Kristen Cox, Executive Director, Governor’s Office of Management and Budget (USA) & Greg Gardner, Director of Operational Excellence for Utah Governor’s Office of Management and Budget (USA) @ TOCICO International Public Sector Effectiveness Conference 2013 Vilnius - Overview of the SUCCESS Framework. - Introduction of Utah’s measurement criteria. - Introduction to the SUCCESS Management Information System (SMIS). -Utah’s use of additional tools to assist agencies achieve great results. -Utah’s progress to anchor the budgeting process to performance. - Status of implementing the SUCCESS Framework across Utah’s 24 Cabinet agencies. More information - http://pse.lt

1. How to Implement TOC Principles &
Tools in State Government &
Achieve Great Results: Utah’s Story

2. STATE
OF
UTAH

3. UTAH
STATE
GOVERNMENT
Executive Branch Agencies:
●
●
●
●
●
●
●
●
●
●
●
●
●
Administrative Services
Agriculture
Alcoholic Beverage Control
Board of Pardons and Parole
Commission on Criminal and
Juvenile Justice
Commerce
Corrections
Governor’s Office of Economic
Development
Environmental Quality
Financial Institutions
Health
Heritage and Arts
Human Resources
•
•
•
•
•
•
•
•
•
•
•
Human Services
Insurance
Labor Commission
National Guard
Natural Resources
Public Safety
Tax Commission
Technology Services
Transportation
Veteran’s Affairs
Workforce Services

4. WHAT
WE
BELIEVE

5. SUCCESS
FRAMEWORK
S et measurable goals and targets
U se thinking tools and principles
C reate your strategy
C reate your organization
E ngage staff at all levels
S ynchronize policy and projects
S tay focused
Increased
value
to
the
State
of
Utah
and
demonstrated
excellence

6. RESULTS
● Department of Workforce Services:
Eligibility Services System
o Reduced
opera7ng
expense
by
33
percent
while
absorbing
60
percent
increase
in
caseload
o Reduced
cost
per
case
by
$19.00
o Improved
Quality:
Ranked
among
the
top
ten
in
the
na7on
(up
from
48th)
o Previous
four
percent
of
ques7oned
costs
are
now
at
zero
o Approximately
$14
Million
in
cost
avoidance

7. RESULTS

8. UTAH
GOVERNMENT
GOAL

9. TARGET
and
VISION
“Our
obliga,on
to
the
taxpayer
requires
that
we
con,nue
delivering
outstanding
results
…”
“[Our]
target
is
to
improve
government
opera,ons
and
services
by
at
least
25%
(a
combina,on
of
quality,
cost,
and
throughput)
by
January
2017.”
-­‐
Governor
Gary
R.
Herbert

10. TARGET
and
VISION
THE
TARGET:
25%
improvement
in
performance
over
4
years
using
the
performance
ra7o
–
quality
throughput
/
opera7ng
expense.
QUALITY
Effec,veness,
reliability,
and
accuracy
QT
OE
THROUGHPUT
Capacity
to
serve
or
produce
units
of
work
within
a
given
period
of
,me
OPERATING
EXPENSE

11. SUCCESS
MANAGEMENT
INFORMATION
SYSTEM

12. THROUGHPUT
OPERATING
STRATEGY
WHAT
A
TOS
IS
• A
simple
picture
of
the
system
and
how
it
operates
• A
macro
view
that
captures
the
purpose
of
the
system
• A
one
page
document
of
what
good
looks
like
WHAT
A
TOS
IS
NOT
• A
complex
portrayal
of
a
system
or
a
process
• An
intricate,
detail-­‐oriented
as-­‐is
map
• A
map
that
requires
elaborate
explana7on

13. EXAMPLE:
DOCTOR’S
OFFICE
TOS
STEP
ONE:
Develop
a
high
level
picture
of
the
flow
of
work
for
the
system
Pa7ent
Pull
File
Pa7ent
Check
in
Tes7ng
Diagnose
and
Treat
Treatment
plan
and
check-­‐out
Pa7ent
Prep
Treated
Pa7ent

14. CONSTRAINTS
BASICS
● Constraint:
A
"weak
link"
in
your
system
● Constraints
limit
the
overall
amount
of
throughput
that
the
system
could
otherwise
produce.
● Constraints
can
be
centered
around:
o Boflenecks
o Highly-­‐skilled
resources

15. IDENTIFYING
CONSTRAINTS
THROUGHPUT
INPUTS
A
Units
per
hour
●
●
●
●
B
C
D
E
20
16
10
14
18
How
many
units
can
this
system
produce
in
an
hour?
Where
is
the
system
constraint?
What
would
happen
if
you
increased
capacity
at
B?
What
would
happen
if
you
increased
capacity
at
C?

