Lean and Information Technology
Toolkit
December 2015
I
E C O S
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Acknowledgments
The U.S. Environmental Protection Agency (EPA) and the Environmental Council of the States (ECOS) are grateful
for the valuable assistance of the individuals who helped develop this Lean and Information Technology Toolkit
and shared experiences and ideas using Lean along with technology to improve agency programs and processes.
This Toolkit has benefited from the collective expertise of many individuals across state agencies and EPA
program areas who are familiar with Lean and process-improvement projects. In particular, EPA and ECOS would
like to thank the following individuals for their thoughtful contributions:
• Sue Battle-McDonald (State Co-chair), Maryland Department of the Environment
• Scott Bowles (EPA Co-chair), EPA Office of Policy
• Scott Baird, Utah Department of Environmental Quality
• Tim Cooke, Wisconsin Department of Natural Resources
• Marjorie Damgaard, Wisconsin Department of Natural Resources
• Linda Darveau, EPA Region 1
• Katherine Dawes, EPA Office of Policy
• Beth Graves, Environmental Council of the States
• Amanda Halstead, EPA Region 7
• Martha Hankins, Washington State Department of Ecology
• Shana Harbour, EPA Office of the Chief Financial Officer
• Ann Lowery, Massachusetts Department of Environmental Protection
• Nicole Lugli, Connecticut Department of Energy & Environmental Protection
• Bob Minicucci, New Hampshire Department of Environmental Services
• David Nicholas, EPA Office of Solid Waste and Emergency Response
• Victoria Phillips, Massachusetts Department of Environmental Protection
• Andrew Putnam, Colorado Department of Public Health and Environment
• Tamara Saltman, EPA Office of Air and Radiation
• Chris Taylor, EPA Region 7
• Tegan Vaughn, EPA Region 7
• Phil Warren, EPA Region 1
• Heather Weir, Colorado Department of Public Health and Environment
Kristen Durance, Megan Parker, Louis Sweeny, and Jennifer Tice of Ross Strategic (www.rossstrategic.com)
prepared this toolkit for EPA under subcontract to ICF International (EP-W-11-017/0006).
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Table of Contents
Executive Summary 1
Chapter 1: Introduction 5
Background and Purpose of This Toolkit 5
Benefits of Lean and IT for Environmental Agencies 7
Toolkit Organization 8
Chapter 2: Lean Startup 9
What Is Lean Startup? 9
How Does Lean Startup Differ from Lean Process-Improvement Methods? 11
What Is a "Minimum Viable Product"? 12
Why Is Lean Startup Useful for Projects with Highly Uncertain Outcomes? 13
Chapter 3: How to Plan for Process Streamlining and Process Modernization Projects 15
1. Understand the Problem 15
2. Develop a Manageable Scope for Lean and IT Process-Improvement Efforts 16
3. Assemble a Project Team with the Right Mix of Leadership, Facilitation, and IT Support 18
4. Sequence Improvements to Streamline Processes Before Automating Them 19
5. Identify Other IT Impacts That Could Affect the Project 20
Chapter 4: How to Improve Processes with Lean and IT 23
1. Develop a Robust, Data-Driven Understanding of the Current Process 23
2. Take a "Creativity Before Capital" Approach to Process Improvement 24
3. Consider Ways IT Solutions Can Enhance Lean Outcomes 26
4. Engage Stakeholders and Customers Early and Often 27
5. Develop a Clear Implementation Plan for Future Lean and IT Improvements 28
Chapter 5: How to Effectively Follow Up from Lean and IT Process-Improvement Projects 31
1. Track Action Items and Make Project Teams Accountable for Making Progress 31
2. Closely Coordinate IT Development Efforts with Implementation of the New Process 32
3. Evaluate Process Performance and the Need to Make Additional Changes 33
Chapter 6: Agile Methodology 35
What Is Agile? 35
The Agile Development Process 36
How Is Agile Helpful for IT Development? 37
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Chapter 7: Strategies and Tips for Multi-Agency Collaboration on Lean and IT
Improvement Projects 39
Benefits of Agency Collaboration to Improve Processes and Programs 39
Collaboration Strategies and Tips 40
Chapter 8: Conclusion 43
Appendix A: More Information on Lean 45
What Is Lean? 45
Appendix B: Lean Government, Lean IT, and E-Enterprise Resources 48
Appendix C: Case Studies 51
Case Study: Massachusetts Department of Environmental Protection Enterprise-wide Data
Management System 51
Case Study: Wisconsin Department of Natural Resources Water Program E-Permitting System
Development Process Description 56
Case Study: EPA Region 1 Improvements to the Lab Purchasing Process 60
Case Study: EPA Region 7 Improvements to the Concentrated Animal Feeding Operation
Inspection Reporting Process 63
Appendix D: Lean Charter Template 68
Appendix E: Lean Implementation Plan Template 71
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Executive Summary
Environmental agencies across the United States are finding better, faster, and more efficient ways to address
environmental management challenges. Lean and information technology (IT) are two important ways that
environmental agencies are transforming how they protect human health and the environment. Lean is an
improvement approach and set of methods that eliminate non-value added activity or "waste." New IT
approaches can help agencies to streamline, modernize, and expand the services they provide to customers.
This Lean and IT Toolkit explores how Lean and IT can be used to accomplish the following:
• Efficiently design new products and services to better meet customer needs (Lean Startup)
• Improve the efficiency and effectiveness of existing processes (Lean process improvement)
• Reduce the costs and risks of developing new IT products (Agile development)
This Toolkit provides how-to guidance, resources, and tips for making improvements in each of these
applications of Lean and IT (product conceptualization, process improvement, and IT product development), as
well as describes how agencies can collaborate effectively on improvement projects.
Lean and IT Project Results
• Wisconsin Department of Natural Resources used Lean thinking and process mapping to streamline
the permit application process for the Water Program, cutting the time for general and individual
permit reviews by about 50%. The agency then developed an e-permitting system to further enhance
permit response time and provide better information to regulated entities.
• Massachusetts Department of Environmental Protection is developing an enterprise-wide data
management system to support permitting, compliance, and enforcement operations. MassDEP used
Lean thinking to document current practices, identify opportunities to streamline, and simplify
processes in anticipation of constructing an e-permitting module. This process resulted in
categorizing over 300 permits into eight permit "families" to support the e-permitting system.
• EPA Region 1 employed Lean and IT strategies to reduce the time to complete lab-purchasing orders
by 60%, eliminate 40% of the steps in the process, institute an automatic reordering process when
supplies are low, and develop a new electronic form and record-keeping system. The agency is also
instituting a SharePoint workflow tracking system to support the new process.
• EPA Region 7 improved the quality and timeliness of the concentrated animal feeding operation
(CAFO) inspection process through Lean and IT improvements. This included reducing the time to
complete CAFO inspections by 25% when sampling was required and by 40% when no sampling was
needed, enabling online coordination of electronic draft reports with a new SharePoint site, and
developing a spreadsheet to track key performance indicators and timelines for inspections.
This Toolkit contains case studies of each of these projects.
Executive Summary Page 1
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Benefits of Lean and IT for Environmental Agencies
Environmental agencies have used Lean to speed process times, eliminate backlogs, improve product quality,
provide more value to customers, and free staff time to work on other activities. IT solutions amplify these gains
by automating streamlined processes, incorporating automated error checks to improve quality, enhancing the
ability to share data across organizations, and providing better information for decision-makers. Lean Startup
and Agile methods also allow agencies to design and develop new products and IT solutions to meet customer
needs while minimizing the risks and costs of product development.
Lean Startup: Design or Redesign Products or Services
Lean Startup, first conceptualized by Eric Ries, is the use of Lean concepts to determine what products or
services to develop to meet customer needs in conditions of high uncertainty. The Lean Startup approach
minimizes the time and costs of product development through the following, iterative process:
• Identify ways to deliver value to customers through new or redesigned products or services
• Develop minimum viable products - components of a new approach that can be tested in the real world
• Learn from how customers engage with the minimum viable products, and adapt plans for the product
or service based on user data
Environmental agencies could consider using the Lean Startup approach when there is a need for new or
fundamentally redesigned products or services to meet customer needs and when there is little known about
what would be most useful to customers.
Lean Process Improvement: Reduce Waste to Optimize Existing Processes
For existing processes, Lean and IT can work together to increase efficiency and enhance effectiveness. Key
principles for combining Lean and IT to support process-improvement projects include the following:
Involve IT personnel in all stages of process-
improvement projects, at least on a consulting basis, to
help plan projects, identify IT strategies that could
address process problems, and, where applicable,
develop and implement IT changes in the context of
other process changes.
Use creativity before capital to solve problems;
maximize improvements you can make to your process
with simple, cheap changes, and then consider whether
to invest more resources to deliver additional
performance benefits.
Streamline processes before automating them;
otherwise, there is the possibility of locking in or
exacerbating errors and inefficiency in the process.
Tips for Multi-Agency Collaboration
on Lean and IT Improvement Projects
• Coordinate with agencies early on
• Limit the size of Lean project
teams
• Establish lines of accountability at
different agencies
• Be flexible and consider agency
differences when designing
solutions and planning
implementation
Executive Summary Page 2
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• Closely coordinate implementation of IT and other changes, tracking the status of action items,
identifying and addressing issues early on, evaluating process performance, and recalibrating efforts
when necessary.
This Toolkit outlines how-to steps, tips, and resources for planning and executing Lean and IT process-
improvement projects based on these key principles.
Agile Development: Use an Iterative Process to Develop IT Solutions More Efficiently
Unlike traditional, linear "waterfall" methods for software development, Agile uses a streamlined, iterative
process for developing IT solutions to meet customer needs. Agile development relies on the following:
• Short, team-based "sprints" of activity to develop components of technology
• Frequent collection of customer feedback on technology components during the development process
(rather than waiting until the full product is developed)
• Adapting the technology requirements and plans based on feedback
By iterating development and collecting user feedback early on, Agile teams are better able to focus their efforts
on what matters most for the users. Agile offers a powerful new way for environmental agencies to develop IT
solutions using less time and resources. Agile is often used in Lean Startup to help develop minimum viable
products when there is less certainty around what IT product is needed.
Lean and IT Going Forward
This Toolkit complements a series of Lean resources available from EPA and other agencies, including EPA's Lean
in Government Starter Kit. Taken together, these documents can help environmental agencies in their efforts to
operate more efficiently and effectively to protect human health and the environment. The practice of using
Lean methods with technology solutions to improve agency programs and processes is relatively new. We
envision this Toolkit to be a living document that can be updated over time to reflect best practices, resources,
and examples that emerge as environmental agencies use these techniques to achieve the next level of
improved environmental performance, customer service, and efficiency.
Executive Summary Page 3
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Executive Summary Page 4
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Chapter 1: Introduction
Background and Purpose of This Toolkit
This Toolkit was developed as part of E-Enterprise for the
Environment initiative (see box) to help environmental agencies
integrate Lean with new information technology (IT) approaches that
streamline, modernize, and expand the services they provide to
customers. Lean is an improvement approach and set of methods that
can dramatically enhance the speed, quality, and transparency of
processes by eliminating non-value added activity or "waste," thereby
focusing efforts on high-value outcomes.
IN THIS CHAPTER
1. Background and Purpose of This
Toolkit
2. Benefits of Lean and IT for
Environmental Agencies
3. Toolkit Organization
This Toolkit provides best practices, guidance, and resources that can
help your agency integrate IT improvements while improving the efficiency and effectiveness of programs and
processes. It is designed to help your agency understand how to accomplish the following:
• Use appropriate Lean tools to find better ways to deliver value to customers and make efficient IT
investments.
• Streamline the development of IT solutions.
• Identify and plan Lean and IT improvements to address problems in your processes.
• Implement process-improvement approaches effectively.
E-Enterprise for the Environment
(E-Enterprise)
Launched in 2014, E-Enterprise is a new
model for collaborative leadership
among environmental co-regulators and
affected parties to achieve positive
environmental, human health, and
economic outcomes. The E-Enterprise
Initiative is streamlining and
modernizing the implementation of our
environmental programs.
With E-Enterprise, environmental
agencies have the opportunity to learn
from each other, apply Lean and IT at an
agency and cross-agency level, and
access shared technology resources.
Lean is not the only approach for quality and productivity
improvements, but many environmental agencies have found
success with it. The Toolkit highlights the following methods:
• Lean Startup: A rapid, efficient approach to determining what
new products or services to develop that meet customer
needs
• Lean Process Improvement: Structured methods for
eliminating non-value added activity, including delays, errors,
and other inefficiencies, from work processes, thereby
delivering more value to customers
• Agile or Lean Software Development: Techniques and tools
that allow IT staff to work in an iterative, streamlined fashion
to develop a technology solution for an identified customer
need
These three Lean approaches are appropriate for solving different
kinds of problems, as shown in Figure 1. For those with high
Chapter 1: Introduction Page 5
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uncertainty and/or before a process is in place, Lean Startup can be used. For existing processes that need to be
improved, agencies can use traditional Lean thinking and methods to reduce wastes and provide more value to
customers. When an IT need is more certain, Agile helps integrate Lean thinking into the IT development
process. This high-level conceptualization provides guidance when each of these methodologies may be used,
but in practice, these methods are often combined with each other.
Lean Process
Improvement
Agile
Development
Improve existing
processes using
Lean & IT
Lean Startup
Figure out what product
or service to develop
quickly and without
wasting resources
Develop specific
IT solutions
through a Lean
process
Certainty
Figure 1: Toolkit Framework
This Toolkit is intended to complement existing resources describing the use of Lean by environmental agencies,
including EPA's Lean in Government Starter Kit. This Toolkit expands upon those resources by providing how-to
guidance and resources for how environmental agencies can combine Lean with IT, as well as collaborate
effectively, to improve agency programs and processes. This Toolkit assumes basic familiarity with Lean
concepts, but additional information and resources on Lean can be found in Appendices A and B.
Chapter 1: Introduction Page 6
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Benefits of Lean and IT for Environmental Agencies
"The first rule of any technology used in a
business is that automation applied to an
efficient operation will magnify the
efficiency. The second is that automation
applied to an inefficient operation will
magnify the inefficiency."
-Bill Gates
Integrating IT strategies with Lean improvements accelerates and
expands their impact. When applied to streamlined processes, IT
is even more effective at helping agencies optimize performance
and share information internally and with stakeholders and the
public. The use of Lean techniques can improve enterprise
technology development and operation by increasing the speed
and quality of development and by providing resource efficiency
at the agency level. Lean includes talking to customers, listening
to concerns, and delivering products and services to meet
customer needs identified for business processes. Lean does this
through collaborative, team-based activities that have the
following characteristics:
• Focus prioritization and action in tight periods
• Rely on data about how processes actually work
• Emphasize high-impact, simple solutions over expensive,
time-consuming process changes
IT capabilities such as mobile data collection, shared files, and
auto-error checking in forms, among others, can enhance and
further streamline business processes. Through techniques such
as Agile development, Lean can also increase the efficiency of
and collaboration on IT development while mitigating overall risk
and maximizing the efficiency of resources. Techniques like Lean
Startup help mitigate uncertainty in complex IT projects and
provide a method for quickly starting on key aspects of a project
without diving head first into full product development.
