement system. Each section includes a set of
downloadable resources that can be tailored to meet the specific needs of an agency.

Key Questions the Starter Kit Answers
Conducting a Lean improvement event is an eye-opening experience for agencies just getting
started as well as agencies with significant experience implementing Lean. The rapid, dramatic,
and transformative improvements that many public environmental agencies have achieved using
Lean along with the trend toward implementing continual improvement systems have piqued the
interest of many more agency managers—even in large governmental agencies. This Starter Kit
addresses the following key questions about Lean in government.

How do we know if Lean is  right for our organization?

Chapter 2 introduces Lean methods, explains how Lean is different from other initiatives, and
helps agency decision makers consider whether Lean is right for their agencies. This chapter
introduces Lean and explains why  agencies should consider using Lean to achieve continual
                              Lean in Government Starter Kit  | Page 1

improvement within their agency. The chapter also examines the five key elements that are
important for sustaining long-term success with Lean.

How do we select a Lean project?

Chapter 3 provides guidance, resources, and tips for selecting a Lean project and information on
how to select a Lean method. This information will help you assess the desirability of potential
Lean projects by weighing strategy-driven versus pain-driven selection criteria. Information on
the variety of Lean methods and techniques will help your organization select a method that is
most appropriate for your improvement goals.  Lean events are journeys that require skilled
facilitation and guidance as well as hard work from a committed team. Chapter 3 also provides
tips and resources to identify a Lean facilitator.

How do we scope and prepare for a Lean event?

Scoping and pre-work is critical to the success of Lean events. Chapter 4 provides guidance,
resources, and tips for preparing for a Lean event, including team selection and planning event
logistics. During the pre-event scoping meeting described in this chapter, your Lean team will
develop the Lean event charter, laying the groundwork for a successful event, including well-
defined goals and objectives, boundary conditions, and necessary pre-work. Pre-event
communication will help ensure that your event will be as successful as possible.

How do we conduct Lean events?

Chapter 5 provides guidance, resources, and tips for conducting a Lean event from start to
finish.  The topics  in this chapter include kicking off a Lean event, managing the  phases and
change during the event, and identifying follow-up activities.

How do we conduct follow-up after Lean events?

Chapter 6 provides guidance, resources, and tips for conducting Lean event follow-up activities.
This stage of the Lean event is vital to realizing and sustaining the benefits associated with the
event.  This chapter addresses tracking and implementing follow-up activities, internal and
external communications about the event, and how to sustain Lean improvements.

How can we diffuse Lean effectively and become a Lean enterprise?

Once your agency  has completed a Lean event, it is important to think strategically about how to
sustain the improvements and to effect a transformation to a culture of process improvement
throughout your agency. Chapter 7 discusses models for deploying Lean in an organization,
along with specific steps to sustaining and diffusing Lean activity and becoming a Lean

The possibilities are exciting, whether you plan to use Lean for targeted problem-solving or to
transform the culture of your agency.  Whatever your path, this Starter Kit will help you get the
most out of your Lean events and activities.
                              Lean in Government Starter Kit | Page 2

Chapter 2.  Understanding  Lean  and the Continual
Improvement System
As your agency considers learning more about Lean and the continual improvement system, you
will likely encounter questions from managers and staff who wish to understand why your
agency is taking the time to do a Lean event and what that will mean for the organization.  This
chapter provides a brief overview of Lean methods and discusses some of these common
questions and topics, including:
    ^>  What is Lean?
    >=>  Why do Lean?
    >=>  What is needed for long-term support of Lean?

What Is Lean?

Lean refers to a collection of
principles and methods that focus on
the identification and elimination of
non-value added activity (waste) in
any process.1 While Lean process
improvement approaches were
developed originally for use in the
private sector to target manufacturing
processes, there has been steady
progress towards adapting these
approaches for use on service and
administrative processes.  The
adjacent textbox lists examples of
Lean wastes relevant to administrative
processes. Public sector interest in
Lean is increasing rapidly, fueled by
strong improvement results and in
some cases, economic hardship. Lean
methods include value stream
mapping and kaizen events, in addition to other methods. Six Sigma is often used in conjunction
with Lean, but is a distinct process-improvement methodology that uses a collection of statistical
tools to analyze causes of variation in a process and to identify and test improvements.  It is often
said that Lean is "common sense uncommonly applied."
Excess Motion
Moving Items
Backlog of work (permits, plan approvals), excess
materials/info, obsolete databases/files/folders
Data errors, missing info, errors in documents,
confusing instructions or requirements, typos
Unneeded reports and copies, excess e-mail
messages, doing work not requested
Unnecessary process steps, too many signature
levels, unclear job descriptions
Time for approval cycles, waiting for information or
decisions, waiting for people in meetings
Trips to printer and copier, unnecessary movement
to find files or supplies, travel to meetings
Report routing, transport of documents, document
Excess use of paper, energy, or water
1 James Womack, Daniel Jones, and Daniel Roos coined the term "lean" in their 1990 book The Machine that Changed the World
to describe the manufacturing paradigm (often referred to as the Toyota Production System) developed by the Toyota Motor
Company based on principles pioneered by Henry Ford.
                              Lean in Government Starter Kit | Page 3

                           Lean Overview Presentation
Value stream mapping and kaizen events are the Lean methods most commonly used by agencies
getting started with Lean.  These methods are described below, along with Six Sigma, which
some agencies use along with Lean. The "how to" guidance on implementing Lean events in
Chapters 3-6 focuses on kaizen and value stream mapping events, although many of the
recommendations and tips are transferable to other types of process improvement projects.

Value Stream Mapping (VSM). Value stream mapping refers to the activity of developing a
high-level visual representation, from start to finish, of the process flow involved in delivering a
desired outcome, service, or product (a "value stream") to customers. In the context of
environmental agencies, a value stream could be the process of enabling redevelopment of
brownfield sites or attracting and hiring new agency staff. VSM events typically last two to five
days depending on the complexity of the process being mapped.

Kaizen Events.  Kaizen events—also called rapid process improvement events or kaizen blitz
events—focus on eliminating waste in a targeted
system or process, improving productivity, and
achieving sustained improvement.  Kaizen events can
be as short as one or two days, but they often last
about five days.  They are the primary
implementation method for Lean, aside from "just do
it" actions, which are changes that can be made on the spot to improve processes and don't
require team participation.

Six Sigma. Six Sigma is often used in conjunction with Lean, but is a distinct process-
improvement methodology that uses a collection of statistical tools to analyze causes of variation
in a process and to identify and test improvements. Trained Six Sigma experts, called "black
belts" and "green belts," typically support teams in using  Six Sigma tools in a project context.
While this Starter Kit does not focus on Six Sigma, Lean and Six Sigma methods can be
effectively combined (often called "Lean Six Sigma").  Lean eliminates unnecessary time and
process wastes, while Six Sigma targets quality improvements and variation.

More detailed information on these methods and other Lean methods can be found in Chapter 3.

What Other Tools Are  in the Lean Toolbox?

Agencies use a variety of Lean tools to support the process improvements identified using value
stream mapping, kaizen events, and Six Sigma. Your organization can establish a culture of
continual improvement by encouraging employees to identify waste in their everyday activities,
using the following tools:
    •   5S: 5S is an improvement process involving five steps (Sort, Set in order, Shine,
       Standardize,  and Sustain) to create and maintain a clean, neat, and high-performance
      workplace.  5S is often used to ready the workplace for future kaizen events and
       continual improvement efforts.  Some organizations add a sixth "S" for Safety.
    •   Standard Work: Standard work represents the sequence of activities needed to perform
       a given operation. Improvements made during kaizen events are immediately
Lean in Government Starter Kit | Page 4

       documented as standard work to ensure that all employees understand and consistently
       implement the new process.
       Visual Controls: Visual controls are used to reinforce standardized procedures and to
       display the status of an activity so every employee can see it and take appropriate action.
       Visual controls are frequently implemented during kaizen events to simplify the
       workplace and provide visual feedback on process performance.
       Process Walk: Process walks are done by a team of employees who walk through a
       working area and look for any wastes that they can identify and then implement "just do
       it" actions to immediately improve the process.  By learning to identify inefficiencies and
       problem solve in their working environment, employees can gain skills and habits
       necessary to incorporate Lean thinking into their everyday work.
                          HOW TO LEARN MORE ABOUT LEAN
     Read Working Smart for Environmental Protection (EPA/ECOS Lean Government Primer), which provides
     additional information on Lean and Six Sigma methods, describes the activities and lessons learned from
     several state Lean efforts, and includes contact information for staff involved in those efforts.  You can find
     this publication and additional information on public agencies and companies implementing Lean at EPA's
     Lean Government website (www.epa.gov/lean/government) and on Lean Project page of the Environmental
     Council of the States' website (www.ecos.org/content/proiect/detail/2292).
     Consult the bibliography (Appendix A) of this Starter Kit for a list of references and websites geared towards
     agencies interested in learning more about Lean principles and methods.
     Go to EPA's Lean Government website for more information and case studies on federal and state
     environmental agencies using Lean (www.epa.gov/lean/government), including a Lean in Air Permitting
     Guide focusing on air permitting examples.
     Talk to other agencies implementing Lean. Agencies are generally excited to share their experiences and
     can be helpful resources for agencies considering Lean.
How Does Lean Relate to Government?
While Lean originated in manufacturing, it quickly spread to the service sector and to address
administrative and office systems. In the early 2000s, a handful of federal, state and local
government agencies in the U.S. saw the relevance and power of Lean and began applying Lean
methods in the government context. Since then, Lean implementation has grown dramatically in
the government sector.2  Increasingly,  Lean has provided an alternative path to navigating tough
budget pressures and customer service and responsiveness demands experienced by many public
agencies. Instead of focusing on hiring freezes, program cuts, travel restrictions and delayed
investment, some agencies are using Lean to look closely at processes, operations, and
systems—the work itself—to do more, better, with less time, resources, and hassle.
2 See EPA's Lean Government website for information on how Lean is being applied by EPA and state environmental agencies.

                                Lean in Government Starter Kit  | Page 5

So why is Lean so promising for improving government?  Ken Miller, the author of We Don't
Make Widgets: Overcoming the Myths That Keep Government from Radically Improving, has
written about three reasons:3
    1.  Lean focuses on operations.  The whole point of Lean is to rethink the way we produce
       what we produce, to increase our capacity to provide value to those we serve. Lean
       recognizes that inefficiency resides in our systems and our operations—the way we have
       designed our work. Lean is not another planning model, measurement method, or
       accountability system. Lean is not a pithy slogan or something you tell  employees to do.
       Lean actually focuses on the work of the agency.
    2   Lean has  a measurable impact on time, capacity, and customer satisfaction  That is,
       it actually  works. Lean projects produce amazing results, and they are often completed in
       as few as five days.
    3.  Lean involves employees. Specifically, the employees who work within the process or
       system being improved. Government agencies have tried employee involvement before,
       with suggestion programs, quality teams, and so forth. While the intent of those
       programs was good, the focus was too small. Employees may be able to suggest ways to
       improve their own performance,  or the piece of the process they're involved in. But
       systems cut across silos. Most employees can only see a part of the whole system.
       Therefore, what might help them personally be more productive could actually hinder the
       larger system. Lean projects, on the other hand, involve all the key players in a system
       (including the "customers") to analyze and improve the whole system.

Government agencies have numerous "processes" that produce "products"—including
regulations, guidance memos, reports, grants, workshops, inspections, travel authorizations,
employee benefits processes, mail delivery, and on and on. All of these processes have work
flows waiting for  improvement. Therein lays the promise of Lean.

At the same time,  there are barriers that limit Lean's success in government.  The textbox below
highlights some important barriers to consider. In addition, numerous ideas, tips, and cautions
are included throughout this Starter Kit to help overcome these and other obstacles to success.
While barriers and challenges exist, experiences with Lean in government over the past decade
paint a compelling picture of the value of moving forward with Lean. The next section addresses
the question of "Why Do Lean?" for government agencies.
3 The three reasons are quoted from the following article: Ken Miller, "Lean Government's Promise of Going 'Lean'
Governing. May 21, 2009, www.goveming.com/blogs/public-great/lean-government.html.

                               Lean in Government Starter Kit |  Page 6


  Numerous quality and process improvement fads such as TQM, quality circles, and reengineering have come and
  gone in government. Many in government are beginning to see the power of Lean thinking for driving excellence
  in government programs and processes. They see Lean's potential for being more than a passing fad. How can
  that fate be avoided? Here are some barriers that must be overcome:

  •  The industrial jargon of Lean is a turn-off. Lean will only thrive if people in government believe the concepts
    and methods apply to them. We have a ways to go in helping government managers and staff members to see
    the relevance and power of Lean without experiencing it firsthand. Consider ways to minimize the use of jargon
    and the desire to develop names and acronyms for improvement efforts (e.g., you may want to use the term
    "rapid improvement event"  [RIE] instead of kaizen event).

  •  Government managers often don't care about operations and work processes. Many government leaders
    and managers didn't join government to manage. Instead, they are driven by a deep desire to address an issue
    or solve a problem. They get excited about bold new programs and solving big problems—not about making
    operations and processes hum. But the key to results in government is a combination of innovative policy and
    improving the performance of operations. Effort is need to uncover and celebrate the value of improving
    operations—the work that gets done day in, day out. Plus, eliminating non-value added activity ("waste") gives
    everyone more time to focus on your agency's highest priorities and new initiatives.
  •  The emphasis of Lean may seem like it's on the wrong thing. Much of the current focus of Lean is on
    reducing waste, including process inefficiency and complexity. The real challenge facing many government
    agencies is capacity—having enough resources to keep up with ever-expanding and ever-more complex
    workloads and challenges. Lean needs to be refocused to emphasize its ability to increase our capacity to do
    more good. It can thus be  a vehicle for process improvement and increased capacity, even in the face
    declining resources conditions.  (It is important to make a commitment that no one will lose their jobs due to
    process improvement activities, or no one will want to participate.)
  Source: Adapted from Ken Miller, "Lean Government's Promise of Going 'Lean'," Governing. 21 May 21 2009,
Lean can dramatically improve the performance and effectiveness of agency processes in a
relatively short timeframe (see textbox for a list of typical benefits).  The impressive results from
environmental agency Lean efforts also speak for themselves. Here are a few examples of how
EPA and state environmental agencies have used Lean events to design more efficient processes:

    •  Delaware Department of Natural Resources and Environmental Control lowered a
       backlog of air construction permits from 199 to 25, while reducing the average permit
       processing time to less than 76 days under the new process design.

    •  EPA Region 6 decreased the total processing time for its Pesticide Enforcement Case
       Resolution process from 455 days to 216 days (a 53 percent reduction). EPA focused on
       eliminating non-value added time, in order to increase EPA's ability to close enforcement
       actions, and thereby increasing overall responsiveness to the public and decreasing the
       risk to human health and the environment.

    •  Iowa Department of Natural Resources  streamlined the corrective action process
       activities in its Leaking Underground Storage Tank program, reducing the number of
       decisions by 80 percent and the number of process steps from 43 to 26 (a 40 percent
                                 Lean in Government Starter Kit |  Page 7

       reduction).  These improvements promise to drop the average decision-making timeframe
       from 38 months to 3 months.
    •   Michigan Department of Environmental Quality decreased the average time needed to
       process major air construction permits from 422 days to 98 days.  Quality also improved,
       with initial application administrative completeness rising from 82 to 95 percent.
    •   Vermont Agency of Natural Resources decreased the time needed to process an on-site
       wastewater permit from as high as 542 days to 34 days (a 94 percent reduction) with the
       new process design, and cut the number of steps in the permitting process from 150 to 38.
    •   EPA's Office of Water, EPA Region 7, and four States (Iowa, Kansas, Missouri, and
       Nebraska) are using Lean to significantly improve water quality standard (WQS) setting
       and National Pollutant Discharge Elimination System (NPDES) processes.  The team's
       new WQS process design reduced process steps from 50 to 26 (a 48 percent reduction),
       cutting the length of the process from a few years to several months.

These agencies achieved these results by using value stream mapping, kaizen events, and other
Lean methods. For more  information and case studies about EPA and state Lean activity, see
EPA's Lean Government  Website (www.epa.gov/1 ean/government).
                                  BENEFITS OF LEAN
  By using Lean tools, an agency can expect to:
  •   Eliminate or dramatically reduce backlogs
  •   Reduce lead times by more than 50 percent
  •   Decrease the complexity of processes and eliminate unneeded process steps
  •   Improve the quality and consistency of work products and activities
  •   Allocate more staff time to "mission critical" work
  •   Improve staff morale
  •   Enhance process transparency to internal and external audiences
The table on the next page shows examples of how environmental agencies have used Lean
events to develop more efficient air permitting processes.
                               Lean in Government Starter Kit |  Page 8

  Estimated Improvements in Air Permitting Timeframes Resulting from Lean Events
     (IN DAYS)            (IN DAYS)       DECREASE
Idaho Department of
Environmental Quality
Indiana Department of
Iowa Department of
Natural Resources
Iowa Department of
Natural Resources
Michigan Department of
Environmental Quality
Michigan Department of
Environmental Quality
Permit to construct
Title V permit
Standard air quality
Air quality complex
Major air
Minor air
Distinguishing Lean from Other Improvement Initiatives

Lean is different from past improvement efforts in several key ways. Lean:

    •   Takes a "customer service" perspective that seeks to optimize value delivered to the
       environment, the public, and the regulated community;

    •   Involves employees and external stakeholders in continual improvements and problem-
       solving activities;

    •   Deploys a rapid continual improvement framework that emphasizes implementation
       rather than prolonged planning;

    •   Seeks to reduce the complexity of processes; and

    •   Uses metrics and visual controls to provide rapid feedback to improve real-time decision-
       making and problem-solving.

By eliminating non-value added activities, environmental agencies can redirect staff time to
higher-priority activities related to their core mission of environmental protection.

Using Lean to achieve process excellence is a growing trend among government agencies,
including those focused on environmental protection. The 2006 Working Smart for
Environmental Protection primer looked in depth at the Lean experiences of five state
environmental  agencies, all of which have continued with Lean implementation efforts. But
                              Lean in Government Starter Kit  | Page 9

those were just the initial pioneers of Lean at state
environmental agencies!  As of June 2011, there are
29 state environmental agencies that have
conducted Lean events, as shown in the map below
(See "Inventory of State Lean Events" on the ECOS
website for more information about the Lean
activities of these states:
www. ecos.org/content/proj ect/detail/2292/).
Lean Inventory
                        Lean and State Environmental Agencies
                                                      State Lean Events Completed
                                  Events EPA is aware of as of June 2011.

Lean efforts have also taken off at EPA, other federal agencies, and in many local jurisdictions.4
As of October 2011, EPA has conducted over 10 Lean events at EPA headquarters and in
regional offices around the country, including several joint efforts between regional offices and
state agencies. There is a large network of over 30 federal agencies implementing Lean, and
several federal agencies have established substantial process improvement efforts. The U.S.
Department of Defense (including the Air Force, Army, Navy, and other agencies), for example,
has conducted thousands of Lean and Six  Sigma projects.  Local government agencies, including
energy and water utilities, have launched successful Lean programs as well.  For example, the
City of Fort Wayne, Indiana, has completed over 100 Lean projects in city departments to
improve customer service, decrease costs, and increase productivity, resulting in millions of
dollars of savings.5 These improvements can also translate into real environmental results: JEA,
4 See http://leangovcenter.com/govweb.htm as well as http://en.wikipedia.org/wiki/Lean Government for lists of links to federal,
state, and local government agency Lean websites.
5 See www.tqmnet.com/lssHPG.php for more information on Lean and Six Sigma at Fort Wayne, Indiana.
                               Lean in Government Starter Kit |  Page 10

an electric, water, and sewer utility in Northeast Florida, used Lean Six Sigma methods to reduce
nitrogen discharges from a wastewater treatment plant by 74 tons per year, meet regulatory
requirements two years ahead of schedule, and avoid the need to invest in costly plant upgrades.6

What Is Needed for Long-Term Success with  Lean?
This Starter Kit is designed to help you effectively plan for and implement Lean process
improvement methods—such as kaizen and value stream mapping events—thereby reducing
process time and complexity, improving customer service, and making more time for high-
priority activities. Whether you are considering conducting one or 100 events at your
organization, there are several key activities that will help ensure that your Lean efforts yield the
best results over time. Successful process improvement efforts,  including Lean government
transformations, involve five key elements: leadership, process improvement methodology,
communications, performance measurement, and training and capacity building.  These five
elements collectively support the development of a continuous improvement culture. The
relationship of these elements is shown in the Continual Improvement System "House" diagram

                         The Continual Improvement System
re  E
                                                       Lean Leadership Guide
The involvement and commitment of leaders and
senior managers is the most important factor in the
long-term success of Lean process improvement
efforts.  Supportive and engaged leaders can inspire
the confidence and enthusiasm of others who are
necessary to making improvements become a reality.
Leadership support is essential for enabling the success of both individual Lean improvement
events and your agency's overall process improvement initiative. A Lean leader should take
several critical steps, listed below, to support Lean process improvement initiatives and to
actively engage with Lean teams before, during, and following Lean events.  The Lean
Leadership Guide (see resource) has specific examples of what leaders can do in each of these
steps. For example, a Lean event sponsor can play a key role in enabling the success of the event
by clearly articulating a vision of success, detailing what goals the improved process should
accomplish, and empowering the team to develop approaches to achieve those goals. Lean
leaders play an important role in removing barriers to change.
                        CRITICAL STEPS FOR LEAN LEADERS
 1.  Choose where to focus improvement efforts
 2.  Define process excellence and set clear goals
 3.  Actively participate in process improvement events
 4.  Assign staff and resources
                                            5. Provide visible support for Lean efforts
                                            6. Monitor progress and hold people accountable
                                            7. Clear obstacles to successful implementation
                                            8. Recognize and celebrate accomplishments
Process Improvement Methodology

Effective process improvement initiatives rely on a clear and structured problem-solving
approach that employees at all levels can use and embrace. At their core, Lean and Six Sigma
are based on the Plan-Do-Check-Act continual improvement cycle developed by Dr. W. Edwards
Deming.  They include tools to help employees understand what the standard process is, identify
when deviations occur, and then make changes to get back on course.  Chapters 3-6 of this
Starter Kit are a "how to" guide for implementing Lean improvement events—a powerful way to
put the Plan-Do-Check-Act cycle into practice with a burst of on-going concentrated activity
over a short period. Through Lean improvement events, your team will:
   •  Plan: Set process improvement goals, analyze your current process as it actually
      operates, design a new and improved process, and develop a robust implementation plan.
   •  Do: Implement process changes to reduce process complexity, increase efficiency, and
      improve environmental results.
   •  Check: Monitor implementation efforts to see whether they are on course and report on
      progress made.
                              Lean in Government Starter Kit | Page 12

    •   Act: Adjust implementation efforts as needed to meet process improvement goals and
       conduct additional Lean events to drive further improvements.

