Completed Staff Work - losriostraining.org · Completed Staff Work . 2 . History of Completed Staff Work . The Completed Staff Work (CSW) process is based on practices used by business,

Completed Staff Work

California Department of Human Resources Statewide Trainingwww.calhr.ca.gov/Training

W O R K S H O P P R E S E N T E D BY

The Los Rios Community College District’s Government Training Center www.LosRiosTraining.org

Bruce Winner916.563.3232

[email protected]

Part of the CALHR Analyst Certificate Program

TABLE OF CONTENTS

Overview 1

Completed Staff Work Defined 4

Components of CSW 4

Test for Completeness 5

Completed Staff Work Competencies 6

Case Study: CalSTRS Special Compensation Verification Process 10

The 7-Step Method w/Components 16

Step 1: Identify the Problem 18

Step 2: Gather Information 21

Step 3: Organize Information 22

Step 4: Analyze Information 23

Step 5: Develop Alternatives 31

Step 6: Select the Best Possible Solution 34

Step 7: Implement and Monitor Results 36

Case Study: Salisbury Public Works Department 37

The 7-Step Method Applied 45

Scenario: Resolving Customer Complaints 45

Action Plan 49


1

Overview

Outcome

Completed Staff Work enables decision makers to find solutions to problems or address issues after consideration of reasonable, workable, carefully considered alternatives.

Objectives

Upon completion, participants will be better prepared to:

• Analyze and evaluate information and situations

• Ask questions to get to the root cause of issues

• Examine and define issues from multiple perspectives

• Integrate information into a sound decision-making process

• Consider consequences of decisions before taking action prior to implementation

Agenda

1. Overview 2. Understanding Completed Staff Work 3. Completed Staff Work Competencies 4. The 7-Step Method Defined 5. The 7-Step Method Applied 6. Action plan


2

History of Completed Staff Work

The Completed Staff Work (CSW) process is based on practices used by business, government, and the military and is designed to increase the time available for managers to perform higher-priority work and reduce the time needed to review and implement procedures, projects, or new programs. The concept of CSW stems from the military and has its roots in the build-up for World War II. Military training techniques were developed around this concept, enabling military commanders to use standardized methods for developing war plans and issuing operation orders.

Bruce [email protected]

The Los Rios Community College District’s Government Training Center

www.LosRiosTraining.org

The Los Rios Government Training Academy is the largest provider of customized training to public agencies in the greater Capital Region. Los Rios is the region’s leader in creating effective, Innovative workforce development solutions and programs.

Our expert trainers and consultants have decades of proven experience creating and delivering innovative courses that engage learners and assure employee success and value to the organization. You will find the Government Training Academy’s solutions to be cost-effective, flexible and include proven methods for assuring that the training has a positive impact and the value of training can be measured.

Government Training AcademyCustom training division of Los Rios Community College District


3

Shown below is the outline used by military personnel to write an operations order. As you review this image, replace the headings mentally with the following: What, Why, Where, Who, When, and How.

These military techniques are still used today and provide leaders with a process for arriving at well-thought out, thoroughly-staffed (coordinated) plans. Officer training program manuals such as FM 101-5, the Army Staff Officer Guide, contain information on this process and its application. The goal of CSW is to present to management a written solution that contains all of the elements needed for implementation including an implementation memo or directive that only requires signature.


4

Completed Staff Work Defined The commonly-used (formal) definition of Completed Staff Work that you would use is asked to define it in an interview is:

Completed Staff Work is a single proposed recommendation that has been thoroughly analyzed and coordinated, represents the best recommendation possible, simply requires approval or disapproval, and is prepared in final form for signature.

A shorter version is:

Completed Staff Work is designed to enable someone else to take action on an issue or problem.

Components of CSW

Listed below are the major components of CSW. Notice that in each component there are suggested questions that should be asked and answered. Failure to ask and answer these questions accurately and completely will lead to faulty CSW.

Component Questions to Ask

Issue/Problem How well are expectations being met?

Objective What is the desired outcome?

Client Who will make the final decision?

Scope In what arena is the problem located?

What are the constraints and limitations?

What factors affect the final decision?

Methodology How will supportive data be gathered?

Analysis What does the data show?

Conclusion What is causing the issue or problem?

Alternatives What approaches will achieve the objective?

Recommendation How do the alternatives weigh against scope?

Implementation How will the recommendation be implemented?


5

7 Step CSW Memory Mnemonic

Test for Completeness

When the project is finished and ready to submit, it can be recognized as Completed Staff Work by asking this question: “If I were the responsible official, would I be willing to take the proposed action and commit the necessary resources to achieve the desired outcome?” If the answer is no, take it back and work it over. It is not yet Completed Staff Work.