Many environmental agencies have used Lean successfully to
produce significant results for IT projects. These Lean projects
have helped agencies to speed process times, free staff time,
eliminate unnecessary process steps, and improve quality of products, as well as improved IT services. Agencies
like the Government Services Administration (GSA) are starting to build guidelines for technology development
using Lean principles as well. Appendix C of this Toolkit contains case studies describing the experiences, results,
and lessons learned from Lean and IT projects at the following agencies:
• Massachusetts Department of Environmental Protection
• Wisconsin Department of Natural Resources
• EPA Region 1
• EPA Region 7
Benefits of Lean and IT
Agencies using Lean and IT can expect to
see one or more of these benefits:
• 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
Chapter 1: Introduction Page 7
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Toolkit Organization
This Toolkit is appropriate for both Lean practitioners who are looking for guidance on how to use Lean to
improve processes that may have an IT component and agency personnel who have identified a need for a
technology solution to address a particular problem. For the latter, Lean tools can provide a roadmap to ensure
the most efficient and effective deployment of technology solutions. The remainder of this toolkit is organized
around the following questions:
• Chapter 2: What is Lean Startup?
o This chapter introduces Lean Startup and potential applications for designing new products,
including IT projects, at environmental agencies.
• Chapters 3. 4 and 5: How do I plan for, conduct, and implement Lean and IT solutions to solve problems in
my process?
o These chapters provide specific guidance for each phase of the process-improvement projects from
planning, conducting Lean projects, implementing process changes, and follow-up. A particular
emphasis is placed on when and how to coordinate and integrate IT solutions within Lean methods
such as "kaizen" rapid process improvement events.
• Chapter 6: What is Agile?
o This chapter provides an overview of Agile methodology and its application for IT development. This
chapter is particularly valuable for IT departments and staff seeking faster, cheaper, and less risky
ways to develop IT solutions.
• Chapter 7: What are the best practices for collaborating on Lean and IT improvement projects with
multiple agencies?
o The information in this chapter highlights key lessons learned and tips based on experience gathered
from Lean and IT improvement projects involving multiple agencies.
• Appendix A (Background on Lean): What is Lean?
o Appendix A contains more information on Lean and key Lean methods.
• Appendix B (Resources): How can I learn more?
o Appendix B contains a compilation of resources for learning more about Lean government, E-
Enterprise, Lean Startup, and Agile development.
• Appendix C (Case Studies): How have environmental agencies used Lean and IT solutions to improve their
processes?
o Appendix C contains case studies of EPA and state Lean and IT process-improvement projects. The
case studies describe the project activities and the results they achieved.
• Appendix D (Lean Charter Template)
o Appendix D contains a Lean charter template that may be used to clarify and promote
understanding of the scope, goals, and expectations for Lean process-improvement projects.
• Appendix E (Lean Implementation Plan Template)
o Appendix E contains a template and an example of a Lean project implementation plan that may be
used to identify and track action items from process-improvement projects.
Chapter 1: Introduction Page 8
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IN THIS CHAPTER
1. What Is Lean Startup?
2. How Does Lean Startup Differ from
Lean Process-Improvement Methods?
3. What Is a "Minimum Viable Product"?
4. Why Is Lean Startup useful for Projects
with Highly Uncertain Outcomes?
Chapter 2: Lean Startup
In this chapter, we discuss a powerful new application of Lean
called Lean Startup, which can allow agencies to determine
what new products or services (including IT solutions) to
develop to meet customer needs while minimizing the costs
and risks of new product development. Lean Startup can
complement strategies for improving existing processes with
Lean and IT (chapters 3-5) and/or developing defined IT
solutions (chapter 6).
What Is Lean Startup?
Lean Startup is a methodology developed by Eric Ries that guides new projects through the discovery and
creation process quickly while taking advantage of innovation that is often lost in project management.1 It pulls
from Lean methodology and includes an emphasis to "work smarter not harder/' while increasing the overall
speed at which products are developed.
Lean Startup focuses on a cultural shift in management techniques from a linear to a cyclical approach. Within
environmental agencies, the idea of a "startup" can be applied to situations where processes need a major
overhaul, or new technologies or products are needed. Using this framework can help agencies break out of
typical product-development lifecycles that rely on drawn-out requirements-gathering processes.
The principles of Lean Startup, adapted from Eric Ries, include the following:
• Entrepreneurs are everywhere: Creativity allows for innovation, and product and IT development
should capitalize on this opportunity.
• Entrepreneurship is management: Managing your process with an eye towards innovation will help you
build a better final product.
• Validated Learning: Running "experiments" through your product-development lifecycle helps clarify
and confirm the value you are serving to your customers.
• Innovation Accounting: Success requires measuring progress and milestones to help prioritize work
throughout the product-development lifecycle.
• Build-Measure-Learn: The goal of the project lifecycle is to turn ideas into products, measure
customer's response to the product, and then determine if a strategic change in direction is necessary.
Teams should accelerate this feedback loop to ensure your work is always high-value.
1 Eric Ries, Lean Startup, http://www.theleanstartup.com/
Chapter 2: Lean Startup Page 9
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Evaluate User Feedback:
• Did the user recognize the problem
and value?
What did we learn is truly important to |
the users?
• What might they adopt or at least not
resist?
• Did user feedback suggest the need to
pivot and rethink the overall product
or project assumptions?
Identify Potential Product/Service Value:
What problem are we trying to solve?
• What value are we bringing to the table?
• What are our most critical assumptions and
hypotheses, and which of these are most
uncertain?
Ideas about
Value
User Data
MVPs First,
Then
Product
Releases
Build Minimum Viable Products (MVPs):
• MVPs are simple and not fully developed
products - an initial MVP could be just
paper and a person talking to customers
• Goal is to interact with customers around
something REAL
The MVP is structured to allow for
continuous learning and feedback on use
and satisfaction
Source: Adapted from information in The Lean Startup by Eric Ries.
Figure 2: The Lean Startup Cycle
Chapter 2: Lean Startup Page 10
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The build-measure-learn cycle depicted in Figure 2 is central to the Lean Startup methodology. It starts with the
identification of a potential product or service that serves a value for your customer. For example, this could be
interest from your user base in an electronic permitting system. To move forward in building your system, the
Lean Startup method asks that you take a step back and identify the Minimum Viable Product (MVP) that a user
would find valuable and move it through the cycle, interacting as often as possible with your users. This
interaction provides validated learning2 and requires the use of identified, measurable outcomes so that you
can incorporate the information you learn into your next cycle.
The Lean Startup cycle is designed for moving through quickly and in multiple stages; frequently a single
iteration of the cycle may not provide a huge amount of forward progress. Taken together, the cycles allow you
to incorporate the information gathered from your users into each stage and identify when you may need to
"pivot" or adjust your assumptions so that you are not creating a product no one will use. Key questions to
consider through the entire cycle include the following:
1. What are we trying to learn next?
2. What do we need to measure in order to learn that?
3. What do we have to build to be able to measure that?
This cycle is designed to mitigate the risks at each stage by allowing you to validate your assumptions early and
often, rather than at the very end of the development cycle.
How Does Lean Startup Differ from Lean Process-Improvement
Methods?
Lean Startup is used when the level of uncertainty is very high within IT projects or product-design initiatives,
while traditional Lean process-improvement methods (techniques like kaizen events and value stream mapping)
work well for optimizing existing processes and/or when there is clarity about IT development needs. For large,
complex projects it may be useful to use both; moving from Lean Startup to more traditional Lean tools as you
move from high-level product or IT solution conceptualization down into more specific steps like production and
system maintenance. For mature systems that are already developed but need a major overhaul to modernize
the technology, a cycle of Lean Startup will help jump start the discovery and identification of necessary
"disruptions" for evaluation. Use the Key Questions below to explore whether Lean Startup could be helpful to
meet your improvement needs.
2 Validated Learning is a term coined by Lean Startup practitioners that references a rigorous method for demonstrating progress when one is embedded
in a process with extreme uncertainty (http://theleanstartup.com/principles). It also refers to a process in which one learns by trying out an initial idea and
then measuring it to validate the effect (http://www.startuplessonslearned.com/2009/04/validated-learning-about-customers.html).
Chapter 2: Lean Startup Page 11
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Key Questions to Identify When You Might Use Lean Startup
• Is there uncertainty about the existing program or process design ?
In situations where there is uncertainty that our underlying assumptions are correct, the use of MVPs
provide opportunities to validate learning on specific components (e.g., parts of an IT solution) and
inform next steps.
• How mature is my program ? Are we starting from scratch or creating such a disruptive change that it
may feel like we are starting from scratch?
While traditional Lean methods can be used to clarify and streamline a process, in situations where the
changes needed are enough to be considered "disruptive," the use of Lean Startup, especially MVPs, will
allow you to break down the required changes into more easily manageable steps while validating your
assumptions at each stage.
MVPs will also allow you to validate the associated impacts of changes during each iteration and provide
an avenue for quickly adjusting expectations if you find they are incorrect.
• Where am I in my product or service development cycle ?
Lean Startup works best when applied early in a designing or redesigning a product or process. It is
tailored to uncertain/dynamic environments with tools and approaches that help solidify key process
aspects of a product development using small tests. The cycles can happen before you turn to other
Lean process improvement tools to optimize the overall process design and workflow end-to-end.
What Is a "Minimum Viable Product"?
Is Minimum Viable Product (MVP) just a new word for pilot? Sometimes it is, but often the terms mean different
things. At best, pilots are the launch pad that transitions project managers from talk to action. The pilot blazes
the way for a program to scale up, even if there is a lag. However, sometimes pilots are "where good ideas go to
die," or at least to hold until other conditions are finally right. Pilots generally test multiple, integrated
components of a process or system at one time.
MVPs, on the other hand, are typically smaller than pilots at the start, test only one or a few components, and
are iterated on a faster schedule to the extent possible. When implementing Lean Startup, your project team
will typically be testing multiple MVPs in concurrent, overlapping periods as part of a strategy to determine what
product to develop through build-measure-learn cycles.
Chapter 2: Lean Startup Page 12
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Why Is Lean Startup Useful for Projects with Highly
Uncertain Outcomes?
At its core, Lean Startup is about managing risk. It is based on the finding that the highest risk for many projects
is not failure to deliver or develop the right product on time, and on budget, but delivering the WRONG product
or process without time or resources to recover to the right track. This is the worst possible outcome, and it can
be avoided.
When uncertainty and complexity are high, this type of failure is a major risk, and many of our traditional
product/project management tools amplify this risk. For example, large federal IT projects require a huge
investment in up front detailed "requirements" definition and documentation as well as detailed milestones and
development approaches. These documents may all have to be developed and committed to despite
fundamental known or unknown uncertainties about key causal relationships and stakeholder behaviors.
Lean Startup seeks to invert the
process/product development process by
seeking out and making explicit key
hypotheses and uncertainties and then
apply some of the scientific method,
within practical limits, to test these
hypotheses, reduce these uncertainties
and thereby reduce project risk. After your
project team has reduced the risk in project approach and provided early value to customers with Lean Startup,
you can then shift to other implementation methods, such as Lean process-improvement or Agile software
development, which we discuss in later chapters of this Toolkit.
"Progress in manufacturing is measured by the production of high
quality goods. The unit of progress for Lean Startups is validated
learning - a rigorous method for demonstrating progress when
one is embedded in the soil of extreme uncertainty."
- Eric Ries, author of Lean Startup
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Chapter 3: How to Plan for Process Streamlining and
Process Modernization Projects
In the last chapter, we discussed how Lean concepts apply
to designing (or entirely rethinking) products and services.
With this and the next two chapters, we look at how to
use Lean and IT to increase the efficiency and enhance the
effectiveness of existing processes. We provide "how to"
guidance on how to effectively integrate IT in the
different phases of typical Lean projects: planning
(chapter 4), process-improvement events or activities
(chapter 5), and follow-up (chapter 6).
The five steps in this chapter (see box) may be
implemented concurrently to plan for effective process-
improvement projects. For additional guidance on how to
successfully implement Lean projects, see EPA's Lean in
Government Starter Kit.
IN THIS CHAPTER
1. Understand the Problem
2. Develop a Manageable Scope for Process-
Improvement Efforts
3. Assemble a Project Team with the Right Mix
of Leadership, Facilitation, and IT Support
4. Sequence Improvements to Streamline
Processes Before Automating Them
5. Identify Other IT Impacts That Could Affect
the Project
1. Understand the Problem
Before changing a process, it is important to have a clear sense of why you want to make changes. For example,
your agency may want to issue permits or complete inspection reports more quickly, eliminate backlogs, reduce
errors, or address other concerns that managers, staff, customers, or stakeholders may have. Clarifying the
problem(s) you would like to solve will help ensure that you choose and implement the most appropriate
solutions. Understanding the problem can have several components:
• Identify Key Issues: It is useful to have a high-level understanding of key issues to address. Common
improvements from Lean projects include reducing process time (allowing staff to do more or focus on
other activities); improving the quality, consistency, and completeness of products; simplifying
processes; and improving staff morale and communications.
• Define the Process: Most problems are related to processes, not people. To focus your efforts, be clear
on what process you are trying to improve. A program generally has many individual work processes.
What is the product or service that your agency delivers in the process? Who is the customer of the
product/service? (Note: Think about who is directly using the product.)
• Identify Measureable Goals: Projects should have specific, measurable goals and objectives. For
example, your team might seek to reduce permit application review time by 50%. Your team can also
use these goals and objectives as a reference point to monitor progress as the project unfolds. For more
guidance on metrics, see EPA's Lean Government Metrics Guide.
Chapter 3: How to Plan for Process Streamlining and Process Modernization Projects Page 15
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The amount of time you need to spend understanding the problem before addressing it will vary considerably
depending on the problem. If you spot a problem that has an easy solution, it is fine to go ahead and fix it (e.g.,
archiving older document files, if there has been a proliferation of drafts). By contrast, if you have a more
involved problem, you may want to engage a team in the problem-solving effort.
// You Have a Solution in Mind, Do You Need to Go Through a Problem-Solving Process?
It can be very tempting to short-change the problem-solving process, but do not do it! If you jump to a
solution, you may risk missing easy fixes, not working on the right issues, or reinforcing wasteful aspects
of the process you could have eliminated.
It is great that you are thinking ahead and have a solution in mind. However, it is likely that other people
have ideas for how to fix the problem, too.
To be most effective, focus on understanding the problem and figuring out how to address it, and then
bring your ideas to the table when you and others discuss how to improve it.
Shortchanging the Problem-Solving
Process Can Hinder Your Results
What is the
problem?
How shall we
address it?
What process
changes are
needed?
2. Develop a Manageable Scope for Lean and IT Process-
Improvement Efforts
Once you have that problem in mind, you will need to
determine the scope of your project. Setting the scope of the
project refers to determining what segment of a work
process—involving specific activities and steps—that you will
focus on. Common problems with scoping Lean
events/projects include the following:
• Unclear scope - where the project team wastes time
with disagreements over the goals and scope of the
project
• Too large scope - where teams have difficulty
making progress during a Lean event or project
because there is too much to accomplish (This is a
common problem for agencies new to Lean.)
Lean Government
Event Scoping Guide
Chapter 3: How to Plan for Process Streamlining and Process Modernization Projects Page 16
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Too narrow scope-where teams spend time and resources improving small areas of a process without
understanding bigger picture impacts; changes could disrupt other parts of the process not included in
the scope
Resource: Lean
Leadership Guide
EPA's Lean Leadership Guide outlines eight steps
leaders can take to support Lean projects.
Leading Process Excellence
A Champion's Rote in Process Improvement Initiatives
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If you are implementing your project as one or more Lean
events, the Lean event team leader and facilitator should
work together with the project team to clarify the project
scope and determine how much is appropriate to tackle in a
Lean event (or multiple events). Your team will also want to
scope any follow-on IT projects to match the size and scale of
the needs identified in the Lean event(s).
One of the most effective ways to clarify and get buy-in on
the goals and scope of your project is by developing a
charter. The purpose of a charter is to help a team to plan,
communicate, and build consensus for a Lean project.
