Lean Government
Implementation Guide
Make Changes Stick and Sustain Gains from
Lean Projects
September 2017
Lean Government Implementation Guide
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OTHER PUBLICATIONS FROM THE LEAN GOVERNMENT INITIATIVE
Lean in Government Starter Kit
Lean and Information Technology Toolkit
Lean Leadership Guide
Lean Government Event Scoping Guide
Lean Government Methods Guide
Lean Government Metrics Guide
Lean Transference Primer
Case studies and other information about EPA and State Lean activities are available at the EPA Lean
website (www.epa.gov/lean
).
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TABLE OF CONTENTS
Introduction .................................................................................................................................................. 1
What Is Lean Implementation and Why Focus on It? ............................................................................... 2
What to Expect in Lean Implementation .................................................................................................. 5
Implementation Step-By-Step Guide ............................................................................................................ 8
A. Set Up for Success ................................................................................................................................. 8
B. Develop an Implementation Plan ....................................................................................................... 15
C. Complete and Track Actions ............................................................................................................... 19
D. Measure and Evaluate Results ........................................................................................................... 22
E. Standardize and Socialize Process Changes ........................................................................................ 25
F. Celebrate and Share Success ............................................................................................................... 30
G. Manage Change and Avoid Pitfalls ..................................................................................................... 37
Conclusion ................................................................................................................................................... 41
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INTRODUCTION
This Lean Government Implementation Guide is designed to help agencies successfully manage one of
the more difficult aspects of process improvement—follow-up and implementation. This work begins
after you decide how to improve your process. The focus of this Guide is on Lean, which is an
improvement philosophy and set of methods that seek to eliminate non-value added activity or “waste”
from processes. Environmental agencies use Lean to deliver higher quality, faster, and less costly
programs and services that protect human health and the environment. You can use this Guide whether
you are conducting a rapid improvement event or using a different Lean method to improve your
process. This Guide is most applicable to a team lead or implementation manager, but can also provide
relevant background information to other staff or managers involved in Lean project implementation. In
this Guide, “Lean event” refers to a rapid improvement event or “kaizen” event, which is a 2-5 day
period when a team analyzes a process and makes changes to create a new, more efficient way to work.
This Implementation Guide contains guidance,
tips, and resources to help you:
1. Understand the importance of planning
for implementation associated with Lean
events and projects
2. Learn strategies and actions to take
during and after Lean events or project
meetings to get better and more
sustainable results
3. Support successful Lean implementation
efforts and address common
implementation challenges
This Guide is a product of the U.S. Environmental
Protection Agency’s Lean Government Initiative (www.epa.gov/lean) and supplements the
Lean in
Government Starter Kit, which provides guidance and practical resources on how environmental
agencies can use Lean to improve their operations.
LEAN GOVERNMENT IMPLEMENTATION
GUIDE KEY CONTENT
• What Is Lean Implementation and Why Focus
on It?
• What to Expect in Lean Implementation
• Implementation Step-By-Step Guide
A. Set Up for Success
B. Develop an Implementation Plan
C. Complete and Track Actions
D. Measure and Evaluate Results
E. Standardize and Socialize Process Changes
F. Celebrate and Share Success
G. Manage Change and Avoid Pitfalls
•
Conclusion
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WHY DO I NEED A LEAN IMPLEMENTATION GUIDE?
As a Lean manager or implementer, you may be asking yourself:
Why do I need an Implementation Guide? Isn’t the Lean event what matters?
• Rapid improvement events drive dramatic improvements as teams identify ways to eliminate handoffs,
rework, delays, and other wastes that slow down and complicate processes.
• However, identifying these process changes is just the beginning. Implementing a new process during and
after the Lean event takes work. Despite your best intentions, it is all too easy to go back to the way you
did things before.
• This Guide will help you think proactively about the “implementation” phase of Lean and give you step-by-
step guidance and tools to make sure you realize the full potential from your Lean project.
• Even when a Lean project does not involve a rapid improvement event, the tips and resources in this Guide
can help you keep on track with process improvements.
What Is Lean Implementation and Why Focus on It?
What Do We Mean by Lean Implementation?
Environmental agencies are using a range of process-improvement methods, including Lean methods, to
speed processes, provide better services, and focus staff time on “mission-critical” work. Lean uses a
“Plan-Do-Check-Act” (PDCA) problem-solving framework to support continual improvement (see Figure
1). The PDCA problem-solving framework provides a scientific, systematic approach for addressing
continuous improvement that can be used to
guide the execution of projects. In this Guide,
we refer to Lean implementation or Lean
follow-up as the Do, Check, and Act phases
of this cycle – that is, what happens after a
team or individual plans how to improve a
process. In the context of Lean events,
implementation includes developing an
implementation plan, making changes to
improve the process, monitoring results and
adjusting the process as necessary, sharing
project successes, and related activities.
Lean projects that use rapid improvement
events include three main components:
• Planning and preparing for the
event, including scoping the event,
developing the charter, assembling
Figure 1: Plan-Do-Check-Act Problem-Solving Framework
Do
Check
Act
Plan
3. Set Improvement
Targets
1. Clarify the
Problem
5. Develop
Countermeasures
8. Standardize,
Sustain, and
Share Success
2. Describe Current
Conditions
7. Measure and
Evaluate Results
6. Enact
Countermeasures
4. Determine
Root Cause
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the team, arranging logistics, and conducting background research. These activities align with
the “Plan” phase in PDCA.
• Holding the team-based event, including mapping the current process, designing a new process,
implementing changes to improve the process, and developing an implementation plan for
remaining improvements. These activities align with the “Plan” and “Do” phases in PDCA.
• Following up from the event to implement the new process and implementation plan, verify
and evaluate results including at 30-, 60-, and 90-day report-out meetings, and sustain and
share project successes. These activities align with the “Do,” “Check,” and “Act” phases in PDCA.
Figure 2: Key Components of a Rapid Improvement Event
Th
is Guide builds from the Lean in Government Starter Kit
discussion of follow-up and implementation.
Why Focus on Implementation?
Implementation sounds simple, but lack of sufficient follow through can be a key reason for failure of
Lean projects. Three reasons why follow-up is critical to the success of Lean projects include:
1. Without follow-up, a Lean effort may result only in plans for improvement, not actual results. An
implementation plan or new process design does not mean much if it is not acted upon.
2. Without follow-up, any process changes made during and following an event or project
meetings (e.g., changes to the organization of a work area in a 5S event) will be at risk of
backsliding. The tendency will be for things to go back to the way they always have been.
3. Without follow-up, you and others may miss opportunities for additional improvements to the
target process or other processes. Lean follow-up communications can help raise awareness
about Lean and encourage greater success.
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KEY FOLLOW-UP ACTIVITIES AFTER LEAN PROJECTS
The implementation team leader and project team should coordinate the following key follow-up actions after
Lean projects with oversight by the project sponsor.
• Complete action items in the implementation plan.
• Conduct training and outreach on the new process.
• Measure and report on key performance indicators to compare process performance to targets.
• Evaluate the effects of process changes, and identify countermeasures to address any issues.
• Standardize and share successful practices.
Id
eally, your organization will periodically conduct targeted process-improvement projects, such as rapid
improvement events, to address pressing problems, and will develop a culture of continual
improvement using the Plan-Do-Check-Act cycle in which everyone is looking for ways to make
efficiency or quality gains in their day-to-day work. Lean projects can reduce processing times and
process steps by 50 percent or more. Regular improvement activities can also add up over time to
generate significant gains. In this best-case scenario, the improvement curve might look something like
the following diagram.
Figure 3: Process Improvement Curve over Time with Rapid Improvement Events and Ongoing Improvements
Rapid
Improvement
Events
Daily Continual
Improvement
Time
Process Improvements
Unfo
rtunately, Lean implementation does not always meet this picture in practice, and lack of sufficient
attention to follow-up is one key reason. As illustrated in Figure 4, unless you dedicate adequate
attention to follow-up and implementation, your process may backslide or you may shortchange
additional improvements.
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Figure 4: Common Problems with Lean Event Implementation: Lack of Continued Improvement and Backsliding
Time
Process
Improvements
Back-
Sliding
Rapid
Improvement
Event
Time
Process
Improvements
No Ongoing
Gains
Rapid
Improvement
Event
What to Expect in Lean Implementation
In the Implementation Step-by-Step Guide that follows this chapter, we provide guidance and resources
for each of the following critical areas for implementation to make follow-up easier and more effective.
A. Set Up for Success. Successful follow-up starts with effective planning, preparation, and
execution of the Lean project. Keep implementation in mind as you scope and set goals for your
project, and make sure that leadership is involved from the start. Develop clear, realistic goals
and objectives for your project, and start or even complete implementation during a rapid
improvement event or project meetings. Ensure that your project involves process stakeholders
and achieves buy-in from staff and managers. Setting up for success is part of the “Plan” phase
of the PDCA framework.