CSW


6

Completed Staff Work Competencies

“Competency” refers to knowledge, skills, abilities, and personal characteristics as demonstrated by behaviors needed to succeed in a job. Some of the core analyst competencies include: Diagnostic Information Gathering

Identifying the information needed to clarify a situation.

Behavioral Indicators

1. Identifies the specific information needed to clarify a situation or to make a decision

2. Gets more complete and accurate information by checking multiple sources

3. Probes skillfully to get at the facts when others are reluctant to provide full, detailed information

4. Questions others to assess whether they have thought through a plan of action

5. Questions others to assess their confidence in solving a problem or tackling a situation

6. Asks questions to clarify a situation 7. Seeks the perspective of everyone involved in a situation 8. Seeks out knowledgeable people to get information or clarify a problem

Why is this competency important in the role of an analyst?


7

Analytical Thinking

Approaching a problem by using a logical, systematic, sequential approach.


1. Makes a systematic comparison of two or more alternatives 2. Makes connections and patterns among systems and data issues 3. Notices discrepancies and inconsistencies in available information 4. Identifies a set of features, parameters or considerations to take into

account in analyzing a situation or making a decision 5. Approaches a complex task or problem by breaking it down into its

component parts and considering each part in detail 6. Weighs the costs, benefits, risks, implications, and chances for success,

when making a decision 7. Identifies many possible causes for a problem 8. Weighs the priority of things to be done 9. Recognizes key actions and underlying issues and problems


Decision Making

Making decisions and solving problems involving varied levels of complexity, ambiguity and risk. Behavioral Indicators

1. Makes critical and timely decisions in difficult or ambiguous situations 2. Takes charge of a group when it is necessary to facilitate change,

overcome an impasse, face issues, or ensure that decisions are made 3. Makes tough appropriate decisions



8

Organizational Awareness

Understanding the workings, structure, and culture of the organization as well as the political, social, and economic issues affecting the organization.


1. Understands the purpose of the organization including the statutory mandate, its customers, its products and/or services, and its measures of mission effectiveness

2. Keeps current with issues, which may have a future impact on mission 3. Understands and effectively works within the organization's structure

and policies 4. Supports the public service mission and goals


Customer Focus

Identifying and responding to current and future client needs; providing excellent service to internal and external clients.


1. Solves customer problems quickly and effectively 2. Talks to customers (internal or external) to find out what they want and

how satisfied they are with what they are getting 3. Discovers and meets underlying needs of customers 4. Lets customers know they are willing to work with them to meet their

needs 5. Finds ways to measure and track customer satisfaction 6. Presents a positive manner with customers



9

Communication Skills

Listens to others and communicates in an effective manner.


1. Knows that listening is essential to understanding 2. Ensures that others involved in a project or effort are kept informed

about developments and plans 3. Ensures that important information from management is shared with

employees and others as appropriate 4. Shares ideas and information with others who might find them useful 5. Keeps manager informed about progress and problems 6. Ensures that regular consistent communication takes place within area

of responsibility 7. Gives and receives constructive feedback

Interpersonal Skills

Extent to which an individual gets along and interacts positively with co-workers. Degree and style of understanding and relating to others.


1. Understands the interests and important concerns of others 2. Notices and accurately interprets what others are feeling, based on their

choice of words, tone of voice, expressions, and other nonverbal behavior

3. Anticipates how others will react to a situation 4. Listens attentively to people's ideas and concerns 5. Understands both the strengths and weaknesses of others 6. Understands the unspoken meaning in a situation 7. Finds non-threatening ways to approach others about sensitive issues 8. Makes others feel comfortable by responding in ways that convey

interest in what they have to say


10

Written Communication

Ability to communicate ideas, thoughts, and facts in writing. Ability/skill in using correct grammar, correct spelling, sentence and document structure, accepted document formatting, and special literary techniques to communicate a message in writing.


1. Expresses ideas clearly and concisely in writing2. Organizes written ideas clearly.3. Tailors written communications to effectively reach an audience4. Uses graphics and other aids to clarify complex or technical information5. Spells correctly6. Writes using concrete, specific language7. Uses punctuation correctly8. Uses proper grammar9. Uses an appropriate business writing style

Case Study: CalSTRS Special Compensation Verification Process Read the case study on the following pages through the lens of Completed Staff Work. Is it complete? Would you sign it?

Our Mission: Securing the Financial Future and Sustaining the Trust of California’s Educators

Memorandum

Member Account Services

Date: 12/2/2010

To: Management Staff

From:

CC:

Subject: Special Compensation Verification Process

ISSUE

What is the best process to verify and validate Special Compensation (CC6) lines to enable the tracking of statistics and trends?