This Starter Kit focuses primarily on kaizen events and value stream mapping events; however,
there is a range of Lean, Six Sigma, and other tools
that can support your agency's process improvement
initiative.  Some of these tools can be implemented
during a Lean event, while others involve separate
processes or may be implemented as part of daily
work practices. See chapter 3 for more information
about business process improvement methods.
Frequently Asked Questions
About Lean

As with any new change initiative, an effective communications strategy can make the difference
between something that falters and something that takes root and grows. Without consistent
supportive messages from leadership, Lean efforts are not likely to succeed.  Especially during
early stages of implementation, people may have a lot of questions and misconceptions about
what Lean is, why the agency is using it, and what it means for their work. Use the Frequently
Asked Questions About Lean document (see resource) to support your Lean efforts and address
common questions agency staff and stakeholders may have. Internal and external
communications are a critical aspect of effectively conducting Lean events. Chapter 4 provides
additional guidance on communications activities leading up to Lean events,  and Chapter 6
offers recommendations and tips for post-event communications with internal and external

Performance Measurement

The Lean production system is built around close attention to performance measurement. This
includes key dimensions of value relevant to the customer such as time (e.g.,  how long it takes to
get a permit application processed), quality (e.g., whether there are errors or omissions in a
document), and cost (e.g., how much staff time and agency resources are used). The Lean
Government Metrics Guide (see resources) and the
metrics discussion in Chapter 4 have more information
about the types of metrics used in Lean efforts. Much
of the value of Lean process improvement events
comes  from delving deep into the way that processes
actually work, analyzing performance data for the
process using key metrics, and charting a course for improvements based on the team's
collective understanding of that real-world data.  The estimated performance  gains that the new
process will yield then serve as targets for implementation activities. Agencies with more
established Lean programs should consider what kind of consistent performance measurement,
tracking, and reporting system for Lean implementation efforts makes sense for their culture and
needs.  Providing a common framework for reporting on Lean success stories and
implementation efforts can be incredibly useful for promoting process improvement efforts and
ensuring accountability for results.
Lean Metrics Guide
                              Lean in Government Starter Kit | Page 13

                          Guide to Lean Government
Training and Capacity Building

Training and capacity building are important
foundations for sustainable process improvement
programs and key to fostering a continual
improvement culture within an organization.
However, as with many aspects of Lean, training
should have an applied, value-added focus.
Many organizations starting out with Lean or Six
Sigma falsely assume that they need to do a lot of training before beginning process
improvement activities. Unlike TQM, which places a heavy emphasis on training as a
mechanism for process improvement, Lean is primarily a "learn by doing" approach.  For this
reason, many Lean training courses incorporate simulation exercises to give participants a sense
of how Lean concepts and tools work in practice.  Similarly, Lean  and Six Sigma certification
programs generally involve a combination of coursework and requirements for participants to
complete improvement projects at their organizations. For many Lean event participants, their
primary Lean training is provided on day 1 of the Lean event (this  is sometimes called "just in
time" training), to prepare them to engage in the process-improvement activities during the
remainder of the event. A large component of your organization's Lean training may come as a
"byproduct" of conducting kaizen events and generating process improvement results! By
immediately applying the knowledge learned in just-in-time training in the context of an actual
event, participants can quickly achieve a basic level of proficiency in understanding and
conducting Lean tools.

When deciding what Lean training is appropriate for your agency,  it is important to consider the
goals of your effort.  In general, there are at least four goals for education and training efforts:
    •   Inform and Engage: For your Lean initiative to be successful, it is critical for people in
       your agency and other important stakeholders to understand what Lean is and why it is
       important.  One category of education and training, therefore, focuses on explaining what
       Lean is, how it relates to environmental agencies, and helps build the case for "What's in
       it for me?" to managers who may be considering using Lean to improve their processes.
    •   Coach: Prior to Lean events, it is helpful to educate and coach key participants in the
       event, including the event sponsor, the team leader, and any other important decision
       makers who will be involved on what happens before, during, and after the Lean event,
       and how they are expected to participate during each stage. If your agency is using an
       outside consultant facilitator, be sure the facilitator knows your expectations for the
       event, including the scope, desired approach, briefings and report-out presentation, and
       follow-up plans, and clearly delineate the division of roles and responsibilities between
       the team leader and facilitator. Use this Starter Kit as a guide and resource for coaching
       presentations  and discussions.
    •   Enable: Another key training objective is to provide the skills and knowledge that
       people need to effectively participate in Lean events and implementation activities.
       Training for event participants focuses on Lean methods and principles, and is typically
       done (at least as a refresher) on the first day of the event. Following the event, additional
       training is needed to educate staff on the new process and any standard work that the
Lean in Government Starter Kit |  Page 14

       team developed, and enable everyone involved in the process to work together towards
       successful implementation.
    •   Build Capacity: While relying on external consultants to provide Lean facilitation can be
       a valuable strategy for rapidly generating process improvements initially, there are
       advantages to developing in-house capacity for Lean facilitation and training for process
       improvement programs over time. In addition, it is useful to build the capacity of staff to
       problem-solve and identify inefficiencies as part of their daily work practices. This
       allows process improvements to occur regularly and not wait for a kaizen event.
       Successfully conducting Lean events and other process improvement activities depends
       not only on the "technical" knowledge of Lean methods, but also softer skills such as
       project and process management,  change management, and effective team dynamics.

If you're just beginning with Lean, you may not need much more than an orientation to Lean
concepts and the just-in-time training that a Lean facilitator provides during a Lean event.
However,  if you've decided to embark on a broader, process-improvement initiative, you may
want to train some staff to become continual improvement coordinators. Many environmental
agencies began their Lean efforts by relying heavily on external consultants as Lean event
facilitators, but over time  have shifted towards in-house facilitation of Lean events and using
consultants only for strategic guidance or for facilitating particularly complicated or contentious
events.  Chapter 7 discusses steps, including training, for building a Lean enterprise and
diffusing Lean activity within your agency. See the Guide to Lean Government Training on
EPA's Lean Government  website (www.epa.gov/1 ean/government) for guidance on designing an
agency Lean program and information on the range of options that are available for learning
about Lean concepts and methods.

The next several chapters discuss how to  select, plan, and conduct Lean process improvement
events, as  well as how implement follow-up activities effectively.
                               Lean in Government Starter Kit | Page 15

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   Lean in Government Starter Kit |  Page 16

  Chapter 3. Selecting  a Lean  Project
  This chapter provides advice on the first steps to take when planning a successful Lean event:
  selecting a Lean project, choosing a Lean method, and locating technical assistance for your
  Lean effort.  Chapters 4, 5, and 6 then describe the scoping and preparation you should do to
  help ensure that your event will be a success, and provide information on conducting the event.
  Chapter 7 discusses follow up after the event to ensure effective implementation of the process
  improvements identified by the team.

  Most agencies begin their Lean implementation efforts with a pilot project to improve an existing
  agency process. The diagram below shows the steps that your organization should take in the
  weeks leading up to, and the months following, a Lean event. By following this timeline, you
  can be sure to be well-prepared prior to the event,  and ready to stay on-track with
  implementation of process improvements during the important period following the event.

                              Lean Event Planning Timeline
_0)  0)
                                                » .2
   ? =  %
                             Pre-Event Data
                             Gathering and
                                                      Publish Event
                                                      Success Story
1 £
•X 01
.y c
Sj. C
• it (u
1 1
LJ £


> Follow-up




 -6 weeks
        -5 weeks
                -4 weeks
                        -3 weeks
                               -2 weeks
                                       -1 weeks
                                                      +30 days
                                                              +60 days
                                                                     +90 days   +6 months   +1 year
  Step 1: Select a Lean Process Improvement Project
  As you begin your Lean journey, it is important to
  take the time to carefully select your first process to
  target for improvement. This section lists the steps
  you should take to select your Lean process
  improvement project. Select a process to target for
  improvement during your Lean event prior to the pre-
  event meeting (typically held four to six weeks before
  the event). More information about the steps to take when selecting and scoping your process is
  available in the Lean Government Event Scoping Guide.
Lean Government Event
Scoping Guide
                                Lean in Government Starter Kit  | Page 17

List Potential Processes to Target

If this is your agency's first event, it may be useful to start with a relatively simple process (e.g.,
air construction permitting for minor sources or a permit modification process) or an internal
process that does not directly interface with external parties (e.g., audit action tracking), to get a
feel for Lean methods. The selected process should be sufficiently important to capture
organizational attention, but not so complex as to make progress difficult through a single event.
It is critical to start with a process area where there is a high level of management support and
commitment to ensuring a successful Lean event.  However, other circumstances may dictate
which process is the best candidate for a Lean event.  For example, it may make sense to hold the
Lean event in conjunction with another major change within the agency during the
implementation of a new rule or major staffing changes.

Most agencies select a process to target in a Lean event while guided by either strategy or
"pain"—that is, the  greatest perceived problems. Strategy-driven process selection and pain-
driven process selection can be based a variety of factors, such as those below.
Strategy-driven process selection factors:
•   New initiatives
•   Regulatory programs
•   Degree of criticality to agency mission
Pain-driven process selection factors:
   •   Backlogs and amount of work in
       progress (WIP)
   •   Administrative bottlenecks and delays
   •   Customer and staff complaints
   •   Funding concerns
Use either approach (strategy or pain), or a blend of both, to generate a list of potential processes,
and try to identify the high-level purpose of each potential improvement effort (e.g., reduce lead
times, improve quality, or eliminate rework).  In many organizations, it makes sense to initially
conduct some pain-driven events, then evolve to selecting events that are linked to the agency's
strategic plan and workforce development goals.

Assess  Project Desirability

The next step in project selection is to assess the processes you've listed to determine which ones
would work well in a Lean event. Consider the following three factors in ranking project
    •   Value to the organization. This factor refers to the effect that potential process
       improvements 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.
    •   Effort required. This factor captures the amount of time and resources that will likely
       need to be devoted to the Lean event and follow-up activities in order to realize value.
                               Lean in Government Starter Kit |  Page 18

       Complex processes and well-established processes may require a high level of effort to
    •   Probability of success. Reflect on the various risk factors that may affect the likelihood
       that improvements will be successfully implements.  A low probability of success may
       hinder projects that require a large financial investment, that will not show benefits for
       more than a year, or that require assistance from extremely busy people, among other

Rate potential projects based on the three criteria above, and then plot them on a project
desirability matrix.

                                Project Desirability Matrix
  —  Medium
                                                                   Probability of Success
                     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/guidon/how-to-scope-a-lean-event.

The type of government process may influence the level of desirability for investing in process
improvements.  For example, some processes may require substantial effort to improve and the
improvements may contribute little value to the organization and its ability to achieve its
mission.  While all processes can benefit from Lean implementation, the types of Lean results—
time,  quality, and cost—can vary depending on the type of government process that is targeted.
Quick, impressive process improvement results are often important for building organizational
support and momentum, while freeing resources and time to focus on more mission-critical
work. While applying Lean to more complex processes may not yield quick time and cost
savings, sustained focus on Leaning complex processes may yield dramatic improvements in the
agency's ability to achieve its mission. The textbox below discusses how different government
process types can affect Lean results.
                               Lean in Government Starter Kit  | Page 19

Screen for Readiness to Select the Project

After you have narrowed your list to the most desirable projects, screen the projects for
readiness. You should select the project that is most well-suited at the present time to produce
positive results for your organization,  and serve as a model to inspire future events. 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.
                              Lean in Government Starter Kit |  Page 20


Government processes can vary both by frequency and variation. Process frequency refers to how often a
process is executed. Process variation refers to the degree of change or difference among outcomes or products
produced by a process.  These attributes can have important implications for the types of results—time, quality,
and cost—that can be achieved and should be expected from Lean implementation. For example:
                                                     High Frequency
                                                      Low Variation
                                                    Travel vouchers
                                                    Procurement requests
 High Frequency
 High Variation
Permitting for complex

                                                     Low Frequency
                                                      Low Variation
                                                       sion contract bid
                                                       nual budgeting
 Low Frequency
 High Variation
New program design
Strategic plan
•   High frequency-low variation processes.
    Lean results can be particularly compelling
    for high frequency-low variation processes,
    particularly in terms of time and cost savings.
    The benefits from Lean improvements accrue
    each time a high frequency process is
    executed.  For example, Lean improvements
    to a travel authorization/travel  voucher
    process or a procurement/purchase card
    process can save time and money every time
    the process is executed. When these
    processes are exercised thousands of times
    per year, benefits add up quickly. Low
    variation processes are often less complex,
    making is easier to use Lean tools to drive
    out non-value added activity.  Think about
    opportunities for building momentum with
    Lean success on high frequency, low
    variation processes.
•   Low frequency-high variation processes.  It can take
     longer to realize impressive Lean results with low frequency-high variation processes. These processes are
    typically more complex and do not occur as often as high frequency processes. While the initial time and
    cost savings can be less dramatic than for high frequency-low variation processes, Lean methods can be
    highly effective for improving the quality and effectiveness of low frequency-high variation processes.  For
    example, applying Lean to a periodic strategic plan development process or a rulemaking process can
    produce meaningful time and cost savings, but the real value may lie in improvements to the quality,
    effectiveness, and transparency of these processes.  Value stream mapping and other Lean methods are
    powerful tools for reducing the complexity of high variation  processes. Lean also creates more robust
    institutional memory of the process that avoids reinventing  the wheel in the future.

Another Dimension that Can Affect Lean Results: Multi-Agency Processes

Processes that involve hand-offs among multiple government agencies or offices pose unique challenges and
opportunities.  Each agency has its own internal process that interfaces with other agencies' processes.  These
agency-specific processes may not be well-aligned and process "ownership" boundaries may not be clear.  Value
stream mapping can  be a powerful tool for building cross-agency understanding, trust, and alignment.  Kaizen
improvement events can help improve internal agency processes that interface with the multi-agency process.
Leadership and political will across the  participating agencies is typically needed to navigate obstacles arising
from differences in agencies' missions, goals,  and organizational cultures.

Think carefully about which  processes types you want to target first and set realistic expectations for results.
                                  Lean in Government Starter Kit |  Page 21

Step 2: Select a Lean Method
Once the initial scope of the event has been determined, consider which Lean methods to use.
Two common event-based Lean methods are value stream mapping and kaizen events. While
these event-based Lean methods are powerful methods for driving continuous improvement,
there is a range of complementary Lean methods that can also support continuous improvement
and process excellence. This Starter Kit focuses on event-based Lean methods; however, other
important Lean methods are summarized later in this section. Your Lean facilitator can guide
you in choosing the methods that are right for your agency and process.
   •   A kaizen event is  a highly structured, two to five day facilitated event involving a team
       of agency staff and stakeholders that is designed to rapidly make progress in identifying
       and implementing improvements to  a process. Participants map out the steps of the
       process, gaining an understanding of all parts of the process, and then identify areas
       where non-value added steps can be eliminated in order to reduce waste. Kaizen events
       are characterized by immediate implementation of process improvements. The event is
       typically followed by weekly implementation team meetings and post-event progress
       meetings with leadership,  usually 30-, 60-, and 90-days after the event, to track the
       implementation of identified improvements.
   •   A value stream mapping event is similar to a kaizen event, but higher level in focus; it
       also requires the dedication of a team of participants, generally for three to four days, and
       the services of a facilitator. The team maps out the entire process from start to finish in
       its existing state in a high-level  visual representation of process flows.  Participants then
       create an alternative future state map based on the elimination of waste from the existing
       state. Improvements are identified to transition from the existing process to the future
       state. A value stream mapping  event approach is more high-level and strategic than a
       kaizen event, and can be used to create a full  picture of a process before drilling down
       into tactics through another method  such as a kaizen event.

Agencies just starting out  with Lean often use kaizen events to quickly achieve the results that
have interested many in Lean.  Conducting  one or a
few kaizen events can help build momentum for a
Lean initiative. Some agencies choose value stream
mapping (or simplified process mapping) for their first
event, since this method can help an agency clearly
understand its process and identify areas of waste that        •  Pre-Screening Application for
can be targeted through future kaizen events.  Other             Lean Events
agencies have integrated value stream mapping and
kaizen rapid implementation techniques in the same

Kaizen and value stream mapping events are very powerful methods, yet they can require
substantial investments of time, energy, and financial resources. In some cases,  other Lean tools
may be most appropriate,  such as in situations where resources are  limited. The Lean Methods
Table on the following page describes various Lean methods and the situations in which it makes
sense to apply them. Some of the Lean methods, such as 5S and visual controls, can be
                              Lean in Government Starter Kit  | Page 22

implemented either during or outside the context of Lean events.  Appendix A includes a list of
references with additional information about many of these methods.

Keep in mind that while many of these valuable tools involve a formal, planned approach to
process improvement, your organization can also regularly implement "just-do-it" actions that do
not require team participation or little or no formal tools. These quick fixes can empower
employees to perpetuate continuous improvement  through their everyday operations, and reduce
waste and improve efficiency outside the bounds of formal events.  You can identify "just do its"
in kaizen events, or through process walks or in your daily work once you have an understanding
of Lean concepts.  In this way, processes can continue to improve without the need to wait for
the time  and resources to be dedicated to another event.
                                        Lean  Methods
A cross-functional team of employees walks
through the work area over a short period of time,
identifying opportunities to reduce waste and
introduce improvements as they walk.
Improvements can usually be implemented rapidly,
resulting in quick gains. This method can help to
engage employees in spotting waste in their day-
to-day activities beyond the scope of the initial
treasure hunt or waste walk.
To identify immediate
and/or easy changes;
to identify waste in a
process "on the floor"
This tool represents the sequence of activities
needed to perform a given operation, and forms
the baseline for other continuous improvement
efforts.  Improvements made during kaizen events
are immediately documented as standard work to
ensure that all employees understand and
consistently implement the new process.  Standard
work (e.g., templates, forms, & process maps)
ensures consistency and prevents errors.
In conjunction with
other process
improvement efforts,
to document and
sustain identified
process improvements
South Carolina Department
of Environmental Health and
Control conducted a waste
walk prior to a Lean process
improvement event in order
to establish an
understanding of areas with
the greatest need for
EPA Office of the Chief
Financial Officer developed
a standard format for
corrective action plans,
dramatically improving
efficiency and data
Visual controls, which are signs or symbols to
remind employees of standard procedures, can be
used to reinforce the improvements made to a
workspace using 5S.  These controls are also used
for implementing standard work and improvements
identified during other Lean events, to provide
visual feedback on process performance.
To quickly remind
employees of
improvements and
ensure continued
reducing deviations
from the desired
Examples of visual controls
include color-coded filing
systems, labels, timers, and
signs reminding employees
of standard practices.
7 For more information, see the South Carolina Stormwater Permit Process case study: www.epa.gov/lean/government/state-
8 For more information, see the EPA Office of the Chief Financial Officer Corrective Action Tracking case study:
                                    Lean in Government Starter Kit  | Page 23


                5S is a method for maintaining a clean & orderly
                workplace based on five steps:
                •    Sort (organize tools and materials, retaining
                     only what is essential)
                •    Set in Order (arrange and label items in an
                     order that maximizes workflow)
                •    Shine (regularly straighten and tidy
                     workspaces and restore items to their place)
                •    Standardize (spread identified improvements
                     to all workstations)
                •    Sustain (maintain and review standards to
                     ensure they continue to be implemented)
                Some organizations add a sixth "S" for Safety.
                                                When there is a need
                                                to improve
                                                workstations and
                       The state of Minnesota has
                       established a 5S training
                       program for government
                       offices; Indiana Department
                       of Environmental
                       Management (DEM) has
                       applied 5S to establish
                       orderly, efficient work areas.

                This rapid-deployment tool complements
                organizational strategy by displaying the
                connections between overall priorities and tactical
                Lean efforts.  Individuals or small teams diagram a
                process or problem using only what they are able
                to fit on a standard A3-sized (approx. 11 x 17")
                piece of paper. This method requires that the team
                communicate well to depict the process simply,
                and results in a high-level view of the current steps
                in the process. The team,  having improved their
                problem-solving capacity and gained a fuller
                understanding of the process, then uses the view
                of the process created on the paper to identify
                areas for improvement.
                                                To connect overall
                                                organizational strategy
                                                to all levels of process
                                                improvement efforts;
                                                to identify areas for
                                                quick improvement
                                                and flag areas for
                                                potential future
                       Indiana DEM has applied the
                       A3 method at the staff level
                       to improve connections
                       between strategy and
                       improvement efforts, and to
                       improve communication
                       across the agency.
A condensed, small-scope improvement effort on a
single improvement that can be completed in a
very short time-frame, often a matter of a few days
or even hours. Point kaizen events focus on a
small part of a process or work cell. Improvements
are implemented rapidly in order to realize short-
term results.
Time constraints
and/or limited financial
resources; when there
is a need for extremely
rapid small-scale
Iowa Department of Natural
Resources has conducted
six point kaizen exercises on
processes with a small
scope and condensed
A structured event led by a facilitator in which a
team of participants (composed of a mix of leaders,
staff, and people less familiar with the process)
map out a process and identify areas for rapid
improvements and areas for waste elimination.
Sometimes called a "kaizen blitz," this tool can help
jump-start a larger, sustained process
improvement effort across an organization by
serving as a pilot project.
The primary
method for Lean, use
kaizen events to
identify process
changes for practical
Florida Department of
Environmental Protection's
Submerged Lands and
Environmental Resource
Permitting Program kaizen
event achieved a 50%
reduction in the time it takes
for an application to reach a
9 For access to several case studies on kaizen events, see the EPA Lean Government Publications page:
                                        Lean in Government Starter Kit  |  Page 24

   METHOD                    DESCRIPTION
 Value         A structured event led by a facilitator in which a
 Stream        team of participants maps out an entire process in
 Mapping       detail from beginning to end, identifying areas for
 Event         future process improvement efforts. This method
                provides a thorough, high-level understanding of
                the process and helps identify future steps for
                                                   WHEN TO USE
                                                   THIS METHOD
                                                Prioritization and
                                                planning tool to gain
                                                understanding of
                                                processes and identify
                                                areas for future
                                                improvement efforts
                       EPA Region 6 Pesticides
                       Enforcement value stream
                       mapping event reduced total
                       processing time by 53%.10
  Six Sigma
A process improvement methodology that aims to
improve processes by reducing variability and
removing defects (or errors) using quality
management methods including statistical analysis
of processes. Processes are rated by their "sigma
rating," which indicates the percentage of defect-
free results or products generated. Organizations
train staff to become Lean Six Sigma yellow- or
black-belts, who are experts in reducing defects.
Six Sigma improvement efforts follow the DMAIC
•    Define the problem
•    Measure key aspects of process data
•    Analyze the data
•    Improve or optimize the current process
•    Control the future state process to correct any
When the specific
problems in a process
are quality related or
highly variable and
statistical analysis
would be useful
(Requires knowledge
of statistical
Minnesota Pollution Control
Agency used Six Sigma to
improve the timeframes for
its NPDES permitting
timeliness from 9% to 75%
within 180 days and reduce
the NPDES reissuance
permitting backlog from
nearly 50 percent to 8
Methods for designing new processes or products
or for redesigning existing ones. These methods
incorporate Lean and Six Sigma concepts and
tools to design processes that meet customer
needs through processes that are as simple and
waste-free as possible, anticipating and addressing
potential problems early. Lean process design
methods include Design for Lean Six Sigma and
Production Preparation Process (3P)
When designing a new   Iowa DNR applied Design
process or product, or    for Lean Six Sigma to its
redesigning an
existing one (More
advanced Lean
effort to design a new
agency magazine to achieve
on-time high-quality
production while meeting
day-to-day communication
A strategic planning methodology in which all
employees participate in process management to
"cascade down" strategy deployment goals through
all levels of the organization. This method is
designed to ensure that all staff go about their work
in a way that applies the master plan of the
organization consistently.  Regular review of
actions is necessary to address deviations from the
strategic plan.  Also known as policy deployment
orHoshin Kanri.
When an organization
is interested in
connecting process
improvement efforts to
overall strategic goals
(More advanced Lean
Iowa DNR applies policy
deployment to prioritize
process improvement efforts
based on strategic
objectives, and to select
projects that promise to have
the greatest impact on
agency performance.
10 For more information, see the EPA Region 6 Pesticide Enforcement Case Resolution case study:
1' For more information, see the Minnesota Wastewater Permitting Process Six Sigma Project Case Study:
www. epa. go v/lean/go vernment/state-initiatives/minnesota- wastewater.htm
                                        Lean in Government Starter Kit  |  Page 25

Step 3: Identify a Lean Facilitator
All Lean events are led by a Lean facilitator who organizes and manages the discussions. The
importance of securing a skillful Lean facilitator cannot be overstated.  The Lean facilitator
serves as a team's guide throughout the Lean process, helping to scope the Lean event, facilitate
the event, and advise on follow-up activities.  Sometimes the Lean facilitator is referred to by the
Japanese term sensei (SEN-SAY), meaning teacher or "one who has gone before."