Information in a typical charter includes:
• Project participants, including project sponsor,
facilitator, team leader, team members, and on-call
support
• Event/meeting schedule and logistical information,
including dates, times, meeting room(s),
management briefing times, and final presentation
time
• Descriptions of the project, its scope, and any
boundary conditions (what is out of bounds)
• Goals and objectives, including any quantitative
improvement targets to performance metrics
• Work to be accomplished before the Lean event
(e.g., background research)
• Schedule for follow-up activities, such as
management follow-up meetings
• Signatures of approval from leadership and the
facilitator
By working together to develop a charter, you can help
ensure that project team members have a clear, common
understanding of the problem, the goals of the project, and
how you plan to approach it. You will adapt your approach over time with implementation, but developing a
well-defined charter at the outset will make it easier to succeed.
Resource: Lean Charter
See Appendix C for an example Lean Project Charter
developed to support EPA Lean projects.
Lean Team Charter
Chapter 3: How to Plan for Process Streamlining and Process Modernization Projects Page 17
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3. Assemble a Project Team with the Right Mix of Leadership,
Facilitation, and IT Support
As part of developing a project charter and planning a project, you will want to assemble a project team. There
are three important considerations, as follows.
• Leadership: Nothing is more important to the success of a process-improvement project than leadership
support and engagement. Leaders (project sponsors or champions) have important roles to play
throughout all stages of projects. These roles include helping scope the project and develop the charter,
motivating the team and participating in the project kick-off, attending management briefings during
the event (or the full event), participating in the event report-out presentation, keeping the team
accountable for process improvements, and addressing barriers to implementation success. Projects
perceived as difficult or controversial may only be possible with early leadership engagement and buy-in
(see Case Studies in Appendix C for examples).
• Facilitation: Trained Lean facilitators support Lean
events, making sure teams design and execute events
effectively. Facilitators play key roles in helping the team
scope projects and develop a charter (see previous step),
training participants on Lean techniques during events
(as needed), managing the discussions so that the team
makes sufficient progress, and pushing the team to
make process changes and develop a clear
implementation plan. Agencies may use outside
consultants as Lean facilitators or train internal staff on
Lean facilitation techniques.
• Team Membership: Lean project teams are typically 8-
12 people and should primarily be composed of people
who directly work on the process—these people have
the best knowledge of how it really works and where
improvements could be useful. You should also involve
one or two customers or stakeholders to add outside
perspectives (e.g., regulated entities or partner
agencies) and to ensure your solutions will work for all
those involved in the process. You may want to include
IT representatives that could help the project be
successful (see below).
Connecticut Underground Storage Tank
(LIST) Mobile Field Inspections Project
Teams
The Connecticut UST inspection program
used Lean and IT to streamline its field
inspection process and develop a tablet-
based mobile tool. When creating its
project team the agency found that:
• IT staff engagement early in the
process ensured the appropriate
technology was incorporated.
• Program staff was equally important
to the full development cycle as they
held practical knowledge of the
process and how the final IT solution
would work in the field.
• Pulling program staff away from their
day-to-day work can put a strain on
resources but is essential to ensuring
their input from real-world use is
reflected in the final product.
IT Staff Involvement in Lean Process-Improvement Projects
Most process-improvement projects at environmental agencies will have some connection to IT. IT staff can play
a critical role in Lean projects by providing a systems perspective on issues associated with information flows
Chapter 3: How to Plan for Process Streamlining and Process Modernization Projects Page 18
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and technology, as well as informing the project team of technical considerations and improvement
opportunities. The level of IT staff involvement will likely fall into one of three categories, as follows.
• IT Department Participation in Project: IT is integral to many agency processes, even if the process is
not owned by the IT Department. If your team has identified problems related to existing IT (e.g.,
duplicative databases) or envisions ways IT might enhance process performance (e.g., automating a
streamlined process), your team should include an IT representative.
• On-Call IT Department Support: If your team has started a process-improvement project but has not
identified IT-related problems or solutions to focus on, you may want to designate someone from the IT
Department to be available for assistance on-call during the event (as opposed to a full Lean event
participant). Your team may find that IT support would be useful to make immediate changes, discuss
potential changes, and/or develop an implementation plan for future changes.
• IT Department-Led Project: In some cases, the process you intend to improve occurs within the IT
Department, or with IT staff as the primary people doing the work. When this occurs, your project team
is comprised largely of IT staff, and other agency staff and/or other customers of the process are
included on the team to bring additional perspectives.
When forming your project team, consult with the IT Department to invite one or more representatives to join
the team and/or discuss who could be available to provide on-call support if the team identifies IT needs during
or following a Lean event. This early engagement between project leads and IT staff helps your team to develop
and implement better solutions as well as anticipate potential issues.
4. Sequence Improvements to Streamline Processes Before
Automating Them
Automating processes can be a great way to speed
transaction times, reduce errors, increase transparency,
and improve customer service - //you are automating a
well-designed, streamlined process. If you automate a
process without first improving it, however, you could lock-
in unnecessary steps and inefficiencies, add to process
complexity, and waste time and resources automating
things that may not be useful to users.
So, when planning your project, first use Lean thinking and
methods to remove waste and inefficiency in the process.
Then, your team can plan how to approach the automation
in the context of other improvements. If you envision
automating part or all of your process, keep in mind the
following considerations:
Sequencing Matters
EPA Region 1 is in the process of developing a
SharePoint workflow to improve its lab
purchasing request process. At the start of the
project, the project team had a tool in mind,
but realized very quickly that automating the
existing paper process would not add any
efficiency. Instead, the team developed a
detailed process map to highlight places where
steps needed to be changed or eliminated, and
now is using the updated process to develop an
automated system. This is a perfect example of
the importance of sequencing your project to
streamline a process prior to automating it.
Chapter 3: How to Plan for Process Streamlining and Process Modernization Projects Page 19
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• Simplify, simplify, and simplify. The more changes that you make to cut out unnecessary steps, and
streamline decision-making paths before you automate processes, the more you will be able to save on
IT development resources and time, and the easier it will be to implement the process in the long run.
• Recognize that the time frames for Lean and IT changes differ. You may be able to make rapid changes
to the process initially using Lean concepts to eliminate waste, but may need an extended amount of
time to fully implement any IT changes.
• Do not wait until working on the automation to fix errors or raise problems. It will be much more
difficult and time consuming to change the process and any documents/forms associated with it after it
has been automated, so try to fix issues early whenever possible.
5. Identify Other IT Impacts That Could Affect the Project
IT solutions do not occur in a vacuum. When an IT solution is identified, such as the need for an electronic
permitting system, there is a high likelihood another part of your agency has thought about, implemented, or
may be planning a similar solution. These other IT efforts could affect your process-improvement efforts.
Learning about these IT changes is especially important in times of reduced resources and centralized IT.
When scoping your project and developing a project charter, talk to an IT representative about other IT activities
on the horizon, so you can factor those into planning the project. Examples of changes that could affect or
interact with process improvements in your project could include the following:
• Agency or program website or Intranet redesign
• New software, or upgrades to software or operating systems (e.g., increased availability of collaboration
software such as SharePoint, new chat program for employees, etc.)
• IT process improvements developed elsewhere that could be transferred or adapted to a new process
(e.g., an automated permit application form that could be adapted)
• Shared IT services being developed (e.g., a system for unified management of facility data, so different
programs do not have to re-enter basic facility-related data)
• New platforms that may need to be taken into account (e.g., the ongoing shift toward mobile devices
• Requirements to make many types of products or systems accessible to all users with varying abilities to
see, hear, and interact with web pages or other tools (e.g., making documents Section 508 compliant
which requires alternative, readable formats for users with disabilities); this can require additional
upfront planning3
! For more information on Section 508 compliance, please see: http://www.section508.gov/
Chapter 3: How to Plan for Process Streamlining and Process Modernization Projects Page 20
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Changes made at the level of the larger enterprise (e.g., a state government may make a change which
an agency must take into account) or changes to systems that EPA manages for the states (e.g., the Safe
Drinking Water Information System [SDWIS], the Integrated Compliance Information System for Air
[ICIS-Air], and the Central Data Exchange [CDX])
Regulations or polices that require reporting into a federal system (e.g., a proposed rulemaking for New
Source Pollution Standards to the Electronic Reporting Tool) may affect the development of federal and
state systems
Shared IT Services - Standard Work for IT Services
One of the current trends in IT design is the move towards shared services and service-oriented
architecture. While their implementation can be complex, these concepts are really a transfer of the
Lean concept of "standard work" to IT services.
Standard work refers to the best, least wasteful way to perform a given task or operation. Lean
practitioners document standard work—often in simple, visual ways—so that people can complete
tasks correctly and efficiently every time.
With shared services, an agency takes its best solutions to a common business problem, such as
archiving inbound transactions, and re-uses it as a service over and over.
This provides not only an economy of scale, but also a powerful way to transfer best practices and
optimized processes across an agency. Moreover, these processes can be continuously improved.
Examples of shared services in use in many agencies, including EPA, include:
o Substance Registry Services (SRS), a consolidated system to track and reference regulated
chemicals and other substance
o The Facility Registry Service (FRS), a national system for the management of facility
identification data
o Cross-Media Electronic Reporting Rule (CROMERR) identity proofing and signature services,
which are EPA-provided tools to assist states in complying with CROMERR regulations
Your project team should consider whether your process might be a good candidate for shared IT
services and/or could benefit from shared services provided through the multi-agency E-Enterprise
Initiative. Consult with IT staff to assess the role of shared services at your agency.
These are not the only IT opportunities your project team will want to consider during Lean projects; however,
these changes occurring outside your process can create important windows of opportunity for change or
suggest different sequencing of improvements in your process.
The steps outlined above are not all that are needed to plan and prepare for effective Lean and IT projects. Your
team will also need to coordinate logistics for any Lean events or team meetings, conduct background research,
choose a facilitator, and prepare your team to be successful. For more information on how to plan Lean projects
effectively, see EPA's Lean in Government Starter Kit.
Chapter 3: How to Plan for Process Streamlining and Process Modernization Projects Page 21
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Resource: E-Enterprise Shared Services
States and EPA are accelerating their use of shared services with E-Enterprise. EPA will be collaboratively
designing and hosting shared services to support many information-centric aspects of environmental
management processes.
• These services may take the form of applications that states could use to conduct state business and/or
may be software services (such as a facility data tool) that could be integrated into state systems.
• The E-Enterprise Initiative plans to develop a shared services catalog and guidance for EPA and state
environmental agencies to use.
Chapter 4: How to Improve Processes with Lean and IT Page 22
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Chapter 4: How to Improve Processes with Lean and IT
After planning for Lean and IT process-
improvement projects, you will bring your team
together for a Lean event or other project
meetings to analyze a process in depth,
brainstorm ways to address problems in the
process, design a new, streamlined process, and
begin to implement that new process. In this
collaborative working environment, teams can
consider how to combine Lean thinking and IT
strategies to optimize the process and deliver
better results.
This chapter outlines several steps for doing this
effectively (see box) in Lean events or projects.
Your team may need to be flexible with process
improvements, adapting these steps as needed to achieve your goals and adjust for unexpected issues.
IN THIS CHAPTER
1. Develop a Robust, Data-Driven Understanding of
the Current Process
2. Take a "Creativity Before Capital" Approach to
Process Improvement
3. Consider Ways IT Solutions Can Enhance Lean
Outcomes
4. Engage Stakeholders and Customers Early and
Often
5. Develop a Clear Implementation Plan for Future
Lean and IT Improvements
1. Develop a Robust, Data-Driven Understanding of the Current
Process
A critical aspect of Lean projects, including kaizen events
and value stream mapping events (see Appendix A for
definitions of different Lean methods), is when project
teams develop an in-depth, shared understanding of how
the current process actually works, including key areas of
problems and delays. Project teams document this
understanding as a map of the current state and add data
about the time involved at different steps, including waiting
time and processing time. Teams also generally bring in
data about how the process is working, such as historical
lead times, customer feedback, and/or performance data
from similar agencies (as benchmarking).
It is usual for people to start Lean projects with different
understandings or incomplete knowledge of how the
process works. By mapping the process, team members develop a common, in-depth understanding of the
process and identify opportunities to improve the process. In addition, by including customers or stakeholders in
Lean events, participants can gain a multi-faceted view of what is working and what is not.
"The IT organization...sits outside the functional
silos, possessing a bird's-eye perspective that
enables it to see information flow from end to
end. IT staff are therefore in a unique position
to understand the interdependencies,
complexities, redundancies, and inefficiencies
of information flow and information systems-
understanding the weaknesses of the current
state is the first step to improving a process."
- Steven C. Bell and Michael A. Orzen, Lean IT:
Enabling and Sustaining Your Lean
Transformation, 2011
Chapter 4: How to Improve Processes with Lean and IT Page 23
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Figure 3: EPA Office of Air and Radiation Lean Project Team Analyzing a Current State Process Map
As mentioned in the previous chapter, if your project team is considering automating the process or working on
other areas that will involve IT support, then IT staff should participate in the Lean event. IT staff should
participate in the "current state" process-mapping activities of the Lean event, not just the brainstorming about
process changes and the development of a "future state" map. IT staff can use the current state process
mapping as an opportunity to better understand the needs of the customer in developing a technology solution
and the root causes of problems that occur in the current process. Whether or not the problems are IT related,
there may be a technology solution that could help address them.
2. Take a "Creativity Before Capital" Approach to Process
Improvement
After mapping your current process and getting a good understanding of where changes are needed, your team
will then work on mapping the "future state" of the process. This typically involves (1) brainstorming ways to
address root causes to problems, (2) prioritizing potential ways to address those problems, (3) mapping a more
streamlined process, (4) making initial process changes, and (5) developing an implementation plan for actions
to realize that future state (see step 5 below). A good mantra for identifying process changes is "creativity
before capital" or "mind before money." The idea is to maximize the gains you can get from easy, cheap
solutions before investing significant resources.
Chapter 4: How to Improve Processes with Lean and IT Page 24
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Employees and others who interact with the process are
great sources of improvement ideas, including changes
to the process and the technology that underpins it. It is
important not to be blindsided by particular technology
solutions and miss opportunities to make progress with
simple changes, however. Simple solutions—such as
eliminating process steps or review loops, creating
checklists and templates, and developing "paths" for
common situations (e.g., a streamlined review for simple
permit changes vs. more in-depth review for more
complex permitting)—can make a big difference.
Project teams often prioritize solutions with impact-
difficulty matrices, plotting ideas based on their
potential for positive impacts and their level of difficulty
to implement. This exercise can be a useful tool for
identifying what ideas to implement first. Ideas that are
high impact-low difficulty should be implemented first; and low impact-high difficulty ideas should be dropped
from further consideration.
Figure 4: Impact-Difficulty Matrix
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Underground Storage Tanks Grant Award Process Lean Event
If you're conducting a Lean event, your team may be able to implement many Lean and IT process changes
during the event itself (e.g., drafting checklists, templates, or tools for the new process; making database
changes; identifying requirements for IT solutions to be developed). Starting these efforts during your Lean
event or project meetings will give your team a head start on implementation efforts.
Chapter 4: How to Improve Processes with Lean and IT Page 25
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3. Consider Ways IT Solutions Can Enhance Lean Outcomes
While it is important to make simple, easy process changes
first, that does not mean that more involved, technology-
based solutions should not be considered as well. If targeted
to address key problems in the process and tailored to address
customer needs, technology improvements can provide
transformative changes to agency processes. For example, if a
process is paper-based, efficiencies can be gained by making
some or all of the process electronic. Consider whether any of
the IT strategies in the box below would be relevant to
enhancing the performance of your team's process.
Increasingly, IT does not simply serve a supporting function for
a process, but can be integral to the overall value proposition
of the process. As agency processes become more and more
automated and online, process improvements are often
powerfully embodied in changes to the software used to
support them. The transition to e-everything (reporting,
permitting, monitoring, etc.) means that agencies are
transforming many of these processes on several levels at
once. Thus, an inter-active e-permitting system is not just a
web-version of the paper form.