BACKGROUND

Public Pension Plans have recently been the subject of criticism by the media. There is a public perception that tax dollars are being spent to fund huge pensions for thousands of state, county and city employees. As the second largest pension system in the country, CalSTRS is being scrutinized closely. Executive staff has been concerned that the inflation of creditable earnings reported to CalSTRS might be occurring on some member accounts through the misuse of special compensation reporting (CC6 lines).

Since the inception of Assembly Bill 2700 (AB2700), employers have been able to report special compensation for reasons such as, auto and housing allowances, and special skills, as long as they meet the criteria for creditable compensation, per 22119.2 of California’s Education Code. Employment contracts often reflect payments of special compensation which do not fall within the guidelines for creditable compensation. If these payments are incorrectly reported to CalSTRS, they can potentially inflate the retirement benefit of the member.

A team of analysts from Employer Services, (Adrienne Lennon, Marty Sevilla, Myra Jackson, and Jonnie Tharp) was tasked with reviewing the current process surrounding CC6 reporting, to develop an efficient process to verify and track the CC6 lines.

The system currently edits only those (CC6) lines that will bring an individual’s total special compensation reported to over $15,000 for the current school year. Staff is unable to identify special compensation lines under the $15,000 threshold, unless there is another exception on the member’s account. To be proactive and prevent a possible inflation of the member’s retirement benefit, staff needs a simple and efficient procedure established to verify and track the special compensation lines.

DISCUSSION

The team of analysts from Employer Services brainstormed for the best way to gather and research all information needed to create a process for reviewing the CC6 lines. The team also wanted to develop the best method to capture all of the required information needed for tracking and monitoring any trends on the reporting of Special Compensation (CC6) lines. This was accomplished by surveying staff and reviewing data through Secure Employer Website (SEW).

Staff members were surveyed on how CC6 lines were currently being verified and documented by Employer Services. Staff used various methods of contacting employers and accepted/documented certification in various ways, including comments on START, Event Tracking, Imaged documents and keeping copies of contracts in file folders. The team

11

Special Compensation Verification 12/2/10 Page 2 of 5

saw a need to develop a process that would allow consistency for verifying CC6 lines and storing documents in a centralized location for easy access. The team discussed establishing a spreadsheet for tracking CC6 lines reported. This spreadsheet would be managed by county representatives and available on the “G” drive. It would contain all pertinent information for each stipend, client ID, name , report unit, CC6 amount, Beg/End service period, monthly/one time, employer verified, imaged documentation, and type of CC6 comments. Information needed to populate the spreadsheet would come from the CC6 new data filtered from monthly F496 report in SEW. In addition to the spreadsheet, a CC6 event type would be added to START.

The team selected six sample employers; LAUSD, LA County, San Bernardino County, San Diego County, Orange County and Fresno County. Using the Secure Employer Website (SEW), the team filtered reports to view all the CC6 lines for the targeted employers. There were approximately 100,000 lines reported for the selected counties. After this information was presented to management it was suggested that we run an Information Report (IR) to identify specific data. By running an IR report we were able to narrow the search by requesting the following criteria: the accounts of members who were at retirement age 55 and older with 30 years of service credit. We requested a minimum $1,001 as a dollar amount threshold. After running the IR with the specific criteria, approximately 7,000 CC6 lines for the six selected counties were identified.

ALTERNATIVES

1. Establish a spreadsheet for tracking CC6 lines reported. This spreadsheet would be managed by countyrepresentatives and available on the “G” drive. It would contain all pertinent information for each stipend, client ID,name , report unit, CC6 amount, Beg/End service period, monthly/one time, employer verified, imaged documentation,and type of CC6 comments. Information needed to populate the spreadsheet would come from the CC6 new datafiltered from monthly F496 reports in SEW. In addition to the spreadsheet, a CC6 event type would be added toSTART.

Pros: • Spreadsheet managed by Employer Services staff• Spreadsheet would contain all pertinent information for each CC6, such as: contracts, e-mails & etc.• Central location for staff use easily accessible to all staff• Spreadsheet provides a format to allow visible tracking of trends, documentation & easy access for

Leads• Centralized documentation• Generate reports for management to review

Cons: • Increased workload for MAS staff & employers• Lack of response time from employers• CC6 data available from SEW is not user friendly• Resolves only one aspect of documentation process• Would still need to put actual documentation, such as; emails, contracts, in imaging

2. Create a Special Compensation Team to review CC6 lines with a minimum limitation of $1,001. The Special teamwill focus on working with all counties requesting contracts at the beginning of each school year. This team would alsoreview and verify all contracts, and identify and track any trends that may lead to enhancing a member’s account.