B. Develop an Implementation Plan. When your project team identifies a new “future state”
process design, the team should develop an implementation plan for how to put it into practice.
A well-designed implementation plan—with clear assignments for who will implement action
items, by when, and lines of accountability—will facilitate effective follow-up. Developing an
implementation plan is part of the “Do” phase of the PDCA framework.
C. Complete and Track Actions. Making sure that follow-up activities happen and generate desired
results requires accountability. This involves: (1) leadership that expects results and removes
barriers to achieve them; (2) a team leader who makes sure staff execute actions on time; and
(3) a structured process for tracking progress and addressing implementation challenges.
Completing and tracking actions also represent the “Do” phase of the PDCA framework.
D. Measure and Evaluate Results. Not only will your project team need to carry out the actions in
the implementation plan, it will also need to measure and evaluate how those actions change
the performance of the process. At regular intervals, compare the performance of the process
on key performance indicators to baseline data before your team made improvements.
Measuring and evaluating results is central to the “Check” phase of the PDCA framework.
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E. Standardize and Socialize Process Changes. To put the new process your team designed into
place, your team will need to communicate the new process to those involved in the process,
both inside and outside the agency. This can involve developing simplified process maps,
refining standard work, and training employees on new procedures. To sustain the
improvements over time, you’ll need to periodically evaluate your efforts and identify when to
reinforce process changes and/or look for new improvement opportunities. Standardizing and
socializing process changes is part of the “Act” phase of the PDCA framework.
F. Celebrate and Share Success. It is important to highlight the successes that your agency has
achieved with Lean and share your project experience so others can learn from it. Develop a
presentation and visually appealing documentation of your project to help tell your story, and
acknowledge your project team’s work. Identify what process changes could be applied
elsewhere and share those approaches with others. Celebrating and sharing successes is also
part of the “Act” phase.
G. Manage Change and Avoid Pitfalls. Many people involved in the process (especially those who
did not participate in on the project team or in the event) will resist change, and the natural
tendency will be to go back to easier, business-as-usual practices. To combat this tendency,
strategies you can take to manage change and avoid follow-up pitfalls include: starting follow-up
early, effectively managing expectations, creating capacity to carry out follow-up, engaging your
sponsor and employees, communicating frequently, and exhibiting patience in the improvement
effort. Managing change and avoiding pitfalls is a critical part of sustaining gains in the “Act”
phase of the PDCA framework.
Table 1. Lean Implementation Steps and the PDCA Problem-Solving Framework
PDCA PHASE
IMPLEMENTATION STEP
Plan
Set Up for Success
Do
Develop an Implementation Plan
Complete and Track Actions
Check
Measure and Evaluate Results
Act
Standardize and Socialize Process Changes
Celebrate and Share Successes
Manage Change and Avoid Pitfalls
Follow-up is often simple in concept, but hard in practice. The box below summarizes key actions in the
Implementation Step-by-Step Guide that follows this chapter.
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KEY IMPLEMENTATION ACTIONS
Scoping and Planning Improvement Efforts (see Set Up for Success):
Engage Leadership throughout your project, ensuring that sponsors help develop the project charter, attend
the kick-off, report-out, and management briefings in the event, and oversee follow-up activities
Set clear goals and objectives for your Lean project
Schedule 30-, 60-, and 90-day follow-up meetings
During Improvement Events or Project Meetings (see Develop an Implementation Plan):
Accomplish as much implementation as you can during the event or project meetings
Create an implementation plan that clearly identifies follow-up actions and responsibilities
Schedule implementation team check-in meetings and project progress meetings with the project sponsor
After Developing an Implementation Plan (see Complete and Track Actions, Measure and Evaluate Results,
Standardize and Socialize Process Changes, and Celebrate and Share Success):
Hold weekly meetings to make progress on implementation, and monthly meetings to report to management
Track follow-up actions using color-coding in your implementation plan
Track metrics to measure results
Communicate process changes to internal staff and external parties
Celebrate the team’s success and identify solutions that could be shared elsewhere
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IMPLEMENTATION STEP-BY-STEP GUIDE
A. Set Up for Success
Your Lean team can do several things early on in
projects to make Lean implementation easier and
more successful. These include establishing key
roles for implementation, setting clear goals and
expectations, and focusing on implementation
during events and project meetings (thereby
creating less need for follow-up!).
Step 1: Establish Key Roles for Lean
Implementation
There are four key roles for guiding Lean projects through their successful completion:
• Sponsor: The sponsor is the executive who leads the charge for process improvement and
supports the Lean project from start to finish. Sponsors both enable Lean teams to be successful
and hold them accountable to produce results. Without effective leadership, Lean often fails.
• Facilitator: In a rapid improvement event, the facilitator works with the team to properly scope
the Lean project, and facilitates discussions during the event to ensure the team understands
the current process, identifies and implements process changes to address root causes of
problems, and develops an implementation plan for follow-up after the event.
• Implementation Team Leader: Under oversight of the sponsor, the team leader manages day-
to-day implementation of process changes after the Lean event, or throughout the
improvement effort if the project did not involve a rapid improvement event. The team leader
does not do all the follow-up, but organizes others involved to make sure it gets done.
• Team Member: Team members serve as foot soldiers working with the implementation team
leader to improve the process. Team members participate in project team meetings and take on
assigned actions and tracking duties to implement process changes.
Identify your project’s sponsor and select a facilitator early in the planning and scoping phase, since the
sponsor and facilitator have key roles in developing the project charter. Often, the team leader for the
Lean event or project will continue as the team leader during implementation, but you may want to
designate someone else instead and/or identify one or two others to assist the team lead. Confirm
responsibilities for managing implementation when you develop your implementation plan (typically
during an event). Team member participation involves a longer-term commitment than the duration of
the rapid improvement event or once solutions are identified. Team members are critical to carrying out
action items to put the new process in place.
STEPS TO SET UP FOR SUCCESS
• Step 1: Establish Key Roles for Lean
Implementation
• Step 2: Set Clear Goals and Expectations for
Your Lean Project
• Step 3: Maximize Implementation During
Lean Events
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Table 2: Lean Implementation Roles
Role
Activities
Sponsor
Planning/Scoping Phase:
• Help develop the Lean project charter, including identifying goals and objectives, setting
the scope, and recommending participants.
• Authorize the Lean project.
• Approve staff time for planning, Lean event (if applicable), and follow-up.
• Communicate project direction.
Lean Event or Other Process Improvement Activities:
• Participate and provide input at the project kick-off and final report-out presentation.
• Attend management briefings during the event (e.g., daily) OR participate fully in the
event.
• Reiterate project goals/objectives and encourage the team to succeed.
• If your project is not a rapid improvement event, participate in management briefings and
major project team meetings throughout the improvement effort.
Follow-Up Phase:
• Keep the team accountable for results and implementation of process changes (e.g.,
where appropriate, engage with management of participants that have a significant role in
implementation).
• Demonstrate commitment to full implementation and keep the team motivated
• Participate in routine check-ins with the Implementation Team Leader (e.g., weekly or bi-
weekly 15-minute stand-up meetings).
• Attend major follow-up meetings (i.e., 30-day, 60-day, 90-day, 6-month, 1-year, etc.) to
review process performance data and discuss project progress with the project team.
• Help make implementation successful by removing barriers when needed (e.g., reducing
competing demands on staff time).
Facilitator
Planning/Scoping Phase:
• Facilitate the pre-event scoping meeting or meetings.
• Work with the team to develop the Lean project charter, select the team, and prepare for
the event.
Lean Event or Other Process Improvement Activities:
• Facilitate the Lean event, including working with the team to:
o Map the current and desired future state of the process.
o Identify and, if possible, implement process changes (e.g., develop standard work).
o Develop an implementation plan for follow-up after the event.
o Prepare for the event report-out presentation.
• If your project is not a rapid improvement event, facilitate project meetings to guide the
team to analyze and improve the process using Lean or other methods.
Follow-Up Phase:
• If requested, facilitate major follow-up meetings.
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Role
Activities
Implementation
Team Leader
Lean Event or Other Process Improvement Activities:
• Participate in the Lean event and the development of the implementation plan.
• If your project is not a rapid improvement event, participate in project team meetings to
make changes to improve the process and organize follow-up items that cannot be
implemented immediately into an implementation plan.
Follow-Up Phase:
• Organize and facilitate weekly project stand-up meetings or other check-ins to make sure
the team is on track with follow-up items.
• Participate in routine check-ins with the project sponsor (e.g., weekly or bi-weekly 15-
minute stand-up meetings).
• Encourage the team to make progress with implementation and help troubleshoot follow-
up when needed (elevate issues to the sponsor or other senior managers if needed).
