Australian PAHRODF

~SAUSnWJA
Aid ~ t«JMNf RESOIJRCEN(IJ
ORGANISAJIONAI.. DEVEL.OPMENf
FACUTY

CONTINUOUS IMPROVEMENT
PROJECT LEARNING GUIDE
A project funded by the Australian Government through PAHRODF

-
Australian
Aid ~ DEPART\(ENf OF EDUCAno..:

CONTINUOUS IMPROVEMENT PROGRAMME

A PROJECT FUNDED BY THE AUSTRALIAN GOVERNMENT THROUGH PAHRODF
Australian PAHRODF
PHILIPPINES AUSTRALIA

Aid ~ HUMAN RESOURCE AND

ORGANISATIONAL DEVELOPMENT
FACILITY

The development and printing of this knowledge product was made possible through the
support of the Australian Government through the Philippines Australia Human Resource
and Organisational Development Facility (PAHRODF).

PAHRODF encourages the use, translation, adaptation and copying of this material with
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Although reasonable care has been taken in the preparation of this material, neither the
publisher and/or contributor can accept any liability for any consequence arising from the
use thereof or from any information contained herein.

First printed and bound 2016 in Manila, Philippines. Second printing in 2017.

Published by:
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Table of Contents

Introduction to the Guidebook 2

The SI Model Overview For Schools 7

Project Stages

Stage 1: Assess
1.1  Get Organized 10
1.2  Talk with Stakeholders 22
1.3  Walk the Process 38
1.4  Identify Priority Improvement Area 62

Stage 2: Analyze
2.1  Do Root Cause Analysis 90
2.2  Develop Solutions 106
2.3  Finalize Improvement Plan 132

Stage 3: Act
3.1  Pilot Your Solution 152
3.2  Roll Out Solution 164
3.3  Check Your Progress 176

Resources
Review Answer Keys 188
Project Forms 232
School Improvement Story of Marikina High School 227
Intro

o n
u cti
o d
t r
In

Situation: Its that time of the year when you need to update
your School Improvement Plan. You just agreed with your Division on your
strategic goals and targets that will be the basis for your priority
improvement areas.

Points to consider:
• How do you start selecting projects to
prioritize to meet these targets ?

• How do you develop solutions for these problems?

Do you experience the following when planning and

implementing projects from your School Improvement Plan?
 Difficulty in selecting improvement projects directly related to your school
priority objectives?
 Failure to properly scope projects
 Lack of understanding of what process to improve
 No clear process owner
 No buy-in with the process owner
 Lack of proper stakeholder management

You are not alone. So many schools are in the same situation.
This is why the Department of Education adopted the Continuous Improvement
methodology as a tool for undertaking school improvement projects
On a modeling level, it has proven to be an effective and structured problem solving
tool to understand and address perennial problems on school performance such as high
dropout rates, low achievement rate, weak reading and math abilities of learners, etc.

2
 Intro
Department of Education
The Continuous
Improvement methodology
also ties in with your School
DBM
Improvement Planning
The DepEd strategic planning, targeting
and goal setting takes off from when the National targets
Department of Budget and Management
cascades the National level Education
targets. In turn the Central Office assigns
National
targets to the Regions while considering Plan
their individual situation. Each Regional
Office shall be assigned targets. The
regional office does the same to their
Regional targets
Division offices.
The Division then gives to schools
learner outcome targets. The trigger will Regional
be top-down but the process is iterative Plan
and consultative.
In schools, the identified priority
Division Plan
improvement areas linked to the school
measures will be the basis for the
targets. How to arrive on your project
selection and development of solutions Division
will be through the use of Continuous Plan
Improvement methodology.
As shown in the diagram, the school School Targets
improvement plan is developed using
a process that assesses the possible
improvement areas for the school and School Improvement Plan
then prioritizes these for further action. Division
Plan
In the Act stage of the school
improvement, the various tools
of continuous improvement
are used to understand the SCHOOL
problem areas, develop and Assess IMPROVEMENT Plan
implement solutions.