12


Pros: • Special team would focus on CC6 lines, follow ups & documentations• Request all contracts for Administrators & Superintendents at the start of each school year• Ability to analyze & review all contracts for CC6’s & review content of contracts for validity per the

STRS Law• Monitor & track trends to avoid possible reporting issues• Would be consistent with California Public Employees’ Retirement System which has a dedicated

team for processing CC6’s• New Job opportunities PPA, APPA, & PPM1• Staff would not be overwhelmed with additional workloads• Is a proactive approach• Catch possible inflation of earnings before the lines are reported to CalSTRS• Avoids need for employer adjustments• Team would review News/Bank Log & other related web links

Cons: • Budget may not allow the possible additional staffing

3. Keep current process in place, but request contracts for all Superintendents and Administrators at the beginning ofschool year.

Pros: • Catch possible inflation of earnings• No additional training needed• Avoids need for employer adjustments

Cons: • Lack of response from employers• May require a special team for reviewing contracts• Staff overwhelmed with additional workload

4. Information Request (IR) to target specific accounts at retirement age with a focus on inflated earnings.

Pros: • Identify accounts that have CC6 lines that have the potential to receive a retirement based on

inflated earnings

Cons: • Without setting thresholds this could inundate both staff and the employers• IR could inundate Valorie’s staff who request IR’s• Time restraints (IR requests can take up to two weeks)• Cost associated with IR requests

13


RECOMMENDATION

Recommendation 1:

After careful review of all of the alternatives, with special consideration of the additional workload for Employer Services staff, the team recommends alternative 2.

After our findings from the Information Request (IR) there were approximately 7,000, CC6 lines for all dollar amounts for the six sample counties. The actual number of CC6 lines to review will be much higher, since we have approximately 60 counties to manage. When the search was narrowed down by the dollar amount of $1,001, there were approximately 560, CC6 lines. Due to the high volume of CC6 lines with a $1,001 minimum this workload would overload staff. Our recommendation is to develop a team of Pension Program Analysts, Associate Pension Program Analysts (approx 5-6), with a focus primarily on CC6 lines with a dollar amount of $1,001 or higher. We recommend that the Special team request contracts for all Administrators and Superintendents at the beginning of each school year. This process might need management to draft a circular or directive to notify the employers of this new procedure.

Having a special team will allow time to analyze and review contracts per California’s Education Code. The special team would be able to request additional information from employers when needed, follow- up and document, and monitor and track trends to avoid possible reporting issues.

Alternative 2 will create new opportunities for advancement for staff.

Implementation:

• Funding• Circular/Directive• Contracts would be requested for all Admin and Super at the beginning of School year• Space• New Hire Process• Job Announcement• Interviews/hiring• New Procedure/Job aid• Training• Re-assignment of current staff

Recommendation 2:

The team discussed several alternative solutions and found that we had strong reasons to support two of the alternatives. The following information presents the case for implementation of Alternative # 1.

Staff has a high volume of work, much of which is time consuming. Current workload coupled with the high volume of CC6’s reported every month, demonstrates the need for a dollar limitation on which CC6’s should be addressed. A $1,001 amount limit narrows the quantity of CC6’s to verify. (See attachment A). A procedure to request the contracts for all administrators and superintendents at the beginning of each school year would be a proactive approach to identify potential inflated earnings.

The procedure to request all contracts may require a written directive or circular to employers.

14


To document the verification of CC6’s staff should scan copies of the contracts into the imaging database. We recommend the addition of a CC6 event type to the Event Tracking screen in the START database. Staff may enter comments to the members account and management can access the comments made by staff. Folders can be created for every county on the G drive. The new folders will be stored in the same location as the approved edits statistics. Within these folders each county will have a spreadsheet that tracks all accounts with CC6’s that have been verified. For a sample of spreadsheet (See attachment B)

Implementation:

• Creating an Excel spreadsheet• CC6 Event type added to START• Training on new process• New Job Aid

15


16

The 7-Step Method w/Components

7-Step Process

1 Identify the problem, need, or opportunity

Issue/Problem

Objective

2 Gather or compile information about the problem.

Methodology

3 Organize information for review and consideration.

Scope

4 Analyze or evaluate the information.

Analysis

Conclusion


17

7-Step Process

5

Develop alternatives.

Alternatives

6

Select the best possible solution.

Recommendation

Client

7

Implement the recommended solution and monitor results.

Implementation


18

Step 1: Identify the Problem

A physician begins an examination by looking carefully at circumstances, events, or conditions that may indicate an underlying problem. Describing these symptoms (usually in writing) helps the physician to look for causes and cures. In the same way, an effective problem solver begins with the outward indications of the problem. This step helps to expose false leads and guard against jumping to a solution. In team problem solving, a clear description helps everyone start from a common understanding of the problem Purpose (Why are we doing this?)

➢ To ensure that everyone involved reaches consensus on what the problem is

➢ To help everyone start from a common understanding of the problem

➢ To prevent jumping to solution mode

Output (A result that indicates completion of this step)

➢ A problem statement on which everyone agrees

Criteria (Does the problem statement meet these standards?)