• Track progress with implementation, and keep the implementation plan or other action-
tracking tool up to date.
• Organize the team for major follow-up meetings with management.
• Ensure that data on key process performance metrics are collected at regular intervals,
reported to the project sponsor and other key managers, and shared with agency-wide
results tracking systems, such as EPA’s Lean Results Tracking System.
Team Member
Lean Event or Other Process Improvement Activities:
• Participate in the Lean event and the development of the implementation plan.
• If your project is not a rapid improvement event, participate in ongoing efforts to identify
and implement improvements, including project team meetings.
Follow-Up Phase:
• Participate in project team meetings with the implementation team leader.
• Make changes to improve the process by carrying out actions in the implementation plan.
• Monitor, evaluate, and communicate the results of process changes, based on assigned
duties.
Tips for Identifying Individuals for These Roles
• Sponsor. Involve the highest level sponsor you can who will also be able to invest the time to
make the project a success, particularly in scoping the project, attending at least portions of the
Lean event or other project team meetings and all major follow-up meetings, and holding the
team accountable for results.
• Facilitator. Selecting a skilled Lean facilitator is critical to successful Lean projects. Choose
someone who knows Lean concepts and tools, is familiar with Lean in office or government
contexts, has people skills to effectively manage groups, and has experience facilitating
successful projects. The Lean in Government Starter Kit
has tips for how to select a facilitator.
• Implementation Team Leader. Your implementation team leader should be someone from
within the process who played an active role in the Lean effort. Select someone with good
organization and communication skills, who can help keep the project team on track and the
sponsor apprised of progress. Supervisors will likely need to take responsibilities off the plate of
the team leader to ensure there is adequate time to support the process-improvement work.
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• Team Members. Your project team for implementation will often be similar to the original Lean
project team, but should focus on individuals needed to execute the implementation plan and
monitor progress. Coordinate with appropriate supervisors to make sure that team members
understand the time commitment and have the time to participate in improvement activities.
Step 2: Set Clear Goals and Expectations for Your Lean Project
It may not seem like a follow-up strategy,
but having clear goals and expectations
for Lean projects is essential for success,
both for determining how you will
improve your process and for
implementing the process changes. Your
team will develop goals and objectives
for your Lean project through a Lean
Project Charter. This charter will help
your team to do the following, among
other things:
• Clarify the scope of the project,
including any boundary
conditions for the types of
process changes that the project
team should consider. For
example, your team may limit
the scope of the project to a
particular segment or aspect of
the process, or you may decide that certain changes (e.g., regulatory changes or capital-
intensive IT improvements) will not be considered.
• Delineate aspirational goals and use metrics to set specific, measurable objectives for your
project prior to identifying solutions or holding a rapid improvement event. Express your
objectives in terms of changes you would like to see in key metrics related to your process,
setting targets such as a percent reduction in the total lead time for your process. The best
objectives are S.M.A.R.T.: specific, measurable, actionable, realistic, and time-bound.
• Set expectations for pre-work and baseline data collection before the event or kick-off of the
improvement effort and follow-up meetings. Many charters outline the activities that the team
will conduct prior to the event or initial project team meetings, including plans for collecting
baseline data about the process. The charters also often set the schedule (or tentative schedule)
for major follow-up meetings, so that managers and team members can make advance plans.
• Allow for engagement of senior management in project design. The facilitator should work
closely with the sponsor and team leader to develop a draft charter. The sponsor, facilitator, and
team leader all sign and approve the charter, and help to socialize it with the rest of the project
team. Having the signatures on the charter empowers the project team to operate within the
Figure 5: EPA Lean Team Charter Template
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boundaries of the document, and socializing the charter with leaders and team members prior
to launching the improvement effort ensures there is agreement with its contents.
• Identify participants for the Lean project and any outside support you may need. The charter
identifies the full team who will participate in the Lean event, or otherwise in the effort to
identify improvements. For a rapid improvement event, you may want to identify other
individuals who may be available to provide “on-call” support during the event. if needed (e.g.,
to answer questions, provide technical expertise, or make decisions).
WHAT HAPPENS IF YOU LAUNCH A PROCESS IMPROVEMENT EFFORT WITHOUT DOING ALL
THE RIGHT PREP WORK?
Although not ideal, if you have not done everything to set yourself up for success for implementation, not all is
lost. Problem solve with your team to identify how you can get back on track. Examples include:
• Failure to Get Charter Signed by All Parties: The charter is a critical way to get leadership buy-in on
your project. In general, you should not do a project without leadership support. You can use the start
of the Lean event, or the first project team meeting, to review, revise, and get additional signatures on
the charter, if needed. If you need additional leadership support after designing the future state
process, consider getting approval on the implementation plan.
• Insufficient Current State Data Collected: You may be able to collect some process performance data
during a rapid improvement event if you did not collect data beforehand. If more research is needed
to establish a baseline, add a task of collecting baseline data for key metrics to the implementation
plan. Provide clear expectations for who should collect data, and when and where to report it.
Wi
th a robust, detailed charter that your sponsor and team have agreed upon, you will have a strong
foundation for a successful project. You will also want to use the charter development process to make
sure the sponsor and Lean project participants understand the steps of Lean implementation, including
expectations for their involvement in follow-up activities after the event occurs or improvements have
otherwise been identified.
Tips for Setting Clear Goals and Expectations
• Project sponsors should provide direction as well as
motivation for projects. Your project sponsor should be
closely involved in the development of the charter, and then
empower your team to find its own solutions within the
scope and boundary conditions of the project.
• Be realistic about the commitment for all project phases.
This tip is especially relevant for rapid improvement events
where, despite the name, much of the work often occurs
after the event as the team puts the new process in place.
Your team can maximize implementation during events to
minimize this (see next step), but you should be realistic with
Figure 6: Lean Government
Event
Scoping Guide
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the project sponsor and project team about the ongoing commitment to process improvement.
• Do not tackle too much with your Lean project. One of the most common challenges with Lean
government projects is the tendency for agencies to conduct process improvement efforts that
are too large in scope. This makes it difficult to achieve all of the objectives in a designated
timeframe or a rapid improvement event, and complicates follow-up. See EPA’s
Lean
Government Event Scoping Guide for guidance on how to scope a Lean event.
Step 3: Maximize Implementation during Lean Events
Perhaps the most straightforward way to make
follow-up easier is to not have to do it in the first
place. Traditionally, rapid improvement events, also
called kaizen events, focus on implementation
during the event. In the spirit of the “rapid
improvement” title, a team convenes for a few days
to analyze a process, problem solve, and implement
process changes. In government contexts,
sometimes Lean events focus more on planning
process changes, rather than putting those changes
into practice. The events can be highly effective in
improving communication and understanding, and
in developing a roadmap for improvement, but a lot
of work needs to be done after the event to make
the future state a reality. Examples of the types of
implementation tasks that can be completed during events or other project meetings are shown in the
box.
There are several things you can do to shift from “rapid planning events” to “rapid implementation
events.” While some Lean projects do not hold standalone events, the tips below can be applied to help
maximize implementation opportunities during meetings with the project team.
Tips for Maximizing Implementation during Lean Events or Meetings
• Set expectations with your facilitator and team that you want to implement changes during
the event or meetings whenever possible. Remember, it is better to get something done “quick
and dirty” during the event than to leave the entire action for the future – you can always
improve it later.
• Anticipate and plan for implementation needs you may have during the event or scheduled
meetings. As part of your pre-work and planning for the Lean project, you can identify the types
of implementation issues that may arise, and then arrange to accommodate those during the
event or when the project team meets.
o For example, training on the new process is a common follow-up step from Lean events.
You may wish to invite a broad group of people to the event or project report-out
COMMON TYPES OF IMPLEMENTATION
THAT CAN OCCUR IN LEAN
GOVERNMENT EVENTS
• Development of standard work or other
standard operating procedures (checklists,
simplified process maps, templates, etc.)
• Changes to databases, tools, or other
systems (e.g., to clarify instructions, remove
unnecessary fields, consolidate forms, etc.)
• Decisions within the control of the team
• Training of staff on the new process
• Stakeholder outreach on the new process
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presentation to begin that training, or to schedule time for training on specific changes
during a rapid improvement event.
o It is also useful to anticipate the kinds of on-call support you may need during the event
or throughout the effort, and then have those people available to answer questions or
participate in portions of the event or major meetings as needed. This may include
decisions from other supervisors or changes to support processes or IT systems. Identify
these individuals on your project charter, as discussed above.
• Allocate sufficient time within the event or project meetings for working on process changes
and implementation. Work with your facilitator to balance time in the rapid improvement event
or meetings between understanding the current process and developing a future state, and
beginning implementation of those process changes (e.g., developing standard work, such as
checklists, for the new process), as well as preparing for and giving the report-out presentation.
