Pguide Completed Staff Work Calhr August 2020 VILT

Completed Staff
Work
Part of the CALHR Analyst Certificate Program
California Department of Human Resources

Statewide Training
www.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 Bruce Winner

Government Training Center 916.563.3232
www.LosRiosTraining.org winnerb@losrios.edu
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
Completed Staff Work
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
1
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.
2
Government Training Academy
Custom training division of Los Rios Community College District
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.
Bruce Winner The Los Rios Community College District’s

916.563.3232 Government Training Center
winnerb@losrios.edu www.LosRiosTraining.org
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.
3
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?
4
CS
W
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.
5
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?
6
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.
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
7
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
8
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
9
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 writing
2. Organizes written ideas clearly.
3. Tailors written communications to effectively reach an audience
4. Uses graphics and other aids to clarify complex or technical information
5. Spells correctly
6. Writes using concrete, specific language
7. Uses punctuation correctly
8. Uses proper grammar
9. 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?
10
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
Our Mission: Securing the Financial Future and Sustaining the Trust of California’s Educators
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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 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 reports in SEW. In addition to the spreadsheet, a CC6 event type would be added to
START.
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 team
will focus on working with all counties requesting contracts at the beginning of each school year. This team would also
review and verify all contracts, and identify and track any trends that may lead to enhancing a member’s account.
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12/2/10
Page 3 of 5
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 of
school 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
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12/2/10
Page 4 of 5
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
12/2/10
Page 5 of 5
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
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
16
7-Step Process
5 Develop alternatives.
Alternatives
6 Select the best possible solution.
Recommendation
Client
7 Implement the recommended solution and monitor results.
Implementation
17
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?
18
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.
19
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
20
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 What is relevant to the purpose, issue or
you need? 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 Generally, the more complex or high-risk the task,
information do you project, or opportunity, the more research and
need? information gathering you'll want to do.
3. Where is it located? Examples might include: SharePoint, shared drives,
What are the email, Internet, databases, books, published
relevant and reliable research, surveys
sources you can
access?
4. If it doesn't exist, Do you need to interview someone? If so, who? Do
how can you get it? you need to track business interactions? If so, what?
5. How much time do This will vary given how much time you were given
you have to pull it by your sponsor or manager and the type of
together? information you have access to.
21
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?
22
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.
23
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.
24
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.
25
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.
26
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 Employees Say

Say They Give 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%
27
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.
28
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 582 30.9
correctly
7 Staff had to consult with 434 23.1
supervisor frequently
3 Appointment not recorded 227 12.1
1 No appointment; office 212 11.3
appeared understaffed
5 Staff engaging in chitchat 141 7.5
with customers
6 Computer Down 126 6.7
4 Forms not readily available 109 5.8
8 Other / Miscellaneous 50 2.7
29
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.
30
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.
31
Strengths Weaknesses
What do you do well? What could you improve?
What unique resources can you draw on? Where do you have fewer resources than others?
What do others see as your strengths? What are others likely to see as weaknesses?
Opportunities Threats
What opportunities are open to you? What threats could harm you?
What trends could you take advantage of? What is your competition doing?
How can you turn your strengths into What threats do your weaknesses expose you
opportunities? to?
32
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 Score Change Forces AGAINST Score

Change Proposal Change
Total Total
Action Items:
33
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 biases If not, stop and make sure
and taken appropriate action you are being objective.
to limit their influence.
 I have a plan to deal with
people that may cause me
problems.
Environment  I have considered the effects If not, review the
of the office, agency, environment(s) and
constituents, and address them
environment. appropriately.
Financial  I have considered all costs If not, do that before you
for each alternative including go any farther.
short and long term as well
as return on investment for
the taxpayer/client.
Infrastructure  I have considered all If not, consult with SMEs
telecommunication, building before you go any further.
(disabled persons access),
computer, road
requirements, etc.
Politics  I have considered the impact If not, conduct a Force
to, or effect on my leader, the Field Analysis or
leadership team, the stakeholder analysis, as
organization, law or needed.
regulatory changes, etc.
34
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
35
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?
36
Case Study: Salisbury Public Works

Department
37
38
39
40
41
42
43
44
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
Public Inquiry &

Response Unit
(PIRU)
Customer
License Processing
Complaint
Unit (LPU)
Department (CCD)
45
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
46
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- 95
up call)
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?
47
Office Diagram
CCS CCS CCS CCS
CCS
CCS CCS
CCS CCS
CCS
48
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.
49
“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? Communication moves you

Let’s find solutions Vet, vet
Let’s find solutions Let process take control, communication
What’s your problem statement? moves you
Here is the goal What’s your problem statement?

Get back to the basics
For us to thrive and advance we can’t waste time Pause, before you try to find the cause
On the wrong things so don’t try to The team’s respect will now be yours
Jump to solutions, jump, jump to solutions jump Collect their thoughts and they will feed
So define and take your time The statement that will succeed
Get the team aligned you’ll find you’re set to shine Here’s my advice: keep your words
We’ll leave assumptions behind concise, be more precise
All must understand the problem at hand And don’t forget to be nice
For us to focus and make a good plan Possibilities will flow when those who know
So describe in a measurable way are polled
And visually show the state of today The problem will then unfold
The team will share and all will care Ask till you can’t ask till you can’t ask no
Everybody over here everybody there more
This is what it takes if we want to move So you can get to the core
Party people this is how we improve Don’t forget to write it down, ready now
Clarify Come on let’s go improve
Improve Clarify
Get aligned Improve
Get aligned
Ideas we’ll vet, baby
Have alignment as your goal What’s your problem statement?
50

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Completed Staff

California Department of Human Resources

The Los Rios Community College District’s Bruce Winner

History of Completed Staff Work

Bruce Winner The Los Rios Community College District’s

Shown below is the outline used by military personnel to write an operations

Completed Staff Work Defined

Component Questions to Ask

7 Step CSW Memory Mnemonic

Test for Completeness

Completed Staff Work Competencies

Diagnostic Information Gathering

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

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

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

Case Study: CalSTRS Special

Member Account Services

To: Management Staff

Subject: Special Compensation Verification Process

Alternative 2 will create new opportunities for advancement for staff.

• Creating an Excel spreadsheet

The 7-Step Method w/Components

1 Identify the problem, need, or opportunity

2 Gather or compile information about the problem.

3 Organize information for review and consideration.

4 Analyze or evaluate the information.

6 Select the best possible solution.

7 Implement the recommended solution and monitor results.

Step 1: Identify the Problem

Purpose (Why are we doing this?)

Output (A result that indicates completion of this step)

Criteria (Does the problem statement meet these standards?)

Procedure (Questions to ask and answer)

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

Exercise: Create a Problem Statement

ABC Airlines current passenger boarding system is an inefficient use of the

What is the basic need?

What is the desired

Who are the

How will you measure

Step 2: Gather Information

Here are some questions to consider when gathering information.

Step 3: Organize Information

Questions to Improve Your Information Filter

▪ Is the source reliable?

Step 4: Analyze Information

Data Analysis Tools

Control Charts in statistical process control are tools used to determine if a

Type of Recognition Supervisors Employees Say

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%

3. Was wait time satisfactory?

Additional research yielded the following data for Region II.

# Category Frequency Percent Cumulative %