➢ It answers, “What’s wrong?”

➢ It answers, “So what?”

➢ It is concise (no more than two or three sentences).

➢ It is measurable.

Procedure (Questions to ask and answer)

➢ What are the symptoms you have observed?

• Write down the outward indicators of the problem.

➢ What is the impact of the symptoms?

➢ What problem do the symptoms indicate?

➢ What is the problem statement?


19

Exercise: Are these good problem statements? Why or why not? If not, re-write them to meet the criteria for good problem statements.

1. Inventory levels are too high and must be reduced.

2. Human resources is taking too long to fill personnel requests.

3. Our hospital has a problem with the number of insurance claim forms

submitted with errors to the insurance company.


20

Exercise: Create a Problem Statement

ABC Airlines current passenger boarding system is an inefficient use of the company’s time and resources. By wasting employee hours, the current boarding protocols make the company less competitive, and by contributing to a slow boarding process, they create an unfavorable brand image.

The inefficiency of the current boarding system represents a significant financial burden for the company. Based on internal performance tracking data, on average, the current boarding system wastes roughly four minutes per boarding session, resulting in a total of 20 wasted hours per day across all ABC flights. Terminal personnel are paid an average of $20 per hour, so this represents a waste of roughly $400 per day, or $146,000 per year.

What is the basic need?

What is the desired outcome?

Who are the stakeholders?

Symptoms to be changed

How will you measure progress or success?

Problem Statement


21

Step 2: Gather Information

To solve a problem, you need to understand its cause(s). Suppose your favorite plant is dying. You can’t make it green again until you understand what made it turn brown. Is it too dry? Does it have a fungus? Gathering relevant data and information (qualitative or quantitative) is a critical step in supporting the analysis. Asking questions (such as the 5 Ws) can help identify problems as well as help to focus efforts in data collection.

Here are some questions to consider when gathering information.

1. What information do you need?

What is relevant to the purpose, issue or opportunity? For example, which systems, business processes, services, products, or publics might be impacted by the change?

Other good questions for communication include

• Who is impacted?

• What are the impacts?

• When does this issue occur?

• Where does it occur?

• Why is the issue occurring?

• How does it currently work?

Remember your audience and identify what information they might need based on their knowledge and experience.

2. How much information do you need?

Generally, the more complex or high-risk the task, project, or opportunity, the more research and information gathering you'll want to do.

3. Where is it located? What are the relevant and reliable sources you can access?

Examples might include: SharePoint, shared drives, email, Internet, databases, books, published research, surveys

4. If it doesn't exist, how can you get it?

Do you need to interview someone? If so, who? Do you need to track business interactions? If so, what?

5. How much time do you have to pull it together?

This will vary given how much time you were given by your sponsor or manager and the type of information you have access to.


22

Step 3: Organize Information

This research step involves filtering information, determining what is and isn't relevant, and noticing patterns. Most of the time it occurs naturally. The basic process for evaluating qualitative data: 1. As you gather data or conduct research, take note of themes and patterns.

Themes could be recurring thoughts or observations. Patterns might include repeated content such as words and phrases. Quantitative data related to the topic should be collected, analyzed, and categorized as well (e.g., measurements of quantity, quality, time, or cost).

2. Anything that lies outside of the main problem or research question can likely be removed from the data set.

3. Try to include others in the process where appropriate in order to gain a variety of perspectives, rather than just your own observations.

4. Separate the data into groups based on observed themes and patterns. Start with broad categories and sort into subcategories. There is no set way to do this; your own subjective opinions and observations will guide you.

5. Analyze and display the information in a way that your audience will understand.

Questions to Improve Your Information Filter How data is filtered can sometimes lead to incorrect conclusions. Here are some questions to ask that will guide you to filter more correctly.

▪ Is the source reliable?

▪ Does the data make sense?

▪ Is it accurate?

▪ What is opinion and what is fact?

▪ Is this a typical example/experience?

▪ Have I made assumptions or let my bias factor into my analysis?

▪ Does data exist that is contrary to what I’ve observed?

▪ Have I considered or asked for the perspective of others?


23

Step 4: Analyze Information

There are many ways to analyze information. Sometimes it is simply a list of alternatives with the pros and cons listed for each. Other times, complex statistical modeling and research methods are required. Sometimes it is just separating facts from opinions. What are some of the tools commonly used in your workplace for analyzing information?

Data Analysis Tools Check Sheets are a form (document) used to collect data in real time at the location where the data is generated. The data it captures can be quantitative or qualitative. When the information is quantitative, the check sheet is sometimes called a tally sheet.


24

A Run Chart is a graph that displays observed data in a time sequence. Often, the data displayed represent some aspect of the output or performance of a manufacturing or other business process.

Control Charts in statistical process control are tools used to determine if a manufacturing or business process is in a state of statistical control.