Lean IT and Mistake-Proofing
A Lean concept that can benefit from IT
help is "poke-yoke," or "mistake-proofing."
For example, a modern computer has no
physical way to plug a cable in to a wrong
place. One way electronic forms can use
this concept is through pull-down lists at
data-entry spaces or making some fields
mandatory. More sophisticated software
offers the chance to build in automated
quality controls, such as rejecting finish
dates that are before a start date. These
mistake-proofing features help avoid
looping back to get information corrected,
which wastes time. IT staff can help tell you
what is possible, easy, and/or will take
more resources to develop.
Examples of IT Enhancements to Processes
Mobile or field data collection and reporting (e.g., field inspectors enter data from inspections into
tablets rather than waiting to enter data until after a site visit)
Electronic, fillable forms, with automatic error checking to reduce errors or incomplete submissions
Shared, electronic tracking systems for monitoring the status of work in process (e.g., permit review
status) and/or the status of implementation items (This can include sharing both within your agency
and across agencies for collaborative efforts, such as the ability to easily share and crosscheck data
reported from states to EPA.)
Automated, on-line processes (for reporting, permitting, monitoring, and other functions) that
replace hardcopy-based processes
Easier ways to access information stored in files and/or databases
Online payment acceptance and processing (related to permitting and other customer services)
Chapter 4: How to Improve Processes with Lean and IT Page 26
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As with all potential process-improvement ideas for the process, evaluate the potential benefits of the changes
against the difficulty, time, and resources necessary to enact the process changes, using the impact-difficulty
matrix discussed in the step above or other means. If the potential IT changes look favorable in this analysis,
then build them into the implementation plan developed for the Lean event.
Compliance Rates
40%
78%
Pre-LEAN /Technology
Port-LEAN / Technology (2vrs out}
Connecticut Department of Energy and Environmental Protection
Source: Connecticut Department of Energy and Environmental Protection,
http://www.ct.gov/deep/lib/deep/air/siprac/2013/siprac_lean_update_5-9-13.pdf.
Figure 6: The Connecticut UST inspection streamlining process used both technology and Lean to not only
reduce overall time for UST inspections but to increase the compliance rates ofpermitees.
4. Engage Stakeholders and Customers Early and Often
To make your Lean and IT process-improvement efforts more successful, frequent engagement of those who are
involved in or affected by the process is vital. Engaging with customers and stakeholders can create greater buy-
in of any changes identified during your process-improvement efforts and can provide you with additional
insights based on their experiences. One of the most effective ways to involve customers and stakeholders is by
including them in your project team, as we discussed in the previous chapter. However, since project teams are
limited in size, you may also want to consider other ways to engage with customers and stakeholders during the
lifecycle of your project. If you are engaged in a Lean Startup process, then customer/stakeholder engagement is
included in the MVP cycle process to ensure you are validating assumptions frequently with users engaged in
your product.
Chapter 4: How to Improve Processes with Lean and IT Page 27
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Engagement can take several forms, including in-person meetings, phone calls, written requests for information,
or even social media. Identify which mechanism(s) you will use to connect with stakeholders and who will be
responsible for collecting, addressing, and responding to feedback. Engagement can be through one-time
interactions or with existing groups such as a stakeholder advisory board. Most likely you will want to engage
with customers and stakeholders at all phases of the project, including collecting perspectives on customer
concerns and needs when planning projects, getting feedback when considering potential changes, and
evaluating how the new process is working during implementation.
5. Develop a Clear Implementation Plan for Future Lean and IT
Improvements
In the final phase of a Lean event/project, your project team should develop an implementation plan that
outlines the actions that need to occur after the Lean event to achieve the desired future state. Your
implementation plan should clearly outline the following items:
• What actions your team wants to accomplish
• Who is responsible for completing each action and who is responsible for overall implementation of the
process changes
• When each action need to be completed
• How you will follow upon the status of those action items, in the form of formal follow-up meetings
with management
Many implementation plans include a Gantt chart (see box below and the Implementation Plan Template in
Appendix E) that allows managers and team members to track the status of implementation items over time.
These charts can show visually whether teams are on track with action items or whether certain items need
further attention and follow-up. Your agency or office may also have other systems for project management
that could incorporate action tracking from Lean events or projects.
Chapter 4: How to Improve Processes with Lean and IT Page 28
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Resource: Implementation Plan Template
The following is an implementation plan template that was developed to support EPA Lean projects.
See Appendix E for the full implementation plan template and example plan.
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It is essential to involve IT staff in the development of your implementation plan if it includes any technology-
related improvements. Make sure that your team (including any IT staff on the team) has a clear, common
understanding of the needs and expectations for IT improvements, who will implement them, how those IT
changes will be coordinated with other process changes in the implementation plan, and the timeline for the IT
changes. Since some IT changes may take longer to implement than other process changes, it is helpful to build
in explicit points to check in on implementation status and make adjustments to plans as needed. The use of
Lean Startup once you identify technology-related improvements can help streamline development and ensure
constant communication between process users and IT staff, especially throughout the MVP identification and
development process (see Chapter 2 for more information).
For software-development needs arising from the Lean project, your team and/or other IT staff supporting your
project may decide that it would be helpful to use Agile methods to incorporate Lean thinking into the software-
development process. As described in Chapter 6, Agile is a rapid, iterative approach to software development
that maintains a tighter connection to the customer throughout the development process. In this context, the
"customer" may be the people on the project team who are or will be using the software.
An implementation plan is only the beginning—most of the real work comes next. The next chapter discusses
how your project team can manage the Lean and IT implementation process successfully.
Chapter 4: How to Improve Processes with Lean and IT Page 29
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Chapter 4: How to Improve Processes with Lean and IT Page 30
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Chapter 5: How to Effectively Follow Up from Lean and IT
Process-Improvement Projects
Implementation, where the rubber meets the road on
process-improvement projects, is often when projects
have the most difficulties. While effective planning and
well-executed Lean events can mitigate challenges (for
example, by appropriately scoping projects and clearly
defining responsibilities and timelines for follow-up
actions), project teams can also take several steps to help
ensure success with Lean and IT projects in the
implementation phase, as outlined in this chapter.
IN THIS CHAPTER
1. Track Action Items and Make Project Teams
Accountable for Making Progress
2. Closely Coordinate IT Development Efforts
with Implementation of the New Process
3. Evaluate Process Performance and the
Need to Make Additional Changes
1 . Track Action Items and Make
Project Teams Accountable for Making Progress
As described in the last chapter, through a Lean event or other meetings your project team will develop an
implementation plan that can serve as a roadmap for improvements to your process. Once you have a plan, your
team will need to put these changes into place to realize the full benefits of the Lean project. It can be hard to
hit the ground running on process changes, since regular responsibilities often get in the way. Your team will
also need to be flexible with implementation to respond and adjust to real-world changes affecting the process,
and maintain regular communications to monitor progress. There are several actions your team can take to keep
your project on track during implementation, as follows.
Assign an implementation manager
(could be the Lean project team leader)
to track and manage action items.
Hold short, weekly meetings ("stand-up"
meetings work well) to provide status
updates and identify issues early on.
Keep leadership updated with the team's
progress, and provide formal briefings on
implementation status, project results,
issues, and future plans at key times, such
as 30 days, 60 days, 90 days, six months,
and 1 year after a Lean event or after
completing an implementation plan.
TO DO PlflN OEVEIOP TEST DEPLOK
CONE
User Story Defect T.^k
Figure 7: Example Kanban Board
Chapter 5: How to Effectively Follow Up from Lean and IT Process-Improvement Projects Page 31
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• Use the implementation plan or other implementation action tracking tool over time to highlight task
status, identify issues, and add actions where needed. A kanban board is one type of tool that provides
a way to visually track implementation status overtime (Figure 6).
These activities are particularly important for longer-term changes, such as many technology-related changes,
since there is a greater need to sustain momentum. Having IT staff on your project team will help during the
implementation phase, since then they are likely to have more buy-in for the improvements, as well as
management support for dedicating time to process improvement. If IT were only involved on an on-call basis
during your Lean project, you may have to build a business case for process improvements with IT managers
before being able to proceed with information systems and technology changes.
2. Closely Coordinate IT Development Efforts with
Implementation of the New Process
As implementation proceeds, it is very likely that the process your team improved with Lean is evolving even
while additional IT solutions are developed. The reason for this is that many simple process changes can be
made quickly, while changes to technology or systems may require more time to fully implement. As your
process changes, it is important to not build IT in vacuum. Rather, closely coordinate your work on IT changes
with your work on other process changes. This could include weekly stand-up meetings and monthly
Finding Time for Process Improvement: Deselection and "Stop Doing" Lists
Lean and IT projects have the potential to be transformative—dramatically reducing the time needed for
agency activities, improving the quality of agency services and products, and providing better
information to decision-makers to improve environmental management.
However, process improvement also takes work to achieve those results and free up staff time.
o When teams return to their regular jobs after Lean events, it can be difficult to find time to
continue to make changes to improve the process.
o There also are many competing demands for how IT staff spend their time, and process support
is just one activity.
The Lean concept of "deselection" can be a useful tool for managers and staff on project teams to
consider as they proceed with implementation.
What deselection entails is finding time for new, high-priority tasks (such as Lean and IT process
improvements) by identifying other, low-priority tasks to take off one's plate.
o Consider what activities you do that could be considered non-value added from a Lean
perspective (e.g., over-processing of documents, unnecessary meeting attendance) and/or that
could be removed from your to-do list without significant impacts.
o Develop a draft "stop doing list" of things that you think you could take off your to-do list, then
consult with your manager and/or others as needed to confirm whether you can make the
changes to make time for higher-priority work.
Chapter 5: How to Effectively Follow Up from Lean and IT Process-Improvement Projects Page 32
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management briefings as discussed above, use of implementation plans and/or other visual tracking tools,
and/or other communications. If your IT team is using the Agile methodology (described in Chapter 6), you may
also have an Agile development team that engages a member of the process (the customer) in frequent
feedback loops about iterations of the software.
With this coordination, you may realize you need to recalibrate your efforts and adjust implementation plans.
For example, when working on process changes, your team may realize that the time and resources needed to
develop a certain solution far exceeded your initial estimates (e.g., when your team evaluated the impact and
difficulty of potential solutions), and this may make the solution less attractive to pursue. Alternatively, there
could be agency-wide IT changes or developments that it would make sense to leverage. Your team may also
discover new issues or needs to be addressed in the process that you had not anticipated. Implementation plans
should be considered living, working documents - adjust them as needed based on the realities of on-the-
ground deployment, but also use them to help keep your team on track.
3. Evaluate Process Performance and the Need to Make
Additional Changes
Along with tracking action items, your project team should monitor and track the actual performance of the
process. Use metrics identified in your charter and any others you identified as important in the Lean event. This
will provide the best sense of how your project team's efforts are making a difference for improving the
efficiency, quality, and results of your process.
Common metrics used in Lean projects include the following:
• Process Steps: the number of discrete steps in a process, which often can be distinguished by handoffs
of a document or transfer of information between parties; this is a measure of the complexity of the
process
• Lead Time: the total time to complete the process, from the customer's perspective, including wait time
(e.g., time between permit application submittal and receipt of permit); this time metric is particularly
relevant for meeting customer needs and any relevant regulatory timelines
• Processing Time: the time in the process spent working on the product, also known as "touch time" (this
excludes any time that something is waiting to be reviewed/worked on); this time metric is important as
it relates to how much time staff spend working on the process (freeing staff time could allow staff to
eliminate work backlogs and/or take on more value-added work)
• Percent Complete and Accurate: the percentage of time a work product moves through the process
without needing any corrections or additional information from the previous steps (i.e., the work
product was 100% complete and accurate the first time moving through each process step); this is a
measure of the quality of the process
Chapter 5: How to Effectively Follow Up from Lean and IT Process-Improvement Projects Page 33
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i Days pre-LEAN • Days post-LEAN
1000
LIS Structure,
Dredging and
Fill
NPDES
Municipal Dam Safety- Dam Safety- Inland Water 3(1)-
NPDES individual general processing
3(0-
treatment
Marine
Terminal
Aquatic
Pesticides
Solid Waste New Source
Review
Figure 8: Connecticut Department of Energy & Environmental Protection, Average Processing Time for Select
Permits, Before and After Lean Projects, 2013
Plan to report on key performance metrics at the report-out
presentation of the Lean event, as well as at the management
follow-up meetings at 30 days, 60 days, 90 days, six months, and 1
year after the Lean event. It may be useful to track additional
metrics related to process performance, such as the time to conduct
certain key segments of the process. The key is to focus only on a
few measures that you know will provide useful information for
decision-makers.
For projects with an IT component, kanban boards provide an easy,
quick, and visual tool to track implementation for the project. This
type of visual tool should be placed in a location (physical or online)
where all team members can easily see it and recognize when steps
may be stuck and prevent progress. The information gathered in a
kanban board can also feed into overall project tracking metrics.
If you can integrate the data collection for these metrics into your
overall data collection and reporting for the process, you are more
likely to be effective than if you ask employees to adopt an entirely
new system for process data tracking. The IT staff on your project
team may be able to help with systems for tracking process
performance data overtime.
As you track the performance of your process and your implementation efforts over time, take note of what is
working and what problem areas remain. Your team may find that you need to adjust your implementation
plans to address unforeseen issues or new challenges, or you may identify further ways to reduce waste and
inefficiency in the process. Processes that have gone through Lean and IT changes will very likely go through
them again at some time. No solution needs to remain forever, and improvements can always be made to make
processes more efficient and provide more value to customers.
Lean Government
Metrics Guide
Chapter 5: How to Effectively Follow Up from Lean and IT Process-Improvement Projects Page 34
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Chapter 6: Agile Methodology
In Chapters 3-5, we described steps to guide you through
process-improvement projects that include an aspect of IT - both
projects when IT could help streamline your process and projects
that are inherently related to IT. In situations where an IT
solution becomes necessary, the approach you take to
development will affect the speed at which you can deliver your
final product. This chapter discusses a Lean way to build those IT
solutions known as Agile.
IN THIS CHAPTER
1. What Is Agile?
2. The Agile Development Process
3. How Is Agile Helpful for IT
Development?
What Is Agile?
Agile is an alternative way to approach IT project management
that creates a time-limited, iterative, and service-oriented
framework for software development. It was developed in the
1970s as a critique of sequential development.4 It hinges on the
idea that customer needs may not always be clear and that short
"sprints" of development for specific parts of a tool are more
efficient and effective than traditional IT project management.
Typically, IT projects are managed by conducting a large
requirements-gathering process that may take weeks or months
and then sequestering IT staff to develop a full product (often
referred to as "waterfall"). Waterfall management, as shown in
Figure 8, has often resulted in large IT projects that are
completed long after the initial requirements were gathered,
may no longer be relevant, and may even use technology that
quickly becomes obsolete. Sometimes, customers get a better
understanding of their needs when they see a particular piece of
the puzzle, clarifying the requirements later in the process.
Agile, shown in Figure 9, attempts to solve these problems by
delivering pieces of technology while frequently checking in with
customers to ensure that their needs are built into each step.
In 2001 a group of developers came together to identify what is
now called the "Agile Manifesto." It highlights the following principles as key to Agile:5
Resource: US Digital
Services Playbook
The Digital Services Playbook outlines 13 key
"plays" drawn from successful practices from
the private sector and government that, if
followed together, will help government build
effective digital services. It incorporates Lean
concepts, including Agile, as part of guidance on
how to build effective IT solutions.