Most agencies seek outside assistance at the beginning of their experience with Lean efforts;
indeed, relying on external consultants to provide facilitation can be a valuable strategy for
generating positive Lean results rapidly and helping your program take off. Over time, many
agencies choose to build capacity for in-house facilitation and training in order to reduce
dependence on external facilitators, which can be  costly.  However, even agencies that have
developed in-house capacity for Lean training and facilitation find value in occasionally seeking
additional assistance, especially for more complex or politically sensitive projects.  See Chapter
7, "Diffusing Lean Activity  and Becoming a Lean Enterprise," for more advice on building Lean
capacity within your organization over time.

If you do choose to pursue external resources for facilitation, there are a range of technical
assistance providers that facilitate Lean events, including private consultants, non-profit National
Institute of Standards and Technology (NIST) Manufacturing Extension Partnership (MEP)
centers, and university-based training programs.12 Private sector companies who are using Lean
have also provided technical support to agencies by allowing agency staff to attend industry
trainings and providing Lean facilitators for agency events.

When evaluating  a potential Lean facilitator, it is important to consider the facilitator's past
experience, areas of expertise (e.g., supporting Lean
in government and office settings), price, and
availability. In general, the  cost of an experienced
Lean facilitator ranges from approximately $2,000 to
$3,400 per day. The cost of having an  experienced
facilitator is typically well worth it to ensure a
successful Lean event.

Several helpful tips for securing a Lean facilitator include:
    •   Talk with representatives from other government agencies to ask for recommendations
       for potential Lean facilitators.
    •   Consider issuing  a request for proposal to help with the selection of an experienced Lean
       facilitator. The sample Lean Facilitator Request for Proposal resource document in this
       Starter Kit should give you some ideas of the types of information to request.
    •   When evaluating potential Lean facilitators, take into consideration the facilitator's past
       experience, areas of  expertise (e.g., supporting Lean in government and office settings),
       references, price, and availability.
Lean Facilitator Request for
 • A directory of NIST MEP centers is available at: www.mep.nist.gov/about-mep/center-info.html.
                               Lean in Government Starter Kit |  Page 26

    •   Remember that securing a talented facilitator is not the same as securing a talented
       facilitator who has experience running Lean events.

After your initial successes with Lean projects, try to identify individuals who might be
interested in becoming trained Lean facilitators within your organization.  Building internal
capacity for facilitation in this way can ensure the longevity of process improvement efforts,
even through times of financial constraints, and also empower staff to identify areas for
improvement during their daily activities.  As you "learn by doing," be sure to engage anyone
who might be interested in becoming trained to facilitate events.  Some agencies even develop
internal facilitator training in order to maintain an infrastructure of continuous improvement

The next chapter explains how to  scope the process after you have selected it, and to prepare for
the Lean event.
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   Lean in Government Starter Kit |  Page 28

Chapter 4.  Lean  Event Scoping and Preparation
Once you have decided to conduct a Lean event, selected a process, and secured a facilitator,
conducting effective planning and scoping are essential for success. This chapter explains the
process scoping and preparation steps that you should take during the weeks leading up to the
event. Follow these steps carefully to ensure that all participants will be well-prepared for a
smoothly organized experience during your Lean event.
Team Selection and Planning Event Logistics
The first step to take preparing for the event on the process that you have selected is to identify
who will be involved, invite those people to participate in the event, and plan logistics for the
pre-event meeting and the meeting itself.

Identify the Lean Event Sponsor and Team Leader

Begin preparing for the Lean event by identifying the team participants and leaders. Several key
individuals will bear the lion's share of responsibility for your event's success. The event
facilitator, the sponsor, the team leader, and the implementation manager serve vital roles.  As
you identify individuals to serve in these roles, consider the responsibilities inherent to each role,
described below.
Lean Event Roles
Role Description
Lean Facilitator
Team Leader
The Lean facilitator runs the pre-event meeting, the Lean event, and certain follow-up
meetings (e.g., 30-day follow-up meeting). The Lean facilitator has training and experience
in Lean facilitation.
The sponsor provides resources and senior leadership support for the Lean event and has
the authority to remove obstacles to implementation of the new process. This person should
be a senior leader of the division within which the Lean event is taking place.
The team leader is responsible for helping to plan the event, including the logistics, and
assisting the facilitator during the event.
The implementation manager is responsible for ensuring that a clear and effective event
follow-up process is established and conducted. This person should have sufficient authority
to lead follow-up activities, remove barriers, and drive accountability.

Identifying a Lean event sponsor is critical to success.  Ideally, the sponsor is a director or leader
of a division within which the Lean event is taking place. Having a sponsor for an event can also
increase buy-in within the agency and among upper management, and assist with removing any
                             Lean in Government Starter Kit  | Page 29

obstacles in getting the event planned and implemented.  This role is especially useful when
trying to ensure that team members can get two to five days of time away from their regular
duties and responsibilities to participate in the event.  The sponsor participates at key times
during the event and helps with follow up.
The sponsor should be enthusiastic, committed to the
process, willing to take risks, and be open-minded and
communicate this spirit to the team members. At
times it can be difficult to sustain creative thinking
and risk taking.  The sponsor's role is to help infuse
the team with energy and direction, and to encourage
openness to out-of-the-box thinking.
         Lean Event Sponsor Contract
Specific responsibilities of the Lean event sponsor include:
    Provide the necessary financial resources for
    the event.
    At the event kick off, communicate
    expectations to the team and set the
    direction of the Lean event.
    Clearly state that the process that the Lean
    team develops during the event will be the
    new process—the team is not making
    State that the sponsor will do everything
    possible to support the new process
    developed by the team.
    Challenge the team to develop innovative
    solutions and ideas without introducing pre-
    conceived ideas.
    Be visible during the event and provide
    enthusiastic support of the participants.
Attend team leader meetings and daily
management briefings and provide
redirection if needed.
Assist in removing obstacles.
Be strategic: use the event to advance
agency objectives by improving the
performance of the targeted  process while
being aware of the impact to the total
Attend the report-out session for the event to
show support and congratulate team
members on a job well done.
Track the status of implementation efforts
following the event to make sure the team
continues to make progress  and does not
A Lean event sponsor contract can be used to affirm a sponsor's responsibilities and to
demonstrate his or her commitment of support.

Team Leader

The team leader assists the Lean event facilitator in setting the stage for a productive event.
There are differing opinions on whether the team leader should work in the area of the event's
focus.  On one hand, an outsider can sometimes help the team navigate entrenched perspectives,
                                Lean in Government Starter Kit | Page 30

creating a more open and transparent environment for team members to be creative. On the
other hand, it can be useful to have a well-respected individual from the work area that can help
drive and sustain commitment to improvements made by the team through assistance with
follow-up activities. Think about what makes most sense for your organization.  It is common
for the team leader to have participated previously in one or more Lean events.  Often the team
leader helps coordinate event logistics, including securing the event space, arranging for meals,
and purchasing supplies. Ideally, the team leader has an assistant who can help support them
with administrative tasks that need to be accomplished prior to and during a Lean event.
Specific roles and expectations of the team leader include:
    Support the team members in finding
    Help facilitate an open exchange of ideas.
    Encourage creative thinking and problem-
    Support the team during event
    Ensure that all event objectives are met.
    Help prepare for the event.
    Assist in selecting team members
Prepare the schedule and agenda.
Gather needed materials and tools.
Keep up to date on all aspects of the event.
Assist with documentation and reporting.
Secure external consulting services of Lean
Arrange a site visit for the Lean team to talk
with the workers and see the process in
When the team leader is from outside the specific content area in which the event is occurring,
good communication is crucial.  Team leaders will need to know the goals and objectives of the
event, any process requirements, and the expectations of the team members. Any contextual
information, such as past problems encountered and gains achieved should be shared with the
team leader.
Select Other Participants and Determine Roles

Thoughtful participant selection can ensure a
successful and productive event, making it important
to carefully select external stakeholders and agency
staff participants. Team members are expected to
attend the entire event and fully participate by
providing input and ideas.  Team members are also
expected to complete assignments identified during
the meeting or tasks that may be defined after the
event. Here are  some things to consider when
selecting participants and  determining roles:
                                                            THE "THIRDS RULE"
 The "thirds rule" provides a guide for
 structuring the Lean Team. Include:
 • 1/3 of participants who work directly in the
 • 1/3 of participants who manage or
   supervise the process
 • 1/3 of participants who are not directly
   involved in the process (e.g., people from
   the agency, external stakeholders,
                                Lean in Government Starter Kit  | Page 31

     Ensure the team has cross-functional representation. The "thirds rule" provides a good
     guide for structuring the Lean team composition (see textbox).  It is important that
     members of the team are empowered to make commitments about process improvement
     ideas that are within the scope of the event.
     It is often helpful to have a representative from the agency's information technology
     group, since most processes have some important relationship to agency databases or
     information systems. It may also be useful to consider whether people from the agency
     who are indirectly affected by the process or representatives from other support
     functions, such as accounting, legal, or human resources would be helpful to include.
     Participant selection can help secure buy-in from all levels of an agency for the process
     improvement efforts. Most importantly, you should include staff and managers on the
     team that can continue implementation beyond the event itself.  Consider involving
     informal as well as formal leaders on your Lean event team.
4 weeks before event:
    S  Begin collecting primary data
    •S  Determine opportunities
    S  Define goals
    S  Select team members
    •S  Identify resources required
3 weeks before event:
    •S  Forward team roster, preliminary data, and event goals to facilitator
2 weeks before event:
    •S  Confirm availability of personnel and resources
    S  Remind leaders and sponsors to be available for report-out
    S  Ensure affected parties in the event focus area are aware of the impending event
    •S  Ensure affected parties have a method to forward observations
1 week before event:
    •S  Prepare data packets, employee suggestions, supplies, toolkits, forms, and meeting spaces for event
    S  Confirm event agenda and schedule with all affected parties
     Lean event teams are typically comprised of 10-12 members.  However, some processes
     are extremely complex and it may take additional participants to get all the right players
     at the table. If additional participants are required, the largest size recommended is 15.
     Once the group size gets beyond this size, it can become very challenging to manage,
     especially for the facilitator.
     If you cannot pare down your list of critical participants for an event below 20, another
     option to consider is to convene off-site meetings on specific topics, such as  holding a
     meeting that deals exclusively with a specific aspect of the process that some participants
     may care most about, such as legal review.  This approach is suggested for highly
     complex processes or issues.
                              Lean in Government Starter Kit  | Page 32

    •   One strategy for getting more people into the room during a Lean event is to distinguish
       between observers and participants. Observers should be limited in number and should
       not outnumber team members as too many observers may cause team members to be
       uncomfortable or hesitant to express their viewpoints.  While observers are welcome, it is
       critical to communicate that they are observers only.
    •   Team members are expected to shed all of their operational responsibilities during the
       course of the event, thereby allowing them to completely focus on the event.  It is highly
       disruptive and disrespectful to the team if a senior manager is routinely taking calls,
       checking email, or leaving the room for other meetings.  Ensure that each team member's
       responsibilities are delegated to other staff during the event and communicate the
       expectation that team members should not be doing other work during the event.
    •   If you are having trouble selecting team members, it may be useful to hold a pre-event
       meeting with a small group of staff to identify  all the activities included in the event
       scope and which staff members are connected  to these activities. In addition, the Lean
       facilitator can provide advice on how to select  participants (e.g., qualities/characteristics
       to look for).

Arrange Meeting Logistics and Invite Participants
All events require a certain amount of logistical
planning, such as selecting a date, reserving meeting
space, re-distributing staff workloads, and securing
meals during the event. Addressing these logistical
questions before the event helps to ensure smooth
implementation and to create a comfortable, stress-
free, and productive environment for participants.
Lean Event Supplies List
Lean Event Logistics
       Schedule the pre-event scoping meeting and
       the event, and invite participants. Many people have very busy schedules, so be sure to
       invite participants in advance of the pre-event meeting. You should send invitations to
       the pre-event  meeting and to the event itself as soon as the meeting space is secured, in
       order to ensure that everyone will be able to attend.  The typical duration for a kaizen or
       value stream mapping event is 3-5 days. Thus, it is important to consider these
       timeframes when scheduling a Lean event, as holidays or staff vacations could interfere
       with event timing. If you have opted to hire a Lean facilitator, keep the same scheduling
       considerations in mind. Sometimes Lean consultants have very limited availability.
       Reserve sufficient meeting space. During some Lean events, participants may need to
       break out into smaller groups for part of the event, so it is important to ensure that space
       and materials are available for breakout sessions and for the group as a whole. Be sure
       that meeting rooms have plenty of wall space for posting materials on the walls.
       Consider whether any  special arrangements are needed for the initial training session
       and/or final report-out presentation, which often  involves additional attendees.
                               Lean in Government Starter Kit |  Page 33

Pre-event Scoping Meeting: Develop the Event Charter
                                                          Lean Event Scoping Guide
                                                          Pre-event Meeting Agenda
                                                          Team Charter
                                                          Example Team Charter
The pre-event meeting occurs between three and six
weeks prior to the Lean event.  It is probably the most
crucial step in planning and preparing for a successful
Lean event.  The pre-event meeting is commonly held
in the venue in which the Lean event training will take
place.  The pre-event meeting should involve the Lean
facilitator, the event sponsor, the team leader, and key
managers and staff who oversee or are involved in the
process to be targeted by the Lean event. Pre-event
meetings typically last between two  and four hours, depending on the complexity of the process
and event and the Lean experience of the participants. During the pre-event meeting,
participants will create the team charter, an important document which sets out the scope of the
process that will be addressed in the event, establishes the goals and objectives of the event,
identifies any work that must be completed prior to the event, and identifies the team members.
This section explains how the pre-event meeting participants should decide what each of these
important components of the charter should be.

There are five steps (described in this section below) in the pre-event meeting to create a team
charter that will best prepare for a successful event:
   •   Step  1: Develop the event scope
   •   Step 2: Identify goals and objectives
   •   Step 3: Clarify boundary conditions for the event
   •   Step 4: Identify performance metrics and pre-work needed
   •   Step 5: Record event dates and location

You can read much more about the steps to take when preparing for a Lean event in the Lean
Government Event Scoping Guide resource, which has examples of environmental agency
experiences with Lean event scoping.

Step 1: Develop the Event Scope

The event scope is a critical component of success, and sets the "fence posts" that the team will
be operating within. A well-defined scope can significantly increase the probability that the
event will be successful.
   •   Define key components of the event scope. Begin by discussing and identifying key
       components of the Lean event scope that will keep the team focused on specific areas that
       will best enable them to improve the process.  The scope should identify the process, the
       event name, the trigger that sets the process in motion, the first and last steps in the
       process, and the specific process conditions that the team assumes to exist for the purpose
       of the event. Be as  specific as possible when  documenting the scope in order to avoid
   •   Consider whether the scope is sufficiently narrow. Once you have clearly documented
       the components of the event  scope, step back  and consider whether the scope is narrowly
                              Lean in Government Starter Kit | Page 34

       defined enough to accomplish in a few days time. This step is critical to the success of
       the event.  Many teams have a tendency to scope events too broadly, which can lead to an
       event consumed by charting the current process and that lacks sufficient focus directed
       onto creating specific, implementable improvements.

    •   Consider implications of the scope and align expectations. Scoping an event is a
       balancing act; on 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. Be aware that a too-broad scope will
       necessitate extra follow-up implementation planning and support, and potentially even
       additional  Lean events. Be sure to align leaders' expectations for results with what can
       realistically be achieved.
Ask your Lean event facilitator for help with appropriately scoping a Lean event.  One strategy
that can be useful  for managing the scope of events that could otherwise be too big is to conduct
a half-day visioning session to map the process to get an understanding of the problem areas and
opportunities at a high level and then develop a realistic plan for kaizen events or other
improvement projects (see box). Additionally, talk with other environmental agencies that have
targeted similar processes using Lean. Staff at these agencies may be able to offer suggestions
for scoping and planning your Lean event.

If you think your Lean team may be considering a process improvement project with too large
a scope, consider convening key leaders during the early stages of event planning to hold a
visioning session. In a visioning session, leaders involved in the process area meet for a day
or less to discuss the process improvement project and map out an overall plan at the "50,000-
foot" level. This can be done in conjunction with the pre-event scoping meeting or
separately. Use this exercise to gain an understanding of where there may be opportunities to
eliminate waste in the process, and then discuss which area or areas to target for more detailed
analysis in a Lean event. Holding a visioning session early in the planning process can help
avoid the problem of scoping an event too broadly, because leaders will be able to gain an
overall understanding of the process before the event and then define an appropriate event
scope and goals.
Step 2: Identify Goals and Objectives

Setting clear goals and objectives for the event enables clear targeting, which is essential for

Lean event goals are statements of intent that focus team attention on the areas in which
improvement results are desired.  Goals provide a useful starting point to ensure that the highest
                              Lean in Government Starter Kit |  Page 35

                             Event Preparation Checklist
priority areas are targeted by an event.  The team should establish a shared understanding of the
1-3 highest-priority goals. Example 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.

Lean event objectives differ from goals in that they are specific and measurable. Objectives
should include the goal, metrics associated with the
goal, targets, and timeframes. Examples of well-
defined objectives include:
    •   Reduce the maximum time for first response to
       permit applicant inquiries to 24 hours within 3
    •   Improve first time quality of water quality data submittals from 72 percent to 95 percent
       by June 1.

Step 3: Clarify Boundary Conditions for the Event

During the event scoping discussions, it is crucial that the event sponsor, possibly in coordination
with other key agency managers,  set clear boundaries for the Lean event. Setting boundaries in
advance helps a Lean team to keep its focus on those aspects of the process and potential
solutions it has reasonable control over.  It is important that the scope for the event be limited to
areas for which the Lean team is empowered to make changes and decisions. There are two key
types of boundaries:
    •   Process-scope boundaries. It is important to clearly identify where the process starts and
       ends, at least insofar as which parts of the process will be discussed during the Lean
       event. It may also be necessary to draw clear lines where hand-offs are made to other
       processes. For example, it may be appropriate for a state Lean event to set an external
       review process (e.g., EPA review, public comment process) as a part of the broader value
       stream or process that is "out of bounds" during the Lean event.
    •   Solution-scope boundaries.  It may also be important to set limits on the types of changes
       that are allowed as part of the Lean event.  For example, it is typically appropriate to say
       that policy changes are off-limits.

Establishing clear boundary conditions for the Lean event can address potential concerns that
some agency staffer stakeholders may have while also clarifying team expectations about
aspects that  are fair game for improvement. Key examples 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
Lean in Government Starter Kit |  Page 36

       clearly state that public comment and participation opportunities will not be lessened, or
       that the time for substantive analysis and review by permit engineers will not be lessened.
       Boundary conditions can help set clear expectations about the availability of resources.
       Lean events are designed to strongly encourage creativity to find ways to reduce costs
       rather than to increase capital expenditures.
 In Scope
 • Interpretation of agency rules, policies, and guidance
 • Internal organizational structure
 • Internal permit process and timing
 • Applicant interaction 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
• Modifying existing agency rules
• Additional resources
• Permit appeal process
• Mandated public participation requirements
• Permit involving enforcement action
• Public hearing process/officer
While it is okay to allow teams to set some boundary conditions during the event, it is important
to identify which boundary conditions must be set in advance.
Step 4: Identify Performance Metrics and Pre-Work Needed
Determining performance metrics, identifying pre-work and collecting data on baseline metrics
are important steps for effectively using your time in a Lean event. Collecting data on the
current state of a process enables a Lean team to understand the process, identify areas for
improvement, and assess the effectiveness of potential changes to the process.  Often, pulling
together information at the sub-process level can help inform the team's understanding of the
current state of the targeted process.  It is not enough to know the overall process performance, it
is also necessary to understand how things work at the process step level.  In addition, there may
be other materials to assemble before the event and other tasks that need to be completed ahead
of time, such as getting approvals for making certain types of changes during the event.
During the pre-event meeting, take time to assign individual responsibility for "pre-work," the
tasks that need to be completed before the Lean event. Pre-work is needed to establish baseline
 ' Example "In Scope, Out of Scope" list based on a presentation of the Delaware DNREC.
                               Lean in Government Starter Kit |  Page 37

                          •  Pre-event Data Collection
                          •  Lean Government Metrics
metrics and to gather background documents that are
likely to be useful during the Lean event, such as
existing process maps, procedures, or examples of
process outputs (e.g., recurring reports). 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

Although Lean events usually include some time to collect baseline data, it can be quite valuable
to gather these data in advance, if possible, so that the Lean event team can spend more time
working on solutions to eliminate waste in the process.  Data collection should be driven by the
goals and objectives that the team has defined for the event.