25

Trend analysis compares one or more data set(s) over a significant period of time in order to detect patterns in data and predict the future direction of data.


26

Bar charts (aka bar graphs) help compare the values (most often indicated in raw numbers or percentages) of several items in a group at a given point in time. A higher bar indicates a higher value for that item.


27

Scenario

The results from the all employee survey included some potentially relevant information regarding employee recognition.

2013 All Employee Survey: Perceptions of Workplace Recognition Given

Type of Recognition Supervisors Say They Give

Employees Say Supervisors Give

Gives privileges 52% 14%

Gives more responsibility 48% 10%

Gives a pat on the back 82% 13%

Gives sincere and thorough praise 80% 14%

Trains for better jobs 64% 9%

Gives more interesting work 51% 5%


28

Pareto Charts are a type of chart that contains both bars and a line graph, where individual values are represented in descending order by bars, and the cumulative total is represented by the line. Pareto Analysis is a simple technique for prioritizing possible changes by identifying the top causes that need to be addressed to resolve the majority of problems (aka the 80/20 rule). Once the predominant causes are identified, then tools like an Ishikawa Diagram (aka fishbone diagram) can be used to identify the root causes of the problem.


29

Scenario

The Quality Assurance Office has collected data that identifies customer satisfaction issues related to wait time. In the third quarter of 2013, Regions II and VI had the highest levels of dissatisfaction.

3. Was wait time satisfactory? Regions Yes No

I 80% 21% II 39% 61% III 70% 30% IV 71% 29% V 96% 4% VI 51% 49% VII 88% 12% VIII 87% 13%

Additional research yielded the following data for Region II.

# Category Frequency Percent Cumulative %

2 Appointment not recorded correctly

582 30.9

7 Staff had to consult with supervisor frequently

434 23.1

3 Appointment not recorded 227 12.1

1 No appointment; office appeared understaffed

212 11.3

5 Staff engaging in chitchat with customers

141 7.5

6 Computer Down 126 6.7

4 Forms not readily available 109 5.8

8 Other / Miscellaneous 50 2.7


30

Title:

All conclusions involve some assumption, so it is rare to be 100% certain about root causes. Once root cause analysis is complete, alternatives can be considered that best fit the scope of the problem.


31

Step 5: Develop Alternatives

Alternative solutions span the acceptable range of cost, schedule, and performance. Selection criteria typically address costs (e.g., time, people, money), benefits (e.g., performance, capability, effectiveness), and risks (e.g., technical, cost, schedule). Considerations for detailed alternative solutions and selection criteria often include:

• Legality/potential for lawsuit • Alignment with strategic goals, vision, mission • Cost • Technical performance • Technology limitations • Risk • Automated systems impact • Capabilities and limitations of end users and operators • Stakeholder impact • Politically acceptable

When performing alternatives comparison, it is a good idea to use an organized, structured approach. The use of objective, relevant criteria that is well-documented will provide you with a record of how you arrived at the recommended solution and can help when attempting to verify facts and conclusions. Strategic Thinking Exercise: SWOT Analysis Imagine that your department is conducting a general SWOT Analysis in order to better understand its Strengths, Weaknesses, Opportunities, and Threats, and to identify alternatives for improving its ability to accomplish its mission. Use the worksheet on the next page to perform the analysis.


32

Strengths What do you do well? What unique resources can you draw on? What do others see as your strengths?

Weaknesses What could you improve? Where do you have fewer resources than others? What are others likely to see as weaknesses?

Opportunities What opportunities are open to you? What trends could you take advantage of? How can you turn your strengths into opportunities?

Threats What threats could harm you? What is your competition doing? What threats do your weaknesses expose you to?


33

Decision Analysis Exercise: Force Field Analysis Using one of the opportunities from the previous page, conduct a force field analysis to consider the forces for and against making this change. After scoring the items to apply “weight,” come up with a list of 3-5 action items assuming your department was going to move forward with the opportunity.

Forces FOR Change

Score Change Proposal

Forces AGAINST Change

Score

Total Total

Action Items:


34

Step 6: Select the Best Possible Solution

Select and plan the solution that has the greatest impact on solving the problem and that best fits the objective, scope, and criteria. The solution should be supported by analysis, obviously, but the best solution might not always be possible.

Barriers to the Best Solution When considering whether you have addressed applicable barriers, you can use the table below as a quick checklist.

Barriers Checklist Yes/No

Biases I have checked for my biasesand taken appropriate actionto limit their influence.

I have a plan to deal withpeople that may cause meproblems.

If not, stop and make sure you are being objective.

Environment I have considered the effectsof the office, agency,constituents, andenvironment.

If not, review the environment(s) and address them appropriately.

Financial I have considered all costsfor each alternative includingshort and long term as wellas return on investment forthe taxpayer/client.