16. THE
CONTROL
POINT
A
system
map
and
understanding
of
constraints
enables
us
to
look
at
our
opera7on
in
a
more
strategic
way.
Our
improvement
efforts
gain
focus
when
we
select
a
control
point.
The
control
point
is
where
we
choose
to
place
the
constraint
that
regulates
the
throughput
of
the
system.
THROUGHPUT
INPUTS
A
B
C
D
E

17. THE
CONTROL
POINT
Control
Point:
A
strategically
selected
constraint
to
which
you
choose
to
manage
the
opera7on
of
your
system
(not
necessarily
the
most
obvious
constraint).
The
control
point
may
be
determined
by:
●
●
●
●
Highest
skilled
resource
Highest
valued
resource
Highest
value-­‐added
Resource
that
requires
the
most
investment
to
find
or
train
THROUGHPUT
INPUTS
A
B
C
D
E

18. EXAMPLE:
DOCTOR’S
OFFICE
TOS
STEP
TWO:
Iden7fy
the
control
point
Pa7ent
Pull
File
Pa7ent
Check
in
Tes7ng
Diagnose
and
Treat
Treatment
plan
and
check-­‐out
Pa7ent
Prep
Treated
Pa7ent
● What
should
be
the
control
point?
o What
resource
do
you
want
to
maximize?
o What
is
strategically
desirable
to
regulate
the
throughput
of
the
system?

19. EXAMPLE:
DOCTOR’S
OFFICE
TOS
Pa7ent
Pull
File
Pa7ent
Check
in
Tes7ng
Diagnose
and
Treat
Treatment
plan
and
check-­‐out
Pa7ent
Prep
Treated
Pa7ent
● CONTROL
POINT:
Diagnose
and
Treat
o The
doctor's
7me
and
skill
are
the
most
rare
and
therefore,
would
provide
the
biggest
gain
for
squeezing
the
most
out
of
it.
o In
this
system,
clearly
all
func7ons
are
meant
to
support
this
ac7vity-­‐-­‐it
is
the
anchor
of
value
to
the
system.

20. EXAMPLE:
DOCTOR’S
OFFICE
TOS
STEP THREE: Define what good looks like
Pa7ent
Pull
File
Pa7ent
Check
in
Tes7ng
Diagnose
and
Treat
Pa7ent
Prep
What
Good
Looks
Like:
Feeding
The
doctors
always
have
ready
pa7ents
and
everything
they
need
to
treat
them.
What
Good
Looks
Like:
Control
Point
The
doctors
are
spending
a
higher
percentage
of
their
7me
diagnosing
and
trea7ng
pa7ents.
Doctor
is
able
to
treat
more
and
more
pa7ents
effec7vely.
What
Good
Looks
Like:
Following
Pa7ents
move
quickly
from
treatment
to
release;
there
is
very
lifle
wai7ng.
Treatment
plan
and
check-­‐out
Treated
Pa7ent

21. Utah Department of Corrections
Adult Probation and Parole
Throughput Operating Strategy (TOS)
Goal:
Protect the public and reduce recidivism through
evidence-based practices.
Draft 10.09.13 latest
Control Point:
*Agents are spending a higher percentage of
time properly implementing evidence based
practices
*Agents are effectively managing offenders
more and more
Referral
Case Set
Up
Case
Management
Progress or
Violation Reports
T = Supervised offenders exiting AP&P (number of
terminations)
Q1 = Supervised offenders exiting without deepening
(successful terminations)
Q2 = 25% risk assessment reduction at exit from AP&P
O/E = AP&P costs
Feeding the Control Point:
*Agents have a completed and fully accessible case file
*Offender databases are complete and updated
*Case Action Plans are effectively transitioned between institution
and community supervision
*Restitution is determined prior to supervision
*Supervision of offenders is prioritized according to EBP
*Data entry required by agents is minimized
*Case appropriate risk assessments are available and utilized
*More manageable caseload sizes
Termination
Prison/Jail
(prison, court, PSI,
Interstate Compact)
Court/
BOPP
System Exit
Following the Control Point:
*Timely updates of legal status and location occur
*Courts and BOPP provide immediate/appropriate sanctions and
responses
*Revokes/Restarts are updated in case set up
*Courts apply standards consistently
*Offenders have post supervision plans and are accessing
supportive resources when needed
*AP&P staff is providing offenders with positive reinforcement