Sometimes it can also be helpful to have information on how key "customers" or stakeholders
perceive the targeted process and its outputs.  Getting a sense of the "customer's voice" prior to
the Lean event can be helpful, particularly if key customer groups will not be represented on the
Lean event team.  It may take some time to get customer input, through interviews or surveys, so
plan for and collect this information in advance of the Lean event.


Current state metrics establish the baseline by which to measure the outcome of a Lean event.
Metrics should be quantified before, during, and after Lean events.  The Lean Government
Metrics Guide (see resource) provides definitions and examples of metrics often used in Lean
government efforts. There are several categories of metrics for evaluating improvements to
specific processes, as follows.
    •   Time metrics. What is the total lead time for the process (e.g., start-to-finish time for a
       permit application review)? What percentage of that time adds value from the customer's
       perspective? How long does it take to complete a cycle or transaction within the process?
       What percent of products (e.g., permits and travel authorizations) are delivered on time?
    •   Cost metrics.  How much does the process cost to operate (e.g., the number of full time
       equivalent employees)? What cost savings did the team identify in the Lean event?
    •   Quality metrics. How often does the process lead to mistakes (e.g., incomplete or
       inaccurate forms) that require rework?  How do customers view the effectiveness and
       efficiency of the process?
    •   Output metrics.  How many products (e.g., permits) are completed or processed each
       month or year? What backlogs exist in the process?
Lean in Government Starter Kit |  Page 38

Process complexity metrics. How many steps are in the process?  How many of those
steps add value, from the customer's perspective? How many times is a document
handed off between individuals, offices, or departments in the process?
Resource metrics.  How much paper does the process consume? How much energy?
How much landfill waste is produced?  How much of an environmental impact does each
step of the process have?
Time Metrics
>=> Lead Time
>=> Best and Worst Completion
>=> Percent On-Time Delivery
>=> Processing Time
>=> Activity Ratio
>=> Value Added Time
>=> Non-Value Added Time
>=> Non-Value Added but
Necessary Time
>=> Percent Value Added Time
Output Metrics
>=> Production
>=> Backlog
>=> Work in Process
>=> Inventory

Cost Metrics
>=> Labor Savings
>=> Cost Savings
>=> Cost per Product

Quality Metrics
>=> Customer Satisfaction
>=> Rework
>=> Percent Complete and
>=> Rolling First Pass Yield

Process Complexity Metrics
>=> Process Steps
>=> Value Added Process Steps
>=> Decisions
>=> Delays
>=> Handoffs
>=> Loops
^> Black Holes
                       Lean in Government Starter Kit |  Page 39

  The ultimate goal of using Lean and Six Sigma in environmental agencies is to improve environmental outcomes
  more efficiently and effectively. The metrics listed in this Starter Kit provide a number of ways to track and
  evaluate the efficiency of government processes and the operational benefits from process improvement efforts;
  however, making the connection between process efficiency improvements and environmental outcomes is more
  challenging. Measuring the contributions of specific Lean events or Six Sigma projects to environmental
  outcomes—such as drinking water quality, human exposure to air pollutants, changes in greenhouse gas
  emissions, and habitat condition—is difficult, given the variety of variables that influence environmental
  outcomes. In most cases, administrative processes targeted by Lean (e.g., a permitting process or grant
  distribution process) are removed from having direct impacts on environmental outcomes.  However, there are
  indirect environmental outcomes that can have significant benefits. By getting process activities and procedures
  to function smoothly and consistently, agencies free staff time to focus on higher value activities that are more
  directly linked to environmental protection (e.g., conducting compliance inspections, providing technical
  assistance to businesses, completing environmental permits, etc.). When a process targeted by a Lean event has
  a more direct impact on environmental outcomes, the project team should consider whether it is appropriate to
  set a baseline environmental outcome measure and evaluate the changes to the measure as a  result of the
  improvements made to the process. Decide whether to set a baseline environmental outcome by asking the
  question: "How does the targeted process affect environmental outcomes?"
In addition to measuring the results of individual Lean events, environmental agencies may also
want to track the progress and results of Lean implementation at an organizational level.  Types
of metrics relevant in this context include the following.

    •  Lean deployment metrics. How many Lean events have we completed this year?  How
       many employees have participated in at least one Lean event? How many employees
       have participated in Lean training classes or certification programs?

    •  Morale metrics.  How satisfied are employees with the agency or office?  What is the
       staff turnover rate  and how does it compare to the average for government agencies?

Lean Deployment Metrics
Morale Metrics
    Lean Events Conducted
    Lean Event Participation
    Lean Training
    Employee Satisfaction
Consider these points when identifying key metrics:

    •   Determine the purpose of the metrics.  Measuring the wrong things can waste people's
       time or reinforce undesirable behaviors. In selecting metrics, consider questions such as:
           o  What is the purpose of the metric? What wastes are we trying to eliminate? What
              behaviors are we trying to reinforce?
                                 Lean in Government Starter Kit |  Page 40

          o   Who are the key audiences for the metric?
          o   How will we use the measurement data?
       Just use a few metrics. No more than a few metrics per category are needed.  Having too
       many metrics dilutes the focus of the improvement efforts and can create unnecessary
       Use only the appropriate metrics.  Ask whether there is something important about a
       targeted process related to each category of process metrics, and do not worry if the
       answer is "no." Also consider which metrics would be useful to evaluate across the
       agency, depending on the status and goals of the Lean or Six Sigma initiative.
       Focus on customers and agency leadership needs.  While many metrics can show
       improvements made during Lean events (e.g., reductions in the number of process steps),
       only a few metrics matter to customers, including the time it takes to receive a service or
       product (lead time) and the quality of the service or product.  Make sure to include some
       metrics that reflect key interests of customers, along with metrics that will resonate with
       agency leaders and support the agency's strategic goals.
       Engage data users in the design of the metrics.  It is important to engage people who are
       familiar with the process in the design of metrics and the development of a system for
       collecting and reporting performance data. Without consulting front-line employees,
       agencies risk choosing metrics that are poorly understood, irrelevant, or inconsistently
       used by the people who do the work.
Step 5: Record Event Dates and Location

Setting ground rules for the event helps ensure that
all participants respect and hear all ideas and
viewpoints expressed during the event. Ground
rules also remind participants to keep an open mind
and to "think outside of the box." Ground rules are
reviewed during the kick-off meeting and are
prominently posted for all participants to see.
Example ground rules are included in the adjacent
resources box.

Finally, be sure that the team charter records the
meeting locations,  event dates, and meeting times.
Team participants will use the charter as a
reference, so this information will serve as a useful reminder to clear their schedules in advance
of the event.

Keep an open mind to change
Maintain a positive attitude
Never leave in silent disagreement
Create a blameless environment
Practice mutual respect every day
Treat others as you want to be treated
One person-one voice, regardless of
position or rank
There is no such thing as a dumb question
                               Lean in Government Starter Kit |  Page 41

Event Preparation

Review the Charter

After the team has developed the charter during the pre-event scoping meeting, distribute the
charter to everyone who will be involved in the event. Be sure that both managers and staff have
the opportunity to review the charter. Make any necessary revisions based on input from team
members, and ensure that all participants support the charter, agreeing to the scope, goals,
objectives,  and boundary conditions for the event, including any modifications based on data
collected since the pre-event meeting.

Prepare the Event  Agenda

Prior to the Lean event, prepare an event agenda that clearly articulates the objectives and timing
for the event.  An effective agenda ensures that the
objectives and goals  of the  event match the given
timeframe.  The Lean facilitator is typically
responsible for preparing the agenda, or at least
reviewing it prior to  sharing it with participants. It
is important to distribute the agenda to participants
before the event.
Kaizen Event Agenda
  Ask these key questions after the pre-event meeting to ensure that the team is well-prepared for the event.
     S Are all participants and affected parties aware of and in agreement with the objectives, scope and
        expectations for the event?
     •S Have you identified the individuals who will officially kick off the workshop (sponsors and process
        champions are good candidates)?
     •S Have you determined when senior staff will be present—for the entire event, for daily report-outs, or for
        the report-out at the end of the event?
     S Have you planned how follow-up activity progress post-event will be communicated to the sponsor and
        management team?  By whom?
Communicate About the Event

Communicating proactively with your entire organization is critical to building organizational
buy-in to process improvement efforts. Transparent communication, particularly with employees
whose work may be affected by the Lean event, is vital to ensuring success.

    •   Schedule a briefing with senior management once the scope and objectives of the Lean
       event have been set. Top management support is crucial for a successful Lean event, in
       part because it can affect budget and staff availability.  It is also important for senior
       management to approve many of the aspects of a Lean event, including:
                               Lean in Government Starter Kit |  Page 42

          o   The process that will be addressed;
          o   The decision to hire an external Lean facilitator;
          o   The anticipated timeframe, products, and results; and
          o   How the event will affect staff availability and workload.
    •   Schedule daily management briefings at the end of each day during the event. Ensuring
       that senior managers are aware of the activities of the Lean team throughout the event
       keeps them appraised of the process and engaged in its success, and prevents potential
       negative reactions during the final report-out.
    •   Inform staff about the Lean event.  Notifying internal staff that a Lean event will occur
       provides transparency to the process  and is a great opportunity to solicit feedback and
       ideas on event scope or "areas of pain" in the targeted process.  Communications with
       staff should include information on the Lean event as well as background information on
       Lean methods and how the Lean event could affect staff.
    •   Address staff concerns about Lean. Be extremely proactive in "selling" the idea of Lean
       to the entire organization.  Process improvement efforts in the long run depend on a
       groundwork of support that you can build by dispelling myths and alleviating fears about
       Lean prior to the first event.  Be sure to directly address potential concerns that some
       employees may have about Lean or the focus of a particular event.  Clearly indicate that
       no staff will lose their jobs as a result of improvements made from the Lean effort. One
       state environmental agency noted that staff were initially afraid that Lean would result in
       lost jobs. Leadership communicated that that
       would not be the case, and eventually, Lean
       improvements actually helped to prevent any
       jobs from being eliminated.  The "Frequently
       Asked Questions about Lean" resource
       contains information that is often helpful to
       communicate to others in the organization.

Collect needed data and information

Prior to the event, collect background materials and data about the current state of the process,
based on the performance metrics and pre-work identified during the pre-event meeting.

Finalize Logistics

As the event nears, complete final logistical  arrangements:
    •   Finalize logistics and schedules. Logistical preparations such as setting aside space for
       the Lean event team or meal orders and the fmalization of the agenda should be
       addressed or completed prior to the event.
    •   Send reminder e-mail. It is helpful to send a reminder e-mail or calendar invitation to
       ensure that team members have the correct dates and times blocked on their calendars.
Frequently Asked Questions
About Lean
                               Lean in Government Starter Kit | Page 43

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Chapter  5.  Conducting a Lean  Event
This chapter addresses key activities and steps involved in conducting a successful Lean event,
including the following:
                                LEAN EVENT STEPS

   >=>  Lean Event Overview
   >=>  Kick off a Lean Event
   >=>  Manage the Phases of a Lean Event
   >=>  Manage Change During a Lean Event
   >=>  Identify Follow-Up Action Items from the Event
   ^>  Report Out at the  End of the Event
   ^>  Celebrate a Successful Event
Lean Event Overview
The diagrams below lay out the main phases of a kaizen event and value stream mapping event.
Kaizen and value stream mapping events generally take place over a two- to five-day period.
Value stream mapping events tend to be three or four days, since their primary focus is on
prioritizing future improvement opportunities and developing an implementation plan for process
improvements.  Kaizen events are the key method in Lean for making rapid changes to improve
a process; they are most effective when you already have a good understanding of the process
and the problems in it, and want to focus on implementation. The length of kaizen events varies
depending on the scope of the problem to be addressed, ranging from a one-day "point kaizen"
event that focuses on a very specific area for improvement (e.g., a 5S event to organize a supply
room) to a five-day kaizen event to address a permitting process.  Most events follow the steps
outlined below.  Lean experts highly discourage efforts to shortcut the kaizen or value stream
mapping process, since much of the power of Lean lies in following the methods closely. For
more information about Lean methods, see the Lean Methods Table in Chapter 3 or the
references in Appendix A.
                             Lean in Government Starter Kit |  Page 45

Kaizen Event Overview
                          5-day Kaizen Event Agenda Outline

Training Day
Begin mapping
and measuring
current work

Day 2

Discovery Day
Measure and
analyze current
work process

Day 3

Do Day
Create and
map new

Day 4

Do, Re-Do,
Document Day
Finalize new
process design,
estimate benefits,
develop action plan


Present results
and celebrate

Some Lean facilitators alternately describe the flow of a kaizen event as (!) measure, (2)
analyze, (3) improve, (4) control, and (5) report and celebrate. While the terminology may vary
slightly, the steps and flow of a kaizen event tends to vary little whether it is being applied to a
manufacturing workshop or an office administrative environment.

Value Stream Mapping Event Overview

One of the main differences between a value stream mapping event and a kaizen event is that a
value stream mapping event typically focuses at a higher level, mapping the entire chain of
processes that create and deliver something of value to a customer. While the general structure
of a value stream mapping event is similar to that of a kaizen event, the value stream mapping
event is typically designed to develop a road map to guide future kaizen events that target
specific areas where improvement is needed.  Value stream mapping events emphasize planning
and prioritization of future activities, whereas kaizen  events focus on implementing process
changes.  Some environmental agencies have extended a typical three-day value stream mapping
event agenda to four or five days to include additional time for implementation planning.

                  3-day Value Stream Mapping Event Agenda Outline
Training &
Current State Map
VSM training; map & analyze
the current state of the process

Day 2
Future State Map &
Implementation Plan
Map a desired future state
for the process; develop an
implementation plan

Celebration Day
Present results and celebrate
                              Lean in Government Starter Kit | Page 46

Team Leader Daily Agenda

In addition to the event agenda prepared during the
pre-event scoping meeting (see Chapter 4), it is also
important to prepare a team leader daily agenda. This
detailed agenda is essential for identifying the team
leader's responsibilities and actions throughout the
event.  This agenda also ensures that the flow between
the main phases of a Lean event is smooth and that all activities are well executed.

Kick Off a Lean  Event
                                                           Team Leader Daily Agenda
Planning for the kick-off of your Lean event is essential for success. This is a key time for Lean
leaders to show their support.  The kick-off session is typically introduced by the Lean event
sponsor and the Lean team leader, and then handed off to the Lean facilitator. The kick-off
session should include the following activities.
    •  Introduce all team members and observers. Ask each team member to briefly address a
      few key questions:
          1. Who are you and where do you work?
          2. What are your goals for this event?
          3. What do you like to do when you are not at work?
    •  Capture team members' goals on aflipchart and post them on the wall.  By
      understanding participants' goals, it is often possible to create improvements in a form
      and manner that meet diverse needs.
    •  Have the event sponsor say some opening words. This can be helpful to clearly articulate
      the event scope and boundaries, while encouraging (or even inspiring) team members to
      work towards the desired outcomes and event goals.
    •  Review ground rules for the event.  It is important to review the ground rules that were
      established during the pre-event scoping meeting and post them prominently for all
      participants to see.
    •  Briefly review key performance data and background materials that have been
      assembled.  This can help anchor the team around desired outcomes and key reasons for
      working creatively to improve the process.
    •  Set a tone for having fun!  Team engagement is key to success. Make the event fun for
      everyone, including staff and support personnel. If the event facilitator and team leader
      are fully engaged and show enthusiasm, it will be contagious.


Lean training is typically a core part of the first day of a Lean event. For many people this may
be their first event and it is important that all participants be on the same page about how the
Lean event will work.  Think of this as just-in-time training—where participants learn about
Lean immediately prior to implementation.  Most organizations continue to have training as part
                              Lean in Government Starter Kit |  Page 47

of the kick-off for every Lean event, even if most or all team members have previously
participated in a Lean event.  Most organizations find that the just-in-time training provides
invaluable reminders, gets everyone on the same page, and serves as an icebreaker to get the
team warmed up for several days of intensive activity. Training is also discussed in Chapter 7,
as well as in the Guide to Lean Training (included in Appendix B).

Manage the Phases  of a Lean Event
While much of the success of a Lean event rests on careful planning and preparation, managing
the event phases is also a significant responsibility. During the Lean event it is easy for the
process and participants to get off track. While your Lean facilitator will help direct discussions,
it is important for the team leader to maintain the focus on the event's objectives. A few tips
   •   Develop and adjust the agenda daily and post it in a high traffic area for all participants
       to see.  The agenda should be accessible to all participants as a reminder of the day's
   •   Ensure that the team members understand Lean terms conceptually and in practice. One
       of the underlying goals of an event is to identify waste or non-value added activity in a
       process. While  some terminology can sound negative, "waste" in Lean terminology
       refers to anything that adds cost or time without adding value from the perspective of the
   •   Promote and encourage creative problem-solving. It is critical to the success of Lean
       that the event  fosters creative thinking. The facilitator and team leader must work to
       create space in which all team members feel safe to bring up ideas, even if the ideas seem
   •   End each day at a reasonable hour.  Working late into the evening is not necessary and
       can hurt team  morale. If the work is complete, don't hesitate to end early. If longer
       hours are needed, all participants must agree to this schedule.
   •   Assign homework during the event to track actions and the work completed.  Homework
       often includes ideas that participants did
       not have the time or resources to complete
       and can be used to track actions for event
       follow-up (see the "Lean Event
       Homework" form included as a resource in
       Appendix B).
   •   Conduct daily management briefings.  Short, focused briefings (e.g., 15 minutes) with
       key managers near the end of each day's work can help them stay informed about the
       team's progress, allow these managers to engage with the team and learn about how Lean
       works even if they can't fully participate in the event, and can help prevent a negative
       reaction in front of the team at the end of the event.
Lean Event Homework
                              Lean in Government Starter Kit |  Page 48

A few method-specific tips include:
    •   When doing process mapping in a Lean event, don't assume that the process works as it
       is intended to work. Develop the current state map based on actual data and observations
       about how the process works in practice, even if that makes the map messy. Expect to
       use a lot of butcher paper and sticky notes (or full white boards); by the end of the week,
       Lean event rooms are usually covered with process maps and flipchart brainstorm notes.
    •   Techniques for helping people get to the root cause of an issue or problem.  When people
       are stuck on something there are a variety of techniques that a team leader with some
       Lean facilitation experience can use. Some techniques include:
          o   5 Whys Method:  The approach of asking "why" five times is used to identify
             the root causes of problems  in a process or value  stream. By applying the 5 Whys
             method an agency can identify waste and improvement opportunities.  You may
             find that there no longer are good reasons why a process is implemented a certain
          o  Cause-and-Effect (a.k.a. fishbone) Diagram: This is a useful technique that is
             used to trigger ideas and promote a balanced approach in group brainstorming
             sessions where individuals list the causes and effects of problems.

Manage Change During a Lean Event
Real change is difficult. There are often a thousand reasons to maintain the status quo. Yet it is
vital to trust the insights and ideas that emerge during the Lean event. Lean methods are
specifically designed to help people see processes in a new light, making it painfully clear where
improvement is needed and opening paths for change that were not previously evident.

Diverse emotions are often stirred when individuals involved in the targeted process watch the
Lean team rip into the work they do on a daily basis and highlight large amounts of non-value
added activity. Be sensitive to this, remembering that the focus is on the process, not on the
performance or accomplishments of individuals. The team goal is to forge a process that
increases all participants' ability to add value and to perform meaningful work.  Note that these
emotions can be magnified for those who are involved in the targeted process but who may not
be participating on the Lean team.

Give some thought to how to best reach out during and after the Lean event to others whose jobs
may be directly affected by changes made during the event.

A few tips for managing change during the event include:
    •  Brainstorm new ways to eliminate waste and/or to re-conceptualize a process or an
       entire value stream. Stay innovative. Don't be limited by what has been tried before.
    •  Be flexible and willing to try new things. Keep testing new ideas during kaizen events
       but avoid the paralysis of over-analysis. Create value stream maps using sticky notes on
       white boards or butcher paper, so that they can be easily adjusted during the event.
       Expect to revisit and revise "future state" implementation plans.
                              Lean in Government Starter Kit |  Page 49

   •   Test improvement ideas as much as possible in an event before changing the layout or
       order of a process.  Afterwards, implement the new plan.  Lean encourages testing new
       improvement ideas and utilizing creative thinking.  In value stream mapping events, it is
       common to develop several iterations of your future process map before settling on one
       that the team agrees on.
   •   Communicate with management. Immediate supervisors should to be kept informed
       about changes to the process.  As noted earlier, one way to do this is to hold a 15-20
       minute daily briefing for the event sponsor and other key managers each afternoon of the
       event. These brief meetings can help ensure management buy-in and tap help in
       removing any obstacles the team may be facing.
   •   Hold trainings for staff about process changes and future plans. Explain to workers not
       involved in the event how the new process will make their jobs  easier and more
       rewarding. Let them know how they can get involved in future  process improvement

Identify Follow-up Action Items from the Event
On the final day of the event document action items your team was not able to complete in the
event, assign responsibilities and due dates for individual tasks, and select one person to serve as
an overall implementation manager to track follow-up efforts. While conducting your Lean
event, you may discover other areas or processes that would benefit from Lean.  While common,
it is important to maintain the group's concentration on the focus of the current Lean event. For
tracking purposes, make note of these opportunity areas for future projects.

Report  Out  at the End of the Event

Participants give a report-out presentation at the end of the Lean event. The event sponsor and
other senior managers who did not participate in the Lean event often attend the report-out
presentation. Be sure to invite these managers to
attend the report-out presentation well in advance.
The report-out serves as a forum for exchanging ideas
and informing others of the team's accomplishments.
It also helps to solidify the shared experience during
the event.
                                                           Report-Out Summary
                                                           Event Report-Out
                                                           Event Evaluation Form
Generally, the presentation includes an overview of
the event objectives, activities, and results. A few tips

   •   Assign individual team members with presenting part of the presentation. It is helpful to
       involve all team members if possible.

   •   Conduct a "dry run" presentation so team members are comfortable with their roles.
                              Lean in Government Starter Kit | Page 50

    •   Invite people to attend from throughout the organization and even from other
       organizations.  Some environmental agencies have invited agencies from neighboring
       states to attend report-out meetings.
    •   Focus on the highlights of participants' experience rather than presenting a verbatim
       recap of the entire event.
    •   Keep the presentation to less than 45 minutes, leaving approximately 10 minutes for
       questions and comments by the audience.
    •   Set up a report-out presentation template for your agency (if your agency is implementing
       multiple Lean events) to make it easier to develop the presentations during the event, and
       so that the facilitator, team leader, and event sponsor know what to expect.
    •   Hand-out an event evaluation form prior to the presentation. This allows participants to
       share their experiences confidentially and can be used to identify possible process
       candidates for future Lean events.