If not, do that before you go any farther.

Infrastructure I have considered alltelecommunication, building(disabled persons access),computer, roadrequirements, etc.

If not, consult with SMEs before you go any further.

Politics I have considered the impactto, or effect on my leader, theleadership team, theorganization, law orregulatory changes, etc.

If not, conduct a Force Field Analysis or stakeholder analysis, as needed.


35

Decision-Making Exercise: Grid Analysis You have been tasked to come up with a recommendation regarding which classroom alternative is best for the school district. Using the information below, use grid analysis to decide on a recommendation to give to your manager. The district is experiencing an increase in student population and follows a traditional schedule (Fall – September through December and Spring – January through June.). There is enough money in the district budget to cover any of the options. You are given this problem in March and any of the actions associated with alternatives must be completed before September in time for the classroom to be used. The classroom is to be used by grades 7-9. Alternatives for Consideration:

1. Build new classroom, cost $250,000. Time to construct – 9 months. Size 30 students. Facilities – bathroom self-contained. Built in PC projection system.

2. Modify existing classroom, cost $175,000. Time to construct – 5 months. Size 25 students. Facilities – bathroom shared with another class.

3. Rent modular, cost $50,000 per year. Time to install – 2 months. Size 30 students. Facilities – bathroom self-contained. Built in projection system additional cost - $10,000.

factors

Total

weights

-----------

Alt. 1

Alt. 2

Alt. 3


36

Step 7: Implement and Monitor Results

A solution consists of a good idea plus the coordinated efforts of the people who will make that idea a reality. Solving problems, therefore, requires a clear plan with work steps and schedule, which encourages commitment to make the solution work. This may be in narrative form, work-plan format, or by using project management best practices.

Post-Project Review (aka Post-Mortem)

The post-project review is an audit during which the project team evaluates the project as objectively as possible. The end result of the review is documentation that provides a final project accounting to management and a project history as an aid to future project teams.

Date: Attendees:

Problem Statement Cause(s) Solution(s) What did we do well? What could we have done better? What did we learn? Are further actions required? If so, list them below along with owner. Who needs to know the results of this meeting? How will we communicate the results?


37

Case Study: Salisbury Public Works Department


38


39


40


41


42


43


44


45

The 7-Step Method Applied

Scenario: Resolving Customer Complaints

Because of recent publicity concerning licensing violations, the Governor has taken an interest in what your department—The California Department of Public Health (CDPH)—is doing. Due to the seriousness of two of the violations, the news media, special interest groups such as “Take Care of Californians”, “Freedom from Government Regulation”, “Managed Health Care Association”, and many other organizations that represent all facets of the public health sector are also asking questions and paying close attention to your department. As a result, the Governor has started to pay increased attention to all complaints concerning CDPH in general, and one of his aides is currently looking into the issues. To make matters worse, the Legislature has appointed a committee to look into the situation.

You are working with a special team set up to deal with customer complaints called the Public Inquiry and Response Unit (PIRU) in the Administration Division. The PIRU is responsible for analyzing complaints that come from service providers, the general public, vendors, lobbying organizations, and anyone else that has a complaint about services provided by CDPH. PIRU findings are reviewed on a regular basis by the Director of the Administration Division, as well as the Chief Deputy Director of Administration and Licensing.

CDPH

License Processing Unit (LPU)

Customer Complaint

Department (CCD)

Public Inquiry & Response Unit

(PIRU)


46

Your team’s job is to provide some insight into where the bulk of the problems are coming from and what the primary causes are. Your team must also prepare recommendations for reducing the number of complaints and improving the image of the CDPH.

To start, your team gathered information and started keeping track of the complaints as they were received. For the last few months, you have noticed that complaints received on a monthly basis have ranged from 150-875 in volume with an average of 275. You want to know more about where the complaints are coming from, what is causing them, and what types of complaints are being received. In addition, you are interested in determining the potential root causes and looking for potential solutions. Average complaints per month have varied over the last five years with no identifiable pattern.

Year Total Complaints Received

2013 1200

2014 1500

2015 1800

2016 2000

2017 2500

2018 2800

2019 3300

Data for years prior to 2013 is not available. The number of licenses issued in 2013 was 24,000 and the volume has increased by 5% each year since then. The total number of license applications has risen about 10% per year in the same timeframe.

A preliminary review of the complaints indicates that they fall into multiple categories. Further research is needed to arrive at any conclusions or recommendations.

Additionally, information you have found related to accuracy and timeliness of licensing processing indicates that processing error rates over 5% are indicative of potentially serious problems. In general, accuracy rates of 97% or higher are considered acceptable. A two-month sample of licenses applied for and issued (250) was taken for analysis. The average turnaround time from license application to issuance is approximately 45 days and is the Department standard.

