A3 Management (Part 2 of 2)

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Lean Webinar Series
A3 Management – Part II
September 30, 2010
1

© 2010 Karen Martin & Associates
Your Instructor
 Early career as a scientist; migrated to
quality & operations design in the mid-80’s.
 Launched Karen Martin & Associates in
1993.
 Specialize in Lean transformations in non-
manufacturing environments.
 Co-author of The Kaizen Event Planner;
co-developer of Metrics-Based Process
Mapping: An Excel-Based Solution.
 Instructor in University of California, San
Diego’s Lean Enterprise program.
2
Karen Martin,
Principal
Karen Martin &
Associates

Agenda
Part I - Tuesday, September 28
 A3 Overview
 “Plan” stage of PDCA
 Root cause analysis
Part II - Thursday, September 30
 “Do-Check-Act” stages of PDCA
 How to accelerate building problem owners’ and coaches’
capabilities
 Common problem-solving pitfalls
3

PDCA: Plan Stage
4
Primary
problem-solving
role:
Investigator

PDCA: Do-Check-Act Stages
5
Primary
problem-solving
role:
Director

Common Components of the A3 Report
Theme: ________________________________ Owner: ________________________________
Plan Do, Check, Act
Background
Current Condition
Countermeasures / Implementation Plan
Effect Confirmation
Follow-up Actions
Target Condition / Measurable Objectives
Root Cause & Gap Analysis

Common Components of the A3 Report
Theme: “What is our area of focus?” Owner: Person accountable for results.
Plan Do, Check, Act
Background
Current Condition
Effect Confirmation
Follow-up Actions
• What?
• Who?
• When?
• Where? (if relevant)
Target Condition / Measurable Objectives
• Diagram of desired state
• Measurable targets – how will we know that
the improvement has been successful?
• Diagram of current situation or process
• What about it is not ideal?
• Extent of the problem (metrics)
• Problem statement
• Context - why is this a problem?
Root Cause & Gap Analysis
• Graphical depiction of the most likely direct
(root) causes
• What measurable results did the solution
achieve (or will be measured to verify
effectiveness)?
• Who’s responsible for ongoing
measurement?
• Where else in the organization can this
solution be applied?
• How will the improved state be standardized
and communicated?

Building a Lean Enterprise
Process
Stabilization
Tools

Building a Lean Enterprise
Flow-Enabling
Tools

Once you know the root cause,
brainstorm and prioritize solutions
1. List relevant countermeasures.
2. Eliminate those that aren’t possible.
 Regulatory, budgetary, resource availability,
system capability, etc.
3. Combine those that are similar.
4. Number the countermeasures sequentially.
5. Place countermeasures accordingly on the
PACE Prioritization Grid.

PACE Prioritization Grid
High Low
Anticipated Benefit
EaseofImplementation
DifficultEasy
20
7
5
13
4 23
1
228
9
2
10
16
11
6
12
14
19
15
17
3
21
18

 Consider all options
 Be innovate – be willing to challenge your paradigms & help
others challenge theirs.
 Make sure the countermeasure is directly very
specifically to the root causes.
 Make it clear exactly what will be done – by whom, by
when, where, how, in what order, etc.
 Aim for full implementation by a certain date.
 The problem owner’s role shifts to advocate and project
manager.
 Cross-functional involvement & consensus is a key
success factor.
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Implementation /
Countermeasures

Sample Implementation Plan
Task Type Accountable
Implementation Schedule (weeks)
Progress
Date
Complete1 2 3 4 5 6 7 8 9 10 11 12
Create visual board to track KPIs. KE Mary W.
100 25
75 50
Clearn up data base. Proj George S.
100 25
75 50
Create self-quality checklist. KE Sally R.
100 25
75 50
Create standard template. KE Sally R.
100 25
75 50
Modify weekly report. JDI Bruce M.
100 25
9/22/2010
75 50
100 25
75 50
100 25
75 50
100 25
75 50
100 25
75 50
100 25
75 50
Type: JDI = Just do it; KE = Kaizen Event; Proj = Project
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Sample A3

The A3 Report:
Effect Confirmation
Tie confirmation directly to the target condition.
Define 2-5 key performance indicators (KPIs).
Determine ways to verify the effectiveness of the
countermeasures, one by one if possible.
Plan in advance for the data that will need to be
collected.
Identify who will help collect the data and how
frequently.

