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How to Implement TOC Principles &
Tools in State Government &
Achieve Great Results: Utah’s Story
STATE	
  OF	
  UTAH	
  
	
  
UTAH	
  STATE	
  
GOVERNMENT	
  
Executive Branch Agencies:
	
  
● 
● 
● 
● 
● 
● 
● 
● 
● 
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Administrative Se...
WHAT	
  WE	
  BELIEVE	
  
	
  
SUCCESS	
  FRAMEWORK	
  
S et measurable goals and targets
U se thinking tools and principles
C reate your strategy
C reat...
RESULTS	
  	
  
	
  
●  Department of Workforce Services:
Eligibility Services System
o  Reduced	
  opera7ng	
  expense	
 ...
RESULTS	
  	
  
	
  
UTAH	
  GOVERNMENT	
  GOAL	
  
TARGET	
  and	
  VISION	
  
“Our	
  obliga,on	
  to	
  the	
  taxpayer	
  requires	
  that	
  
we	
  con,nue	
  delivering...
TARGET	
  and	
  VISION	
  
THE	
  TARGET:	
  25%	
  improvement	
  in	
  performance	
  over	
  4	
  years	
  
using	
  t...
SUCCESS	
  MANAGEMENT	
  
INFORMATION	
  SYSTEM	
  
THROUGHPUT	
  OPERATING	
  
STRATEGY	
  
WHAT	
  A	
  TOS	
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•  A	
  simple	
  picture	
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  system	
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EXAMPLE:	
  
DOCTOR’S	
  OFFICE	
  TOS	
  
STEP	
  ONE:	
  Develop	
  a	
  high	
  level	
  picture	
  of	
  the	
  flow	
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CONSTRAINTS	
  BASICS	
  
●  Constraint:	
  	
  A	
  "weak	
  link"	
  in	
  your	
  system	
  
●  Constraints	
  limit	
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IDENTIFYING	
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THROUGHPUT	
  
INPUTS	
  
A	
  

Units	
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hour	
  

● 
● 
● 
● 

B	
  

C	
  

D	
 ...
THE	
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A	
  system	
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  and	
  understanding	
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  constraints	
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loo...
THE	
  CONTROL	
  POINT	
  
Control	
  Point:	
  A	
  strategically	
  selected	
  constraint	
  to	
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ch...
EXAMPLE:	
  
DOCTOR’S	
  OFFICE	
  TOS	
  
STEP	
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  Iden7fy	
  the	
  control	
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Pa7ent	
  
Pull	
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EXAMPLE:	
  
DOCTOR’S	
  OFFICE	
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Pa7ent	
  
Pull	
  File	
  

Pa7ent	
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in	
  

Tes7ng	
  

Diagnose	
...
EXAMPLE:	
  
DOCTOR’S	
  OFFICE	
  TOS	
  
STEP THREE: Define what good looks like
Pa7ent	
  
Pull	
  File	
  

Pa7ent	
  ...
Utah Department of Corrections
Adult Probation and Parole
Throughput Operating Strategy (TOS)

Goal:
Protect the public an...
BLUE	
  LIGHT	
  
●  Blue	
  Light:	
  A	
  system-­‐cri7cal	
  resource	
  performing	
  its	
  unique	
  
value	
  added...
FOCUSING	
  STEPS	
  
●  Select	
  the	
  control	
  point	
  
●  Decide	
  how	
  to	
  MAXIMIZE	
  the	
  control	
  poi...
CONTROL	
  POINT	
  
How	
  to	
  maximize	
  capacity	
  at	
  the	
  control	
  point:	
  
● 
● 
● 
● 

Make	
  certain	...
INTERFERENCE	
  DIAGRAM	
  
EXAMPLE	
  GAP	
  ANALYSIS	
  
FULL	
  KIT	
  

SCHEDULING	
  

%?

MULTI-­‐TASKING	
  
STAFF	
  KNOWLEDGE	
  
BLUE	
  LIG...
AP&P Interference Diagram
Fugitives
Complexity of
Resources

Court
coverage

Firearms
Certification
Inter-Court
transfers
...
AP&P	
  GAP	
  ANALYSIS	
  
FULL	
  KIT	
  
ROOT	
  CAUSE	
  ANALYSIS	
  
Doctor is
waiting for
patients

Why?

Test results
are not
ready

Why?
Patients haven't
comp...
AGENCY	
  PROGRESS	
  
Addi7onal	
  modules:	
  
● 
● 
● 
● 
● 

Accelera7on	
  
Mistake	
  Proofing/Standardiza7on	
  
Pro...
CCJJ	
  REPARATIONS	
  TOS	
  
Goal: To compensate innocent victims of violent crime through timely and quality processing...
FAST	
  DIAGRAM	
  
CCJJ Reparations - FAST Diagram
RECEPTION	
  

ADVOCACY	
  

APPLICATION	
  
T:	
  10	
  minutes	
  
L...
CCJJ	
  -­‐	
  AGENCY	
  RESULTS	
  
Ac7ons	
  Taken:	
  
•  The	
  system	
  was	
  reorganized	
  to	
  befer	
  provide...
CONNECTING	
  OPERATIONS	
  
&	
  THE	
  BUDGET	
  PROCESS	
  
●  Ensure	
  investments	
  in	
  budgets	
  result	
  in	
...
PROCESS	
  OF	
  ON-­‐GOING	
  
IMPROVEMENT	
  (POOGI)	
  
While	
  Governor	
  Herbert	
  has	
  set	
  a	
  25%	
  
impr...
gomb.utah.gov	
  
ATTRIBUTION	
  
By	
  Bjørn	
  Graabek	
  (nl.wikipedia)	
  [GFDL	
  (hfp://www.gnu.org/copylez/fdl.html)	
  or	
  CC-­‐BY...
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How to Implement TOC Principles and Tools in State Government and Achieve Great Results: Utah’s Story - Kristen Cox & Greg Gardner @ PSE 2013 Vilnius

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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

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How to Implement TOC Principles and Tools in State Government and Achieve Great Results: Utah’s Story - Kristen Cox & Greg Gardner @ PSE 2013 Vilnius

  1. 1. How to Implement TOC Principles & Tools in State Government & Achieve Great Results: Utah’s Story
  2. 2. STATE  OF  UTAH    
  3. 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. 4. WHAT  WE  BELIEVE    
  5. 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. 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. 7. RESULTS      
  8. 8. UTAH  GOVERNMENT  GOAL  
  9. 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. 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. 11. SUCCESS  MANAGEMENT   INFORMATION  SYSTEM  
  12. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 25. INTERFERENCE  DIAGRAM  
  26. 26. EXAMPLE  GAP  ANALYSIS   FULL  KIT   SCHEDULING   %? MULTI-­‐TASKING   STAFF  KNOWLEDGE   BLUE  LIGHT   Diagnose  and  Treat   %?
  27. 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. 28. AP&P  GAP  ANALYSIS   FULL  KIT  
  29. 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. 30. AGENCY  PROGRESS   Addi7onal  modules:   ●  ●  ●  ●  ●  Accelera7on   Mistake  Proofing/Standardiza7on   Project/Porpolio  Management   Organiza7onal  Design   Throughput  Accoun7ng  
  31. 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. 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. 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. 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. 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. 36. gomb.utah.gov  
  37. 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/  

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