SIP Implementation Act

33
Intro

In school, have you ever tried solving

a problem and wondering why it
keeps repeating when you thought
you have already addressed it?

How did Batasan

Hills NHS do it?

Let us understand further how to They learned and applied a

undertake school improvements methodology called “Continuous
using the continuous improvement Improvement”.
methodology.
They studied the problem, analyzed
Take the case of one school in Metro data, looked for the causes and
Manila, the Batasan Hills National formulated solutions that directly
High School. For years, the school addressed these causes.
had difficulties managing their school
registration process, which inevitably Other schools have also applied the
led to problems during school opening; SI methodology and achieved similar
problems, which were always covered successes in improving some aspect
by the media to illustrate perennial of their school performance.
issues in the public schools.
How do you solve such problems? Is
there a way to find solutions that will
effectively address them?
Fortunately, there is and it is called
Continuous Improvement or SI. This
method was applied by Batasan Hills
NHS to their recurring problems in
school registration and school opening
with immediate and significant results.

4

SCHOOL
IMPROVEMENT
Let’s find out more about SI. In this
methodology, you will learn that there
is a step-by-step approach to solving a
problem. This is called Triple A, which
stands for Assess-Analyze-Act.
ASSESS
In Assess, you will realize that to be
successful in solving a problem, it is
important to first identify what the
problem is and understand fully what the
problem is all about.
During this stage, you will get to know
how to collect data about the problem
by talking to learners and other
stakeholders.
You will acquire the skill of documenting
the process by drawing a process map
or the SIPOC (Supplier-Input-Process-
Output-Stakeholder) diagram.
At the end of this stage, you will be able
to identify your priority improvement
areas.
55
Intro
ANALYZE
In Analyze, you will be able to gain better
understanding of why the problem
occurs or its root causes through tools
such as the Fishbone Diagram and Root
Cause Analysis.
During this stage, you will be made
aware of the need to validate the root
causes of the problem by collecting data
from learners and other stakeholders.
From the validated root causes, you will
be guided in developing the appropriate
solutions to address these causes.
At the end of this stage, you will be able
to prepare an improvement plan.
ACT
In Act, you will able to pilot the solutions,
review the results and then roll-out to the
rest of the school.
At the end of this stage, you will check
the progress of implementation to
determine the effectiveness of the
solutions.
Intro

What do you hope to gain What is the

from reading and using this best way of
SI Learning Guide? reading this
If you are a teacher, you will gain SI project
an understanding of continuous Learning
improvement, become competent in
applying the SI methodology and be
Guide?
proficient in the use of SI tools and
techniques such as data gathering thru It is best to stick
survey questionnaires and interviews, to the prescribed
Teacher
SIPOC Diagram, Fishbone Diagram, sequence of
Root Cause Analysis, and validation topics because
of root causes, among others. the SI Project
Learning Guide
Most importantly, you will find
is describing a
meaning in your life as a teacher
because the knowledge and skills
methodology
that you acquired will help you in or process that
improving the lives of the learners. is systematic in
nature.
However, after
If you are a School Head, you will not you have started,
only acquire a knowledge of SI and its you may backtrack
methodology, tools and techniques, to the previous
but a better understanding of how topics for recall or
School Head SI can help teachers and other
review.
stakeholders work well together
to achieve a common purpose This guide has
(DepEd’s Mission: To protect and been designed
promote the right of every Filipino to for team learning,
quality, equitable, culture-based and so it is best to use
complete basic education). this guide as a
team.

If you are a Division Superintendent/

Supervisor, you will appreciate the
intent of continuous improvement
Division and learn to operationalize the SI
Superintendent/ methodology, tools and techniques
Supervisor
to enable you to provide technical
guidance on SI to schools.