• Collect process performance data during rapid improvement events. During a Lean event, your
project team will review background data your team collected about the process before the
event, and estimate anticipated results from process changes. If applicable to your process, your
team can also use time during the event to start measuring the effects of any process changes
you’ve made.
Resources
EPA Lean Leadership Guide
Lean Team Charter Template
EPA Lean Government Event Scoping Guide
DOWNLOADABLE RESOURCE:
LEAN TEAM CHARTER TEMPLATE
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B. Develop an Implementation Plan
What Is an Implementation Plan?
The implementation plan created for a Lean project,
often during a rapid improvement event, provides a
roadmap to lead the project through completion.
For tasks remaining after the event, or following
project meetings if the team does not hold an
event, the implementation plan assigns a person in
charge of each action and a timeline for its
completion. Clear ownership for each action is
critical to ensuring that all actions identified will be
completed on schedule. When full implementation cannot be achieved at a rapid improvement event,
do not walk away from the event without defining the follow-up action, the action owner, and the
timeline in your implementation plan. An example implementation plan is below with the steps to
develop it highlighted.
Figure 7: Example Implementation Plan with Steps Highlighted
STEPS TO DEVELOP AN
IMPLEMENTATION PLAN
• Step 1: Determine Action Items
• Step 2: Assign Tasks to an Owner
• Step 3: Establish a Timeline to Complete
Actions
Lean Government Implementation Guide
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Step 1: Determine Action Items
In a rapid improvement event, your team brainstorms
a set of recommendations for improving the process,
prioritizes those ideas, and then designs a new, more
streamlined process by mapping the process out on
paper or a whiteboard. On the final 1-2 days of the
event, your team makes progress on implementation
where possible (see the last section on Set Up for
Success) and will identify actions to accomplish the
remaining high-priority recommendations. You will track these action items in the implementation plan.
In many cases, the only follow-up needed for the process changes (e.g., for changing to concurrent
instead of sequential reviews) will be communication and training on the new procedures. In other
cases, more elaborate actions may be needed that could involve IT systems, coordination with outside
agencies, development of guidance materials, or other strategies.
Tips for Developing Action Items
• Keep the “action” in action items. That is,
do not just list items in need of completion,
list out what needs to be done to complete
the action.
• Specify the “next action.” When identifying
actions, keep tasks manageable by breaking
larger implementation tasks into several
actions, with each specifying the next action
in sequence, rather than using one action to
encompass the entire task.
o For example, the action, “develop an online database to manage permit applications,”
could seem overwhelming if assigned to one individual; however, an action such as, “set
up a meeting with IT staff to outline system requirements for an online database and
discuss next steps” could be easily accomplished.
• Identify the outcome. Clearly identify the specific outcome of each action, such as a deliverable
or product to produce (i.e., a report or website page).
Step 2: Assign Tasks to an Owner
The owner is the person responsible for completing an action. Actions can be led by one individual or a
small group. A group or committee could also be responsible for several related actions. Each person
within the group should know his or her role.
EXAMPLE ACTION ITEMS
• Transfer current state/future state
flowcharts into an electronic format
• Develop a standard work checklist that lists
the new steps in the review process
• Set up a training on a new IT program
• Research new equipment to purchase
• Collect data on key metrics to measure and
report on process performance
“The secret of getting ahead is getting
started. The secret of getting started is
breaking your complex overwhelming tasks
into small manageable tasks, and starting
on the first one.”
−
Mark Twain
Lean Government Implementation Guide
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Tips for Assigning Tasks
• Consider availability and likelihood of success. Rather than just finding an available person to
complete the action, find the person who is best equipped to succeed. Where possible, shift
priorities to minimize workload conflicts. Additional guidance on selecting between competing
priorities is provided in the “Manage Change and Avoid Pitfalls” section later in this Guide.
• Identify additional resources needed. Identify other resources or people that the action owner
may require to complete the action. For example, a process change may require a supervisor’s
signature or necessitate support from the IT department.
Step 3: Establish a Timeframe and Deadline for Completion
Always define a firm timeline for each action and clearly identify a deadline for the completion. Set a
rigorous pace for implementation, but be realistic enough to set the team up for success. The next
section discusses tracking actions according to these deadlines.
Tips for Assigning Deadlines
• Discuss and address obstacles to immediate
implementation. During the creation of each action,
discuss any potential obstacles that could derail
efforts to complete the action. For a rapid
improvement event, obstacles to implementation
within the first 30 days following the event are critical to avoid while momentum and
enthusiasm are high. Brainstorm ways to navigate around these obstacles (i.e., identify
countermeasures to address the obstacle).
• Coordinate deadlines with scheduled follow-up meetings. Follow-up meetings with managers
(e.g., monthly the initial months after your project) provide an opportunity to discuss progress,
results, and next steps. Determine which tasks, including data collection, should be completed
by each major follow-up meeting and establish deadlines based on those timeframes. Clear
deadlines are particularly important for process improvement projects that do not hold a rapid
improvement event. A series of scheduled meetings can keep the project team on track to
develop and implement a new process.
• Keep a timeline of future actions. Assign timelines for action items that do not require
immediate attention to keep these actions on the horizon and keep the project team on track
for full implementation. The Lean Project Implementation Plan Template provides a timeline
template to visually map out the schedule for each action item (see the Resources below).
Resources
Lean Project Implementation Plan Template (Word and Excel Formats)
“The ultimate inspiration is the
deadline.”
− Nolan Bushnell, Atari Founder
Lean Government Implementation Guide
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Lean Expert Karen Martin offers a downloadable
implementation plan template on The Karen Martin
Group website at http://www.ksmartin.com/downloads
.
The Minnesota Office of Continuous Improvement also
has a downloadable implementation plan template at
http://mn.gov/admin/continuous-
improvement/resources/projects/toolbox/ (Scroll down
to find “Action Plan Template” under Facilitator tools).
DOWNLOADABLE RESOURCE:
LEAN PROJECT IMPLEMENTATION PLAN
TEMPLATE
(WORD AND EXCEL FORMATS)
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C. Complete and Track Actions
After you have created your implementation plan, it
is very important to carry out the actions and track
the progress of your team’s efforts. The
implementation team leader is responsible for
making sure the team makes progress and is
accountable to the project sponsor.
Step 1: Coordinate with Team Members
to Complete Action Items
The implementation team leader should keep up communication with team members in order to
maintain momentum and to help ensure that if any obstacles come to light, action items stay on track. If
the team leader cannot resolve these issues, the sponsor should be involved to help “unstick” issues.
Follow these tips to keep the team on track with implementation.
Tips for Coordinating with Team Members
• Conduct weekly implementation check-in meetings. The implementation team lead should set
up brief weekly meetings with the project team to check in on progress with implementation,
and meet regularly with the project sponsor. The meetings can be as short as five or ten
minutes, and even held standing up. If an individual’s tasks are not getting completed,
document issues and identify countermeasures to address those issues. Countermeasures could
include freeing the individual’s time for the work, or finding alternate ways to complete the
actions. The check-in meetings should occur until all actions are complete. These quick check-ins
can play a major role in reinforcing a collaborative, team-centered organizational culture.
• Remind participants to complete their action items. Implementation of follow-up actions is
easy to forget as participants return to their daily activities. The implementation team leader is
responsible for reminding others to complete their actions. Send email reminders about action
teams and project progress to team members between check-in meetings. People will be more
inspired to conduct their actions if they are held accountable.
• Post action lists on a website or in a shared place onsite. Posting implementation plans or
action lists so team members can easily view them provides greater transparency and
accountability for completing tasks. A collaboration website can be a useful place to track
actions and post relevant post-event information, especially if some team members are off-site.
Send reminders when there are significant updates so that people remember to check the site.
• Conduct monthly report-out meetings. Most organizations conduct 30-, 60-, and 90-day report-
out meetings to supplement weekly team meetings. Six- and 12-month report-out meetings also
help ensure that results are sustained and identify the need for future projects. These major
follow-up meetings, sometimes run by the event faciliator, are typically more formal than the
weekly check-ins (e.g., involve more managers) and provide an opportunity to report on key
metrics, think strategically about the new process, and drive ongoing improvement.
STEPS TO COMPLETE AND TRACK
ACTIONS
• Step 1: Coordinate with Team Members to
Complete Action Items
• Step 2: Track Progress of Implementation
Actions
Lean Government Implementation Guide
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o Confirm the dates for these major follow-up meetings with your team when you
develop your implementation plan. Then your full team will know when they will need
to report back to management on their progress with implementation.
• Walk the process. If feasible, project sponsors and implementation team leaders should
periodically walk around the office following the flow of the process. These should not be
considered audits, but rather learning, problem-solving, and encouragement opportunities.