The A3 Report:
Follow-up Actions
How will you communicate the new process?
Who will monitor the process?
Which metrics will be used to measure ongoing
performance?
Look for similar processes within the department
and across the organization that can benefit from
these countermeasures
Ensure ongoing improvement – who will do this?
Share the wealth!
 Communicate results across the organization and teach
others to problem-solve via the A3 process
18

Sample Effect Confirmation Option
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Metric
Current
State
Projected
Future State
Projected %
Improvement
Actual
Results *
Actual %
Improvement
Lead Time 36 Days 16 Days 56% 20 Days 44%
Rolled First Pass Yield 55% 75% 36% 80% 45%
Scrap $1.2 M $0.5 M 58% TBD TBD
Labor Effort 5.6 FTEs 3.0 FTEs 46% 3.8 FTEs 32%
* Measured by Sally Turner on 8/20/2010; monthly measurement;
improvement efforts continuing.

Effect Confirmation & Follow-up
20

Sample A3
Effect Confirmation & Follow-up Actions
Follow-up Actions
Effect Confirmation

Deming’s PDCA Cycle
Plan
Do
Check
Act
Develop
hypothesis
& design
experiment
Conduct
experiment
Measure
results
Analyze
results &
take
appropriate
action

Using A3 to develop
organizational
capabilities
24

The Role of the A3 Coach
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Coaching and Mentoring
Coaching is working in partnership to facilitate
learning, improve performance, and create
desired results.
 Primarily in service of the A3 owner’s development.
 To this end, what will be most supportive?
Mentoring is the process for imparting subject
matter expertise and wisdom to a less
experienced person.
 Primarily in service of achieving results.
 More of a one-way, training-driven relationship
Begin with coaching; move into mentoring as
needed.
26

Mentoring RelationshipCoaching Relationship
?
?
Focus: Asking questions Focus: Providing information
Wisdom Wisdom
Coach Coachee Mentor
?
? ? ?
Mentee

Problem-Solving Proficiency
Needed
Lean analytical, process design, and
implementation tools
Data analysis
Visual display of data
Project & time management
Team building / people skills
Change management skills / psychology
28

Coaching vs. Mentoring
Coach Mentor
Purpose Growth/development; helping people realize their potential,
while also generating results
Role Teacher/consultant; learning/thinking partner
Relationship Built on respect and trust; supportive in nature
Process Drawing out knowledge that
resides within coachee
Sharing knowledge that
resides within mentor
Questioning; coach engages
in inquiry to guide the
coachee
Telling; Mentor shares
expertise, offering answers
and solutions
Focus Primary: Developing strong
problem-solvers
Secondary: Assuring the
problem is thoroughly
dissected and solved
Primary: Assuring the
problem is thoroughly
dissected and solved
Secondary: Developing
strong problem-solvers

The Wisdom Comes in Knowing When
to Coach and When to Mentor

Types of Coaching
Owner’s Problem-Solving
Skill Level Focus During Session What to Ask / Do
Problem-solving is spot on. Coaching
Goal: “Thought
partners”
“How’s it going?”
“What’s working well?”
“What’s not?”
“What have you learned?”
“What’s been most
surprising?”
“What are you doing next?”
“Do you need any help?”
Problem-solving is off course
and needs correction.
Coaching & Mentoring
Goal: Get person back
on track
Probe using Socratic
questioning. Focus on one
or two areas of the A3.
Problem-solving is on track
so far, but owner’s having
difficulty taking next steps.
Coaching & Mentoring
Goal: Build confidence;
remove obstacles;
create an action plan
Use Socratic questioning to
help person realize his/her
strengths & grow
competencies; provide
mentoring for knowledge
transfer (e.g. specific tools).