Celebrate a Successful Event
Upon completing the Lean event, it is important to celebrate the achievements and hard work of
the event. An event celebration is a great way to extend thanks to participants, planners, and
managers, and to recognize the team's contributions.
   •   Coordinate with the event sponsor or staff support to plan the celebration.
   •   Take a team photo and make copies for all team members.
   •   Consider sharing the results of the event through an agency newsletter, a posting on a
       bulletin board, or in a press release (also see  communication ideas in the next section).
       Many agencies have found that short case studies or success stories with team photos or
       other visuals are very helpful for communicating about Lean, boosting team morale, and
       increasing interest in additional Lean events.
   •   Consider providing each team member with a
       certificate or a small token of appreciation to
       commemorate the event, which they can
       display in their offices to help spread
       awareness of and interest in Lean.
Lean Event Certificate
       Give credit to support personnel, other staff
       in the area, and the team members for making the gains possible.
                               Lean in Government Starter Kit | Page 51

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Chapter 6. Lean Event  Follow Up
Now that you have completed your Lean event and designed a new process, effective follow-up
is vital to realizing and sustaining the benefits. Key steps for Lean event follow up include:
    >=>  Track and Implement Event Follow-up Actions
    >=>  Document the New Process and Communicate Internally
    >=>  Evaluate Performance
    >=>  Communicate Externally
    >=>  Integrate Lean Follow-Up Into a Continual Improvement System

Track and Implement Event Follow-up Actions
Follow-up is critical to reap the full benefit of your Lean event. One of the most important
products of a value stream mapping event is the "future state" implementation plan, yet that only
delivers value to the extent it results in future process improvements. In addition, while kaizen
events encourage implementation of many process changes during the event (e.g., developing
new forms or standard work), there is often a list of follow-up actions that the team was not able
to make during the event.  Effective follow-up
is also vital to sustaining the team-based culture
that is often created during Lean  events. Be
sure to take time to design a firm
implementation plan with clear assignments to
ensure that identified actions will be completed
on schedule.

Action items should be clearly documented and
tracked carefully to ensure completion by target
dates. Prompt follow-through on incomplete
actions is vital to overcome inertia that can
cause an organization to revert to the old
process. Move forward with implementation
on the Monday following your Lean event.

Identify an Implementation Manager

One of the most essential steps to ensure effective follow-up is to identify an implementation
manager.  The implementation manager (could also be called the "process champion," among
other titles) is responsible for ensuring that a clear and effective event follow-up process is
established and conducted.  Specific responsibilities of the implementation manager include:
Monitoring follow-up requires a lot of effort. This
effort can get lost if it is not an assigned part of an
individual's day-to-day work.
Coordinating follow-up solely by email has pitfalls,
as it is easy for people to ignore, neglect, or
misinterpret email messages.
If the implementation manager is offsite and/or
does not work directly within the implementation
team, it is harder to play a motivational role on
follow-up activities.
                              Lean in Government Starter Kit | Page 53

                                              EXAMPLE AGENDA FOR WEEKLY
    •   Schedule and run event follow-up
       meetings (if s often helpful to have
       meetings weekly immediately after
       events, so that you do not lose
       momentum);                           • Review progress in addressing action items
                                              • Identify obstacles to follow-up
    •   Lead efforts to identify and remove      . Agree on a p,an to address the obstac|es
       obstacles to effective follow-up;         . Update action item list as needed
    •   Hold the team accountable for
       follow-through on actions;
    •   Ensure that progress is periodically evaluated and corrective actions are implemented, as
       needed; and
    •   Ensure that post-event communication plans are executed.

Carefully select the implementation manager.  This role can be filled by the Lean event team
leader or another qualified person in the agency. (The implementation manager should not be
one of your agency's Lean facilitators,  however, since they don't have any  process ownership.)
The individual should have sufficient stature, authority, and connection to the process to lead
follow-up activities, remove barriers, and drive accountability. The individual must also be able
to make sufficient time available to ensure follow-up activities happen.  It can be helpful to
select an implementation manager who is  somewhat familiar with Lean and who is co-located
with other team members.
The implementation manager has one of the most important jobs in ensuring Lean efforts are successful,
and the value of filling this role with an enthusiastic, organized, and engaged individual cannot be
overstated.  The implementation manager shepherds the improvements identified during the Lean event
through the  event follow-up process to become reality. The time commitment involved can be substantial.
Be sure that the person chosen to take on this role is ready to work hard to remind team members to begin
implementing the new process, and to avoid slipping back into the old way. The implementation manager
should have the full support of organizational leadership and the event sponsor, and should be
empowered to make decisions after the event. The presence or lack of an engaged and hard-working
implementation manager can be a determining factor in the success or failure of a Lean event.
                            Lean in Government Starter Kit |  Page 54

Tracking Follow-Up Actions
It is critical to establish an effective system to document and track follow-up actions to ensure
their completion.  In particular, make sure there is a person responsible (an "owner") and a
deadline associated with each action item. Many Lean events show great promise during the
report-out, but fail to deliver results when follow-up actions are postponed or forgotten.  Be
proactive in ensuring that follow-up is done diligently and in a timely manner in order to realize
the results of the process improvement effort.

When tracking actions and results, keep in mind the following tips:
   •   Stretch, but be realistic.  While it is important to keep  pressure on to quickly address
       Lean event follow-up actions, try to set the team up for success.  Discuss potential
       obstacles that could derail efforts to complete actions within the first 30 days and
       brainstorm ways ("counter-measures") to navigate around these obstacles.
   •   Track follow-up actions in a centralized place. Consider using the Lean event follow-up
       action tracking template provided in the Starter Kit.  Someone on the team should be
       tasked with keeping track of the status of follow-up actions. Post follow-up action lists in
       a shared place onsite.  If some team members are offsite, an online collaboration  website
       may be a useful place to track actions and post relevant post-event resources and
       information. Using color codes on an action list can make it easier to quickly assess
       follow-up  status, particularly when there are numerous open actions.

                   Color Coded Signals on Action Item  Tracking List
                            Green =     On track
                            Yellow =     Needs attention to keep on track
                            Red =       Off track; needs urgent attention
       Remind participants to complete their action items.  Implementation of follow-up actions
       is easy to forget as participants return to their daily activities. The implementation
       manager is responsible for reminding others to complete their follow-up actions and for
       scheduling additional follow-up meetings if identified improvements are not on track.
       An ideal person for this role will be energetic and persistent in reminding fellow team
       members about their responsibilities.
       Send weekly emails. Update the team and the
       rest of the organization periodically on the
       progress of follow-up activity after the event.
       People will be much more inspired to conduct
       their assigned actions if they are held
       accountable in a weekly email.
       Conduct daily or weekly implementation
       check-in meetings with the core members of the Lean team.  Set up brief daily or weekly
       meetings with a small implementation team comprised of team  members with event
       follow-up responsibilities. In  some cases, the check-in meetings can be piggybacked on
•  Lean Event Follow-Up Action
   Tracking Form
                               Lean in Government Starter Kit |  Page 55

another project or staff meeting, if the appropriate team members are present.  The
meetings can be quick (e.g., 5-15 minutes) and even held standing up—some
organizations try to make these check-ins have a distinct feeling and energy that
differentiates them from conventional meetings. The tone of these check-in meetings
should be one of team-based problem solving.  If an individual's follow-up actions are
not getting completed, have the team explore ways to free the individual's time or
consider alternatives for getting the actions completed.

The weekly check-in meetings should take place until all follow-up actions have been
completed.  If possible, hold these meetings where the work is actually performed to
provide an opportunity for the implementation team to talk with workers, see the process
in action, and hear firsthand what is going well and where there are obstacles.  See the
textbox above for an example weekly check-in agenda.

While it may sound like an unnecessary hassle, holding a 5-15 minute daily or weekly
stand-up team check-in meeting can do a lot both to ensure effective event follow-up and
to sustain a sense of teamwork. These quick check-ins can play a major  role in
reinforcing a collaborative, team-centered organizational culture.
Walk the process. Implementation managers, event sponsors, and other team members
should periodically walk around the office, following the flow of the process work and
checking in with staff involved in the process.  Too often, managers do not leave their
offices. Checking in with staff involved in the process sends a message that their work,
and the changes made and planned through the Lean event, are important and valued.
These interactions can also provide real-time feedback on process performance and
follow-up action status, allowing for quick troubleshooting where needed.
Conduct monthly report-out meetings. Most organizations  conduct 30-, 60-, and 90-day
report-out meetings to supplement the weekly check-in meetings. Six- and 12-month
report-out meetings are also important to ensure that improvement results are sustained
and to identify the need and scope for potential Lean events in the future.

These meetings are typically more formal than the weekly check-ins and provide an
opportunity to measure process performance and drive ongoing improvement (see the
section below on "Evaluating Performance" for more discussion of the monthly report-
out meetings).  The focus of weekly meetings described above is more tactical—to ensure
that event follow-up actions are being completed.  In the monthly report-out meetings,
the Lean team can think strategically about the new process and evaluate the process
performance using key metrics  identified during the event.

It is best if the full Lean event team, including consultant support, members from outside
the process, and management sponsors, can attend the monthly report-outs (either in-
person or via teleconference).  These meetings give team members a chance to see the
results of their labor, assist with identifying and removing obstacles to improvement, and
strenghten their ownership of the improved process. Many agencies endeavor to make
these meetings fun, which helps keep enthusiasm high among all particpants.
                        Lean in Government Starter Kit | Page 56

Document the New Process and Communicate Internally
The new work process resulting from a Lean event needs to be clearly documented and
communicated to all involved in the process. Transparency is vital to ensuring that changes are
understood and executed.  When documenting the new process, keep in mind the following tips:
   •   Prepare and post a clear map of the new process.  A concise, visual map of the new
       process can be a powerful tool for communicating key steps and elements of the process.
       Think creatively about where to post the map to ensure that it is seen by those who have a
       role in the process. For example, process maps can be displayed on bulletin boards or
       white boards in hallways or conference rooms, and/or on a web page on the agency's
       intranet.  Placemat-sized maps can even be developed (with color and graphics) and
       laminated for hanging in employees' work stations.
   •   Develop  "standardwork"procedures.  Standard work procedures are highly-effective
       Lean tools for ensuring that a new process is implemented in a clear and consistent
       manner.  Standard work procedures should be clear and concise and use consistent
       formatting.  They should be prominently displayed where the work is actually performed;
       procedures that sit in binders on shelves typically do little to influence behavior.
       Involving employees who perform the process step to assist with developing the standard
       work documentation can both increase ownership and capture valuable knowledge.
       Standard work documentation can help ensure expectations are clear regarding desired
       work approaches under the new process. Standard work can also help an agency prevent
       backsliding when staffing transitions occur.
   •   Boldly express management support for the new process. Managers can play a key role
       in event follow-up by expressing unambiguous support for the  new process developed
       during the Lean event. Managers can also allay employee concerns. For example, some
       employees may fear that development of "standard work" procedures and a more
       transparent process may affect their job  security or eliminate room for employee
       creativity within the process. Managers can make it clear that the goal is to free
       employees to have the time and space to add more value to the process and other
       activities for which they have responsibility.

In addition to documenting and communicating about the new process, it is important to consider
implementing other communication activities that can generate momentum for success.
   •   Send thank-you letters to all internal and external participants.
   •   Present event results at a department or division meeting or retreat.
   •   Post results on bulletin boards, closed-circuit LCD monitors, and/or "exhibit areas" in the
       agency lobby or common spaces.
   •   Acknowledge Lean event results or activity at a staff meeting or an agency awards
   •   Write an article in your agency's internal newsletter that outlines your Lean
       implementation experience, and include an announcement about the event's success as a
                              Lean in Government Starter Kit | Page 57

    •   Post information and photos of the Lean event, as well as follow-up information, on the
       agency's intranet/internet.

Evaluate Performance

Regularly evaluating performance and analyzing results is a critical component of Lean. Lean's
continual improvement focus means that the Lean event marks the beginning of improvement
efforts.  Lean leaders and those working in the process need to continue to monitor the
performance of the process over time, and be on the lookout for countermeasures needed to
address problems as well as additional process improvement opportunities. It is important to
both evaluate performance based on the key metrics identified during the pre-event meeting and
to track the extent to which the event achieved the goals and objectives set for the event. For
more information on metrics, see the Lean Event Planning section in Chapter 3  or the Lean
Government Metrics Guide resource available on EPA's Lean Government website

Keep the following tips in mind when evaluating post-event process performance:
    •   Discuss process performance at the monthly report-out meetings.  A key focus of the 30-,
       60-, and 90-day report-out  meetings is to assess the post-event performance of the
       process and to make adjustments to sustain or improve results. These are  times when the
       Lean implementation team regroups and steps back from tactical implementation
       activities to report to  leadership on progress, results, and next  steps.  Consider using the
       questions in the box below as a guide for these meetings.

   Are all employees following the process as designed in the event (or as modified since the event)?
   Is there evidence that all employees, including those new to the area, have been trained on the new process?
   Is process performance being measured and reported as set forth in the kaizen event?
   Is the implementation manager monitoring and supporting compliance with the new process?
   Is the appropriate leadership informed of and engaged in the process?
   Are consequences for not following the new process design in place?
   Have any unintended consequences (positive or negative) arisen? Check with downstream customers.
   Are workers pleased with the improvements? Do they feel their work has been simplified?
       Use the event objectives as targets for monitoring the performance of the process.
       Referring back to the team charter and other early documents can help ground the results.
       It also may be useful to identify milestones that represent interim steps to reaching the
       final performance objectives.
       Consider using visual displays or dashboards to show progress towards the performance
       objectives and to motivate additional improvement efforts. Visual displays can be
                               Lean in Government Starter Kit |  Page 58

       powerful communication and motivational tools. It is important to keep them simple, so
       that they are easy to understand and do not become a time-consuming task to create and
       update. Many organizations use a whiteboard or color-coded wall chart to track how the
       process is performing. If updated for the weekly meetings, the chart can serve as a focal
       point and motivational tool.
       Consider adjusting key performance metrics to ensure that you have a clear dashboard to
       monitor the future performance of the process. For example, in value stream mapping
       events, you should rely on the initial metrics identified in the current state map and future
       state maps as indicators of success.  These metrics should be reported  on at 30-, 60-, and
       90-day events. Having a few good measures can help identify potential backsliding and
       spur action to sustain momentum for improvement.  This information  can also help
       identify appropriate timing for a follow-up Lean event, if one is warranted.
                             WHY DO SOME LEAN EVENTS "FAIL"
         Inappropriate Scope: Event scale or scope was too large to address in a 4-5 day event. The size and
         complexity of the process should instead have been addressed with a value stream mapping event followed
         by a series of kaizen improvement events.
         Lack of Visible Management Commitment:  Unless managers visibly commit to and actively support the
         improvements and process changes, it is easy to backslide to business as usual.
         Poor Event Facilitation  or Support: Failure to adequately prepare for a Lean event limits what can be
         accomplished; similarly, lack of a skilled facilitator can inhibit progress during a Lean event.
         Inadequate Follow-up: Insufficient attention, resources, and accountability can prevent the new process
         from being successfully implemented in a reasonable timeframe.
         Strategic Misalignment: When multiple autonomous departments or agencies are involved in an event,
         conflicts can emerge due to differences in mission and strategic direction. This misalignment can undermine
         management support for follow-up and implementation activities.
         Unrealistic Expectations: Expectations for what the event could achieve were not realistic given the
         process type, complexity, or other factors.
Learning from Failures

Sometimes, despite the best preparation and planning, Lean events do not achieve some or all of
their desired goals. It is  common for organizations to conduct one or more Lean events that are
not viewed as a success.  The text box below lists several factors that can lead to a Lean event
being viewed as unsuccessful.  It is important to remember that such "failures" do not mean that
Lean cannot work in your agency. Leader organizations use these "failures" as teaching
moments. In fact, the Lean process itself is intended to be a continual improvement learning
process.  If your organization experiences a "failure," diagnose the event and make a follow-up
plan that directly addresses the key factors that undermined past success.
                                Lean in Government Starter Kit |  Page 59

Communicate Externally
External communication about process improvement efforts can go far beyond making process
description and performance information available to key stakeholders and the public. Spreading
the word about Lean efforts can be a powerful means for bolstering enthusiasm and spreading
interest in Lean throughout your organization and others. In addition to accomplishing the
important task of making sure that external parties involved in or affected by a process are
sufficiently aware of changes made, these communication efforts will help to ensure the
longevity of your Lean efforts by helping to create a network of people with an interest in
process improvement.

Basic information that should be communicated externally about the event includes:
   •   Brief description of the process and the problem (What was not working well?)
   •   Basic information on the event (What? When? Who?)
   •   Key results related to time, cost, quality, and other outcomes
   •   Key differences between the old process and the new process (What has changed or will
       change? What types of improvements were made?)
   •   Brief statements on the significance of the improvements
   •   Outline of future improvement plans

Several components of an effective external communications strategy will help to spread Lean
efforts outside your initial event:
   •   Cast a wide net when sending invitations to the event report-out.  At the Minnesota
       Department of Administration, invitations to event report-outs are distributed to anyone
       interested in coming, and some report-outs have been attended by as many as 100 people.
   •   Create a case study describing the goals and results from your event.  Include photos or
       other graphics to make it more visually appeally. For links to EPA and State
       environmental agency examples, see the EPA Lean Government website
       (www.epa.gov/lean/government) or the 2009 ECOS "Lean Case Studies" Report
       (www.ecos.org/files/3578  file April 2009  Green Report Lean Case Studies..pdf).
   •   Reach out to your customers and key stakeholders to identify any changes to the process
       that affect their involvement.
   •   Use media to communicate about your Lean efforts and generate enthusiasm. Several
       state agencies, including Ohio and Minnesota, publish a Lean newsletter summarizing
       recent Lean activities to inspire interest in efforts in other areas.  Write an article for your
       agency's website or public newsletter that outlines your Lean implementation activities.
   •   Maintain an attractive and interesting website that informs people about Lean activity in
       your organization. Post results from events and team photos, being sure to keep content
       updated and "fresh."
   •   Conduct a webinar to brief key stakeholders and interested members of the public on
       process changes and improvement results.
                              Lean in Government Starter Kit |  Page 60

Integrate Lean Follow-Up into a Continual Improvement System

While Lean methods can be used for one-time, one-shot improvement efforts, the real value of
Lean lies in its focus on continual improvement.  It is important to connect follow-up efforts for
individual Lean events into your organization's overall continual improvement system, such as
the one described in Chapter 2 of this Starter Kit.  The more effectively your organization
integrates follow-up into your organization's culture and systems, the easier it will be to sustain
success and prevent back-sliding.  Three activities are vital for sustaining Lean improvements
across organizations: 1) champion event follow-up, 2) revisit processes with future Lean events,
and 3) cultivate employee ownership of process improvement.

Coordinate and Encourage Event Follow-up

The event follow-up activities discussed earlier directly prevent back-sliding by focusing
attention on completing open action items and addressing challenges that may have arisen after
the Lean event. As described above, it is useful to designate an implementation manager to
remind people about their assigned follow-up responsibilities and to ensure that implementation
remains on-task. That person needs to have the persistence, enthusiasm, and sufficient authority
to coordinate the implementation team throughout the entire follow-up process. Your agency's
Lean initiative can provide  critical support to these implementation managers by coaching them
on their roles and responsibilities, providing resources such as tracking tools and other templates,
and assisting with broader agency communications.

The brief weekly check-in meetings, coupled with 30-, 60-, and 90-day report-out meetings, are
essential  investments to ensure that the results from Lean events are sustained and enhanced.
These meetings alone, however, may not be enough to ensure that the process improvement
results estimated during the event can become reality.  Utilize tracking tools to monitor which
follow-up actions have and have not been completed, and distribute these tracking sheets to team
members in weekly emails. Taking these steps to make sure that estimated benefits of Lean
events become reality is crucial to establishing a lasting process improvement culture throughout
your organization.

Revisit Processes with Future Lean Events

Lean is not a one-time event.  Follow-up is essential to ensure that the new process takes hold,
runs smoothly, and achieves the desired results. Moreover, significant improvements can result
from conducting periodic improvement events on the same process every one to five  years  or
more frequently. World-class Lean organizations are often amazed at the magnitude  of process
improvement results that can be achieved when processes are targeted multiple times over a few
years. Some Lean experts say that a process is not truly "Lean" unless it has gone through at
least five kaizen events!  Fresh thinking and perspectives often unleash time, quality, and cost
improvement ideas that could not have been imagined during the first Lean event. Other Lean
methods, such as 5S  and visual controls, focus on sustaining Lean improvements by keeping
workspaces well organized  and making potential problems visible so they can be quickly
                              Lean in Government Starter Kit | Page 61

Cultivate Employee Ownership of Process Improvement

Empower employees involved in a process to become active stewards of the process.  By
actively engaging those involved in a process to "own" its activities and performance, it is
possible to identify and address improvement opportunities "on the fly."  Managers should
routinely ask employees for their improvement ideas and process "malfunctions" should be
examined for lessons and improvement options.  Another way to get fresh ideas is to give
employees the opportunity to exchange roles for a few hours and learn how different parts of a
process work. The new vantage points can help team members see the process—and
improvement opportunities—in a new light. Consider developing formal or informal  systems for
collecting improvement suggestions from employees (such as idea boards) and make sure to
recognize employees for their suggestions and initiatives.

Follow-up is an integral component of a successful Lean event. It is hard work and requires a lot
of effort, but is key to maintaining the momentum of fast-paced improvement inspired during the
Lean event. In addition, conscientious follow-up activities help people to develop a continuous
improvement mindset.