Checking in with staff sends a message that their work, and the changes made and planned
through the Lean project, are important. These interactions can also provide real-time feedback
on process performance, allowing for quick troubleshooting where needed.
Step 2: Track Progress of Implementation Actions
Tracking the progress of each action will keep implementation on schedule by identifying what items are
moving forward, and which process changes have stalled. The implementation plan your team created
will serve as an effective system for keeping the team organized and ensuring that items are neither
postponed nor forgotten. Follow these tips to ensure that the “owner” that has taken responsibility for
each action in the implementation plan is proactive and completes these actions in a timely manner.
Tips for Tracking Implementation Progress
• Use standard tags or labels to identify not started, on target, off track, or completed actions.
The implementation team leader and project team can refer to these tags to quickly assess the
status of implementation. Provide additional details on actions’ status in a separate notes
column in the implementation plan.
• Use color codes on the implementation plan to quickly assess
status. Color coding is particularly helpful when there are
numerous open actions. For example, EPA’s Implementation
Plan Template includes the following four color codes:
o To Be Initiated (Gray): Indicates an action that the team
is scheduled to begin in the future.
o On Target (Green): Identifies an action that is
progressing according to schedule.
o Off Track (Red): These actions are behind schedule and
in need of intervention to get back on track.
o Complete (Purple): Indicates an action that has been fully executed.
Figure 8: Example color
coding system to note
progress on action items
To Be Initiated
On Target
Off Track
Complete
Lean Government Implementation Guide
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Resources
The Lean Enterprise Institute has resources on how to
conduct process walks. See, for example, John Shook,
“How to Go to the Gemba: Go See, Ask Why, Show
Respect,” 21 June 2011,
http://www.lean.org/shook/DisplayObject.cfm?o=1843
.
See the downloadable Lean Project Implementation Plan
Template for an example color-coded action tracking system.
DOWNLOADABLE RESOURCE:
LEAN PROJECT IMPLEMENTATION PLAN
TEMPLATE
(WORD AND EXCEL FORMATS)
Lean Government Implementation Guide
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D. Measure and Evaluate Results
Carefully track process metrics to assess the
performance of your new process, compare that
performance to your targets, and make necessary
adjustments to sustain or improve results. By
monitoring progress after the event, you can ensure
that your team achieves the project objectives and
that these changes make a lasting positive impact.
Step 1: Measure Results Using Metrics
Follow these tips to measure the impacts of
your implementation efforts.
Tips for Measuring Results Using Metrics
• Make sure you have clear
assignments for data collection and
reporting. Your implementation plan
should clearly identify who will be
collecting data on key process
metrics, when those data will be
collected, and when those data will
need to be reported to leadership and
the reporting systems. If you missed
this responsibility in your initial
implementation plan, add it in during
your first team meeting.
• Collect and report data on process
performance at regular intervals.
Typically, you will need baseline data
on key metrics (such as lead time,
processing time, process steps)
before making process improvements
– collect this information before
and/or during rapid improvement
events, if possible. You will also want
to collect data on how your process
performs over time. Establish
timeframes for data collection, such
as before each monthly follow-up
meeting with management. Report
STEPS TO MEASURE AND EVALUATE
RESULTS
• Step 1: Measure Results Using Metrics
• Step 2: Compare Actual Performance to
Targets
Figure 9: Connecticut Department of Energy and
Environmental Protection Lean Project Results Graphs
Source: Conn
ecticut Department of Energy and Environmental Protection,
Permitting Open House Poster, Lean Celebration 2010,
www.ct.gov/deep/lib/deep/lean/lean_open_house_2010_Permitting_post
er.pdf.
Lean Government Implementation Guide
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changes in key performance metrics at major follow-up meetings and through internal tracking
systems.
o EPA asks Team Leaders to report anticipated and/or actual results from Lean projects
periodically to demonstrate progress and show results after improvements are
implemented. These data are reported in EPA’s LEANTrack system, and then EPA
prepares a graphical summary of all project results.
Step 2: Compare Actual Performance to Targets
As part of the “check” stage of Plan-Do-Check-Act, it is important to validate the results by evaluating
how process changes are affecting actual performance, and comparing that to the objectives your team
set for the Lean project.
Tips for Comparing Actual Performance to Targets
• Compare the actual performance of your process to the desired future state. Set up a simple
table (such as the example below) to compare the performance of your process on key metrics
before the project, the anticipated results of the process changes, and the actual results your
team has achieved thus far. You also could compare actual results to both the projected future
state targets and more ambitious “ideal state” targets, to keep an eye on longer term
objectives.
Table 3: Example Lean Project Results Confirmation Table
Metric
Current State
(Before Event)
Projected Future
State
Projected %
Change
Actual
Results*
Actual %
Change
Lead Time
80 days
30 days
↓63%
40 days
↓50%
Processing Time
120 hours
70 hours
↓42%
90 hours
↓25%
Process Steps
50
30
↓40%
30
↓40%
Customer
Satisfaction
(1-5 scale)
2.5 4.5 ↑80% 4 ↑60%
*Last Measured: 6/15/2016 by Jane Smith
Measurement frequency: Monthly for time and process-step metrics; every 6 months for customer satisfaction survey
• Use visual displays or dashboards. Visual displays of process data can show progress towards
objectives and motivate additional improvements. Many organizations use a whiteboard or
color-coded wall chart to track how the process is performing on key metrics. It is important to
keep displays simple, so they are easy to understand and do not take much time to update.
• Discuss process performance at the monthly report-out meetings. A key focus of the 30-, 60-,
and 90-day report-out meetings is to assess the post-event performance of the process and to
make adjustments to sustain or improve results. At these times, your project team regroups and
steps back from day-to-day activities to report to leadership on progress, results, and next steps.
• Validate results over time. Validating your data measures the quality and stability of your
results since the process has been fully implemented. Depending on the frequency of your
Lean Government Implementation Guide
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process, you may want to validate the results after you’ve collected data for 6 months, or after
the first full year to assess whether the improvements have been sustained. Some organizations
may consider inviting a third party to examine the accuracy of the results.
Resources
EPA Lean Government Metrics Guide
Lean Project Metrics Checklist
Lean Project Performance Tracking Template
DOWNLOADABLE RESOURCES:
LEAN PROJECT METRICS CHECKLIST
LEAN PROJECT PERFORMANCE TRACKING
TEMPLATE
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E. Standardize and Socialize Process Changes
Documenting the new process and communicating
process changes to staff working within the process
and external parties affected by the process is a
critical component of Lean implementation. There
are three steps for communicating process changes:
documenting the new process, refining standard
work for the process, and training people on new
procedures and tools.
STEPS TO STANDARDIZE AND SOCIALIZE
PROCESS CHANGES
• Step 1: Document the New Process
• Step 2: Refine Standard Work Procedures
•
Step 3: Train Participants in the New Process
Step 1: Document the New Process
To put the new process your team developed in a Lean project into place, you will need to document the
new process so that others can understand it. Process mapping during a rapid improvement event is
both an art project and an analytic exercise, as your team fashions a new, improved process out of post-
it notes and butcher paper (or draws it on a whiteboard). After the event, consider how you can
formalize the future state process map into a concise, visual tool that can easily be printed, shared, and
understood. Software tools can also help you create an electronic version of your process map.
Figure 10: Resource Conservation and Recovery Act (RCRA) Facility Investigation New Process Map
Review Work
Plan
Assemble Team &
Plan Corrective Action
Framework (CAF)
Meeting
Conduct
Meeting and
Produce CAF
RFI Goals and
Expectation
Understood?
Facility Submits RCRA
Facility Investigation
(RFI) Work Plan
Approve
Work
Plan?
Commence
Joint
Elevation
YES
NO
Commence Joint
Elevation
YES
NO
Start RCRA FIRST
Continue to RFI
Completion Phase
Beginning Phase Outputs:
1. CAF
2. Draft Conceptual Site Model (in CAF)
3. Approved RFI Work Plan
EPA /State & Facility Action
EPA/State Action
Facility Action
Start/End Marker
Decision Point
Tips for Documenting the New Process
• Use readily available software tools to create an electronic rendering of the new process.
Figure 10 above presents a simplified process map from a Resource Conservation and Recovery
Act (RCRA) Facility Investigation Lean event held by EPA Regions 3 and 7. It was rendered using
Microsoft PowerPoint. The map only includes primary steps critical to understanding the
process and what changed. It also identifies stakeholders using color coding.
Lean Government Implementation Guide
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• Create an infographic or simplified
map to highlight key differences
between the old and new processes.
For example, you might illustrate the
time it took for different phases of
the process before and after the
process improvements, without
detailing all of the steps within each
of those phases.
• Post the map where it can be seen
by those who have a role in the
process. For example, you might post
the map of the new process at a
workstation, conference room, or
Intranet site.