Why should we avoid telling
people what to do?
It robs them of the opportunity to think
through the problem themselves.
It deprives them of ownership of the
problem.
You might be wrong.
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Socratic Questioning
Named for Socrates
Based on his belief that the
most effective learning results
from a disciplined practice of
thoughtful questioning.
 Way of assuring “rigorous
thinking”
Open-ended questions that
cause the learner to think
deeply.
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Questioning “Don’ts”
Masked recommendations
 “Leading the witness”
 Disguising your recommendation as a question (and
thinking that counts as a question)
“Run on” questions
 Long questions that contain multiple questions
“The inquisition” – asking question after question
 Instead of pausing and allowing the person to answer
Closed-ended questions
 That can be answered with yes, no, or a word or two.
34

Questioning “Don’ts”
Harsh or judgmental tone
Multi-tasking or half-listening instead of
engaging the person in a focused dialogue
If the problem owner asks, “What do you
think?”, don’t take the bait!
35

Building Organizational Capabilities –
Model 1 – Leadership Development
 Pre-select 4 problems related to annual business goals.
 Break into 4 teams; team lead is the problem owner; others
play dual role, focused primarily on building coaching skills.
 1-day workshop – learn P stage of PDCA.
 4-6 weeks to work on projects; heavy support throughout
from seasoned coach/mentor (2nd coach).
 1-day workshop – teams present progress; much discussion;
learn DCA stage of PDCA.
 4-6 weeks to work on projects; heavy support throughout
from seasoned coach/mentor (2nd coach).
 1-day workshop – teams present progress; focus on
sustainability and spreading the learning across the
organization.
36

Building Organizational Capabilities –
Model 2 – One-on-One Development
Specific problem is selected.
Identify problem owner and coach/mentor (typically
the project owner’s direct supervisor).
Seasoned coach/mentor serves as either:
 “2nd coach” – coaches the coach (if coach is skilled in
improvement tools)
 Primary coach to problem owner, with side-bar coaching
discussions with coach.
Support from seasoned coach is heaviest during the
P stage of PDCA.
37

How A3 Shifts Culture
Cross-functional engagement
Root cause analysis helps break the
“band-aid syndrome”
Learning together
Alignment with organizational strategy
Coaching role of leadership helps move
them away from tactical involvement
38

Common Problem-Solving Pitfalls
Problem isn’t tied to key business goals.
Problem owner isn’t proficient in analytical and
improvement tools.
Coach isn’t proficient in analytical and
improvement tools.
Consensus isn’t built throughout the process.
A3 drags on forever.
A3 used for everything.
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Comment on how A3s and VSMs relate to one another, and which
one to turn to in the beginning.

Key Success Factors
 Engage all stakeholders from the beginning.
 They must clearly understand why “this” is a problem.
 Gain consensus every stage of PDCA.
 Keep leadership from getting into tactics.
 Their role is strategy and policy.
 Test/experiment before rolling out an improvement.
 Assign clear accountability for monitoring the improved
state and continued improvement.
 Avoid moving forward until true root cause is known.
 Establish measurable targets.
 Develop leaders into engaged and active coaches/mentors.
 Share the process company-wide.
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In Summary
The A3 process should become a
standardized form of currency for problem-
solving, dialogue, and decision-making in
your organization – creating an organization
of “scientists” who continually improve
operations and achieve results through
constant learning from the work at hand.
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Other A3 Applications and
Common A3 Components
Proposal
 Theme
 Background
 Current Condition
 Analysis and Proposal
 Plan Details
 Unresolved Issues (if
relevant)
 Implementation
Schedule
 Total Effect
Status Report
 Theme
 Background
 Current Condition
 Results
 Unresolved Issues /
Follow-up Actions
 Total Effect
During Kaizen Events

Professional Development A3
43

© 2010 Karen Martin & Associates 45
Karen Martin, Principal
7770 Regents Road #635
San Diego, CA 92122
858.677.6799
ksm@ksmartin.com
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