U.S. Digital Services Playbook
4 Dr. Winston W. Royce. Managing the Development of Large Software Systems. Available online at:
http://www.cs.umd.edu/class/spring2003/cmsc838p/Process/waterfall.pdf
5 Adapted from the Agile Manifesto: http://www.agilemanifesto.org/principles.html
Chapter 6: Agile Methodology Page 35
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"Agile without knowledge of value is just
IT staff iterating for no reason"
- Greg Godbout, EPA CTO
The customer needs are satisfied through early and
continuous delivery of valuable software.
Changing requirements are anticipated and welcome.
Short and frequent delivery timescales for software
development are encouraged.
It is important to stay connected to the business side of the project. Staff from business and IT must
work together daily.
Agile processes promote sustainable development. The sponsors, developers, and users should be able
to maintain a constant pace indefinitely.
Simplicity—the art of maximizing the amount of work not done—is essential.
The best architectures, requirements, and designs emerge from self-organizing teams.
At regular intervals, the team reflects on how to become more effective, then tunes and adjusts its
behavior accordingly.
The Agile Development Process
Requirements
Analysis
Design
The Waterfall Method
Steps occur in a linear fashion, one
following the next
Development
User Testing
Operations
and
Maintenance
Figure 9: The Waterfall Method
Chapter 6: Agile Methodology Page 36
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Source: Adapted from an image by Think Interactive, Inc.
Figure 10: Agile Development Process
How Is Agile Helpful for IT Development?
Most IT products are developed using the waterfall method
where the requirements gathering, analysis, design, coding, and
testing are treated as individual project steps. In an era of
diminishing resources this often means that projects run out of
money just when they need it the most - during product testing.
It also highlights the risk involved with product development, as
you do not see the final product until the end of the process,
when it is too difficult to switch gears.
The iterative nature of Agile allows you to anticipate that the
project may not always go as planned, focus resources where you
need them, and learn from any changes or mistakes made during
previous iterations. The focus on "user stories" helps model your
product and moves the focus from a list of general
"requirements" to a picture of how users need to interact with
what you are developing and how that matters for the final
product. Asking users why they are interested in particular
requirements can elicit better responses as humans love to tell stories. The context also allows you to better
identify common or related requirements across user groups.
As mentioned earlier, environmental agencies can combine Agile development with Lean Startup and Lean
process-improvement tools depending on their specific needs.
Early User Feedback in Developing the
Wisconsin E-Permitting System
During the development of the
Wisconsin e-Permitting system (see case
study in Appendix C) the agency was
worried that collecting early user
feedback would cause them to be
scrutinized. It turns out that engaging the
user base early and often allowed the
tool to meet critical needs they were not
aware of and built a "hook" into the new
tool for users. Early adopters were much
more likely to tell others about the tool
and how easy it was to use. This cannot
be replicated for every user group but is
important for key stakeholders.
Chapter 6: Agile Methodology Page 37
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e-Manifest Development Using Lean Startup and Agile
e-Manifest, the electronic hazardous waste tracking system, is using Lean Startup in conjunction with Agile
development to ensure the efficient development of an electronic manifest system. This process is moving
EPA's Office of Enforcement and Compliance Assistance from a traditional waterfall approach to a more
modular, iterative development approach. Key steps in EPA's approach include:
• Starting with an initial demonstration of functionality that will evolve into a minimum viable product
(MVP)
• Building initial modules, addressing uncertainties, and engaging early with users and stakeholders
• Bringing down the cost of current and future development by addressing uncertainty upfront and
ensuring that the work being completed brings actual value to stakeholders and users
• Using open source code that are available at a GitHub repository
e-Manifest also utilizes modular contracting strategies that allow for maximum interoperability, while
minimizing costs. These strategies are best aligned with iterative processes that allow for continuous
improvement and adaptation to the production environment.
• e-Manifest is engaging with multiple teams and services with specialized capabilities to evolve the
product from beginning to a mature product.
• Team and services will be brought on at different stages based on the needs of the product - with a
preference for reuse and minimizing waste.
Chapter 6: Agile Methodology Page 38
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Chapter 7: Strategies and Tips for Multi-Agency
Collaboration on Lean and IT Improvement Projects
IN THIS CHAPTER
1. Benefits of Agency Collaboration to
Improve Processes and Programs
2. Collaboration Strategies and Tips
Whether you are implementing Lean Startup to develop new
product or service concepts, improving an existing process, or
developing a new IT system, it is useful to consider whether it
would be helpful to involve other agencies in your project. This
chapter discusses when it is useful to include multiple agencies in
Lean and IT improvement projects, as well as outlines some
strategies and tips for effective collaboration.
Benefits of Agency Collaboration to Improve Processes and
Programs
Collaboration between agencies to improve processes and programs can lead to better outcomes by identifying
and addressing systemic implementation barriers, enabling full lifecycle improvement, improving
communications between agencies, and increasing the reach of process changes. Agency coordination on a
shared process or IT system (e.g., data exchange system) can eliminate or address potential barriers and
implementation challenges by working with the full complement of participants who may need to interact with
the process. This is relevant to all types of improvement projects, including Lean and IT process improvements,
and IT development projects.
Multi-agency collaboration can take many forms. For example, your project team may be considering
improvements to an environmental data reporting system that includes state and/or tribal data that must be
shared with EPA. Alternatively, your process improvement project may have EPA Headquarters interacting with
Questions to Identify When to Collaborate with Other Agencies on Process-Improvement Efforts
Consider coordinating with another agency on improvement projects if you answer "yes" to any of the
following questions:
1. Does the improvement project directly affect a process where both agencies are integral to the
operations (e.g., an EPA-state joint priority setting process)?
2. Is another agency a stakeholder in your process and/or would that agency be affected by changes to
your process?
3. Would your agency and/or another agency benefit from participating in the project in a coordinated
manner (e.g., as a learning opportunity)?
4. Would the perspective of another agency facing similar process problems or that has already made
improvements to a similar program or process be helpful?
Chapter 7: Strategies and Tips for Multi-Agency Collaboration on Lean and IT Improvement Projects Page 39
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a single state or tribe through their programs offices or an EPA Regional Office interacting with its states and/or
tribes. This may be in the realm of EPA review of a state program; a program where EPA and states are co-
regulators; EPA, states, and tribes coordinating on a data exchange process; or even an EPA, state, or tribal
process where there may be value in getting the perspective from the other entity.
Collaboration Strategies and Tips
The tips and lessons for Lean and IT projects described earlier in this Toolkit apply to multi-agency projects, but
collaboration across agencies also can create unique or larger scale challenges and opportunities. While previous
chapters describe how to plan for and implement Lean and IT solutions to solve problems in a process, below
are tips and considerations for when multiple agencies collaborate.
Tips for Project Planning
Learn from others. When scoping your project,
reach out to other agencies to learn what others
have done, benchmark performance, and
potentially invite others to participate as
observers or participants (e.g., to learn or share
ideas).
Engage with other agencies early in Lean and IT
improvement projects. Early engagement is key
to having the right parties involved in the
improvement effort at the right stages and to
planning for a process that is most effective and
addresses the needs of each agency involved.
Once you have a project idea, consider whether
it would be useful to invite other agencies to
participate. Involve participating agencies in all
phases of a project: scoping, events,
implementation, and follow-up.
Be strategic about selecting participants in
project teams to keep group size manageable
while ensuring adequate representation.
Choosing whom to involve is important in any situation; in joint agency collaboration, there is the
possibility for large groups of people to be involved in the effort, which can be less efficient and more
difficult to manage. Determining who is essential to each part of the project is key to managing the
process and effectively moving solutions forward. Balance your interest in inclusiveness with interests in
having productive working meetings. Kaizen process-improvement events, for example, should be
scoped to have a manageable number of participants in the room (typically, 8-12), but with enough
perspectives to provide valuable input. Stakeholder engagement and agency in-reach can be valuable
ways to gather additional perspectives before and after key milestones during the process-improvement
State-EPA Collaboration to Improve Regional
Priority Setting Process
New Hampshire Department of
Environmental Services and EPA Region 1
used Lean and IT to improve the Performance
Partnership Agreement (PPA) process, which
they use to set goals and areas of
cooperation.
They cut process steps by 35% and developed
a shorter, simpler process that makes efficient
use of senior executives' time in identifying
strategic priorities for joint efforts.
They also developed a SharePoint site to
eliminate errors in communication, increase
efficiency, and provide a single point of
coordination for state and federal partners.
These efforts reduced the time to complete
the PPA process by 25% from eight to six
months and enhanced coordination between
the agencies.
Chapter 7: Strategies and Tips for Multi-Agency Collaboration on Lean and IT Improvement Projects Page 40
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efforts. If relevant to your project, consider the balance of state and EPA participation as well as the
geographic diversity of participants.
E-Enterprise Air Emissions Project - A Multi-Agency Solution to a Systemic Data Constraint
The E-Enterprise Combined Air Emissions Scoping Project provided an initial review of resources necessary to
reduce industry burden for air emissions reporting across four point-source reporting programs. The goals
included improving timeliness and transparency of data, creating consistent information sharing between
programs, and improving data quality and accessibility - all to support timelier decision-making across
jurisdictions. The team conducted a Lean value stream mapping event that included experts from state and
local agencies, four EPA programs, and three members of the regulated community. Using this three-day
Lean event, the team was able to develop detailed value stream maps for each program (the "as-is"
architecture) and begin discussing a future "to-be" state to accomplish the project goals.
This is an early example of E-Enterprise defining a problem and providing early engagement of EPA, state,
local, and industry partners to solve a systemic problem across the enterprise. The problems identified by
this team have been discussed by states for many years but the only way to improve the overall data process
was to tackle larger issues at the national level first.
Air Emissions-"As Is"Value Stream
Maps
• Example of 2014 inventory year
January July
TRI
CEDRI
NEI - EPA
NEI - State
QA and Submit Data to EPA
QA, Release, and Revise Data
Prepare Stakeholder
Reporting Notification/
Changes Outreach
Tips for Process Improvement and Implementation
• Establish a point of contact for each agency involved. Different agencies have different lines of
authority, which could further make communications and follow-through more difficult or nuanced.
Having a point of contact for each agency involved in the effort can help create clear lines of
communication between agencies and create accountability within individual agencies.
• Establish multiple team leaders for joint events/projects. For projects affecting a joint process between
two or more agencies (e.g., a state-EPA process), having two team leaders from representative agencies
(e.g., one from EPA and one from a state/tribe) can provide extra accountability for implementation
tasks and results. For projects focused on one agency's process that include outside perspectives from
other agencies (e.g., a state project with EPA involved as a "customer"), this is less important.
Chapter 7: Strategies and Tips for Multi-Agency Collaboration on Lean and IT Improvement Projects Page 41
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• Use in-person meetings at key points in the process. Lean events and key meetings are best conducted
in person when possible. While internal agency process-improvement efforts sometimes encounter this,
it is very likely that people in multi-agency efforts will be in different locations.
• Use IT solutions to aid collaboration during process-improvement efforts. IT can facilitate
communications among agencies during all parts of process-improvement projects, from scoping to
implementation and follow up. For example, IT could provide a way of sharing documents and tracking
tasks online.
• Use MVPs to scale solutions and address different needs. When multiple agencies are involved, the
scale of process improvements can be even larger than within one agency. The use of MVPs in projects
can be a useful way to test potential solutions that affect agencies (or programs within them) with
different needs. Smaller scale implementation of process improvements and/or IT solutions allow for
making adjustments prior to full-scale implementation.
• Continue collaboration efforts during implementation and once you move into operation and
maintenance. Coordination during the implementation period for improvement projects is just as
important as coordination during the identification and planning for those changes (e.g., during Lean
events or project team meetings). Furthermore, once an IT system is in operation, the need to
collaborate between partners does not end. Continuing to work together on messaging, outreach, and
maintenance needs will ensure that systems are integrated and used across the enterprise.
Overall Coordination Tips
• Consider agency differences. Identify key differences in agency culture, structure, and decision-making,
and design your project to mitigate weaknesses and play to the strengths of each agency. When
identifying relevant agencies to work with during process improvements, be mindful of differences in
agency structures across jurisdictions. For example, many states have separate environmental and
health agencies, but others have a single agency, which may affect how programs are structured and
who their stakeholders are. Many state governments also have centralized IT resources, which may
require additional coordination. Tribes may also have different considerations based on what programs
they have been delegated and varying levels of IT support.
• Consider replicating your efforts. Consider how your Lean and IT improvement efforts may benefit
other agencies. Consider sharing the results and process changes with other agencies that your agency
works with or that you know work on similar processes. Identify a point of contact for your project that
would be willing to answer questions about the project after it is completed.
While multi-agency collaboration can require more attention and coordination than improvements within an
agency, there are greater potential benefits that can be gained. Coordination with other agencies can help
broaden the resources available and perspectives involved in an improvement project, ultimately providing the
opportunity for more successful solutions for multiple agencies. Using collaboration for relevant Lean and IT
improvements can increase the effectiveness of these activities and thereby improve environmental protection
and operational results.
Chapter 7: Strategies and Tips for Multi-Agency Collaboration on Lean and IT Improvement Projects Page 42
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Chapters: Conclusion
We hope this Toolkit will help your agency in its efforts to operate more efficiently and effectively to protect
human health and the environment. Combining Lean thinking with IT solutions allows agencies to maximize the
performance gains possible from using either improvement strategy in isolation. This Lean and IT Toolkit offers
guidance, tools, and tips for environmental agencies on that journey.
We envision this to be a living document that can be updated over time to help environmental agencies achieve
the next level of improved environmental performance, customer service, and efficiency. We invite you to share
your feedback on the toolkit and your experiences using Lean and IT to improve the efficiency and effectiveness
of agency programs and processes.
For more information or to share your experiences, please contact any of the following individuals:
Sue Battle-McDonald
Maryland Department of the Environment
www.mde.state.md.us
(410) 537-4111
sue.battle-mcdonald@maryland.gov
Scott Bowles
U.S. EPA, Office of Policy, Lean Government Initiative
www.epa.gov/lean
(202) 566-2208
bowles.scott@epa.gov
Beth Graves
Environmental Council of the States
www.ecos.org
(202) 266-4923
bgraves@ecos.org
Shana Harbour
U.S. EPA, Office of the Chief Financial Officer
E-Enterpriseforthe Environment
www2.epa.gov/e-enterprise
(202) 566-2959
harbour.shana@epa.gov
Chapters: Conclusion Page43
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Chapters: Conclusion Page44
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Appendix A: More Information on Lean
What Is Lean?
Lean is an improvement approach and set of methods that can dramatically enhance the speed, quality, and
transparency of processes by eliminating all forms of non-value added activity or "waste." Lean eliminates
unnecessary time and process wastes, such as backlogs, rework, and errors (see Table 1 for additional
examples). It is often said that Lean is "common sense uncommonly applied." Environmental agencies have used
Lean thinking to improve all kinds of agency processes, ranging from permitting and enforcement processes to
administrative processes such as communications, hiring, and grants.
Wastes
Defects
Over-production
Waiting
Non-utilized Resources
Transportation
nventory
Motion
xcess Processing
Examples
Errors in documents, unclear workflows for data QA/QC, redundancy in data
checking at various points in the process
Unneeded reports or copies, excess email or other communications, doing
unnecessary work
Work waiting to be reviewed, approved, and forwarded to the next step;
time spent researching or searching for something; data sits in physical files
waiting to be digitized
Under-utilizing staff skills and idea, purchasing technology that rarely or
never gets used
Conducting field visits rather than using remote technology to identify issues,
unnecessary routing of documents, unnecessary staff travel
Backlog of work, excess email messages, too much information stored on
local drives
Staff spending time looking for needed files, data, or supplies
Transactions capture more information than necessary, providing more
detailed documentation than needed
Table 1: Examples of Waste Types, as Tailored for Government Agencies
Lean is powerful because it does the following:
• Involves cross-functional teams in process-improvement efforts.