22. BLUE
LIGHT
● Blue
Light:
A
system-­‐cri7cal
resource
performing
its
unique
value
added
ac7vity
(e.g.
a
welder
welding)
● In
a
TOS,
blue
light
defines
what
good
looks
like
at
the
control
point

23. FOCUSING
STEPS
● Select
the
control
point
● Decide
how
to
MAXIMIZE
the
control
point
○ Produce
more
of
what
it
should
produce
(blue
light)
● Ensure
that
everything
else
can
always
support
the
control
point
● Elevate
the
control
point
○ Add
resources
to
it

24. CONTROL
POINT
How
to
maximize
capacity
at
the
control
point:
●
●
●
●
Make
certain
it
is
doing
what
it
should
be
doing
Make
certain
it
stops
doing
what
it
should
not
be
doing
Make
certain
it
has
the
right
amount
of
work
to
be
effec7ve
Make
certain
it
has
what
is
needed
to
do
the
job

25. INTERFERENCE
DIAGRAM

26. EXAMPLE
GAP
ANALYSIS
FULL
KIT
SCHEDULING
%?
MULTI-­‐TASKING
STAFF
KNOWLEDGE
BLUE
LIGHT
Diagnose
and
Treat
%?

27. AP&P Interference Diagram
Fugitives
Complexity of
Resources
Court
coverage
Firearms
Certification
Inter-Court
transfers
Poor
transitions
Collection only
cases
Incorrect
data entry
Driving
FULL
KIT
Lack of
support
Low Risk
Cases
Maximize
Tech
Extra duties
FTP
Court/Judge
Consistency
Compact Out
Phone calls
Slow/Outdated
computers
Lack of
Turnover
Full Kit
Kiosks
Caseload
size
Fees
No
Misdemeanors
Outdated
policies
Searches
Streamlined
court cases
Restitution
Telecommuting
Probation
special
conditions
Multiple
databases
UCIJIS
Report
duplication
Buy in
Case Managing
with EvidenceBased Practices
Office
locations
Data entry
Violation
Matrix
Evidence
process
Allied
agency
requests Office
Coverage
Feedback
loops
Drug testing
Budget
No O/T
Covering other
agents
Non-essential
paperwork
Committees/
Meetings
Training
PSIs for
non-intake
BOPP
staff
Office
fines/fees
disruptions
Staffing
cases
Warrant
recalls
Audits
Inter-regional
transfers
Inter-regional
communicatio
n
Mapping
Lack of
vehicles/tools
Booking/
Transports
Extraditions
VIACK
Programming/
DIO
Treatment
providers
Offenders not
home
Waiting Lists
Vehicle logs
Length of
supervision
No shows

28. AP&P
GAP
ANALYSIS
FULL
KIT

29. ROOT
CAUSE
ANALYSIS
Doctor is
waiting for
patients
Why?
Test results
are not
ready
Why?
Patients haven't
completed
symptom form
Why?
Patients arrive
without completed
form
The Problem to Address
(the Root Cause)
Why?
Patients don't understand
the consequences of not
bringing completed forms

30. AGENCY
PROGRESS
Addi7onal
modules:
●
●
●
●
●
Accelera7on
Mistake
Proofing/Standardiza7on
Project/Porpolio
Management
Organiza7onal
Design
Throughput
Accoun7ng

