MODEL FOR CASE ANALYSIS

Stage 1

Problem Identification
Identify Client

Stage 2

Root Cause Analysis

What are the causes of your clients problem?

Stage 3

Solution Building
What to Do?

Stage 4

Action Planning
How to Execute?

Description of the process

Stage One: Problem Identification During this stage, you will define a client and from his/her perspective, define a performance problem a gap between his/her expectations and actual performance. How big, how important is this problem? Stage Two: Root Cause Analysis During this stage, you will dig into the organization to uncover the root causes of the problem defined in the Stage One. Make sure you deal with leadership, structure, culture, processes and competencies. Stage Three: Solution Building During this stage, you will generate and then evaluate possible actions to deal with the diagnosis developed in the Stage Two. Stage Four: Action Planning In this stage, you will identify the action steps to be taken in order to implement the soultion(s) you have chosen in Stage Three.

Stage One: Problem Identification

During this first stage, you will clarify who your client is, and what specific problem you are going to address. Steps in identifying the problem: 1. The first step is to clarify who will be your client. Please decide who this person will be, who are his/her direct reports, who is the persons direct supervisor, and what unit he/she manages. If possible, draw an organizational chart with your client as the focal person. 2. The next step is to identify your clients critical problem(s). Problems can be defined as performance gaps, differences between expected versus actual performance. a. Based on your clients strategy, objectives and/or vision, or based on customer requirements, what are your clients most critical desired outputs, expectations? b. What are your clients real outputs? c. A performance gap exists when there are differences between expectations and reality. 3. Of the several perfomance gaps, please prioritize and choose a singe problem to work on. Why did you choose this problem, how big, how strategic is this problem, how much does this problem cost the organization? 4. If your client has no current performance gaps, create one! (That is, if we dont do this now, we will be in trouble in the future.) Once you have identified the most critical performance problems, write down on the Problem Identification Worksheet (see below) the problem you have identified. Try to limit the problem statement to one or two sentences. Example: Our goal of attaining a 50% reduction in customer service complaints last year was not attained. Or, if it is an anticipated problem: Example: Our goal of attining a 50% reduction in customer service will not be attained this year. Note: When defining performance gap, keep your client in mind (i.e. do not define someone elses problem as your clients), and do not discuss the causes or solutions. Stay focused on the desired versus actual outcomes and the gaps between them.

Problem Identification Worksheet

A
Expectations: Strategy Vision, or Customer expectations

B
Actual Outcomes:

Performance gap is the difference Between expectations and reality.

Stage Two: Root Cause Analysis

Once the problem/gap has been identified, you should turn to a thorough analysis of the root causes which create the performance gap. To get at organizational root causes, you need to identify the current inconsistencies between the clients work demands and current processes, competencies, structures, culture and leaderships behavior. Unless the clients strategy is incorrect, the causes of his/her performance gaps can be found in inconsistencies between one or more of the four organizational components. For example, between the task and the individuals, or between the culture and the organizational arrangements. Steps in the root cause analysis: 1. You should find all or the root causes of the problem(s) identified in the Stage One. The fundamental question at this step is, what is causing our current performance gap? You should ask, why do we have this problem, what are its root causes? Keep asking why at least 3 times! Look at the Why-Why diagram below.

The Why-Why Diagram

We are not getting products out There are high levels of conflict in our unit There are no clear goals for the unit We are not getting clear directives from headquarters We do not meet regularly to discuss our units goals ROOT CAUSE 1 ROOT CAUSE 2

WHY?

SYMPTOM

WHY?

WHY?

2. You can now step back and synthesize your diagnostic/root cause observations. 3. Once the synthesis has been completed, you should take a break and take a step back. Review the four organizational components of task, formal organization, individuals, and culture (look at the Congurence Model of Organization below). Have you covered all of these components in the root cause analysis? What is missing? Have you dealt with all the organization components and fits, have you dealt with leadership and team issues? 4. Once you have generated a list of all the root causes, and are comfortable with its diagnosis please rank order the final list of root causes by order of their importance.

The Congurence Model of Organization

Stage Three: Solution Building

A solution to a problem is a change to the organization that removes one or more causes of the problem(s) without creating new and greater problems. After all the root causes to the problem have been identified and written down, you should begin to generate a list of possible actions to remove the causes of the problem. We suggest a two-step process to generate and then evaluate possible solutions. Phase 1: The solution generation process 1. The problem and its fundamental roots are definde at the beginning of the solution generation process (see Stages One and Two). 2. What concrete, specific action can be taken to deal with each of your fundamental root causes? The more specific and detailed the suggestion, the better. For example, if the reward system is a root cause, your solution should detail the nature and characterization of a reward system that would better facilitate task completion. Once all ideas have been generated, and only at this point in the process, the evaluation process can proceed. Phase 2: The solution categorization and evaluation process In the solution categorization and evaluation process, you should not dismiss ideas simply because they are unusual, but should encourage examination of unusual suggestions, perhaps by asking for different versions or ways to adapt them. Moreover, you should not allow ideas to be dismissed because of a lack of funds or other resources. If the idea is a good one, ways should be found to make it happen. Steps in the solution categorization and evaluation process: 1. You walk up and examine all of the ideas from the Phase 1, asking yourself for clarification or additional details if necessary. Similar ideas can be grouped together and organized. 2. You should critically think about the ideas, matching up solutions with specific root causes. This step should lead to an ideal future state of your clients organization. 3. You might find it useful to complete the summary table below, and rank solutions in order of importance.