The next chapter discusses how to expand your Lean success beyond your event and transform
your organization into a culture of continuous improvement.
                             Lean in Government Starter Kit | Page 62

Chapter 7.  Diffusing  Lean Activity  and  Becoming
Lean Enterprise
Doing one or more Lean events at a government agency can be an eye-opening and exciting
experience. Observing rapid and dramatic improvements in an agency process can offer a
glimpse into what is possible to accomplish—even in a large government bureaucracy.  Yet
running a few successful Lean events is not enough to realize the full gains from process
improvement efforts, nor is it enough to develop a continual improvement culture across an
agency. The power of Lean is truly realized when individuals in an organization internalize a
proactive, problem-solving approach and the organization becomes adept in supporting
improvement as part of daily work practices. It is important to remember that diffusing Lean
into an agency is a critical  part of the overall Lean work. After the first few Lean events,
inevitable questions arise.
   >=> What does Lean mean for our agency for the long term?
   >=> How can we sustain and diffuse the successes of our initial Lean activity?
   >=> How can we use Lean to promote a continual improvement culture in our agency?
Responses to these questions can range significantly—from "we are done with Lean" to "let each
part of the agency use Lean methods on its own" to "we are going to incorporate Lean into how
our agency does its business." Each agency must decide whether it sees sufficient value to
continue using Lean. If an agency decides to continue with Lean,  then it must decide how to
proceed.  There is no right answer to this question, but failure to strategically consider it can
have serious consequences.  At best, failure to think strategically about sustaining and diffusing
Lean activity will increase the cost of capacity building, Lean training and facilitation, and Lean
tool development. Far worse, one or two poorly planned and executed Lean events can sour the
agency on Lean and undo past progress. Furthermore, given the frequency of changes in agency
leadership, initiatives that are not well-planned or entrenched in the agency can be vulnerable to

This chapter is designed to help you think strategically about how your agency can sustain and
diffuse Lean continual improvement activity. The topics covered in this chapter include:
   •   Understanding the Lean Journey
   •   Getting Started with Lean Diffusion
   •   Four Deployment Models for Lean Diffusion
   •   Future Directions: Building a Lean Continual Improvement Agency
                             Lean in Government Starter Kit | Page 63

Understanding the Lean Journey
As described in Chapter 2 and shown in the "house" diagram below, there are five key elements
of a continual improvement system that Lean supports.  First, leaders provide goals, direction,
and support to enable process improvement activities. Following this direction, agency
managers and staff use Lean methods to eliminate inefficiencies, simplify processes, and allow
more time to be spent on "mission critical" work.  This Starter Kit is one tool your agency can
use to support the Lean process improvement methodology for your agency. Building from this
foundation, applied Lean training ensures that employees can effectively participate in and lead
process improvement activities.  Next, targeted communications keep internal and external
audiences informed about the agency's Lean efforts and their importance. Finally, a
performance measurement system allows the agency to track and evaluate progress over time
and make adjustments to implementation activities as needed.

                         The Continual Improvement System
re  E
organizations may then take Lean to the next level, embarking on a transformation of the
organizational culture that relies not only on Lean events to drive change, but also embeds
process improvement in the daily work practices of employees. The figure below describes three
key stages that often occur as an organization matures in its use of Lean: improving, optimizing,
and transforming.

                                    The Lean  Journey

                                               • Continuous improvement is everyone's job
  £                                           • Improvement is driven by strategy and Scoreboard
                                               • Lean is "the way we work"
                                               • Result: value delivered to taxpayers and customers
   •—                        • Management team leads process improvement
                            • Opportunity-focused clusters
   ".£                        • Managers applyingthe Lean methodology
                            • Result: better strategy execution and expertise established
   _c      • Lean teams drive deployment
          • Ad hoc projects focus on financial benefits
   O_      • Learningthe Lean and Six Sigma tools
          • Result: identify and eliminate waste and process variation
             More Staff Become Engaged with Lean and Increased Internal Lean Facilitation
                    Expertise Decreasesthe Need for External Support Over Time
The time that an organization takes to shift between these stages can vary, and it can take 3-5 or
more years before an organization fully adopts a Lean culture. The Lean journey does not
happen overnight, and that the pace and effectiveness of the transformation depends on multiple
factors, including leadership support, organizational culture, the sense of urgency for change,
available resources, and implementation strategy. The road on the Lean journey is not always
smooth, and many organizations implementing Lean experience a greater chance of failure
between 6 and 18 months into their Lean journey. Failure during this period of a Lean journey
often occurs due to a combination of three factors:
    •   A lack of strategic focus to the Lean activities

    •   A lack of management passion and commitment to successful Lean implementation

    •   A lack of staff time and money devoted to support the j ourney

During this period, initial excitement and momentum from the first few Lean events can subside,
especially without active leadership or a clear plan for continuing and propagating Lean activity.
These are key reasons why leadership engagement and communications are critical to sustaining
success with Lean process improvement efforts.
                                Lean in Government Starter Kit  | Page 65

Getting Started with Lean Diffusion

While a hands-off, grassroots approach to Lean may be appealing in some agencies, some cross-
agency coordination and planning is invaluable for effective Lean implementation. Lean leaders
in the public and private sectors have found strategic ways to expand Lean activity at a lower
cost, with more consistency, and better results than if they implemented Lean in a piecemeal
approach.  There are six important steps for diffusing Lean within an agency.
                               LEAN DIFFUSION STEPS

   1.   Implement Lean in several areas and share results
   2.   Send clear and consistent supportive messages from agency leadership
   3.   Establish an agency Lean coordinator
   4.   Build a core Lean team and expand staff capacity through training
   5.   Develop  a consistent approach and tools for implementing Lean
   6.   Keep at Lean to sustain momentum, but do not push too hard too fast

1. Implement Lean in  Several Areas and Share Results

The best way to sustain, expand, and build momentum for Lean activity is to achieve results and
to share them throughout the agency. Identify several departments or programs that may be good
places to conduct Lean events and to build staff experience with Lean.  Conducting isolated
events throughout an agency can yield good improvement results and expose many personnel to
Lean, but this approach will not necessarily build centers of Lean experience that are sufficient to
sustain organizational interest and attention and to champion Lean activity.  Many Lean experts
tout the value of creating "Lean learning labs"—places where Lean activity is concentrated that
can serve as models for Lean deployment and learning elsewhere in organizations.  There is no
better way to learn about Lean than to experience it firsthand through Lean events, and there is
no better way to realize what Lean can do for your agency than to try it out.

After your first Lean event, when selecting areas for further Lean activity, consider these four
factors in addition to the criteria described in chapter 3 for selecting a Lean project:
   •   One or more processes in the area have significant improvement needs and/or
       opportunities for impressive  results
   •   Managers and/or key personnel in the area are highly receptive to using Lean
   •   Managers and/or key personnel in the area are well respected throughout the agency and
       could become an effective champion and/or advocate for Lean within the agency
   •   Personnel in the area have previous experience using Lean methods
                              Lean in Government Starter Kit |  Page 66

After completing Lean events, share the results and let them speak for themselves.  Chapter 3
includes information on measuring and communicating Lean results. Prepare a brief, attractive
presentation that shares key information on Lean events conducted throughout the agency.
Involve key personnel from other departments and divisions in the report-out presentations for
Lean events to help introduce key personnel and "idea leaders" within the agency to Lean.
Consistently communicate messages about why Lean is important to the agency and the results
that have been achieved through Lean events and implementation activities.  Once people
discover that Lean can make their jobs easier and deliver real results, momentum will build.

2. Send Clear and Consistent Supportive Messages from  Agency

Strong support from agency leaders is critical to both
effective implementation and diffusion of Lean.
Without the personal and visible support of senior
managers, the effectiveness of Lean events can be
undermined. Effective Lean implementation
requires sustained attention and resources, along with
an openness to change. Visible leadership commitment and support are also vital to encourage
other parts of an organization to step forward and try Lean. Leadership commitment is crucial to
ensuring that the agency will back and support the work of Lean practitioners, both during
specific Lean events and in broader organizational deployment of Lean. Several actions that
Lean leaders must take are outlined in the box below and in the Lean Leadership Guide on
EPA's Lean Government website, www.epa.gov/1 ean/government/.
Lean Leadership Guide
                          KEY ACTIONS FOR LEAN LEADERS
  Create a clear and compelling case for change.
   • Communicate continually with internal and external constituents
   • Address employees' questions about "what's in it for me?"
   • Define success—and celebrate when it occurs
  Build the infrastructure for change.
   • Align employee rewards and compensation to support process improvement efforts
   • Clear obstacles to change and improvement as they arise
   • Identify and nurture leaders who emerge during Lean implementation
  Establish metrics and reinforce accountability.
   • Expect follow-through and track open actions
   • Encourage the use of visual management approaches to share results
Visible leadership is also critical to help many managers who are new to Lean overcome the
perceived risk of trying a new and unfamiliar process improvement method.
                               Lean in Government Starter Kit | Page 67

     We've already tried that
     We're too busy to take time out for an improvement event
     We don't have time to focus on process improvement
     It will cost too much to do a Lean improvement event
     It will never work in our area or department
     Nothing's broken, so why fix it
     We're not like a manufacturing company; those concepts and tools don't apply to us
Most organizations that embark on a Lean journey soon discover that the excuses for not trying
Lean are unfounded and that the payback from Lean efforts can be quick and dramatic.

3. Establish an Agency Lean Coordinator
                                                            Agency Lean Coordinator Job
                                                            Agency-Wide Lean Tracking
Once your agency has committed to implementing
multiple Lean events, it is critical to identify an
agency Lean coordinator to help guide and keep track
of Lean activity throughout the agency.  An agency
Lean coordinator can help prevent unnecessary rework
by linking those interested in using Lean with
potential  consultants or event facilitators, training
resources, lessons learned, and other helpful
information.  Some government agencies have found
it useful to task the Lean coordinator with leading the development of an organizational Lean
deployment strategy. Such a strategy can  support organization-wide Lean activity and ensure
that it is connected to the organization's overall mission, strategic plan, and other priorities. An
agency Lean coordinator can also track the use of Lean across other government agencies and
look for benchmarking and information  sharing opportunities. The Lean coordinator can track
process improvement efforts across the organization and ensure that implementation is followed
after each event (see Agency-Wide Lean Tracking Sheet).

While it is helpful to have a single point of contact for your agency's Lean initiative, especially
for communications purposes, that doesn't mean that the "coordinator" should necessarily be the
only person involved in coordinating Lean activities across your agency. In fact, it is critical for
leaders across the agency—or the department/division within which you are implementing
Lean—to be actively engaged in your organization's  Lean process improvement efforts.  Some
Lean experts advocate establishing a Lean Steering Committee to enable alignment across the
leadership team for process improvement efforts, as well as to communicate activities and
results, evaluate progress, gather and prioritize improvement ideas, and allocate resources. The
agency Lean Coordinator can serve as the central focal point for a Lean initiative. They can
work under the direction of senior leadership and/or a Steering Committee to develop and
support the agency's Lean  deployment strategy, including communications, training and capacity
building, performance measurement, and the regular application of Lean methods.
                               Lean in Government Starter Kit | Page 68

4. Build a Core Lean Team and Expand Staff Capacity through Training

Begin to build Lean expertise in your organization by having a few employees participate in
multiple Lean events across your agency (and/or at other public agencies or organizations). The
best way to learn about Lean and become skilled as a Lean practitioner is by observing and
participating in Lean events. While training courses can be useful, they are no substitute for time
spent in Lean events, even if the events are focused on processes different than those the
individual works on.

Many organizations report that assistance with Lean event facilitation and deployment from
experienced Lean consultants is essential until an organization has developed sufficient internal
expertise. Leverage consultant support for Lean events to advance broader internal capacity-
building and deployment goals. Over time, this effort can reduce dependence on Lean
consultants for event facilitation services, which can be costly. Many experienced Lean
organizations retain some level of strategic advising and support on Lean deployment from Lean
consultants.  Another strategy that some organizations take is to hire Lean expertise by bringing
in one or more experienced Lean practitioners who have successfully led Lean events or
deployment efforts on administrative processes elsewhere in public or private sector

Invest in several employee team members who
demonstrate interest and skills with Lean and related
skills such as facilitation and change management.
Get these team members to participate in as many
Lean events as possible. Give them increasing
responsibility for leading Lean teams and facilitating
Lean events (sometimes with consultant help).
While it may take a couple of years of practice to independently lead Lean efforts, these team
members can assume significant responsibility for Lean application quite quickly, reducing the
need for consultant time.  As discussed below, building a  Lean training program can speed
capacity-building efforts and ensure the use of consistent  methods and tools. The Guide to Lean
Government Training on EPA's Lean Government website (www.epa.gov/lean/government)
provides additional guidance and options for designing  a Lean training program.

5. Develop a Consistent Approach and Tools for Implementing Lean

As Lean is diffused across an organization, avoid having each office or department reinvent
existing Lean tools or processes. This Starter Kit provides a variety of templates that can be
adapted to meet your agency's needs.  Experienced Lean government practitioners report that
without a consistent organization-wide approach, it is difficult to replicate performance
improvements from one department to another. Many organizations have found that a consistent
approach to implementing Lean methods and tools can  still accommodate sufficient flexibility to
meet the needs of diverse  offices, programs, and processes.

Government organizations should consider employing a common approach for selecting and
contracting with a Lean facilitator, until sufficient in-house Lean facilitation capacity is
developed.  This can be an important way to ensure that each project or event uses a common
                              Lean in Government Starter Kit |  Page 69
Guide to Lean Government

approach to Lean. Agencies also may find that a standardized approach may reduce transaction
costs associated with hiring and retaining Lean consultants. For example, some consultants may
tend to emphasize kaizen events, while others may place more emphasis on the Six Sigma
Design-Measure-Analyze-Improve-Control process.  If an agency uses different terminology,
tools, and processes for each event, it can make broader organizational communications and
training more challenging.  When an organization is ready to build internal capacity for Lean
facilitation through training and certification, a single Lean training curriculum will enable
internal Lean event facilitators to implement Lean events throughout the agency.

6. Keep at It to Sustain Momentum, but Do Not Push Too Hard Too Fast

Successful  Lean  implementation requires a lot of hard work, but the results are often well worth
the effort. In general, the more Lean events your organization conducts, the more process
improvement gains are possible. However, as noted in this Starter Kit, it is important to
remember that supporting the activities during the Lean event is only one stage of Lean process
improvement efforts; careful scoping and preparation for events and dedicated attention to
implementation efforts are  critical to long-term success.  Consider your organization's overall
process improvement goals and needs, and your organization's culture when choosing the
appropriate level of investment in Lean to sustain interest and momentum.

While it is not uncommon for leading Lean organizations in the public and private sector to run
numerous Lean events each year, remember to pace yourself. Moving too aggressively with
Lean when an agency is not ready can quickly turn people off and make it seem like too much
attention has shifted to Lean efforts, at the expense of the agency's core mission.  Organizations
that are well into their Lean journeys often find that it's useful to have one "Lean event week"
during a month, with multiple process-improvement events scheduled during that time. Several
state environmental agencies have successfully used the concept of Lean event weeks to make
Lean consultant resources go further (with one consultant supporting multiple  events) and create
momentum for Lean efforts. According to many Lean experts, once an organization has matured
on its Lean journey, a good general rule of thumb is to hold at least one Lean event per year for
every 10 employees (the n/10 rule).14 Lean implementation at that level can drive double-digit
annual performance gains,  but that scale and pace of implementation may not make sense for
many organizations, especially those early on in their Lean journeys.  The pace and level of
investment in Lean efforts  at an organization over the long term are important  questions for
leadership to answer, and they influence the choice of deployment model, discussed below.

Four Deployment Models for Lean Diffusion
Once an agency decides to expand its use of Lean, the challenge shifts to how to effectively and
efficiently proceed.  There are four main models for deploying Lean in an organization,
including: Agency-Wide (Transformative), Department/Division (Transformative,  but Selective
Application),  Targeted (Strategic), and Grass Roots (Opportunistic), which are further described
in the table below.  These models range from sporadic implementation initiated by individual
14 The n/10 rule is from George Koenigsaecker, Leading the Lean Enterprise Transformation, New York: CRC Press, 2009.

                              Lean in Government Starter Kit |  Page 70

champions potentially yielding pockets of success to strong top-down leadership and systematic
investment that may yield more significant and sustainable results.
                                LEAN DEPLOYMENT MODELS
                          Deployment Considerations:
Top down driven
Major culture change
Rapid, highly visible
Requires significant, sustained investment and solid
leadership from top management
Large infrastructure and full-time staff
Significant planning and management
Integration with other management systems
Need for common language and problem-solving
Need to address cross-agency processes
5+ years to achieve lasting culture change
 Division Model
 but Selective
Department leadership but
agency management
Department pilot for
Comprehensive at the
department level
Culture change
Similar to agency-wide model but on a smaller scale
Easier to start due to smaller scale
Slower pace is possible; scale up after initial success
Greater use of consultants and outside training
Less integration with management systems
Risk of not getting beyond the department level
 Targeted Model
Top management
Focused on a few specific
agency problems
Driven by a desire for
strategic impact
Culture change is not a
deployment objective
Easy to get started
Can work in smaller agencies
Infrastructure needs are small; generally use
contracted resources
Little systematic integration with management
Quick results because problems are identified ahead
of time
Risk of not sustaining the gains
 Grass Roots
Originates at the bottom of
the agency
Highly motivated
individuals lead the effort
Project- or problem-specific
Culture change is not an
Relatively easy to do but difficult to sustain over time
Very vulnerable to changes affecting staffing
Few if any initial infrastructure needs; no integration
with management systems
Often rely on external Lean consultants
Lean implementation approach may vary across
Can generate good results from individual projects
Track record for sustainable improvement is not good
                                   Lean in Government Starter Kit  |  Page 71

Most highly successful organizations in the public and private sectors have found that having a
guiding vision and clear goals is critical for effective change management. Long-term agency
goals, resources, and leadership commitment should drive which model is selected. Key goals to
consider include:
       Organizational culture and transformation
       Strategic improvement
       Cost reduction
                  Lean Deployment
When selecting a model for diffusion, careful
thought should be given to three factors: desired impact, implementation scale, and
organizational readiness (see table below).
 Desired Impact
Implementation Scale
Organizational Readiness
     Business Transformation
     •   Agency-wide deployment
     •   Major culture change
     Strategic Improvement
     •   Targeted deployment on critical
     •   Projects necessary for success or
     •   Specific operational problems
     •   Incremental improvements in agency
   Entire agency
   Past process experience
   Management team
Select a deployment model and adapt it to best fit your agency's situation.  You may also choose
one deployment approach during your organization's initial efforts with Lean, and then shift to
another deployment approach after a few years of implementing Lean methods. There is no one
"right" Lean deployment model, although many Lean leader organizations voice strong support
for the agency-wide model, since it is the only one that can achieve cultural change throughout
an organization. Regardless of which model is selected, management support and commitment
is an essential ingredient for long-term success. Consider developing a five-year improvement
plan that realistically charts where you want to be in five years compared to your current
performance and that outlines what it will take to get there in terms of time, resources,
leadership, outside expertise, training, and communications.
                               Lean in Government Starter Kit |  Page 72


  According to Lean author and consultant Karen Martin, common obstacles that organizations face when building
  a Lean enterprise and potential strategies to address them include the following:

  • Weak or no leadership buy-in (Strategy: Leadership engagement and executive champions)

  • No sense of urgency (Strategy: Communications that emphasize the pressures on the agency, the unknown,
   and the need to change)

  • Non-existent or unrealistic strategy (Strategy: Develop clear goals and a realistic, five-year plan)

  • Lack of alignment around improvement strategy (Strategy: Establish a Lean Steering Committee)
  • Lack of understanding or missing skills (Strategy: Establish clear learning objectives for training,  identify
   appropriate participants, and ensure it is connected to real-world application)
  • Inadequate improvement resources (Strategy: Leverage external resources to provide learning opportunities;
   internal resources can be a combination of dedicated and shared responsibility)

  • Slow results (Strategy: Focus year one on quick successes and don't attempt to tackle your toughest problems
   first before you've learned more about how to do Lean projects successfully)

  • Results not communicated (Strategy: Use multiple communication means, such as an Intranet, displays in
   hallways and break rooms, closed circuit LCDs, paycheck stutters, newsletters, and meetings)

  • Processes are not monitored and continuously improved (Strategy: Establish a process owner who monitors a
   few key performance indicators for the process, reports on performance, and leads improvement efforts as

  • Everything waits for a kaizen event (Strategy: Establish employee suggestion boards and other ways to
   encourage individual initiative and "just-do-it" actions)

  Source: Adapted from Karen Martin & Associates, "Building a Lean Enterprise: Navigating the Common
  Obstacles to Success," Webinar Presentation, 13 May 2010, www.slideshare.net/KarenMartin2/building-a-lean-
Future Directions: Building a Lean Continual  Improvement Agency
Lean can be much more than a process improvement tool to be used only when a process seems
broken.  There are many opportunities for environmental agencies to implement Lean to improve
existing programs and processes or to efficiently create new ones.

Develop New Programs,  Regulations, and Initiatives Using Lean

While improving existing processes is important, environmental agencies can realize significant
value by designing new programs and processes to be efficient and effective from the start. Lean
process design methods such as Design for Lean Six Sigma and Production Preparation Process
(3P), described in the Lean Methods Table in Chapter 3, offer powerful approaches and tools for
designing new processes to be highly effective and efficient. These methods can also be used to
design or redesign products (e.g., an agency newsletter or permit application), processes, and
programs.  Once your organization is familiar with basic Lean principles and methods, such as
identifying "wastes" in office processes and the process mapping used in kaizen events or value
                                Lean in Government Starter Kit |  Page 73

stream mapping events, you may begin to identify opportunities where Lean thinking could be
applied to design better, more efficient processes from the beginning. (See Appendix A for a
Bibliography of Lean References to learn more about Lean design methods.)

Improve and Manage Agency Value Streams

Most high-performing Lean organizations work to manage and improve key value streams—the
full chain of processes and activities that deliver value to customers or stakeholders. For an
environmental agency, this could be the services the agency provides to society and to key
constituents and working to optimize these flows of value.  This may lead to more holistic
approaches to environmental management that go beyond the traditional air, water, and waste
silos. For example, a state or local environmental agency could look comprehensively at how it
delivers all environmental protection services (permitting for air, wastewater, and hazardous
waste impacts, as well as technical assistance with pollution prevention and sustainability
initiatives) to businesses seeking to locate in the state, rather than focusing on optimizing just air
permitting or another part of that value stream. Some municipalities have taken this customer-
oriented view and set up neighborhood service centers where citizens can access services from
multiple government departments all in one place. Similarly,  some states have developed one-
stop business centers to support streamlined business licensing and permitting.  Looking broadly
at value streams also can be important for thinking holistically about strategic priorities for
kaizen improvement projects.

Lean approaches offer some useful lessons in how to effectively plan, organize, and manage
organizations to optimize their value streams. Such lessons may open up exciting possibilities
for environmental agencies.

Link Lean Improvement Events to Agency Mission and Strategy

As organizations make the transition to becoming Lean continual improvement enterprises, they
are increasingly linking their improvement activities to their strategic planning and goal-setting
processes. A powerful method known as "strategy deployment"  (also known as hoshin kanri and
policy deployment) elegantly links the strategic goals of an organization with a cascade of
increasingly specific programs and activities that support those goals.  Strategy deployment
typically has a one- to five-year focus (updated annually), taking longer-term strategic planning
goals and objectives and honing in on what needs to be accomplished in the coming year.