Figure 11: Example Results Infographic from two Employee
Exit Process Lean Projects
OARM-RTP
Region 5
Step 2: Refine Standard Work Procedures
In the Lean project, your team created a new way of
doing things—a streamlined process. Standard work
(e.g., checklists or templates describing the new
process) is a way to put that new approach into
practice consistently across your organization.
Standard work can take several forms (see box). If
you started creating standard work during a Lean
event, you will likely need to refine it after the
event. Documenting the improvements made during process improvement efforts as standard work
ensures consistency, reduces chances for error, and can prevent backsliding into old habits. It also
creates a checkpoint from which the Lean team can measure deviations from the new process and more
easily identify where further refinement to the process steps may be needed.
EXAMPLES OF STANDARD WORK
• Process step checklist
• Document templates
• Form letters
• Tracking sheet or online tracking tool
• Labels, color-coding, or other visuals
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LEAN PROJECT HIGHLIGHT: EPA REGION 6 INSPECTION REPORT NORMALIZATION
EPA Region 6 completed a project to improve the
quality and timeliness of inspection reports. To
ensure consistency of reporting information across
enforcement programs, the Lean project team
created an Inspectors Toolkit to package and share
templates created at the Lean event to be used by all
inspectors.
Tips for Developing Standard Work
• Make it visual. Incorporate pictures, color-coding, and/or other visuals to make it easy to
execute tasks and check progress.
• Engage employees. Involve the employees who perform the process in developing standard
work documentation.
• Train staff. Integrate standard work procedures and visuals into staff training.
• Keep it flexible and amendable. Standard work should not eliminate room for employee
creativity, but rather free up staff time to add more value to the process. Never consider
standard work permanent; always look for ways to improve procedures.
Step 3: Train Participants in the New Process
Once the new process is documented with process maps and/or standard work, the project team will
need to train employees and others on how to integrate the new process into their day-to-day tasks.
The first question you may ask is, who needs training? The short answer is anyone connected to the
process, which may include:
• Employees working within the process who were not involved in the Lean project or Lean event
• Employees working upstream or downstream of the process
• Stakeholders associated with the process, such as unions and other external review parties
• Customers, such as a state or tribe submitting a grant, or a company reporting or applying for a
permit through the new process
Alo
ng with training those involved in the process on the changes that affect them, you will also need to
provide background information on the Lean project, why it is important, and what it means for them.
Your messaging for employees will be different than for stakeholders and customers. Below are
separate tips for the two audiences.
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Tips for Training Employees
• People will process change differently. While the
project team may be enthusiastic about their hard work
coming to fruition in the implementation of the new
process, not all employees will feel the same level of
enthusiasm about things that have been shifted,
changed, eliminated, or added.
• Allay concerns about job security. Job duties may change for some employees as the new
process is implemented. Employees are likely to be most concerned with how the Lean project
will affect their job duties, so it is important to address these changes directly to alleviate any
concerns.
• Highlight the benefits. The benefits of the Lean effort may not be immediately apparent to
employees not involved in designing the new process. Lean seeks to establish simpler, faster
processes that minimize unnecessary steps, rework, and waiting time to leave more time for
employees to focus on meaningful, value-added work.
• Address frustration and present solutions. Often, Lean improvements provide solutions to
frustrations expressed by staff working within the process. Present process changes as solutions
rather than an overhaul of existing procedures.
• Do not hide challenges. Be clear about any potential negatives and solicit feedback from staff
on their ideas for mitigating challenges that could arise. Establishing an outlet for employees to
ask questions, voice concerns, and provide feedback is critical to creating lasting change.
• Use documentation to guide training. Comprehensive documentation of the new process such
as the creation of simplified process maps and standard work can make training staff on the
changes easier. Visual displays of standard work where applicable can also reinforce how to
perform the new process.
“I cannot say whether things will
get better if we change; what I
can say is they must change if
they are to get better.”
− Georg C. Lichtenberg
ADDRESSING EMPLOYEE CONCERNS
As you explain the new process to employees, some people may raise concerns. People might feel that their
jobs are at risk of being cut, or that they are being inconvenience for no benefit. Organizational leadership
can allay potential concerns by taking the following measures:
• Repeatedly reinforce the message that no jobs will be cut
• Tell project participants that their input and role in developing the new process is valuable and
appreciated
• Keep the messaging focused on the process, not the people – Lean addresses deficiencies in the
process to make everyone’s performance improve
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Tips for Training and Outreach for Stakeholders and Customers
Stakeholders and customers involved in the process will also need to know how their role has changed
or will change, and training these parties will help mitigate bottlenecks to improvements. For example, a
new permit review process that seeks to reduce the number of incomplete permit applications upon
submission relies on external parties submitting complete applications to start the review process. Your
team may need to train stakeholders on how to complete an application to meet submission
requirements. Targeted outreach to stakeholders during or following a Lean project is also common
when process improvements emphasize enhanced communication and engagement between outside
stakeholders and agency staff, such as increasing opportunities for state or tribal engagement in a
process.
F
or stakeholders and customers, training and outreach should emphasize the following:
• R
evised process timelines, especially timelines for outside stakeholder review or engagement
periods
• Updates to forms or templates used externally (e.g., specific information that needs to be
collected, and forms that will reach stakeholders)
• Changes in submission procedures (e.g., a switch from a paper submission process to an
electronic submission process)
• Where to get what they need to conduct the new process, and what new types of information
will be needed, and how to deliver it to customers and stakeholders
Resources
iSix Sigma, “Practical Guide to Creating Better Looking Process Maps”:
http://www.isixsigma.com/tools-templates/process-mapping/practical-guide-creating-better-
looking-process-maps/
Case studies featuring standard work and communications best practices:
o EPA Region 7 Clean Air Act State Implementation Plan (SIP) Kaizen Event Case Study
o EPA Region 10 New Personnel Workstation Setup Process Lean Event Case Study
The Resource Conservation and Recovery Act Facility Investigation Remedy Selection Track Toolbox
for Corrective Action (find examples of simplified process maps on pages 7, 9, and 11; find examples
of standard work in Appendix A, starting on page 28)
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F. Celebrate and Share Success
An important aspect of follow-up from Lean projects
is recognizing the successes of your project team,
sharing successful results and transferable strategies
with others, and sustaining the motivation among
your team to continue improving.
Step 1: Recognize the Lean Project Team
for Their Work
At the end of a Lean event, your project team has
spent up to 4-5 days (plus pre-event prep work)
taking a close look at a process, analyzing and
prioritizing process changes to improve it, beginning implementation of those changes, and developing
an implementation plan to achieve an improved future state process. That’s a lot of work! Even if you
did not hold a Lean event, your team likely put a significant amount of time and energy into the project.
To recognize your team for their work, and keep them motivated for continuing improvements after the
event or project meetings, project sponsors and other leaders can take the following actions:
• Encourage the Project Sponsor and other managers to attend a management briefing or event
report-out presentation. This can send a powerful signal to the team about the importance of
the project and encourage knowledge sharing among your agency.
o The team may also use the briefing or report-out presentation to test some of the
process changes with managers. To avoid situations where key managers reject the
team’s ideas during the report-out, consider inviting your project sponsor and/or other
key supervisors to key project meetings or short, daily management briefings during the
rapid improvement event to avoid surprises later on.
• Provide Lean project participants with a
certificate or award recognizing their work in the
event or project. Having something tangible to
recognize their participation in a Lean project can
be helpful for motivating employees.
o Success stories, posters, newsletters, blog
posts, or other communications (see next
step) that highlight the team’s work also
can be motivating. Individuals feel more
acknowledged when the materials include
a team photo and/or list participants.
• Acknowledge the Lean team’s work in meetings
or other settings. Leaders have an important role
in encouraging process improvement in their agencies, and acknowledging the work of the Lean
STEPS TO CELEBRATE AND SHARE
SUCCESS
• Step 1: Recognize the Lean Project Team for
Their Work
• Step 2: Celebrate and Broadcast the Success
of Your Lean Project
• Step 3: Identify What Lean Solutions You
May Want to Share Elsewhere
• Step 4: Share Information and Transferable
Solutions with Others
Figure 12: An Example of a Certificate of
Lean Accomplishment
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project team in meetings can help not only motivate the team to deliver results but also
encourage others to consider their own improvement efforts.
o Note that timeliness is important for recognition of employees, so do not wait too long
after the Lean project or event finishes before individually and/or publicly recognizing
the team’s work.
Step 2: Celebrate and Broadcast the Success of Your Lean Project
As you implement process changes, it is useful to
not only track the results of the changes (see
Section D above) but also to share those results
within and outside your agency. The reasons for this
vary (see box) and include supporting improvement
across your agency, showcasing results, and
disseminating best practices.