• Uses data about how processes actually work to guide decisions about improvements.
• Takes a "whole systems" approach to process improvement.
Appendix A: More Information on Lean Page 45
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• Emphasizes simple, high-impact solutions over expensive, time-consuming solutions that may be less
cost-effective.
• Enables agencies to deliver higher quality products and provide better service to customers by focusing
on what matters and eliminating unnecessary activities.
• Focuses action in concentrated "bursts" of activity, as well as supports a continual improvement culture
of eliminating waste.
• Empowers employees to identify and implement solutions that will make their work easier.
There are other names for "process improvement" (e.g., quality improvement). Lean is the current state of the
art for how many agencies are doing process improvement, but there are many specific approaches with which
to do process improvement. Especially when beginning a Lean initiative, organizations often hire outside
consultants to provide facilitation support for Lean events and projects. As organizations develop internal
capacity for implementing Lean, this need for outside assistance typically decreases.
Key Lean Methods
Lean is often implemented in short bursts of activity known as events, which typically range from one to five
days. These events typically place an emphasis on actions that can be completed and show results relatively
quickly. (Some agencies break up implementation of Lean events into multiple periods rather than focused
events, although this can be less effective at generating rapid results.) In addition to Lean events, Lean has other
methods for solving problems agencies face, including fixing disorganized or messy work areas or developing
new software products to meet a particular need. Lean also encourages people to identify waste and solve
problems as part of their daily activities, supporting "Just Do It" process-improvement activities. Examples of
Lean methods include the following:
• Value stream mapping events are periods of up to three days during which a team of participants maps
out an entire process in detail from beginning to end, identifying areas for future process-improvement
efforts. This method provides a high-level understanding of the process, from a big-picture, strategic
perspective, and identifies specific opportunities for improvement.
• Kaizen events—also called rapid process improvement events—focus on eliminating waste in a system
or process, improving productivity, and achieving sustained improvement. They are a 3-5 day facilitated,
team-driven improvement event (or 1-2 day "mini-Kaizen event") in which teams map the current
process, identify areas of waste, prioritize and begin to implement improvement opportunities, and map
a new, improved process. In some cases, "mini-Kaizen events" lasting one to three days may be used.
• 5S is a method for maintaining a clean and orderly workplace based on five steps: Sort, Set in order,
Shine, Standardize, and Sustain. It can be implemented by individuals or by teams.
• Agile Development is a structured methodology for software development that incorporates Lean
concepts. Agile uses quick "sprints" of development where staff are encouraged to develop and test out
increments of a software system as they go. In the traditional ("waterfall") system development
approach, all requirements are defined up-front and completely built into the system design and
implementation; this approach does not respond well to changes to or identification of new
Appendix A: More Information on Lean Page 46
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requirement or new technologies. Related methods include scrum, which focuses on a "plan-do-check-
act" cycle for IT project management.
• Visual project tracking boards. Visual tracking boards are sometimes called kanban boards (kanban
means "signal") when there are limits placed on how many projects can be in each stage of the
software-development cycle.
• A3 is a tool that follows the basic plan, do, check (or study), and act cycle to help individuals or teams
solve a problem. The name A3 name comes from the size of paper (11 x 17 inch) used to document the
problem-solving process. Steps in the A3 process include defining the problem, reviewing data,
documenting the current state and target state, identifying root causes and solutions, and tracking the
implementation plan. A3s also aid in communicating about the project.
• Six Sigma is 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. Six Sigma improvement efforts follow the DMAIC methodology, which includes these five
steps:
o Define the problem
o Measure key aspects of process data
o Analyze the data
o Improve or optimize the current process
o Control the future state process to correct any deviations
The above list is not comprehensive of all available Lean methods. Moreover, these methods can be combined
based on project needs (e.g., Lean project teams can use Six Sigma analysis in Lean events; project teams also
can use A3s to communicate the results of Lean or other process-improvement projects. In addition, agencies
can apply "Lean thinking" concepts to streamline processes (i.e., analyzing processes to identify and eliminate
wastes) outside of formal Lean events or projects. The EPA Lean Government Methods Guide has more
information on Lean methods, how to implement them, and how to select Lean methods appropriate to the
situation your agency faces.
Appendix A: More Information on Lean Page 47
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Appendix B: Lean Government, Lean IT, and E-
Enterprise Resources
This Appendix lists websites, publications, and books related to Lean government, Lean methods (including Lean
Startup, Lean process-improvement methods, and Agile development), Lean IT, and the E-Enterprise for the
Environment Initiative.
I. Lean Government Websites and Resources
a. EPA's Lean Government Website and Toolkits (focused on help environmental agencies to use Lean to
improve the efficiency and effectiveness of their processes): http://www.epa.gov/lean/government
• The Lean in Government Starter Kit
• The Lean Government Primer. "Working Smart for Environmental Protection"
• Lean Government Event Scoping Guide
• Lean Government Methods Guide
• Lean Government Metrics Guide
• Lean Leadership Guide
• Lean in Air Permitting Guide
• The Resource Guide to Effective Utility Management and Lean
b. State Lean Government Websites (partial list):
• Colorado Department of Public Health and Environment Lean website:
http://www.cdphelean.info/home
• Colorado Lean and Performance Improvement Tools:
https://sites.google.com/a/state.co.us/colorado-performance-management/performance-planning-
and-lean
• Lean Connecticut website:
http://www.ct.gov/opm/cwp/view.asp?a=4595&q=538306&opmNav GID=2162
• Connecticut Department of Energy & Environmental Protection Lean website:
http://www.ct.gov/deep/cwp/view.asp?a=2699&Q=455414&deepNav GID=1511%20
• Iowa Office of Lean Enterprise website: http://lean.iowa.gov
• Maryland World Class Consortia and Lean Government website: http://mwcmc.org/leangovernment
• Michigan Lean Consortium (public and private) website: http://michiganlean.org/
• Minnesota Continuous Improvement website: http://mn.gov/admin/lean/
Appendix B: Lean Government, Lean IT, and E-Enterprise Resources Page 48
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• New Hampshire Lean website: http://lean.nh.gov/ (Case studies at:
http://lean.nh.gov/ProjectCaseStudies.aspx)
• Lean Ohio: http://lean.ohio.gov/
• Oregon State Lean website: http://www.oregon.gov/DAS/TRFM/Pages/goinglean.aspx
• Rhode Island Office of Management and Budget Strategic Planning/Lean Resources webpage:
http://www.omb.ri.gov/strategic/tfsectionl
• Washington State Lean website: http://www.results.wa.gov/what-we-do/apply-lean
• Washington State Department of Ecology Lean website (government and manufacturing):
http://www.ecy.wa.gov/about/lean/
• Wisconsin State Lean website: http://walker.wi.gov/wisconsin-prioritv/reforming-government/Lean-
Government
• Wisconsin Department of Natural Resources Lean website: http://dnr.wi.gov/about/lean.html
Books and Resources on Lean, Lean IT, Agile, and Lean Startup
a. Lean Thinking and Lean Office
• 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.
• 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't Make Widgets: Overcoming the Barriers that Keep Government from
Radically Improving. Washington DC: Governing, 2006.
• Venegas, Carlos. Flow in the Office: Implementing and Sustaining Lean Improvements. New York:
Productivity Press, 2007.
• Womack, James P. and Daniel T. Jones. Lean Thinking: Banish Waste and Create Wealth in Your
Corporation. New York: Simon & Schuster, 1996.
Note: For additional resources, see the books, articles, and websites included on EPA's Lean
Government publications webpage: www.eipa.aov/lean/aovernment/i3ublications.
b. Lean IT
• Bell, Steven C, Charles T. Betz, and John G. Schmidt. Run Grow Transform: Integrating Business
and Lean IT. New York: Productivity Press, 2012.
• Bell, Steven C. and Michael A. Orzen. Lean IT: Enabling and Sustaining Your Lean
Transformation. New York: Productivity Press, 2011.
c. Agile Development
• Manifesto for Agile Software Development, 2001, www.agilemanifesto.org.
Appendix B: Lean Government, Lean IT, and E-Enterprise Resources Page 49
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• Sutton, James and Peter Middleton. Lean Software Strategies: Proven Techniques for Managers
and Developers. New York: Productivity Press, 2005.
• U.S. General Services Administration (GSA), 18F Digital Services Website, https://18f.gsa.gov.
• U.S. GSA, U.S. Digital Services Playbook, https://playbook.cio.gov.
• U.S. GSA, 18F Blog post, "Is Your Project Using 'Agilefall?'" 29 Dec. 2015,
https://18f .gsa.gov/2015/12/29/is-your-proiect-using-agilefall/.
d. Lean Startup
• Ries, Eric. The Lean Startup: How Today's Entrepreneurs Use Continuous Innovation to Create
Radically Successful Businesses. New York: Crown Business, 2011.
• Ries, Eric. "Principles of Lean Startup," http://theleanstartup.com/principles.
• Ries, Eric. Lean Startup Lessons Learned Blog, 2015, http://www.startuplessonslearned.com/.
• Blank, Steve. "Why the Lean Start-Up Changes Everything," Harvard Business Review, May 2013,
https://hbr.org/2013/05/why-the-lean-start-up-changes-evervthing.
III. Other Lean and Continuous Improvement Resources
a. Lean Enterprise Institute, www.lean.org (includes a discussion forum on Lean government)
b. National Association of County & City Health Officials (NACCHO), Roadmap to a Culture of Quality
Improvement, http://qiroadmap.org/
c. Public Health Quality Improvement Exchange (PHOJX), https://www.phqix.org/
IV. E-Enterprise for the Environment Resources
a. ECOS E-Enterprise Website: http://www.exchangenetwork.net/e-enterprise/
b. EPA E-Enterprise Website: http://www2.epa.gov/e-enterprise
c. ECOS E-Enterprise Fact Sheet:
http://www.exchangenetwork.net/ee/EEnterprise What it is Why it Matters July2014.pdf
d. E-Enterprise Blueprint Executive Summary:
http://www.exchangenetwork.net/ee/EEnterprise Conceptual Blueprint 013114 Executive Summary.
pdf
Appendix B: Lean Government, Lean IT, and E-Enterprise Resources Page 50
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Appendix C: Case Studies
Case Study: Massachusetts Department of Environmental
Protection Enterprise-wide Data Management System
Project Description
The Massachusetts Department of Environmental Protection (MassDEP) is preparing an initiative to develop an
enterprise-wide data management system called the Energy and Environmental Information and Public Access
System (EIPAS). EIPASwill support permitting, compliance, and enforcement operations across the
Massachusetts Energy and Environmental Affairs secretariat. In order to design one information technology (IT)
solution for a wide variety of programs, procedures, and operations, MassDEP focused on streamlining,
standardizing, and aligning procedures across all MassDEP programs as much as possible (e.g., looking for
similarities and taking action to minimize differences). MassDEP used Lean and other process-optimization
techniques to document current practices, identify opportunities to streamline, and simplify processes in
anticipation of implementing online permit filing and other applications that will constitute the first phase of the
EIPAS data management system.6
Project Goal
The goal of this project is to streamline and, where possible, standardize core agency-wide program processes
so that the new IT system will:
1. Implement new technology solutions for efficient and useful processes (rather than codifying old,
inefficient processes in the new system);
2. Provide a roadmap for future MassDEP technology development (e.g., the addition of new permit types,
content areas, or user applications);
3. Provide an enterprise-wide solution with long-term utility (e.g., develop flexible solutions that can be
leveraged across regulatory programs and agencies).
Process Improvement Efforts
Overview of the Process: MassDEP started the planning process by developing an inventory of select key agency
processes and programs. It applied a prioritization scheme to select processes and programs for initial study and
then focused more closely on a selected set of processes. MassDEP started this effort by holding detailed agency
process-optimization workshops (APO Workshops, which are similar to Lean events) for air and groundwater
permitting processes. The workshop results included recommendations for process improvements before the
' MassDEP uses the term Agency Process Optimization (APO) to refer to its process-improvement efforts that use Lean and other techniques.
Appendix C: Case Studies Page 51
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development of the EIPAS system, as well as documentation of workflow processes. MassDEP then began an
"assimilation" process by duplicating the core elements of the workshop experiences with shorter and simpler
consultation sessions on each of MassDEP's permits/affirmative authorizations. After these consultation
sessions, MassDEP was able to categorize over 300 permits into eight permit "families" or types, each of which
has an associated workflow. MassDEP also collected documents that could be standardized into enterprise-wide
templates (e.g., emails that acknowledge receipt of an application). Additionally, the workshop output led to
recommendations for process improvements that could be implemented both before the EIPAS project is
constructed, and throughout its construction.
Admin Renew
(Max 2 TBTMI)
Standard Permit Workflow (Future State)
Specific Lean Activities: Once MassDEP selected the target of the process optimization workshop, project
scoping was done in detail and MassDEP developed a scope document for each workshop to clearly define what
was in and out of scope for the event, the objective of the event, personnel involved, and the anticipated goals
or outcomes from the event. The APO workshops used problem-solving techniques consistent with Lean
thinking, including:
• Mapping existing and future workflows including rework loops,
• Identifying pain points (this serves as a list of opportunities for improvement),
• Brainstorming solutions,
• Creating an affinity map between opportunities and potential solutions,
• Conducting a benefit/effort analysis, and
• Developing an action plan.
Appendix C: Case Studies Page 52
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One additional workshop employed an expanded set of planning and management tools, including affinity
diagrams, interrelationship diagraph, necessity/feasibility grid, tree diagrams, application of a prioritization
matrix, development of a planning matrix and contingency plan, and an activity network diagram.
The consultants with whom MassDEP worked on the project also trained in-house agency facilitators in the tools
and techniques needed to effectively manage these workshops.
Process Changes and Results
The implementation of the action plan, referenced above, resulted in recommendations to agency leadership for
improvements to MassDEP permitting processes and agency-wide agreement to adopt a standard workflow.
These results were captured in workshop documentation that will inform development of the IT solution. The
results of the optimization workshop process were a combination of procedures that had been streamlined or
optimized, new templates or forms to streamline correspondence, and recommendations for IT solutions to
support the new optimized processes.
n MassDEP ABC Combustor Facility, Inc. Air Quality Permit Application
Logged in as: JANE-SMITH
Vien Hy other Anolicatw.s 1 Help 1 looout
/ Conduct pre-appfata Cionference *ith HjssCfP
ContKt HassO'EP I view notes from m«tma
Complete the online transmittal bm
Uodat* tranimittil form
Section A: Facility Information
U::at« -'ay-Jity inflation ] Plate ;'a;ilitv on map
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fl Section 6: Equipment Description
Ugjate equipment d
7" Upload HEP* certification
View dtxument Reae abc^t tne MEP
H Section C: Stack Description
" Ui-iili slack discretions
~ Upload EfSB approval letter
Upload dogmcit 'vtad a&out t^« &5S
0 Section 0: Best Available Control Tecnnology (8ACT) Emission!
Upload supporting documents (in progress)
Minace
A Section E; Monitoring Procedures
Ut^atg Tiomtc-rin
7 Locate my facility and sources on map
\ Section F: Record Keeping Procedures
Uaiaie record keeping procedures
Indude responsible official electronic signature
Shaft application «th offici
Section 5: Additional Iniomatioo
VI«H ;h«j;list I Manage electron:
include professional engineer electronic attestatio
Share asskatisn
Sample EIPAS Online Permit Screen
Lessons Learned
• Change Management. Early on, MassDEP discovered that change management and active support for
proposed changes from all levels in the agency were critical to the success of the agency optimization
process and achieving desired outcomes, particularly when IT solutions were slow to develop (and those
Appendix C: Case Studies Page 53
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solutions would have "enforced" the process changes recommended from the optimization effort). In
MassDEP's experience, the key elements of an enterprise-wide change initiative are:
o Strong and unwavering support from the executive level down through the agency for the
optimization initiative, emphasizing w/?ythe changes that will result from the workshops are
essential to the agency, and that all identified programs must invest the required time to make
the effort a success.
o Consistent and ongoing communication from the optimization team to executive leadership that
provides details and progress updates to inform the top down message. Examples of the
messaging included: how the workshops will be run; how to be prepared for interactive
sessions; helpful information and documentation in advance of the meeting; and recognizing
"wins" and publicizing progress made after workshops are completed.
o Reinforcement following workshop completion to ensure adoption of any recommended
changes. This includes executive level announcement of any significant process changes, and
wide circulation of workflows (that will be adopted upon implementation of the IT system) for
review, inspection, feedback.
o Workshops should be led by a trained and neutral facilitator. Given that participants will have
varying perspectives on the work at hand and pre-conceived notions of how the results should
be shaped, facilitators must elicit the varying and often conflicting perspectives while also
keeping those natural tensions at a productive level. This is a skill not everyone has. Further,
when MassDEP did use its own expert facilitators, it did its best to ensure they were not an
"interested party" to the outcomes.