A3, as noted in the Lean Methods Table in Chapter 3, is a powerful Lean method that
complements strategy deployment by clearly displaying the connections between an
organization's  priorities and tactical Lean implementation efforts on a single piece of paper.  (A3
refers to the paper size, approximately 11 by 17 inches.)  The visual presentation of this highly
interactive strategy deployment planning process using the A3 method incorporates key
performance measures and assigns specific responsibilities for achieving the goals to individuals
at all levels of the organization. This creates a powerful means for connecting Lean initiatives
with an organization's mission and strategy.  The end result is a living, dynamic strategic
planning process that is intrinsically linked to the activities and improvement efforts that are
planned and executed in the organization.
                              Lean in Government Starter Kit |  Page 74

Concluding Thoughts
While the Lean journey takes hard work and perseverance, the results can be transformative—
freeing employees to focus more time on value-added mission-critical work dramatically
improves performance outcomes, customer and stakeholder satisfaction, and employee morale.
The Lean journey can lead to satisfied constituents, empowered and engaged employees,
passionate leaders, and better environmental quality. Best wishes for a productive and successful
Lean effort.
                              Lean in Government Starter Kit  | Page 75

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   Lean in Government Starter Kit |  Page 76

Appendix A. Bibliography of Lean References
Articles, Reports, and Presentations

U.S. Environmental Protection Agency and the Environmental Council of the States (ECOS).
    Working Smart for Environmental Protection: Improving State Agency Processes with Lean
   and Six Sigma. www.epa.gov/lean/government/primer/resources/LeanGovtPrimer.pdf.

—.  "Working Smart for Environmental Protection: State Efforts to Improve Permitting
   Processes Using Lean and Six Sigma."  Presentations from the ECOS Annual Meeting on 27
   August 2006 in Portland, Oregon, www.ecos.org/content/project/detail/2292. (Presentations
   include an overview of the Working Smart for Environmental Protection primer and case
   studies of agency process improvement efforts in Iowa, Delaware, Michigan, and Virginia.)

—.  Lean in Air Permitting Guide: A Supplement to the Lean in Government Starter Kit.

Chew, Jian Chieh. "Eight Workable Strategies for Creating Lean Government." iSixSigma.com.
   (Mar 22 2006).
   strategies-for-creating-lean-government&Itemid= 173.

Maleyeff, John.  Improving Service Delivery in Government with Lean and Six Sigma.  Strategy
   and Transformation Series, IBM Center for the Business of Government.

Stiles Associates, LLC. "Lean in Iowa State Government: An Interview with Teresa Hay
   McMahon."  Future State: The Journal of Competitive Lean Thinking. (July 2008).

U.S. Air Force. "Tactical Rapid Improvement Event Fieldbook." Beta Version, January 2006.

U. S. Department of Defense. Continuous Process Improvement /Lean Six Sigma Guidebook.
   Revision 1, July 2008. www.au.af.mil/au/awc/awcgate/dod/cpi_leansixsigma_hdbk2008.pdf

Association for Manufacturing Excellence. Lean Administration: Case Studies in Leadership
   and Improvement. New York: Productivity Press, 2007.

Cowley, Michael and Ellen Domb. Beyond Strategic Vision: Effective Corporate Action with
   Hoshin Planning. Burlington, MA: Butterworth Heinemann, 1997.
                             Lean in Government Starter Kit |  Page 77

George, Michael L. Lean Six Sigma for Service: How to Use Lean Speed & Six Sigma Quality to
   Improve Services and Transactions. New York: McGraw-Hill, 2003.

Fabrizio, Tom and Don Tapping. SSfor the Office: Organizing the Workplace to Eliminate
   Waste. New York: Productivity Press, 2006.

Flinchbaugh, Jamie and Andy Carlino. The Hitchhiker's Guide to Lean: Lessons from the Road.
   Dearborn, MI: Society for Manufacturing Engineers, 2006.

Keyte, Beau and Drew Locher.  The Complete Lean Enterprise: Value Stream Mapping for
   Administrative and Office Processes. New York: Productivity Press, 2004.

Koenigsaecker,  George. Leading the Lean Enterprise Transformation.  New York: CRC Press,

Jackson, Thomas L. Hoshin Kami for the Lean Enterprise. New York: Productivity Press, 2006.

Liker, Jeffrey K. The Toyota Way: 14 Management Principles from the  World's Greatest
Manufacturer. New York: McGraw-Hill, 2004.

Liker, Jeffrey K. The Toyota Way to Continuous Improvement: Linking Strategy and Operational
   Excellence to Achieve Superior Performance. New York: McGraw-Hill, 2011.

Mann, David. Creating a Lean Culture: Tools to Sustain Lean Conversions. New York:
   Productivity Press, 2010.

Martin, James William. Lean Six Sigma for the Office.  Boca Raton: CRC Press, 2009.

Martin, Karen.  Kaizen Event Planner: Achieving Rapid Improvement in Office, Service, and
   Technical Environments.  New York: Productivity Press, 2007.

Miller, Ken. We Don 'tMake Widgets: Overcoming the Barriers that Keep Government from
   Radically Improving. Washington DC: Governing, 2006.

Productivity Press Development Team.  Kaizen for the Shopfloor. Portland: Productivity Press,

Productivity Press Development Team. The Lean Office: Collected Practices and Cases. New
   York: Productivity Press, 2005.

Productivity Press Development Team. Standard Work for the Shopfloor.  New York:
   Productivity Press, 2002.

Rajesh, Jugulum and Phillip Samuel. Design for Lean Six Sigma: A Holistic Approach to Design
   and Innovation. Hoboken: John Wiley & Sons, Inc., 2008.
                              Lean in Government Starter Kit  | Page 78

Richard, Graham.  Performance is the Best Politics: How to Create High-Performance
   Government Using Lean Six Sigma.  Fort Wayne: HPG Press, 2006.

Sharma, Anand and Gary Hourselt. The Antidote: How to Transform Your Business for the
   Extreme Challenges of the 21st Century. Durham: Managing Times Press, 2006.

Tapping, Don.  The Lean Office Pocket Guide XL: Tools for Elimination of Waste in
   Administrative Areas! New York: MCS Media, 2006.

Tapping, Don and Tom Shuker. Value Stream Management for the Lean Office: Eight Steps to
   Planning, Mapping, and Sustaining Lean Improvements in Administrative Areas. New York:
   Productivity Press, 2003.

Teeuwen, Bert. Lean for the Public Sector: The Pursuit of Perfection in Government Services.
   New York: Productivity Press, 2011.

Thompson, Jim. Lean Production for the Office: Common Sense Ideas to Help Your Office
   Continuously Improve. Toronto: Productive Publications, 2009.

Venegas, Carlos. Flow in the Office: Implementing and Sustaining Lean Improvements. New
   York: Productivity Press, 2007.

Womack, James P. and Daniel T. Jones. Lean Solutions: How Companies and Customers Can
   Create Value and Wealth Together.  New York: Free Press, 2005.

—.  Lean Thinking: Banish Waste and Create Wealth in Your Corporation.  New York: Simon &
   Schuster, 1996.

Templates and Tools

See the following links for templates and other resources related to Lean methods. All links were
accessed on November 11, 2011.

5S Matrix: www.lean.state.mn.us/LEAN_pages/tools resources 5S  event tandm.html

5S Resources:
   www.lean.state.mn.us/LEAN_pages/tools_resources_5 S_event_tandm.html

5S Training Presentation: www.Oregon.gov/DAS/TRFM/docs/5S.ppt

A3 Resources: www.accountability.wa.gov/leadership/lean/tools.asp

Kaizen resources:
   www.lean.state.mn.us/LEAN_pages/tools resources kaizen facilitator_tandm.html
                              Lean in Government Starter Kit |  Page 79

Lean Six Sigma Case Study: www.epa.gov/lean/environtnent/studies/jea.pdf

Policy Deployment tips:

Point kaizen tips:
   www. gembapantarei. com/2006/12/when_i s_point_kaizen_ok.html

Process Walk Checklist Examples:
   www.seemp.co.uk/lean  waste walk checklist.pdf

Standard Work presentation:
   www. Oregon. gov/D AS/TRFM/pub. shtml

Value Stream Mapping resources: www.dnrec.state.de.us/DNREC2000/VSM/Index.htm

Visual Controls tips:


Environmental Council of the States (ECOS), http ://www. ecos.org/content/proj ect/detail/2292/.
   (ECOS is an organization that supports strategic initiatives for state environmental agencies.)

U.S. Environmental Protection Agency, Lean and Environment website,
   www.epa.gov/lean/index.htm. (This is an EPA website providing resources and information
   on Lean and the environment for the private and public sector. This website includes Lean
   Government tools, methods, and resources as well as information on Lean initiatives at state
   environmental agencies, EPA, and other federal agencies.)

State of Iowa, Office of Lean Enterprise website, http://lean.iowa.gov. (This website provides
   background information on Lean concepts and tools, a series of downloadable resources for
   Lean events, and information about Iowa agency Lean efforts.)

State of Minnesota, Enterprise Lean website, http://www.lean.state.mn.us/. (This website
   provides information on Lean tools, resources, training opportunities, and Minnesota agency
   Lean efforts.)

Lean Enterprise Institute, www.lean.org.  (LEI is a non-profit research and training organization
   focused on value stream mapping  and Lean principles. Check out LEI's "Lean Government"
   forum at http://www.lean.org/FuseTalk/Forum/.)

National  Institute of Standards and Technology, Manufacturing Extension Partnership,
   www.mep.nist.gov. (NIST MEP centers are non-profit Lean technical assistance providers.)
                              Lean in Government Starter Kit  | Page 80

Productivity Press, www.productivitypress.com. (Productivity Press is a private Lean publishing
Weblogs that discuss Lean government topics:
   •   Curious Cat Management Improvement: http://management.curiouscatblog.net
   •   Evolving Excellence: www.evolvingexcellence.com/blog
   •   Gemba Panta Rei: www.gembapantarei.com/lean_government
   •   iSixSigma: www.isixsigma.com
   •   Training Within Industry: http://trainingwithinindustry.blogspot.com/2009/01/obamas-
                              Lean in Government Starter Kit |  Page 81

Appendix B. Resources
This appendix includes practical tools and resources for learning about Lean, conducting
successful Lean process improvement events, and becoming a Lean enterprise. A
summary description of each resource appears below. The resources are organized
according to the chapter in which the Starter Kit references them, with a separate list of
the resources that are only available on-line. All of the resources are available for
download from EPA 's Lean Government website, www. epa. gov'/lean/'government.

List of Starter Kit Resources	

Web-Only Resources

The following resources are not included in the Appendix to the Starter Kit, but are
available for download online.
   •  Lean Overview Presentation
   •  Lean Inventory
   •  Lean Leadership Guide
   •  Lean Metrics Guide
   •  Guide to Lean Government Training
   •  Lean Government Event Scoping Guide
   •  Event Report-out Presentation
   •  Lean Deployment Presentation

Chapter 2: Tools and Resources for Understanding Lean and the Continual
Improvement System
   •  Frequently Asked Questions about Lean

Chapter 3: Tools and Resources for Selecting a Lean Project
   •  Pre-Screening Application for Lean Events
   •  Lean Facilitator Request for Proposal

Chapter 4: Tools and Resources for Lean Event Scoping and Preparation
   •  Lean Event Sponsor Contract
   •  Lean Event Supplies List
   •  Lean Event Logistics Checklist
   •  Pre-event Meeting Agenda
   •  Team Charter
   •  Example Team Charter
   •  Event Preparation Checklist
   •  Pre-event Data Collection Guide
                          Lean in Government Starter Kit | Page 82

   •   Kaizen Event Agenda
   •   Frequently Asked Questions about Lean

Chapter 5: Tools and Resources for Conducting a Lean Event
   •   Team Leader Daily Agenda
   •   Lean Event Homework
   •   Report-out Summary
   •   Event Evaluation Form
   •   Lean Event Certificate Template

Chapter 6: Tools and Resources for Lean Event Follow-Up
   •   Lean Event Follow-up Action Tracking Form

Chapter 7: Tools and Resources for Diffusing Lean Activity and Becoming a Lean
   •   Agency Lean Coordinator Job Description
   •   Agency-Wide Lean Tracking Sheet

Descriptions of Starter Kit Resources	

Web-Only Resources

The following resources are not included in the Appendix to the Starter Kit, but are
available for download online.
   •   Lean Overview Presentation.  This presentation introduces senior agency
       management to Lean principles, methods, and key success criteria, and offers
       example results from past agency improvement efforts.
   •   ECOS State Lean Inventory. This inventory summarizes Lean implementation
       efforts at state environmental agencies. It can be used with managers and staff to
       provide context for your agency's Lean initiative.
   •   Lean Leadership Guide. This guide describes eight critical  steps that Lean
       leaders should take in order to ensure the success of process improvement efforts.
   •   Lean Metrics Guide. This guide provides definitions and examples of metrics
       often used in Lean government efforts.
   •   Guide to Lean Government Training.  This guide provides information and
       guidance on how to think about and structure a Lean training program for your
       agency, an overview of options available for seeking Lean training, and a
       potential roadmap for how Lean training  activities could evolve over time.
   •   Lean Government Event Scoping Guide. This guide is designed to help
       government agencies select, scope, and charter successful Lean events. It includes
       specific examples from environmental  agency Lean events.
                          Lean in Government Starter Kit  | Page 83

   •  Event Report-Out Presentation. This presentation provides an example of the
      type of information shared in a Lean event report-out presentation.
   •  Lean Deployment Presentation. This presentation outlines several options as
      well as key considerations for broader agency Lean deployment.

Chapter 2: Tools and Resources for Understanding Lean and the
Continual Improvement System

   1. Frequently Asked Questions about Lean.  This sample Question and Answer
      document answers many of the key questions that get raised about Lean events.
      The document can be distributed to agency staff prior to an event.

Chapter 3: Tools and Resources for Selecting a Lean Project

   1. Pre-Screening Application for Lean Events. Once an agency has conducted its
      first Lean event, it is helpful to have a standard form for evaluating and
      prioritizing potential future events. This application outlines questions for agency
      managers and staff to answer about potential value stream mapping projects.
   2. Lean Facilitator Request for Proposal. This sample request for proposal
      describes potential qualifications to look for in a Lean facilitator and how to rank

Chapter 4: Tools and Resources for Lean Event Scoping and Preparation

   1. Lean Event Sponsor Contract. This contract is signed by the team sponsor and
      team leader to ensure that the sponsor understands the event's focus and the
      critical role that the sponsor plays.
   2. Lean Event Supplies List. This supplies list includes materials frequently used
      at Lean events. To help ensure smooth event functioning, come prepared with the
      right supplies on hand.
   3. Lean Event Logistics Checklist. This checklist provides a chronological guide
      for making food and logistical arrangements for a Lean event. While food and
      logistics  preparation may seem like minor issues, they ensure that an event
      functions smoothly and allow participants to focus on the process.
   4. Pre-event Meeting Agenda. This agenda includes a set of objectives and
      guiding questions to discuss with the event team during the pre-event meeting.
   5. Team Charter. This team charter allows an  agency to articulate the scope, goals,
      and objectives of the event, along with follow-up dates to ensure that the process
      will move forward after the event.
   6. Example Team Charter. This is an example of a completed team charter.
                          Lean in Government Starter Kit  | Page 84

   7. Event Preparation Checklist.  This event preparation checklist provides a
      summary of key actions needed across the phases of Lean event planning and
   8. Pre-event Data Collection Guide.  This guide outlines critical steps and
      questions associated with gathering baseline or "current state" data before a Lean
   9. Kaizen Event Agenda.  This kaizen event agenda provides an example of time
      allocation over a five-day kaizen event. The agenda is a high-level guide and can
      be easily modified to be more event-specific.
   10. Frequently Asked Questions about Lean. (See description listed under
      Chapter 2)

Chapter 5: Tools and Resources for Conducting a  Lean Event

   1. Team Leader Daily Agenda. This detailed agenda outlines specific roles and
      responsibilities of a team leader over a five-day Lean event.
   2. Lean Event Homework. This homework sheet is a useful way to track action
      items and assignments identified during a Lean event.
   3. Report-Out Summary.  The event report-out summary is a one-page "snapshot"
      of the event results.  The summary includes the event scope, objectives, goals, a
      tabular representation of improvements, and a list of actions implemented.
   4. Event Evaluation Form. This form is used to evaluate and solicit feedback from
      event participants.  It is important to listen to participants' perspectives since their
      responses can inform the success of future events.
   5. Lean Event Certificate  Template. Print out this certificate of participation and
      fill in each Lean team member's name, the process improved, and the date, and
      award to everyone involved. The certificates help to spread awareness of Lean
      when displayed in team members' offices.

Chapter 6: Tools and Resources for Lean Event Follow-Up

   1. Lean Event Follow-up Action Tracking Form. This tracking sheet is a useful
      way to track action items assigned during the event report-out. The sheet
      identifies who is responsible for completing an action item and when the item is
                          Lean in Government Starter Kit | Page 85

Chapter 7: Tools and Resources for Diffusing Lean Activity and
Becoming a Lean Enterprise

   1.  Agency Lean Coordinator Job Description.  This job description outlines the
      roles and responsibilities of an agency Lean coordinator; it can be used by
      agencies interested in expanding their Lean efforts.
   2.  Agency-Wide Lean Tracking Sheet. This spreadsheet can be used to track the
      process improvement efforts throughout an organization, including next steps and
      the status of implementation and follow-up.
                          Lean in Government Starter Kit |  Page 86

    Frequently Asked  Questions  about Lean
1.     Are we compromising environmental protection?
      This is not about loosening environmental regulations or our agency's
      commitment to environmental protection. We are looking for efficiencies in
      workflow, paper processing, number of steps in our process, etc. In fact, our
      goals are to enhance our ability to protect the environment by being able shift
      more time and resources on environmental protection activities.
2.     Will anyone lose his or her job by making this  process so efficient?
      Our people are very important and will continue to be part of this agency.
      Some people's job duties may change and some may have different office
      locations or configurations. But all staff will remain part of this agency.
3     Municipalities, consulting engineers, and other external entities slow
      down the permitting process. How are they involved, and who will  make
      them more efficient?
      Outside stakeholders will take part in the event to help identify opportunities
      and concerns.  However, this is not about how other organizations conduct
      processes, which we cannot control.  Rather, we are focusing on what we can
      control, and that is how we move a permit through the approval process.
4.     What guarantees do we have that this will actually help the process?
      Lean is a proven methodology used to break through barriers and cut through
      bureaucracy, helping teams reach their goals.
5.     Why are we doing this on [Event Name]? Why not another issue?
      First, [Event Name] meets the three criteria for undertaking a Lean event: it
      should be a large-volume process; it should use the same steps every time; and
      it should be a core business activity.  Second, we  see this issue as an integral
      step to improving the water quality in the State.
6.     Have we messed up?  Have we done something wrong?
      The [Agency] is proud of the professionalism and performance of this staff.
      Conducting a Lean event is a way to enhance that performance. The goal is to
      give people the tools to do their jobs better. Each of us, in our own work
      areas, could benefit from that type of assistance.
7     Is this a test of my job performance? Will I get in trouble for not doing
      well in my job?
      These events are performed under the assumption that everyone involved is
      already doing their best—but that with some assistance, efforts can be altered
      to lessen steps, delays, and time, with no loss of performance or quality.
      Improvements will focus on reducing the time that no one is working on a
      project. The time it sits in someone's in-box or is waiting for a reply is  waste
      that can be reduced.
                       Lean in Government Starter Kit |  Page 87

8      How can you expect to get meaningful change in one week?
       These events are specifically engineered to achieve results in an intense, one-
       week work session.  Additionally, preparation has taken place prior to the
       actual event.
9.      How can they understand something as complex as [Event Name or
       Process] in a week?
       The participants will learn the steps in the process, not how to conduct the
       process.  The process will be laid out in graphical form to make it easier to
       understand the sequence and how steps are interrelated.
10.     Who is involved and why?
       The team that will be designing the new process is composed of [Team
       Members], other Agency employees involved in the [Event Name], and some
       of the people who are impacted by the process or who impact the process. All
       of these different viewpoints are important in designing a better process.
11.     Even if I'm not directly involved  on the team, what will I need to do
       during that week?
       You may be asked questions by the team members to clarify your part in the
       process.  Please take the time to answer their questions completely.  Team
       members may also ask to observe and time you while you complete a step in
       the process or discuss the time necessary to complete a step.
12     Will people be in my office? Will they observe us talking  about
       confidential issues, sensitive operations, controversial issues, sensitive
       policy issue debates, and phone calls that all occur each week?
       The team is not interested in specific projects, but how the process works in
13     What happens if I have to leave during the week?
       If you are a member of the  team, please coordinate your absence with the
       team leader, [team leader name]. If you are not on the team, you only need to
       coordinate your absence with your  supervisor, as usual.
14.     Will the recommendations be rigid or able to change in the future if they
       fail or cause unintended consequences?
       The team will not be making recommendation—they will design an improved
       process that will be implemented immediately.  The new process will be
       tested during the event, but if adjustments need to be made later, they will be
15.     How is this process to be judged a success or failure?
       Data are  being gathered on how well the process performs before the event
       and data  will be collected after the event for comparison.
                       Lean in Government Starter Kit  | Page 88

             Pre-Screening  for Application for
                             Lean  Events
1.  Identify the area of study:

2.  Is the anticipated scope manageable?
3.  What are the current problems with the value stream for this area of study (from the
   organization's perspective and from the customer's perspective)?
4.  What is the extent of variation in the area of study?

5.  What data is currently collected to measure activities in/about the area of study?

6.  Who touches the value stream or process?
7.  What is in and out of scope for the proposed value stream mapping workshop or
   kaizen event?
8.  Who is directing the process?

9.  What do your customers want that you are currently not able to supply?

10. Is there senior executive leadership support for this area of study?
11. Is there sufficient funding available to support the value stream mapping event or
   kaizen event?
12. What is the anticipated schedule for the event?
                          Lean in Government Starter Kit |  Page 89

          Lean  Facilitator  Request for Proposal
Please describe in detail how you will meet each requirement.  The successful Vendor
will work the [insert Agency name] (the Agency) to facilitate the expansion of lean
process improvement methodology in executive branch agencies. Such services shall
include, but are not limited to, the following:
A. Lead department Kaizen events, Design for Lean Six Sigma events, value stream
   mapping events, conduct 5S training and audits, and consult with the Agency on other
   relevant Lean tools and methodologies. While serving as the lead consultant, the
   service provider will also coach and mentor state employees, serving in the capacity
   of team lead, to build the Agency's capacity to successfully lead Lean events.
B. Meet with Agency leadership to identify potential Lean projects. Conduct pre-work
   events that result in the identification of project scope, objectives, goals and data
   compilation. The consultant will also guide the Agency in team member selection for
   participation in Lean events.
C. Provide follow-up services, on an as needed basis, to ensure sustainability of Lean
   process improvement efforts.
D. Work with department leadership to implement policy deployment so that Agency
   improvement efforts are linked to strategic goals.

If a Vendor's proposal does not meet the required services,  the proposal will be rejected.