Fundamentally, this type of communication involves
describing the “story” of your Lean project and its
results, and then sharing it with others. You
probably will want to use at least two formats for
sharing information about your project:
• a presentation that your team could use to
present highlights of the project and its
results to other audiences inside or outside
your agency
• a stand-alone summary of the project that could be understood without additional explanation
in person (This could be a poster, a case study, a success story blurb, blog post, newsletter
article, a video, or other written/visual description of the project.)
Although you will want to tailor communications, particularly presentations, to different audiences,
there are many similarities between the messages you will want to convey to external audiences and
those you will use for managers and staff from your agency. Figure 13 below shows the overlap of
internal and external communications in terms of messages about the Lean project, and the various
means of communicating the Lean project story and results to those audiences.
KEY REASONS FOR LEAN PROJECT
COMMUNICATIONS
• Raise awareness about Lean to other
divisions/offices
• Showcase results to management and
customers
• Inform customers and stakeholders of
product or service changes
• Share lessons learned and solicit feedback
• Create accountability to the project goals
and implementation
• Celebrate success and foster an
environment for continual improvement
• Share transferable solutions with others in
your agency who might be able to use them
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Figure 13: Key Lean Project Communication Audiences, Messages, and Methods
For your communications activities, consider developing a simple communications plan (such as Table 4
below) to outline key audiences you plan to reach, the purpose and content of your communications,
the format and timing of the communications, and who is responsible.
Table 4: Communications Plan Example
Audience Purpose Key Topics Format
Target
Date
Person
Responsible
Notes
Staff
Train staff
on new
process
• Benefits/ Expected
Results
• New procedures and
forms
2-hour
meeting
X/XX/XXXX
Team Leader
Senior
Executives
Update on
project
results
• Project scope and
results
Update at
regular
monthly
meeting
X/XX/XXXX
Project
Sponsor
Public
Share
benefits of
Lean
project
• Project scope, key
process changes, and
results
Case study
X/XX/XXXX
Team member
(assigned)
Customer
Explain new
process
• Why agency changed
process / benefits of
new process
• New forms/procedures
relevant to customer
Website
updates and
FAQ
document
X/XX/XXXX
Team member
(assigned)
Etc.
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Strategies for Communicating Your Lean Activities and Results to Others
• Presentations: Develop a presentation for broader audiences based on the event report-out
presentation or a briefing your team has provided for management or staff. Present project
highlights and results at a department or division meeting, and at meetings with co-regulators
or stakeholders.
• Case Studies and Posters: Create a case study, success story blurb, and/or poster describing the
goals, process changes, and results from your event. Include photos or other graphics to make it
visually appealing. The Lean Project Poster Template can help you create a poster to share with
others.
• Newsletters and Blogs: Write an article for an
internal newsletter, a blog for your agency’s
website, and/or public newsletter that outlines
your Lean activities. Several state agencies,
including Ohio and Minnesota, publish a Lean
newsletter summarizing recent and upcoming
Lean activities (see Figure 13).
• Bulletin Boards and Display Areas: Post project
information and results on bulletin boards,
closed-circuit LCD monitors, and/or exhibit areas
in your agency’s lobby or common spaces.
• Acknowledgment and Awards: Acknowledge
Lean project results or activity at a staff meeting
or at an agency awards ceremony (as discussed in
Step 1 above).
• Intranet or Shared Repository: Post information,
project materials, and photos of the Lean event,
as well as contact information, on your agency’s
Intranet, shared server, or other repository of
project examples.
• Website: Maintain an attractive, interesting website that informs people about Lean activity in
your agency. Post results from projects and team photos, keeping content updated and fresh.
Figure 14. Minnesota’s Monthly Continuous
Improvement Newsletter, CI Circular
Source: Minnesota Continuous Improvement,
http://mn.gov/admin/lean/resources/newsletter/
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Step 3: Identify What Lean Solutions to Share Elsewhere
Although not all Lean projects are successful, many
produce impressive efficiency and quality gains once
fully implemented. Given these successes, agencies
often ask: How can we share successful results from
implemented Lean projects elsewhere?
There are four key dimensions to help identify what
projects and practices make good candidates for
transferring and adapting elsewhere.
• Value: Did the Lean project (or element of the
project) you are considering transferring
produce meaningful results? Have the results
been validated after full implementation or
piloting the new process? Which process changes were essential to producing the results?
• Similarity: Did the Lean project address challenges (e.g., root causes of inefficiency or quality
issues) that might be common to other similar processes ?
• Transferability: Were the process changes from the Lean project documented in standard work
(e.g., checklists, templates, process maps, etc.) that a new project team could review and adapt?
• Connectivity: Is there a representative from the Lean project (a transference coach) who could
help others learn more about the issues and solutions identified?
Step 4: Share Information and Transferable Solutions with Others
Once you have identified whether your project is a good candidate for transferring elsewhere, there are
several steps you can take to share the good ideas from your project, as follows.
• Identify a representative or transference coach from your project to help transfer knowledge
to others. By designating a transference coach (or a couple of representatives) who is willing to
serve as a resource for others, you can provide a point of entry for people who are unsure how
to start transferring your improvements. The transference coach should be available to discuss
the problems identified, what solutions the team discovered, and troubleshoot ideas to
overcome obstacles.
• Share materials from your project with others. If your agency has a central repository of project
examples (e.g., a shared website, Intranet, or database), post materials such as your project
charter, report-out presentation, success story, and any tools, standard work, process maps, or
other products your team developed on that repository. Alternatively, share the materials
directly with others who are interested in learning about your project. The Lean Project Poster
Template can help you create a poster to share your project with others.
SHARING LEAN PROJECT
SUCCESSES
The Lean way of transferring successes is
accomplished by sharing information on
effective practices and the problems those
practices were designed to address. In
Japanese, this is called yokoten. It is
important to not simply copy a practice from
elsewhere, but to “go see” the situation in
which it was developed, and then adapt the
practice for one’s own situation.
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• Find opportunities to tell others about your project through presentations and meetings. In-
person meetings, webinars, and conference calls offer opportunities for you to explain the
results of your Lean project, the problems you addressed, and how the process changes could
be useful elsewhere.
o Community of practice calls with others implementing Lean at your agency (e.g., Lean
facilitators, Lean project participants, and/or Lean sponsors) can be a particularly
valuable way to encourage peer-to-peer exchange of knowledge and ideas.
• Document the elements of your new approach
that could be relevant to other organizations.
To make it easier for others to understand the
process improvements from your project and
how they might be used elsewhere, you can
distill the essential elements of your new
process and document them in a way that
others can easily understand and use (see
Figure 14 for an example). Explain the context
behind the improved process and package the
new methodology into standard work that
others can easily translate and adapt to their
organizations, such as templates. Provide
examples and case studies, if possible, to
showcase your standard work as it has
functioned in the real world and communicate
the benefits.
• Support other offices or agencies seeking to
use similar Lean solutions. Transference is a
two-way process, involving exchange of ideas
and information from the original Lean project
and a new process that seeks to adapt solutions
from that project. There are several ways you can help other offices or agencies in their efforts
to take your ideas and run with them, including:
o Invite observers or participants from similar processes to attend your Lean event or
project meetings. If they attend your event, they can learn firsthand how the process
changes identified may apply in their own circumstances and how the solutions may
need to be adapted. They may also have useful perspectives and ideas to contribute.
o Provide coaching support and/or project materials for teams seeking to conduct mini-
Lean events, pilot projects, or other efforts to deploy the Lean solutions. Other Lean
teams may want to conduct a Lean event or mini-Lean event on a similar process or
using the standard work (e.g., templates/tools) from your project. Or, they may want to
pilot the process changes (e.g., a new streamlined process or support tool) and see how
they work in a different area of the agency. By consulting with a team leader, pilot
project leader, and/or facilitator, you can communicate any lessons your team learned,
and help answer questions as they plan for and implement their event or pilot project.
Figure 15. Resource Conservation and
Recovery Act Corrective Action Toolbox
EPA developed a toolbox for implementing
facility investigations and selecting remedies
in
the RCRA corrective action process based on
tools developed from Lean events with EPA
Regions 3 and 7, States, and stakeholders.
Lean Government Implementation Guide
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Resources
Lean Project Report-Out Presentation Template
Lean Project Certificate of Accomplishment Template
Lean Project Poster Form
EPA Lean Government Case studies
Minnesota Continuous Improvement Newsletter archive
EPA Lean Transference Primer
DOWNLOADABLE RESOURCES:
LEAN PROJECT REPORT-OUT
PRESENTATION TEMPLATE
LEAN PROJECT POSTER FORM
LEAN PROJECT CERTIFICATE OF
ACCOMPLISHMENT TEMPLATE
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G. Manage Change and Avoid Pitfalls
This Guide has covered six crucial aspects of Lean implementation: (1) Set Up for Success, (2) Develop an
Implementation Plan, (3) Complete and Track Actions, (4) Measure and Evaluate Results, (5) Standardize
and Socialize Process Changes, and (6) Celebrate and Share Success. While these steps outline how to
conduct implementation, successful implementation requires an element of managing change within
each step to minimize resistance and to combat the natural tendency to return to the way things were.