• Plan Enough Time for Workshops. Initially, MassDEP implemented a "Lean-light" process in the interest
of time and resources, but staff soon discovered that if the workshops were too short (e.g., 2 days), the
project team had to spend considerable additional time after the workshop finalizing the details of the
action plan and getting agreement from the participants to that plan. MassDEP tested out a longer
workshop with an entire day devoted to work on the action plan and had much better results:
significantly more support of the outcome and faster implementation of solutions.
• Optimize Before Automation: IT solutions are frequently recommended as an outcome of process-
streamlining projects as agencies shift away from manual handling of paper documents to more efficient
electronic document submittal and communications. Lean projects can help to optimize the IT solutions
by (1) prioritizing the IT development cycles and (2) scoping and consolidating user needs in a way to
optimize the IT solution across the enterprise.
• Take Conscious Effort to Manage Workshop Scope: It is important to keep workshop participants
focused on the "what," not the "how." Frequently when IT solutions are developed from a Lean process-
optimization activity, participants tend to develop detailed design requirements for the IT solution
rather than defining the objective of the IT solution and letting the IT designers decide how best to
achieve that objective. The end result of creating detailed design requirements can be an IT solution that
is immediately outdated or a solution that is awkward and does not consider or use the full scope of
services IT could deliver.
Appendix C: Case Studies Page 54
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• Preparation, Preparation, Preparation. MassDEP was surprised at the level of effort required to prepare
for the multi-day workshops. First, creating and gaining consensus of a meaningful Workshop Scope
Document that clearly depicted the boundaries of the workshop focus, the participants, the workshop
methods, and the expected outputs can be painstaking work. Secondly, the planning of logistics for the
workshop is complex. Fortunately, MassDEP worked closely with its consultants on the pilot
optimization efforts. Achieving meaningful results from the workshops requires carefully sequencing
and preparing a number of group exercises; each group exercise requires planning and, in most cases,
preparing the room so the workshop team can quickly tackle each exercise.
Implementation Status
MassDEP has completed several process optimization workshops and identified associated process
improvements, as discussed above. Most of the IT solutions have yet to be implemented. Delay in development
of the IT solutions was not anticipated, and these delays have led to some erosion of support for additional
analysis of process improvements.
Contact Information
Victoria Phillips
Massachusetts Department of Environmental Protection
Director, Enterprise Information Office
victoria.phillips@state.ma.us
617-292-5956
Ann Lowery
Massachusetts Department of Environmental Protection
Assistant Commissioner, Bureau of Planning and Evaluation
ann.lowery@state.ma.us
617-292-5846
Appendix C: Case Studies Page 55
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Case Study: Wisconsin Department of Natural Resources Water
Program E-Permitting System Development Process
Description
The Wisconsin Department of Natural Resources (DNR)
Water Program created an automated system for
electronic permit applications (e-permitting). This system
allows permitees to apply online and track the progress of
their application through the Wl DNR system. The system
also tracks the permit for internal staff to ensure that
applications are reviewed and addressed in a timely
fashion and can be routed to the appropriate staff
contacts.
Problem Statement and Goals
For close to ten years the Wl DNR received requests from customers and key stakeholders to improve the
permit application process. Permit applicants found the process cumbersome and confusing, often with multiple
pages of similar information to complete. Staff required to review the applications often had to request
corrected information from applicants, increasing workload and overall review time for an application. In 2011,
the DNR made the decision to move permitting to an online system to address the following goals:
• Reduce the overall number of documents required and information requests for permitees.
• Reduce the review time for any given permit. This includes reducing the amount of effort required to
track down missing, incomplete, or incorrect information from permitees.
• Provide transparency to permitees on the application process ("Where in the process is my permit?")
• Notify internal staff of permit status to ensure each review step was completed.
The Wl DNR is divided into six offices - five regional field offices and a centralized headquarters - and the
agency did not have formal internal documentation for how different permits should be collected, processed,
and reviewed. This meant that while staff assumed they were processing applications in a similar fashion, there
was a wide variety in the steps and actions taken between each office. Staff recognized that these differences
needed to be addressed prior to the development of an automated system and Marjorie Damgaard, as the
project manager, initiated a process to identify areas of waste within the current process prior to the final
development of a SharePoint e-permitting system.
Process-Improvement Efforts
This project focused on permits in the DNR Water program. Within the water department there are six different
program areas, each with anywhere from 80+ different types of permit activities. The first step for the agency
was to create consistency across the program and normalize steps within the permit process. DNR staff used the
Appendix C: Case Studies Page 56
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following tools to gather permit workflow information and identify common steps and areas where specific
guidance would be necessary to get everyone on the same page.
• Meetings were held with each regional office to collect their permit workflow information. This
information was fed into an agency-wide process flow map.
• Swim lane diagrams were developed to identify the "who, what, and when" of the permit process. This
provided a broad picture of who reviewed each permit type during various steps in the process and how
the permit moved from one person to the next.
• Areas of consistency were highlighted, especially when there were slight differences that were easy to
address.
• Staff identified important "touch points" with a permit that needed more substantial improvement.
These included updated forms, standardized tasks in the permit workflow, and the ability for agency
management to run broad reports on permit applications.
The Wisconsin E-Permitting System provides a
web-based portal that includes:
• Online forms for over 80+ water activities
• Agency-wide communication
• Multiple-program collaboration between
state program areas like Wastewater,
Aquatic Plant Management, CAFO,
Stormwater, Waterway and Wetland, and
the Office of Energy.
• First in the DNR to offer eSignature,
ePayment and dual agent/landowner
review
• First to offer a mapping component
• Diverse solution-focused team
This process was successful because of the mix of staff
included from the beginning including staff that were
experts in the business process for each permit type,
managers, technical experts, legal staff, and early
engagement with the public and key stakeholders who
would eventually use the IT solution developed for
permits. The agency used online meeting software to
aid meetings where staff were spread out across the
state in combination with in-person meetings when
possible. This level of communication was very
important internally to help reduce the fear and
uncertainty staff may have with a new system and to
ensure that they felt their voices were heard in the
process, even if every staff suggestion was not included
in the final product. In the end, one of the most
important pieces of the staff puzzle was a strong,
dedicated manager that was bought into the overall improvement of the permit process. This person provides
leadership when staff requires an outside voice to help navigate logjams and make key decisions that affect
multiple program areas.
Once SharePoint was identified as the IT solution for e-permitting, the agency continued to meet frequently with
internal staff responsible for reviewing permits to ensure feedback was collected on the tool and provided
multiple opportunities to train staff to get them comfortable using the tool. One barrier to adoption of the e-
permitting systems was that it was new for staff and their comfort level with technology varied. Providing drop-
in sessions and as-need technical help removed this barrier to adoption and allowed staff to get comfortable so
that they could then explain the system adequately to permitees. The agency also provided webinars for tool
users that provided detailed explanations of how to apply for a permit electronically and time for questions as
needed. DNR staff continue to attend related conferences and other meetings where they can provide an
Appendix C: Case Studies Page 57
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overview of the e-permitting tool and how it works to audiences that may not be aware or completely
comfortable using the new system.
4.
SharePoint allowed the agency to connect
and optimize existing legacy systems within
each program area. The upfront work to
document the overall permit workflow,
identify efficiencies, document standard
operating procedures, and clarifying roles
and responsibilities were also relatively easy
to build into the SharePoint tool. SharePoint
provides some out-of-the-box tools for
workflow development and form creation,
but DNR did hire a SharePoint specific
programmer to help build the
customizations needed for their system.
This included addressing payment
requirements during the permit application
process and the development of metric
reporting dashboards for internal managers.
SharePoint does have some drawbacks
when it comes to browser compatibility and
user interface. These were addressed with
detailed how-to guidance on the e-
permitting website in both written and
video format (http://dnr.wi.gov/permits/
water/getStarted.html). SharePoint
allowed the Water department to create a
modular e-permitting tool that could be
easily adapted and customized for each
permit type as it came online. The system started with just a few permit types that were forced to use the new
tool. Their success has prompted numerous different programs and permit types to join the online system with
new programs asking to join the system on a quarterly basis.
Process Changes and Results
The business process improvements for water permitting helped reduce overall general permit application
review from 30 to 15 days and individual permit review from 105 to 52 days. The development of the SharePoint
e-permitting system allows the agency to track impacts on permit due dates and automatically notify staff of
requirements for public hearings, public notice holds and weather extensions. After an initial start with a few
specific permit types, there are now over five different categories of permits accepting applications through the
online web-portal with many more categories of permits are requesting to be included requesting use of the
tool over the next year. The number of permits that can now be processed in a 90-day period has gone up
drastically.
Project Scoping Checklist
The initial project scoping and information gathering used the
following steps:
1. Contact the appropriate staff to gather information on
how permits were submitted and process. For this
process, a common template was created to gather this
information initially from staff via email.
2. Begin to map the business side of the permit process -
what information is needed at each step of the process.
3. Bring in IT expertise early in the mapping process so that
the IT solution is in sync with the business process
improvements.
Develop a decision document that is the start of a
framework for the features and functions built into the e-
permitting tool and helps identify the highest priority
needs. This document also serves as a record of decisions
made for reference if needed which improved overall
communication between staff.
• The decision documentation also became helpful
when there were state legislative changes that came
up during the tool development.
Develop a user acceptance training environment for both
internal and external users. For external users, testing
was encouraged early and often to gather essential
feedback and encourage them to feel ownership of the
tool they will eventually use.
Appendix C: Case Studies Page 58
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The e-permitting system also allows managers to run complete dashboard reports on the status of individual
permits to help keep permits moving through the system, reassign permits to maintain staff workload balance,
and to the extent possible prevent a permit from presumptive approval because it was not reviewed in a timely
fashion. The system addresses document retention and storage requirements at the state level and allows
Freedom of Information Act (FOIA) and other information requests to be completed quickly with less burden on
staff.
The goals of the e-Permitting system includes transparency for our customers and allows the public to track the
status of a permit application as well as allows them to print documents, save to their hard drive or share
content with others. This further reduces or eliminates the need for DNR employees to follow up on requests
and instead allows them to focus on processing permit applications.
Implementation Status
The Wl e-permitting system is fully online for most of the permits in the water agency. The next step is to
determine if it is possible to share any of the knowledge gained in the development of the SharePoint modules
with other states using SharePoint internally.
Contact Information
Marjorie Damgaard
Wisconsin Department of Natural Resources
Mariorie.damgaard@wi.gov
(608) 266-0738
Appendix C: Case Studies Page 59
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Case Study: EPA Region 1 Improvements to the Lab Purchasing
Process
Process Description
EPA Region 1's New England Regional Laboratory has completed a process improvement effort on its lab
purchasing process. This encompasses any purchases that do not require a formal procurement process, from
sample bottles to chemicals used in the lab.
Problem Statement and Goals
Prior to this project, the lab routed hardcopy purchasing orders manually from origination to approvals. There
were different decision trees depending on the order (e.g., if an order was for a chemical it had to go through
the Health & Safety Officer; if it was an IT order, then it had to get approved by an IT person, etc.). As the
purchase order moved through its approval process, there were bottlenecks where the document was held up
at different points in the process. Tracking the document in the process was difficult and often required the staff
person placing the purchase order backtracking through the system to determine its status. This process was
inefficient, with many duplicate purchases for a single item often being placed during a short period. The
process was also unevenly distributed across the year, with bottlenecks during peak ordering months.
The lab's goals for this process-improvement project were to:
1. Simplify, clarify and streamline the purchase-order process so that the staff person placing the order
could efficiently determine where the request was in the approvals process and when the order
received approval.
2. Develop a standard, electronic order, approval and tracking system.
3. Reduce the number of individual purchases by 20 percent by setting up a visual inventory system
(bundling purchases).
4. Evenly distribute purchasing workload across all months of the fiscal year.
Process-Improvement Efforts
The lab initially identified an IT-related solution that would reduce I
, , , . , Once the lab identified the problem,
the need for paper forms, but realized the need to Lean the
the project team initially developed an
process first to streamline the workflow. The lab decided to use a
idea for an IT-based solution to "fix
Lean value stream mapping event to allow a project team to
... , . ,., , ., ..f . . .. everything," but the team quickly
better understand the process and identify ways to improve it.
_ . ., . ... ... ,., ... figured out that they needed to
During the Lean event, the project team mapped the process with
...... , , ., . , , streamline the process first.
different color sticky notes, analyzed the process map to develop
streamlined procedures, and identified process changes to
simplify and reduce the inefficiency in the process. After the event, the team met monthly to check on
implementation status of the solutions.
Appendix C: Case Studies Page 60
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Current Process Map
Future Process Map
The team for this improvement project included several lab staff who were involved in various parts of the
process, from the staff that placed the purchase orders to those who were responsible for approving the orders
on different levels. In addition, EPA also had internal facilitators and an IT staff person involved to guide the
improvement process and help implement the solutions.
Process Changes and Results
The Lean event and improvement process helped to reduce the complexity of the process, and eliminate
inefficiencies and redundancies through the following changes:
• Some shifting and clarifying of roles and responsibilities: For example, 508 compliance research used to
be sent on with the purchase order for those later in the process to complete, but instead now the
purchase originator did the 508-compliance research. They also determined who would cover
responsibilities while someone was out of the office to reduce bottlenecks.
• In addition to improving the process when someone would initiate a purchase order, the team also
implemented a visual inventory system to reduce the total number of orders. If a certain supply gets
below a certain level, this visual cue indicates to staff to reorder supplies (with a threshold of how much
to reorder depending on shelf life (e.g., of chemicals)).
Metric
Days to complete an order
Number of Process Steps
Old Process
12
27
New Process
5
16
Percent Change
4,60%
4,40%
Results are anticipated based on the new process design.
The team further enhanced the efficiency and effectiveness of the process by converting the hard copy order
forms and manual process to an electronic process. Specific changes in the first phase included:
• Developing an electronic PDF form:
o They developed an electronic PDF form that originator fills out. Instead of routing a hard copy
manually, now the PDF form is routed via email. This incremental improvement provided some
clarity for staff to follow up with where the purchase order was in the process (as the lab staff
could know where it was emailed to and track that).
• Improving the record-keeping system:
Appendix C: Case Studies Page 61
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o They also enhanced a record keeping system by purchase order - once the supplies were
ordered, the system automatically sent an email to the staff person who placed the purchase
order so they would know the supplies had been ordered which was an improvement on the
previous process of relying on word of mouth.
The next planned IT solution to aid the earlier process improvements is to develop a SharePoint workflow
system:
• The SharePoint website will allow all parties involved in the purchase to see who has it and when it is
approved.