Summary Table
SOLUTIONS Root Cause 1 Solution 1 Solution 2 Solution 3 Solution 4 Solution 5 Solution 6 Solution 7 Solution 8 Solution 9 X X X X X X X X X X X X X X X X X Root Cause 2 Root Root Root Rank Cause 3 Cause 4 Cause 5 Order of Solutions

Stage Four: Action Planning

Once possible actions have been developed, you should begin to think about issues of implementation. Implementation is the process by which a solution is put in place without creating new and greater problems for the organization. In moving from a current state to a future state, implementing change involves managing an interim, transition state. It is during this transition state that most problems associated with implementing change occure problems of resistance, power, and organization control. The Constituency Map, Commitment to Change Map and Action Plan Worksheet (desribed below) are useful tools in formulating transition plans. Steps in the action planning process: 1. Create a detailed Implementation Action Plan using the How-How diagram and the Action Plan Worksheet. 2. Create a Constituency Map. 3. Create a Commitment to Change Chart. Creating the How-How Diagram The how-how diagram indentifies the steps necessary to implement an action identified in Stage Three (an example How-How Diagram is shown below). The agreed-upon action is stated on the left side of a piece of paper, inside of a circle, with more detailed action plans

placed on the right in a decision tree format. Each time an action is listed, the question How? is asked. More and more detailed plans are generated as you answer the question of How?. Once the diagram has been completed, the final details for all implementation plans may be decided. The How-How Diagram

How? Root Causes from Stage Three Develop skill dimensions Develop training program Identify individuals

How? Skill task forces Contact with external vendor or internal training Develop performance appraisal metrics

Develop Team Skills

The steps in creating the how-how diagram 1. The agreed-upon action is placed on the left side of a piece of paper, inside a circle. 2. A decision tree of more detailed action plans is obtained by asking How? at each stage of the process is formed to the right of the solution. 3. Beginning with the first solution, each time a solution is listed, the question How? is asked. The responses are recorded on branches of the decision tree. 4. The question How? is asked again. This results in additional branches of the decision tree. 5. The process continues until sufficiently detailed implementation plans have been established. Implementation Action Plan The next step of the process, is to create detailed Implementation Action Plan, including what needs to be done, who has responsibility for doing it, and the approximate date when each step will be taken (a sample Action Plan Worksheet is shown below).

Action Plan Worksheet

ACTION

RESPONSIBILITY

COMPLETED BY

CONSTITUENTS

Steps in creating implementation action plans: 1. Indentify the action s that need to be taken. 2. Indentify the individuals or groups who will be responsible for insuring that the actions take place. 3. Write in the realistic but challenging deadlines indicating when the action will take place. Creating a constituency map A Constituency Map helps to identify those individuals, groups and organizations both inside and outside of a firm who have a stake in your clients unit, and therefore, who will be interested in changes which you are contemplating. These different stakeholders can be for or against the changes. This Consitutency Map can be used as a reference point throughout the solution development and action planning process to ensure that your plans include actions to either use constituents support or to counter their anticipated resistance to your suggested change. Using a Constituency Map diagram similar to the one shown below, you should draw a constituecny map of those individuals, groups and organizations both inside and outside of your clients unit which are important to consider as you develop your implementation plan.

Constituency Map: Example

HR Manager

Mr. Black

Clients Boss

Change Agents
Customer Mrs. White Vice President

Creating a commitment to change chart Once you have generated the Constituency Map and the How-How Diagram, create a Commitment to Change Chart listing all those persons or groups whom you identified in your Constituency Map and How-How Diagram. An example Commitment to Change Chart is shown below.

Commitment to Change Chart: Example

Key Players
HR Manager Clients Boss Vice President Mrs. White Customer Mr. Black

Against

No commitment

Let it happen

Help it happen

Make it happen

X XO X X X O O O O

O the minimum commitment for the change to occur

X the current commitment

Steps in creating a commitment to change chart 1. In the left-hand column list the key players. Include all of your stakeholders from your Constituency Map, as well as any groups or individual which were indetified in the How-How Diagram. 2. Then, for each of the key players, place and O in the box that indicates the minimum commitment you must have for the change to occur. Do not try to get as much as you can. Write down the least amount of commitment you need. 3. Then, study each of the people or groups as they are now and, using your best judgment, put an X in the box that represents their present degree of commitment. 4. Where the O and X are in the same box, circle them. No work is necessary to get the expected commitment from this group or individual and they may be enlisted to help enable the change to occur. 5. Where the O and X are not in the same box, draw an arrow connecting them. This give you a map of the work that must be done to get the necessary commitment. 6. The next step is generating a list of the reasons why the commitment does not currently exist (Is it individuals fear of the unknown? A perceprion that their autonomy will be reduced by the change? That they will have to find new ways of doing things? That they perceive that they will lose power?) and to develop a set of actions items which can be used to generate the commitment you need to make the changes happen. 7. At this end of the process, go back and check your Constituency Map against your list of action steps once implemented, will they increase the driving forces enough and/or decrease the restraining forces enough so that change will occure and you will be able to reach your desired end state and implement your solution(s)?

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