This section covers strategies to effectively manage change and common pitfalls to avoid.
COMMON IMPLEMENTATION CHALLENGES
Has your Lean project team struggled with follow through on all the great ideas and action items in your
implementation plan? You are not alone. Common reasons why process changes do not go as planned include:
• Process changes get started, but are not finished on time.
• Competing priorities crowd out time for process improvements.
• The changes are deemed unnecessary.
• There is insufficient management support and/or staff buy-in.
• Staff with key responsibilities for implementation change or turn over.
Strategies to Manage Change
• Start Early. This Guide recommends initiating
implementation activities early—even during
the planning and scoping phases of a rapid
improvement event—rather than after the
team walks out of an event. Refer back to the
“Set Up for Success” section for guidance on
what to accomplish before the completion of
the Lean event or project meetings to better
equip your team to stay on track throughout
the project.
• Manage Expectations. Involve employees and
managers in discussions about what is feasible for the process and what could create barriers to full
implementation, and be realistic about what the process improvement effort can achieve.
Expectations for the outcome may vary based upon several factors, including your team or office’s
familiarity with Lean, the complexity of the process, resources available, and/or political, legal, or
technological barriers at play. See the “Set Up for Success” Section for discussion of setting goals
and expectations.
• Monitor and Track Progress. Implementation should not go unmonitored. Track implementation
progress like you would a project: assign tasks, set deadlines, and hold the Lean team accountable.
Identify one member of the project team, an implementation team leader, to lead and coordinate
the effort and establish frequent face-to-face check-ins rather than limiting coordination to email.
STRATEGIES FOR MANAGING CHANGE
• Start Early
• Manage Expectations
• Monitor and Track Progress
• Prioritize and Remove Responsibilities
• Engage Your Sponsor
• Instill Employee Ownership
• Communicate, Communicate, Communicate
• Be Patient
• Document Challenges and Learn from
Failures
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• Prioritize and Remove Responsibilities. Too often, implementation momentum is challenged by
competing demands for staff time. Successful implementation requires that managers and staff
acknowledge that the improvement effort is high priority and then make time for it by removing
other responsibilities. In Lean, this process is known as “deselection.” Identify low-priority tasks on
the plates of employees involved in implementation (e.g., meetings or committees to skip) and
obtain permission from supervisors to shift commitments to make time for staff to remain engaged
in the Lean effort during implementation.
• Engage Your Sponsor. Orient your Lean project sponsor to understand that his or her role is not only
to authorize the project, but also to champion its implementation, which includes involvement
throughout the project (See Table 2 on “Lean Implementation Roles” earlier in this Guide). Leaders
should understand that their role is not to enforce the new process, but rather to inspire an office
culture where employees feel motivated and comfortable with acting on opportunities to improve
their work.
1
• Instill Employee Ownership. Engage and communicate with employees who work in the process at
all phases of the Lean effort to cultivate a sense of ownership over the Lean effort and new process.
Resistance to change is natural, but it can be managed effectively with consistent communication
and engagement. Establish outlets for feedback on the new process and standard work, and to
propose further areas for improvement. During implementation, communicate progress, celebrate
successes, and acknowledge employee efforts to learn and embrace the new process.
• Communicate, Communicate, Communicate. Communication is critical to successful
implementation. As discussed above, consistent communication with employees cultivates
ownership and acceptance of the new process. It also helps foster dissemination of successful
practices. Communication about Lean between managers or senior leadership and employees
generates momentum for improvements and reinforces a continuous improvement culture.
• Be Patient. Do not expect success overnight with Lean. In a blog post for the Association for
Manufacturing Excellence, author and management consultant Shawn Casemore emphasizes that
Lean is about “evolution not revolution.”
2
Achieving real, lasting change takes time, patience, and a
decent amount of work; but, the rewards can be significant (and worth it).
• Document Challenges and Learn from Failures.. Sometimes, despite the best preparation and
planning, Lean projects do not achieve some or all of their desired goals. Organizations can use
these “failures” as teaching moments. If, ultimately, your team is unable to make full progress
despite appropriate countermeasures, it is useful to briefly document the project outcomes and
implementation challenges so that others can learn from the experience.
Taken together, these strategies can help you overcome many common obstacles with Lean
implementation, as listed in Table 5 below.
1
Steve Denning, “Why Lean Programs Fail -- Where Toyota Succeeds: A New Culture of Learning,” Forbes, 5 Feb 2011, Accessed
June 20, 2014,
http://www.forbes.com/sites/stevedenning/2011/02/05/why-lean-programs-fail-where-toyota-succeeds-a-new-
culture-of-learning.
2
Shawn Casemore, “A Lean Journey: Not for the Faint of Heart,” Association for Manufacturing Excellence, 12 Mar 2014,
accessed Feb. 25, 2015. http://www.ame.org/target/articles/2014/lean-journey-not-faint-heart
.
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Table 5: Lean implementation Pitfalls and Strategies to Overcome Them
Pitfall
Strategies
Unrealistic expectations
• Set expectations for the outcome of the Lean effort early when planning for
the event and be transparent about accomplishments and obstacles.
Not enough time to complete
tasks, or competing priorities
• Talk to supervisors about opportunities to remove other responsibilities to
create time for employees involved in implementation to complete tasks.
Follow-up stalls or takes
longer than it should
• Use weekly meetings to keep the project team on track with action items.
• Engage the sponsor when the project team cannot address issues on its own.
• If the delays for some changes are out of your control, identify other process
improvements your team can make in the meantime.
Key staff leave and their
implementation
responsibilities do not get
completed
• Make sure that there is always someone assigned the responsibilities of the
implementation team leader. Reassign this role if this person leaves.
• If other staff leave, identify new staff to carry out action items assigned to
the departing staff, and revise the action items if needed.
Implementation goes
unmonitored
• Identify an implementation team leader to coordinate implementation.
• Assign action items to an owner who holds responsibility for completion.
• Track progress on action items using an Implementation Plan.
• Schedule frequent, in-person check-ins to hold your team accountable.
Limited support from
leadership
• Involve leadership early when planning for the Lean project.
• Select a sponsor who will advocate for the improvement effort.
• Obtain buy-in from both senior leadership and middle managers.
Employees resistant to
change
• Cultivate ownership over the new process by establishing a system to collect
input and feedback from staff/stakeholders.
• Communicate frequently with process staff at all stages of the Lean project
and make information on the Lean event available and accessible.
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Resources
Shawn Casemore, “A Lean Journey: Not for the Faint of Heart,” Association for Manufacturing
Excellence. 12 Mar 2014. http://www.ame.org/target/articles/2014/lean-journey-not-faint-heart
.
Steve Denning, “Why Lean Programs Fail -- Where Toyota Succeeds: A New Culture of Learning,”
Forbes. 5 Feb 2011.
http://www.forbes.com/sites/stevedenning/2011/02/05/why-lean-programs-
fail-where-toyota-succeeds-a-new-culture-of-learning/.
Charles Duhigg, The Power of Habit: Why We Do What We Do in Life and Business. New York:
Random House, 2012.
John Kotter, Leading Change. Boston: Harvard Business School Press, 2012.
Minnesota Office of Continuous Improvement, “Leading and Managing Change.”
http://mn.gov/admin/images/leading_and_managing_change.pdf
.
University of Victoria, Centre for Excellence and Learning, “Managing Change and Transition: An
Overview.”
http://www.uvic.ca/hr/assets/docs/od/Workbook%20-
%20Managing%20Change%20and%20Transition2.pdf.
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CONCLUSION
Implementation and follow-up are key to maintaining the momentum inspired during the Lean event or
improvement effort to achieve full implementation of process changes. Successful implementation
depends on the support and engagement of leadership, managers, and employees, and the diligent
efforts and accountability of the Lean project team. It is hard work, but successful implementation will
extend and sustain the gains made during the Lean effort and help people develop a continuous
improvement mindset.
We hope this Guide will help you be more successful with Lean implementation. We wish you luck in
your process improvement efforts, and encourage you to share your ideas and experiences.
TO LEARN MORE OR SHARE YOUR EXPERIENCES
For more information and resources about Lean government, visit the EPA Lean website at
www.epa.gov/lean. To share your ideas and experiences, please email [email protected]
.
Thi
s document was prepared for EPA by Ross Strategic.
Lean Government Implementation Guide
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United States Environmental Protection Agency
www.epa.gov/lean
September 2017
EPA 230-B-17-002