31. CCJJ
REPARATIONS
TOS
Goal: To compensate innocent victims of violent crime through timely and quality processing of applications in
accord with statute, rules, and policies, with sensitivity to the victim.
Following the CP
No payments waiting to be paid. Correct
payments are being paid faster and faster.
Feeding the CP
Full kits are always available to Reparation
Officers. Correct Full Kits are flowing to Reparation
Officers faster and faster.
Denial
Application
Receiving
Application
Review
Application
Decision
Determinations
Payment and
maintenance
Control Point
Reparation Officers are
spending their time
producing decisions;
and are spending more
and more of their time
on tasks only they can
do.
Metric QT/OE
Throughput:
Eligibility
decisions
made
Quality:
%
of
eligibility
decisions
made
within
45
day
Vme
standard
OE:
$1,001,664.75
Determination
and Payment
of Benefits
Collections
Restitution
Restitution
More and more collections are being made.
Q, T, & OE Baselines - SFY 2012)
T = 4,364
Q = 57.9%
OE = $1,001,664.75
_____________________________________
Efficiency Quotient= 4,364*.579=2526.756/$1,001.664.75= .00252
25% of Quotient
= .00063
Target Quotient
= .00315

32. FAST
DIAGRAM
CCJJ Reparations - FAST Diagram
RECEPTION
ADVOCACY
APPLICATION
T:
10
minutes
L:
3
days
VERIFY
OBTAIN
FULL
KIT
T:
5
minutes
T:
5
minutes
L:
2
days
L:
17
days
APPLICATION
DETERMINATION
T:
95
minutes
L:
13
days
REPAR
OFF
35
days
CLAIMS
RESTITUT.
OBTAIN
ORDER
T:
30
minutes
L:
1
day
APPLICATION
MAINT
/
PAYMENT
T:
45
minutes
L:
14
days

33. CCJJ
-­‐
AGENCY
RESULTS
Ac7ons
Taken:
• The
system
was
reorganized
to
befer
provide
full
kit
at
the
control
point
-­‐
addressing
the
“internal”
bundle
and
enabling
repara7ons
officers
to
focus
on
producing
eligibility
decisions
(blue
light)
Results
Produced:
• %
of
applica7ons
reviewed
with
45
days
went
from
an
average
of
57.9%
(State
Fiscal
Year
2012)
to
88.1%
in
September
2013.
• Increased
capacity
allowed
CCJJ
to
completely
eliminate
its
backlog.

34. CONNECTING
OPERATIONS
&
THE
BUDGET
PROCESS
● Ensure
investments
in
budgets
result
in
measurable
improvements
● Provide
sound
data
for
budget
decisions
● Create
capacity
in
opera7ons
to:
o Reduce
need
for
addi7onal
budget
requests
o Maintain
adequate
buffer
for
workload
fluctua7ons
o Reduce
opera7ng
expense
where
appropriate
o Reinvest
resources
as
appropriate

35. PROCESS
OF
ON-­‐GOING
IMPROVEMENT
(POOGI)
While
Governor
Herbert
has
set
a
25%
improvement
target,
the
process
of
improving
is
never
complete.
With
never-­‐ending
changes
in
policy,
technology,
demand
and
even
our
own
knowledge,
the
opportunity
to
improve
ALWAYS
EXISTS.

36. gomb.utah.gov

37. ATTRIBUTION
By
Bjørn
Graabek
(nl.wikipedia)
[GFDL
(hfp://www.gnu.org/copylez/fdl.html)
or
CC-­‐BY-­‐SA-­‐3.0
(hfp://crea7vecommons.org/licenses/by-­‐sa/3.0/)],
via
Wikimedia
Commons
By
Na7onal
Park
Service
Photo
(hfp://www.nps.gov/arch/photosmul7media/)
[Public
domain],
via
Wikimedia
Commons
hfps://plus.google.com/u/0/photos/+UtahJazz/albums/5932610237798612625/5932610241807037922?pid=5932610241807037922&oid=105520208319350914817
hfps://plus.google.com/u/0/+UtahJazz/posts
By
Svgalber7an
[Public
domain
or
Public
domain],
via
Wikimedia
Commons
By
Robert
Cufs
from
Bristol,
England,
UK
(0805
The
Capitol
Building
in
Salt
Lake
City)
[CC-­‐BY-­‐2.0
(hfp://crea7vecommons.org/licenses/by/2.0)],
via
Wikimedia
Commons
hfp://pse.lt/porpolio-­‐view/kristen-­‐cox/
hfp://pse.lt/porpolio-­‐view/greg-­‐gardner/