• It also provides an audit trail and tracking system because the forms will be stored in a database versus
individually (in paper or electronically). Currently, even with the fillable PDF forms, the approving official
still keeps their own spreadsheet of all of the orders. The SharePoint site will provide this functionality
without the additional work to update a separate spreadsheet.
• In the current PDF forms, there is a decision-tree document that shows how the forms should be routed
via email. In SharePoint, this will all turn into the automatic workflow based upon the boxes that the
user checks.
Both the automatic reordering and converting the handwritten manual routing process into the initial iteration
of the electronic process has improved the lab purchasing process. As a result of the implementation of these
improvements, errors in the lab purchase forms have been reduced by 50 percent. The SharePoint workflow is
expected to streamline the process further.
Implementation Status
The SharePoint solution should be implemented in fall 2015,
after which the team will be able to analyze the effectiveness of
the new process and IT system.
It is possible that the lessons from this process-improvement
effort and/or the SharePoint solution itself could be used by
other EPA labs to improve their purchasing processes.
Contact Information
Linda Darveau
US EPA Region 1
Darveau.linda@epa.gov
(617) 918-1718
Phil Warren
US EPA Region 1
Warren.phil@epa.gov
(617) 918-1147
Lessons Learned
• It was useful to have the team focus
on the root causes of the problems
and then identify solutions to address
those root causes, rather than just
trying to create an electronic version
of the current process.
• Involve IT early and often. IT likely
will not fix all of the solutions - you
have to improve the process itself as
well. Having IT staff involved provides
information for where it can be a
solution in conjunction with other
improvements.
Appendix C: Case Studies Page 62
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Case Study: EPA Region 7 Improvements to the Concentrated
Animal Feeding Operation Inspection Reporting Process
Process Description
EPA inspects concentrated animal feeding operations (CAFOs) to evaluate their compliance with federal
environmental laws. Poorly managed facilities have the potential to pollute the nation's rivers, lakes, streams,
and groundwater. EPA Region 7 Environmental Services and Technology Division (ENST) performs 45-50
inspections at CAFO facilities each year to assess compliance with Clean Water Act requirements. ENST/
Environmental Field Compliance Branch (EFCB) completes a report for each inspection and provides it to Water,
Wetlands, & Pesticides Division (WWPD)/Water Enforcement Branch (WENF) and Office of Regional Counsel
(CNSL) to form the basis for enforcement cases; therefore, it is imperative that they be accurate and timely. The
WENF Compliance Officer reviews the report generated by ENST/EFCB and makes the declaration that the
report is "Complete & Final".
Problem Statement and Goals
The process-improvement efforts sought to address the following problems:
• Late reports from inspector into the process. Prior to the process-improvement efforts, a majority of
inspection reports did not meet the benchmark timeframe (30 days for non-sampling inspections and 60
days for sampling inspections.
• Some reports lacked necessary evidence for enforcement due to the inspector's lack of clear
expectations prior to conducting the inspection.
• Late identification of targets hampered inspector's preparation and ability to collect information
necessary for enforcement determinations.
• Accuracy - the CAFO law is evolving and what the inspectors need to collect for the attorneys can vary
depending on the specific situation and site. Sometimes the Region was not collecting some of either
the right information or enough samples.
• The process required the EFCB Branch Chief to review "first draft" reports that may contain numerous
errors.
• Coordination of hard copy reports flowed through the Records Center (e.g., to scan photos, maps, etc.
and make available electronically) resulting in high transaction times and many records.
The goals of this project were to decrease the number of late CAFO inspection reports, improve the quality and
completeness of those reports, streamline the review/coordination process, and eliminate draft report hardcopy
records.
Appendix C: Case Studies Page 63
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Process-Improvement Efforts
EPA Region 7 focused on improving the CAFO inspection report development process by using Lean methods to
map the process and identify potential solutions (including IT solutions). Most of the changes were designed to
develop better quality reports during the development phase and streamline sharing/reviewing the reports with
WENF/CNSL.
The team used several Lean approaches. First, they held a facilitated 5-day Lean Kaizen event during which the
team created:
• "As is" (or "current state") process mapping to understand the steps, time involved, and wastes in the
current process.
• "Future state" process mapping to design a new, streamlined process.
• Fishbone diagrams to analyze root causes of problems.
Fishbone Analysis for the CAFO Inspection Reporting Process
The Lean facilitator then held a mini-Kaizen event with the inspectors to examine the finer details of how
inspectors write reports, which was the one part of the process that the team did not focus on during the 5-day
Lean Kaizen event. They used Appreciative Inquiry (Al) to focus on the positive aspects of the process and
determine how to implement those in a systematic way (e.g., instead of asking what was not working, they
focused on examples of reports that worked well and identified what made them successful in order to replicate
this.)
Following these Kaizen events, the team held regular, monthly team meetings to review progress and keep the
project moving forward.
Appendix C: Case Studies Page 64
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Process Changes and Results
Based on the Lean events, the EPA Region 7 project team made several process improvement changes to meet
the goals of the project:
• The team instituted formal pre- and post-inspection meetings with EFCB/WENF/CNSL to ensure targets
are identified sooner and that they are properly scoped with common expectations for the inspection
and final report. They established a simple pre-meeting and post-meeting checklist of topics to cover
during these discussions. The post-meeting also allows the staff to fast track an inspection report if
there are high priority concerns with a site, allowing for prioritization of reports.
• The team added a "stepped" review process for the draft reports to improve the quality of the reports
reaching the EFCB Branch Chief to allow for a faster release of the report to WENF. Previously the draft
reports would go directly to the EFCB Branch Chief for review (along with inspection reports from other
programs). With the stepped review process, the team instituted a QA/QC for grammatical and
structural components and a Peer review process to provide the technical review. The team created a
checklist for the inspectors to use when reviewing these reports. Now after the QA/QC and peer
reviews, the report and completed checklist goes to the Branch Chief for a more streamlined review.
• Region 7 created a SharePoint site to enable online
coordination of electronic draft reports. This eliminates
hardcopy transit time between reviewers and the creation
of multiple draft copies in the Records Center. This IT
solution naturally came out of the improvement process by
working with their IT department to analyze several
solutions. The SharePoint site is helping to streamline the
work. For example, this system allows the report to go to
the Records Center only when it is final, eliminating the
need for multiple steps. In fact, one participant noted that
the SharePoint site has "revolutionized the process."
• Region 7 developed a fillable Excel-based tracking
document to capture key performance indicators within
the new process to help the team discern how well it is
working and to make necessary adjustments. The tracking
document automatically develops a timeline based on
dates in the process (e.g., date of inspection and date draft
report is completed). The team can assess the metrics from
this tracking document to determine where steps are taking
determine where any refinements could be made.
Region 7 identified SharePoint as an
important solution within their
process-improvement efforts because
it allows them to:
• Customize the site for their needs
and any future changes they may
make
• Make changes to the site without
having to go through their IT
department
• Access the site in the field
• Build upon other program uses and
previous user understanding of
SharePoint.
• Keep past versions of documents
to aid in discovery purposes.
more of less time than envisioned to
Appendix C: Case Studies Page 65
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Type of CAFO
Inspection
Sampling Required
No Sampling Required
Target Inspection
Report
Completion Time
60 days
30 days
Actual Average Report
Completion Time in
Comparable Period Prior
to Process Improvements
98 days
68 days
Actual Average Report
Completion Time After
Process Improvements
51 days (4, 48%)
42 days (4, 38%)
Note: Additional process improvements are expected to bring the actual report completion time to target levels.
Lessons Learned
• Value stream mapping and root cause analyses were instrumental to identify opportunities to reduce
waste and streamline the process.
• Emphasizing that it is the process that does not allow people to be successful versus people failing the
process. The fishbone analysis solidified this and created investment from participants.
• The Appreciative Inquiry approach provided a non-threatening environment to identify solutions.
• The 5-day in-person Lean Kaizen event was effective to identify the process improvements by focusing
all of the involved parties for a sustained period. Upper level management support to have staff
dedicate this time was invaluable to the success of the project.
• Process-improvement efforts are more successful when the IT solutions naturally come out of the
normal Lean process. During the mapping of the current process, EPA Region 7 flagged where something
could potentially be improved with an IT solution and explored it later in depth.
• Given the amount of SharePoint EPA Region 7 has been using with their solutions, the Region found it
useful to have someone on the team (during the Lean process) with knowledge of SharePoint to discuss
what SharePoint can and cannot do (as a potential solution).
• Region 7 found it important to heavily involve the IT people in the development of timelines for the
solution and make sure it matches with other Lean elements. The team scheduled key points to check in
to monitor progress and periodically brought those responsible for the Lean implementation and IT side
together.
Implementation Status
Region 7 has implemented most of the identified process improvements. As of August 2015, they are still
working to complete a hire for the QA reviews and scanning of materials, which they anticipate will bring the
report completion time closer to the target. Region 7 is anticipating reviewing the newly available metrics for
the process at the end of the FY to see if any adjustments to the process or IT solutions should be made.
Other programs in Region 7 have expressed interest in using the tracking spreadsheet from this project (with
modification) to track key performance indicators for their programs as well.
Appendix C: Case Studies Page 66
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Contact Information
Chris Taylor
EPA Region 7 EMS & SHMS Coordinator/Facility Energy Manager Continuity Program Manager
Taylor.chris@epa.gov
913-551-7736
John Houlihan
EPA Region 7 Environmental Field Compliance Branch Chief
Houlihan.iohn@epa.gov
913-551-7432
Appendix C: Case Studies Page 67
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Appendix D: Lean Charter Template
The following Lean Team Charter Template, which was developed to support EPA Lean projects, may be used to
clarify and promote understanding of the scope and expectations for Lean events and projects.
Lean Team Charter
Project Details
Project Name:
Region/Office:
Event Dates:
Event Start & End Times:
Room:
Management Briefings
Dates:
Times:
Locations:
Final Presentation
Date:
Time:
Location:
Project Sponsor:
Team Leader:
Facilitator:
Co-Facilitator:
Project Description
Process Description:
Customers & Deliverables of the Process:
Problem(s) to Address in Project: [What is the problem (real or perceived) the team is trying to address in
the project? What evidence do you have that the problem exists? How could vje deliver more value for the
customer?]
Project Scope
[What are the start and end points in the process that the project wilt address?]
Process Start:
Process End:
Boundary Conditions
[What are the boundaries and limitations of the scope (i.e., what is excluded from the process being
addressed}? What types of changes ore off limits or out of bounds to the team?]
Appendix D: Lean Charter Template Page 68
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Goals, Objectives, and Metrics
[Goals define the desired outcomes for the project - that is, what success looks like, Objectives set specific
and measureoble targets for improvement. Express your goals and objectives as percent reductions if you do
not have current, baseline data for the process, or set specific targets for the future if you can,]
Quantitative Goals & Objectives
The following table provides a summary of the team's quantitative targets for the Lean project.
Target (Desired Performance or %
Change from Current
Performance)
Metrics
EXAMPLE 1: Lead Time
EXAMPLE 2: Processing Time
Current Performance
100 business days
TBDat event
25 business days
4,30%
1. Lead Time
2. Processing Time
3. Number of Process Steps
4. Percent Complete and
Accurate
5. Participant Satisfaction with
the Process {1-5 scale)
6. [Other metrics]
Qualitative Goals & Objectives
[Specify any qualitative goals and objectives for the project, such as clarify roles and responsibilities, create
standard work procedures, improve communications, improve customer satisfaction, etc.]
Pre-Work
The following actions represent what tasks need to be completed prior to the Lean event.
Action
1. [pre-event task]
2. [pre-event task]
3.
Owner
[person responsible]
[person responsible]
Due Date
[mm/dd/yyj
[mm/dd/y_yj
Follow-Up Schedule
The team will confirm these dates during the event in the context of progress and future needs.
30- Day Management Briefing: [mm/dd/yyj
60- Day Management Briefing: imm/dd/yyj
90-Day Management Briefing: [mm/dd/yyj
Other Key Milestones:
Appendix D: Lean Charter Template Page 69
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Team Members
[Ideally 8-10 people. The majority (75-80%) should be people who work in the process; also include 1-2
supervisors of the process, and 1 customer or stakeholder. Note the name and function that each person serves,
such as data entry, document production, supervisor, quality control, IT specialist, customer, etc.]
1. [Name, function] 5. [Name, function]
2. [Name, function] 6. [Name, function]
3. [Name, function] 7. [Name, function]
4. [Name, function] 8. [Name, function]
On-Call Support
[Identify any individuals who will be available as needed during the event or project to answer questions, address
issues, or make decisions to enable to the team to succeed. Include contact information if appropriate.]
• [Name, function]
• [Name, function]
Approvals
Our signatures show our commitment to this project and our willingness to take actions to ensure its success.
Project Sponsor
Team Leader
Facilitator
Signature:
Appendix D: Lean Charter Template Page 70
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Appendix E: Lean Implementation Plan Template
Lean Implementation Plan: [PROJECT TITLE]
Project Details
Project Sponsor
Team Leader
Facilitator
Event Date
Date Created: [mm/dd/yy]
Last Updated: [mm/dd/yy]
Follow-Up Meetings
30-Day
60-Day
90- Day
6-Month
1-Year
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
Status Key
TO BE INITIATED
ON TARGET
OFF TRACK
COMPLETE
Timeline
ID ft Action
1
2
3
4
5
[insert
action/task]
[insert
action/task]
[insert
action/task]
[insert
action/task]
[insert
action/task]
Owner
[insert lead on action
and any staff with a
supporting role]
[insert lead on action
and any staff with a
supporting role]
[insert lead on action
and any staff with a
supporting role]
[insert lead on action
and any staff with a
supporting role]
[insert lead on action
and any staff with a
supporting role]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
£ ? ? £
Target Date Completed c -a m jj:
* < i <
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
[mm/dd/yy]
y£ £ £ £
S. £ g Comments
A 5 1 S
[insert notes
relevant to the
action and status]
[insert notes
relevant to the
action and status]
[insert notes
relevant to the
action and status]
[insert notes
relevant to the
action and status]
[insert notes
relevant to the
action and status]
Appendix E: Lean Implementation Plan Template Page 71
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Lean Implementation Plan Example: Property Inventory Process
Project Details
Project Sponsor
Team Leader
Facilitator
Event Date
FirstName LastName
FirstName LastName
FirstName LastName
September 20-23, 2014
Date Created:
Last Updated:
Fol low-Up Meetings
30-Day
60-Day
90-Day
6-Month
1-Year
10/21/2014
11/20/2014
12/18/2014
3/19/2014
9/21/2015
Status Key
UN
MOFF
| |co;
TO BE INITIATED
ON TARGET
OFF TRACK
COMPLETE
rt Date Target Date Completed
Comments
1
2
3
4
Modify the IT
Tracking System
for use in property
inventory
Purchase new
equipment
Create a checklist
of tasks to
complete the
annual property
inventory
Pilot the IT
Tracking System
for 2015 Inventory
J. Doe
J. Doe
J. Smith
J. Doe
10/1/2014
9/25/2014
9/23/2014
3/19/2014
2/1/2015
11/1/2014
10/21/2014
7/1/2015
TBD
•
TBD
10/15/2014
TBD
H
•
•
tati
On track to be done
by due date; new
system design
awaiting
management
approval at weekly
meeting
Behind schedule;
budget constraints;
researching
alternate options to
meet need
Completed and
under review by
management
Initiate pi lot once
IT system is ready
Appendix E: Lean Implementation Plan Template Page 72
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United States Environmental Protection Agency
www.epa.gov/lean
www2.epa.gov/e-enterprise
www.exchangenetwork.net/e-enterprise/
December 2015
EPA 100-K-15-002
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