From discussions and a review of generally-accepted customer service standards, you have found out that callers can tolerate hold times for less than two minutes, but once they are on hold for over two minutes, they begin to perceive that they are not getting good customer service.

Your team decided to take a random sample of data from a database created from a call monitoring system. The system captures the reason for the call and time on hold as well as the number of calls not terminated by the caller (captured


47

as dropped calls). Note: The system only tracks calls to the Customer Complaint Department.

As you reviewed these complaints they ranged from callers being put on hold to license information being unavailable, courtesy, incorrect license information, etc. The information in the table below was developed from data tracked by the computer phone call tracking system. Your query generated the data displayed below for a one-month period.

Courtesy-related 105

Licenses unavailable (within 45 days of application) 175

Incorrect charges calculated for licenses 65

Being put on hold for more than two minutes 30

Being put on hold for more than five minutes 50

Being put on hold for more than ten minutes 110

Incorrect license issued (wrong facility or person) 25

Licenses issued to ineligibles 45

Dropped calls (requiring the callers to make a follow-up call)

95

Miscellaneous 35

Total 735

Your study of the problem, personal observations, and discussions with staff in the Customer Complaint Department (CCD) identified that turnover is most likely one of the problems. Of all the people currently working in the unit (10 Customer Complaint Specialists [CCS]), three of them have been with the unit for less than three months. Department standards indicate that there is a six-month probationary period. You also found out that the employees get one week of training on the computer and one week of OJT with an experienced specialist before they begin handling calls by themselves. Compared to other call center training programs, this appears to be considerably less than the norm.

A physical analysis of the office layout indicates that the cubicles are arranged so that the supervisor can observe the specialists (see diagram next page). There is an area for storage and meetings, an area containing vacant cubicles, and a reference library, located next to the supervisor’s cubicle. Another observation revealed that each of the specialists has to access a big binder located in the reference library to look up codes. They use the PC in their cubicles to access a program that provides billing status. Their phones have wired headsets.

What do you think the recommendation of the PIRU ought to be?


48

Office Diagram

CCS

CCS

CCS

CCS

CCS CCS CCS

CCS

CCS

CCS


49

Action Plan

References: 1. FM 101-5, the Army Staff Officer Guide 2. “The Memo” by John Yoest 3. www.wikihow.com/Write-a-Problem-Statement 4. hbr.org/2012/09/are-you-solving-the-right-problem 5. www.mindtools.com 6. www.dummies.com/how-to/content/how-to-write-a-problem-statement-for-six-

sigma.html a. Inventory levels at the West Metro inventory storage process in

Scottsdale are consuming space, taking up asset management time, and creating cash flow issues. Inventory levels are averaging 31.2 days, with a high of 45 days. These levels have exceeded the target of 25 days 95 percent of the time since January 2012. $250,000 could be saved per year if inventories were at the targeted level.

b. Recruiting time for software engineers for the flight systems design department in San Jose is missing the goal of 70 days 91 percent of the time. The average time to fill a request is 155 days in the human resources employee recruitment process over the past 15 months. This delay is adding costs of $145,000 per month in overtime, contractor labor, and rework costs.

c. Insurance claim forms originating at the Fremont North Memorial emergency department are causing a loss of revenue, excessive rework costs, and delayed payment to the hospital. Forty-five percent of the claim forms have errors, with an average of 2.3 defects per form.


50

“What’s Your Problem Statement?” Lyrics by David Sanderson to the tune of “Everybody Dance Now” by C+C Music Factory

What’s your problem statement? Let’s find solutions Let’s find solutions What’s your problem statement? Here is the goal Get back to the basics For us to thrive and advance we can’t waste time On the wrong things so don’t try to Jump to solutions, jump, jump to solutions jump So define and take your time Get the team aligned you’ll find you’re set to shine We’ll leave assumptions behind All must understand the problem at hand For us to focus and make a good plan So describe in a measurable way And visually show the state of today The team will share and all will care Everybody over here everybody there This is what it takes if we want to move Party people this is how we improve Clarify Improve Get aligned Ideas we’ll vet, baby Have alignment as your goal

Communication moves you Vet, vet Let process take control, communication moves you What’s your problem statement? Pause, before you try to find the cause The team’s respect will now be yours Collect their thoughts and they will feed The statement that will succeed Here’s my advice: keep your words concise, be more precise And don’t forget to be nice Possibilities will flow when those who know are polled The problem will then unfold Ask till you can’t ask till you can’t ask no more So you can get to the core Don’t forget to write it down, ready now Come on let’s go improve Clarify Improve Get aligned What’s your problem statement?

Documents

Completed Staff Work - losriostraining.org · Completed Staff Work . 2 . History of Completed Staff Work . The Completed Staff Work (CSW) process is based on practices used by business,