      Vendors should offer detailed answers to the questions in this section.

      A.  Please describe your experience facilitating and  consulting on Lean in a public
          sector organization.

      B.  Please describe the methodology used to implement Lean in an organization.
          Please outline basic methodology as well as tools.

      C.  Please describe in detail any additional services  that you believe would assist
          the Agency in this project. The benefit that is provided to the Agency should
          be specifically addressed.


      The following information is required of prospective Vendors and will be used to
      evaluate their qualifications:
                          Lean in Government Starter Kit |  Page 90

Name of Vendor
       B.     Form of business entity (e.g. corporation, partnership, etc.).

       C.     State of incorporation (if a corporation).

       D.     Home office address and telephone number.

       E.     List of branch locations.

       F.     Provide a description of your background, organizational history, size and
             years in business.

       G.     Specialized services, if any, and years of experience in each such area.

       H.     Minimum of three (3) business references from companies or government
             agencies that use services within the scope of this RFP.


       A.    Evaluation criteria and assigned point values:

          •  Credentials and Qualifications                          35points
             •   Demonstration of vendor's qualifications and expertise
             •   Number of years experience in providing service sought
                 by RFP
             •   Level of experience providing types of services sought
                 in RFP in a public sector organization
             •   List of services similar to those sought by RFP that vendor
                 has provided to other organizations.
          •  Proposal Meets Mandatory Requirements                 35 points
          •  References                                            10 points
          •  Completeness and Organization of Bid                   10 points
          •  Costs                                                 10 points
                                                      100 points
       The cost will be used in the cost formula below to compute the relative number of
       cost points awarded to each proposal. The lowest cost will receive the maximum
       number of cost points.
                 Lowest Cost
                                    X Available Points = Points
                 Vendor Cost
                           Lean in Government Starter Kit | Page 91

                Lean Event Sponsor Contract
The purpose of this contract is to help you and your team achieve successful event
outcomes. Critical behaviors to help ensure your team's success include:

   •  Passionate—Enthusiastic support of the team to ensure team success.

   •  Strategic—Using the event activity to advance a business objective by improving
      the performance of the targeted process while being aware of the impact to the
      total system.

   •  Committed—Engaged from pre-event planning through sustainment.
   •  Risk Taking—Encourage creative thinking to drive paradigm-breaking results.

   •  Open Minded—Influence the team to develop the best solution without
      introducing pre-conceived ideas.

It is the responsibility of the team sponsor to ensure clarity regarding the coverage
of event expenses including team members coming in from other locations. It is
suggested that the team sponsor review with the team leader, as well  as with  parties
who may be covering the event expenses, early  in the planning stages of the event
I have read and support the position paper for this event and understand the critical role
that I play within the event process. As a team sponsor, I will follow the event-planning
checklist to ensure my role to support the overall success of the team.
Event Sponsor Signature:

Team Leader Signature:

  Team leader is to retain the signed contract along with all other event documentation.
                          Lean in Government Starter Kit |  Page 92

                   Lean  Event Supplies List
          Note: Supplies quantities are for an event with approximately 18 people.
Perforated Note Pads (White)
Butcher Paper Roll 36" W X 150' L
Self Stick Easel Pads
Construction Paper (assorted)
Sticky Notes (pastel color) 3"X5"
Sticky Notes (florescent color) 3"X5"
Ballpoint pens (Black or Blue)
Permanent Markers (Black)
Flip Chart Markers (4 colors)
Removable Glue Stick
Adhesive Spray
Masking Tape 1" X 60yards
Twin Pocket Portfolios 25 per box
Hang Name Badges 50 per box
Easels for easel pads


Estimated List
$12.73 DZ
$13.04 RL
$5.05 PK
$5.91 PK
$.60 EA
$.75 EA
$1.95 ST
$.84 EA
$5.71 RL
$4.21 BX
$10.95 BX
$14.12 EA

Estimated Total

Supplies to bring that do not require additional purchase:
   •  Laptop with training briefings and sample results (an extension cord if needed)
   •  Seven wastes checklist and ground rules
   •  Digital camera (be sure to get permission from site, and include process map
      photos, team photos, and all whiteboards)
                          Lean in Government Starter Kit | Page 93

               Lean  Event  Logistics Checklist
6 weeks before event
a  Find meeting rooms
       -  Monday 1:30-4:30  - T-TH8-5:30 -  F 7:30-noon
       °  Fridays - Reserve the report-out location
a  Order supplies

2 weeks before event
a  Order meals
a  Make nametags (get list from team leader)
a  Prepare team member folder (agenda, charter, nametags)

1st Day of event
a  Help team leader set up room
a  Make coffee, set up all coffee supply (1 hour before start of event)
a  Set out team member folder
a  End of day disconnect coffee pot

2nd, 3rd, and 4th Day of event
a  Make coffee
a  Bring breakfast into room
a  Fill cooler with pop, juice and water
a  Bring lunch into room
a  Bring snacks into room
a  Order dinner (if necessary)
a  Assist in clean up at the end of the day

5th Day of event
a  Make coffee
a  Bring breakfast into room
a  Set up snack/coffee/drink at the report-out location (if necessary)
a  Assist in clean up at the end of report
a  Collect and store all extra meal supplies

After the event
a  Gather all receipts
a  Fill out Travel Payment to pay vendors
a  Summarize event evaluations
                          Lean in Government Starter Kit | Page 94

                 Pre-event Meeting  Agenda
                                [Date, Time]
 I.  Understand critical issues
         o  What is the purpose of this event?

         o  Why is it taking place?

         o  What is the desired outcome?

         o  What are the boundaries of the activity?

 II.  Understand and discuss high-level process steps

III.  Develop scope statement based upon agreement of boundary conditions

IV.  Define goals and objectives for the event

 V.  Identify pre-work for event: what, who to complete, etc.

VI.  Which resources must/can be utilized?
                         Lean in Government Starter Kit  | Page 95

                           Team  Charter
                   [Division/Bureau of event and event name]
                                [Event Date]

The breadth, or area, of opportunity to change and improve [e.g., this event will address
the process from /of	to	.]

[A narrower version of the scope of the improvement event.]

Specific numbers or percentages
For example:
1.  Reduce lead-time by XX%, from	to	.
Team leader         Team Leader Name, Agency, bureau
Sub-team leader      Sub-team leader Name, Agency, bureau
Consultant          Consultant Name
Members           Name, Agency, bureau
                   Name, Agency, bureau
                   Name, Agency, bureau
                   Name, Company Name

                   (No more than 20 people/event)

   1. [e.g., determine average lead time]  (name person responsible)

Month, day, year - 30 day
Month, day, year - 60 day
Month, day, year - 90 day
Month, day, year - 6 month
Month, day, year - 1 year
                         Lean in Government Starter Kit | Page 96

                    Example Team Charter

   This event will address the Iowa DNR's Air Quality Bureau - Construction Permits
   section, and the process for reviewing and issuing Complex Construction Projects.

   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.


   1.  Streamline the process to review and issue Complex Construction Projects and
      reduce variability.
   2.  Develop a standard operating procedures guide for project reviewers and project


   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%.
Team leader: [Insert name here]
[Insert name here]

Daily Briefing Participants:
[Insert name here]
[Insert name here]
[Insert name here]

      Process Mapping
      Matrix Construction
      Data Collection
      Guide Materials
([Insert name here]) - Completed draft 8/16/04
([Insert name here])
([Insert name here])
([Insert name here])
                          Lean in Government Starter Kit | Page 97


   •  Monday, Noon to 6:00 PM, Tuesday through Thursday, 7:30 AM to 7:00 PM,
      Friday, 7:30 AM to Noon
   •  Some additional after hours work may be required during the week.
   •  Location: Air Quality Bureau, 7900, Suite 1, Hickman Road, Urbandale
   •  Pre Event Meeting will be held at the Air Quality Bureau - October 5, 1:30-3:00
                         Lean in Government Starter Kit | Page 98

                 Event  Preparation Checklist

   a   Scope of event
   a   High level process steps
   a   Data available (time, quantity, frequency)
   a   Budget (cost center)
   a   Potential internal and external team members
   a   Identify support staff (refer to support staff role)
   a   Identify communication staff (prints team certificate, communicates with other
   a   Identify staff with Microsoft Visio or other process mapping software (installed
       on laptop)
   a   Reserve room  for pre-event, event, and report-out presentation
   a   Reserve laptop, projector and speakers
   a   Send invitation/email to team members about pre-event and event date, time, and

Pre-event Meeting

   a   Set up room
   a   Set up projector and laptop (for Lean overview)
   a   Set up one easel stand and pad, provide easel markers
   a   Develop scope, goals,  and objectives for event
   a   Identify pre-work
   a   Finalize team member selection
   a   Identify sub-team leader
   a   Finalize team members meal selection

Before Event

   a   Order meals, snacks and drinks
   a   Order supplies (refer to supplies List)
   a   Print/order training manuals
   a   Prepare folders and nametags (include training manual, agenda, scope, goals, and
   a   Invite management to daily report (e.g., Tuesday and Wednesday from 4:00 to
       4:30 p.m.)
   a   Invite interested parties and employees to report-out (e.g., Friday from 10:00 to
       11:00 a.m.)
   a   Arrange a site  visit for the Lean team to talk with the workers and see the process
       in action during the event.
                          Lean in Government Starter Kit |  Page 99

   a  Set up room and layout folders and nametags
   a  Set up projector, laptop and speakers
   a  Set up two easel stands and pads, provide easel markers
   a  Event supplies available in the room
   a  Provide meals, snacks, and drinks
   a  Take team picture on Tuesday morning (for team certificate)
   a  Setup room with 2-3 computers/laptops on Wednesday and Thursday (connected
       to network for accessing files if possible)
   a  Print and distribute team certificate on Friday
   a  Communicate with other staff via website or email on progress of team

After Event

   a  Email team member report-out presentation and other relevant files to event
   a  Fill out travel payment form
   a  Send thank-you letters to team members
   a  Set up 30-day follow-up date, time,  and location
   a  Develop communication plan (e.g. update website with event results, inform
       stakeholder groups)
                           Lean in Government Starter Kit |  Page 100

              Pre-event  Data Collection Guide
Pre-event Data Collection Steps
    1.  Initial map of the current process developed by the area that is going through the
       kaizen event.
    2.  Determine from the map steps that can and cannot be changed, i.e., identify those
       steps that are mandatory by rule.
    3.  Outline what items are currently tracked for time.
    4.  For those items currently tracked for time, determine longest item, quickest item
       and an average of the items. Do not try to gather data here that you do not already
    5.  Have the staff write down what they do for a week.  This includes the projects, as
       well as meetings, site visits, telephone calls, regular meetings, etc.

The "Voice of the Customer" Data Considerations
Some questions to ask as part of the "voice of the customer" are the following:

    1.  What do they want?
    2.  When do they want it?
    3.  Why do they want it?
    4.  How do they use the product and how much of it do they use?

These questions will ultimately help in determining the "value-added"  steps in the
process, as well as provide potential design criteria for the final "product."  The best
approach would be to ask our customers (select a few), or at least think through these
questions from their perspective. If the process has different customer segments, the
questions could be asked for each one. As above, this information would be useful for
goal setting purposes.

Bench marking would also be helpful in establishing goals for the event. Additionally,  it
could equip the team with example strategies for achieving the goals for the event.
   Number of process steps
   Total lead time
   Data on staffing needs
   Data on staff time
   Cycle time
   Data on transaction volume in process (e.g., number of applications)
   Number of handoffs
   Amount of backlog
   Rework percentage (e.g., percent of permits needing rework)
                          Lean in Government Starter Kit | Page 101

                      Kaizen  Event Agenda
                              [Date and Location]
Monday:     Training Day
1:30 P.M.     Team member introduction.
1:45 P.M.     Training.
4:30 P.M.     Adjourn for the day.

Tuesday:     Day of Discovery
8:00 A.M     Work on process mapping, data needs, opportunities for waste
             elimination, and review ideas against scope and objectives.
12:00 P.M.    Working lunch.
12:30 P.M.    Continue with previous work. Create implementation plan.
5:00 P.M.     Draft Wednesday assignment.
5:3 0 or 1 ater   Adj ourn for the day.

Wednesday:  Do Day
8:00 A.M.     Review Tuesday work. Begin working on selected projects.
             Sub-teams report progress.
12:00 P.M.    Working lunch.
12:30 P.M.    Continue with previous work. Sub-teams report progress.
5:00 P.M.     Sub-teams report-out. Make Thursday assignments.
5:3 0 or 1 ater   Adj ourn for the day.

Thursday:    Do, Re-Do, Document Day
8:00 A.M.     Review Wednesday work. Continue Wednesday's work.
             Sub-teams complete specific opportunities for improvement and report-
             out. Implement new process operation procedures, forms, process map,
             and baseline data.
12:00 A.M.   Working lunch.
12:30 P.M.    Continue with previous work. Document changes and complete the new
             process.  Report out from sub-teams and review all work to ensure
             everything is  complete.
5:00 P.M.     Prepare for Friday's presentation.
5:3 0 or 1 ater   Adj ourn for the day.

Friday:      Day of Celebration
7:30 A.M.     Finish work on presentation.
10:00 A.M.   Team presentation.
11:00 A.M.   Adjourn event. Thank you!
                         Lean in Government Starter Kit |  Page 102

                 Team Leader Daily  Agenda

   a  Arrange the room (get someone to help)
   a  Get the supplies, easel and easel pad
   a  Set up one easel and easel pad
   a  Set up the laptop, projector and speakers
   a  Set out the folders, training manuals, and nametags

   a  Greet everyone when they  arrive
   a  Start promptly at 1:3 0 p. m.
   a  Welcome everyone  and introduce yourself
   a  Go through logistics (parking, building access, cell phones, restrooms, meals, etc.)
   a  Go through agenda  (warn team of potential late nights on Tuesday, Wednesday,
      and Thursday)
   a  Go through ground  rules
   a  Have everyone introduce themselves
         1.  Who are you?  Where do you work?
         2.  What are your goals this week?
         3.  What you like to do when you are not at work?
   a  On the easel  pad, write "Goals of Team Members" and capture the team member
   a  Post "Goals of Team Members" on the wall
   a  Introduction from senior manager
   a  Introduce consultant and/or trainer (begin training)
   a  Review the goals and obj ectives
   a  Discuss pre-event data collected
   a  Let team know they can leave folder in the room
   a  Remind team of start time tomorrow

      Disconnect laptop and projector (store in safe location overnight)
      Tape roll paper on opposite walls (get 1-2 people to help)
      Spray paper with adhesive glue
      Setup two easels and easel pad
      Write on easel pad and post on the wall "Parking Lot/Bike Rack" and
                         Lean in Government Starter Kit |  Page 103

   a  Lay out scissors, color pad, and markers for flow mapping
   a  Tidy up the room (unplug the coffee pot, pick up bottles and cups)

Day 2

   a  Start on time
   a  Ask if anyone have question about yesterday's training
   a  Start training on flow mapping
   a  Ask for volunteer for each flow mapping task
   a  Review the goals and obj ectives
   a  Start mapping current state (Identify functions, steps, handoffs)
   a  Visit process site for walk through of process.
   a  Identify value-added activities and delays on map
   a  Estimate lead time (best case, worst case, and average) based on data collected

   a  Count the number of steps, handoffs, loops, delay, value-add, delay
   a  Calculate lead time (best case, worst case, and average)
   a  Make arrangements for dinner by 3 p.m. if it will be needed
   a  Attend 4p.m. daily report out to management
   a  Remind team of start time tomorrow

   a  Setup three easels and easel pad
   a  Tidy up the room (unplug the coffee pot, pick up bottles and cups, markers and
       note pads)
Day 3

   a  Start on time
   a  Communication staff takes team pictures
   a  Ask if anyone have questions or comments about the current process
   a  Give the team 20 minutes to write down what they think the ideal state should be
   a  Capture the team members ideas on easel pad
   a  Break up team into groups (5-6 people per group)
   a  Give each group some of the ideas and ask them to apply it to de-selection matrix
   a  Ask group to write down on easel  pads seven ways of implementing the ideas in
       the High Impact and Low Difficulty quadrant
   a  Have each group report to the team
                          Lean in Government Starter Kit |  Page 104

   a   Start to map the ideal/future process
   a   Capture Parking Lot/Bike Rack and Homework items on easel pad
   a   Identify value-added activities and delays on new process map
   a   Estimate lead time (best case, worst case, and average) based on data collected
   a   Count the number of steps, handoffs, loops, delay, value add, delay
   a   Calculate lead time (best case, worst case, and average)
   a   Make arrangements for dinner by 3 p.m. if it is needed
   a   Attend 4p.m. daily report out to management
   a   Remind team of start time tomorrow

   a   Setup three easels and easel pad
   a   Tidy up the room (unplug the coffee pot, pick up bottles and cups, markers and
       note pads)
Day 4

       Set up laptop and projector
       Ask if anyone has concerns or comments about the new process map
       Review the goals and objectives
       Review the parking lot and homework items
       Ask team to volunteer to work on homework items
       Collect the completed homework items from each group
   a   Assign/volunteer team members to homework items that are incomplete
   a   Review "Goals of Team Members"
   a   Prepare report-out presentation
   a   Inform team about flow of report-out presentation (where to stand, introduce next
       speaker, what to expect, who will answer questions from audience)
   a   Assign/volunteer team members to different slides in the presentation
   a   Vote on team name
   a   Send team name to communication staff
   a   Prepare report-out summary
   a   Make 50 copies of report-out summary
   a   Attend 4p.m. daily report out to management
   a   Remind team of start time tomorrow
                          Lean in Government Starter Kit |  Page 105

    a  Disconnect laptop and projector (store in safe location overnight)
    a  Tidy up the room (unplug the coffee pot, pick up bottles and cups, markers and
       note pads)
Day 5

    a  Set up laptop, projector and speaker
    a  Show "Staff Motivation" video
    a  Distribute "Kaizen Event Evaluation" to team members
    a  Collect filled out evaluations
    a  Set up laptop and projector in the auditorium
    a  Practice report-out presentation
    a  Collect team participation certificate from communication staff
    a  Distribute report-out summary to audience
    a  Report-out presentation
    a  Return supplies to team leader
    a  Put the room back in order (get 1-2 people to help)
    a  Give completed evaluations to team leader
    a  Place all files for event on computer server
                           Lean in Government Starter Kit  | Page 106

                Lean Event Homework
As of:
Event #:
Event Name:
Item Item Description Person Responsible Due Date
Hold meeting to standardize "front
end" documents with other



                   Lean in Government Starter Kit | Page 107

                 Report-out Summary

Value Added Steps
Loop Back
Functions in Process


% Change
1 - (new # / old #)

[List actions implemented]
                   Lean in Government Starter Kit | Page 108

               Kaizen Event Evaluation Form
Team Leader:
You have just completed an event to improve one of your processes. We are interested in
your opinion on how things went during the event.  We are continuously trying to
improve the effectiveness of the events. Below is a list of questions that will help us
improve future events. Please be open and honest with your ratings and comments.
Thank you.

On a scale of 1 to 5 please rate the questions below.

1 - Strongly Disagree   2 - Disagree   3 - Neutral  4 - Agree   5 - Strongly Agree

I was given at least 2 weeks notice prior to the event.
The training on Day 1 was effective and prepared me for the event.
The consultant was effective teaching and guiding the team through the
The consultant listened to my ideas and suggestions.
The team leader was effective and helpful through the event.
When my ideas or suggestions were not used, the reasons were explained
Management support and direction was adequate.
The time spent this week was productive.
I have increased my understanding of the value of continuous improvement.
The material provided was useful.
The food and beverages provided were adequate.
What did you find most useful during the event?
What suggestions or comments do you have that could help us improve future events?
                         Lean in Government Starter Kit | Page 109

Lean Event Certificate Template









    Lean Event Follow-up Action Tracking Form
As of:
Event #:
Event Name:


Item Description
Hold meeting to
standardize "front end"
documents with other



Due Date





Parking Lot Issues:

   o  [Add outstanding parking lot issues here]
                    Lean in Government Starter Kit | Page 111

      Agency Lean Coordinator Job Description

This position is located in the Director's Office under the immediate supervision of the
Deputy Director and functions as a program manager for the Agency's process
improvement program. The person in this position is responsible for implementing and
managing the department's Lean process improvement program, including the
deployment of training and other duties that will enhance organizational efficiency and
support a culture of continuous improvement and customer satisfaction.

Lean Deployment and Facilitation: Develop and implement an action plan for the
deployment of all aspects of the Agency's Lean process improvement program,
including, but not limited to kaizen, 5S, value stream mapping, and Design for Lean Six
Sigma events. Responsible for working with department managers in identifying areas
for process improvement events, establishing objectives for each project, and selecting
cross-functional team members and leaders. Act in the capacity of the facilitator for each
event. Coordinate each project/event phase and ensure that participants and stakeholders
have the tools and resources they need, necessary information, and guidance to enable
them to fully engage in the process and maximize the potential outcome of each event.

Tracking Progress: Develop and implement an action plan for tracking, analyzing and
reporting return on investment of programs that have undergone process improvement
initiatives. Monitor the progress of projects, including ongoing status reviews.  Ensure
that the database is current relative to process improvement activities.  Responsible for
coordinating and participating in 30-day, 60-day, 90-day, 6-month, and 1-year follow-up
meetings for each event to ensure follow-up activities are completed and  improvements
are realized and maintained. Develop a comprehensive report which delineates the status
and outcomes of each event, including, but not limited to, efficiencies gained, increased
customer satisfaction and/or reduced costs or savings realized.  Conduct formal reviews
with the management team on a quarterly basis to review accomplishments, identify areas
for improvement, and respond to questions.

Training: Coordinate the training of Agency staff on Lean process improvement
techniques, including a plan for deployment of training to all Agency staff. Ensure that
tools, resources, and instructional materials are developed, updated as necessary, and
maintained to meet ongoing needs. Responsible for tracking participation and associated
costs of time and materials for training deployment.  Establish a library of learning
materials, both electronic and paper, which can be made available to interested staff.
Conduct research focused on benchmarking world-class business process performance at
other agencies and utilize findings to assist supervisors in establishing tangible measures
of time, cost, and quality.

Communications: Develop and implement an effective strategy for communicating the
status and results of the Agency's improvement efforts to partners, customers, and staff.
This includes, but is not limited to, the development  of an Internet presence to showcase
departmental activities. Keep staff informed of revised procedures and methods and
related work changes as implemented.
                          Lean in Government Starter Kit | Page 112

         Agency-Wide Lean Tracking Sheet
Agency-Wide Lean Tracking Sheet


Team Leader/


End Date

Comments (e.g., Next
Steps, date of most
recent update)

*Methods could include 55, Process Walk, Kaizen Event, or others
                    Lean in Government Starter Kit | Page 113

United States Environmental Protection Agency
             November 2011