In applying SI, you will also have a

better handle of dealing with school
issues and challenges that are more
relevant and focused.

6
 Intro
i e w
r v
v e
O

What does “Continuous Improvement” mean to you?

What do you associate “Continuous Improvement” with?
Let us view the case of another school, Marikina HS, to see what SI means and how it
changed the lives of the learners.

The video presents the following scenes:

• How it all started: the mass reading intervention activity

(icon to PLAY VIDEO)
Marikina HS –
Reading Intervention
Program (see video
Marikina HS
MarHSMain2a.mp4)
that utilized CARS (Comprehensive Assessment Reading
Strategies) was not very effective in improving high
school students’ reading ability.
• What did they do: the video described how the SI Team
used the SI methodology (Triple A) to respond to this
problem.

SI video • What results were achieved: the targeted 14 students

were able to improve their reading ability beyond the
Grade IV level.

Did anything from the video presentation strike you?

What did the school do to impress you? What are some lessons here?

These are the things that Marikina HS did:

• The school SI team did home visitations and
gathered data to determine the root cause of
the reading difficulties among some learners.

• With knowledge of the root cause of the

problem, they developed a number of
solutions that target various aspects of the
learners’ reading difficulties.

77
Intro

Do any of the following fit your impressions, insights/ observations?

• Problems identified were • There is a systematic

backed up by data. process (or step-by-
step) approach to
• Data was obtained from learners
solving problems.
and other stakeholders through
surveys, interviews, FGD, etc. • Specific tools and
techniques can be used
• The problems were analyzed to
to execute each step.
determine its root cause/s before
any appropriate solutions were be • Aside from
developed. quantifiable results,
unintended outcomes
• Formulating solutions generate a
such as changes in
number of alternative solutions to
attitude were also
choose from, instead on focusing on
noted.
a single plan of action.

Bearing in mind your insights and observations, let us go back to the question:

What does “Continuous Improvement” mean to you?

“Continuous Improvement is a methodology to

continually assess, analyze, and act on the performance
improvement of key processes, focusing on both
stakeholder needs and the desired performance.”

“Continuous Improvement means--

Good, better, best,
never let it rest,
till the good is better
and the better is best.”

8
 Intro
SCHOOL
IMPROVEMENT

SI takes place in the development, implementation, and evaluation of

the SIP (Assess-Analyze-Act) and the SI project (Act).

ASSESS
Assess

Based on strategic directions from the Division Office, a school-

specific environmental scanning, as well as the identification of
internal and external factors, is undertaken to arrive at school-level
priority improvement areas so as to address the source/s of problems.

ANALYZE
Plan

To address priority improvement areas, school-specific strategic

objectives and targets are set, appropriate solutions are formulated,
and a School Improvement Plan (SIP) is developed.

ACT
Act

To implement the SIP, school-specific SI Projects are identified in the

Action Plan. SI Project teams are then organized to implement the
project and check for its effectiveness.

SIPs are also regularly evaluated for effectiveness and impact.

99
1. 1
GET ORGANIZED

step one:
Get Organized

Learning Output:
Selected SI Project, Project Title, and Project Team Members

Learning Outcome:
Demonstrate critical thinking by
1. evaluating school performance;
2. identifying a process improvement project (SI project);
3. identifying key people that will take part in the SI project.

10
 1. 1
GET ORGANIZED
ASSESS 1. 1
Get
Organized

Get organized is the first step in the ASSESS stage of the school
improvement (SI) project process. In this step, critical school measures
related to the Division and school agreed targets will be identified and
used as reference to assess the school performance. The result of the
assessment will be used to select a process that will be prioritized for
the SI project. After selecting a project, key people will be identified
to be part of the team. The team members will be tasked to ‘assess’,
‘analyze’, and ‘act’ on the process being improved in the project.

 Our school improvement plan (SIP) should have

What pre-work identified the priority improvement areas based on
is needed before the targets negotiated through a consultative process
between the Division and school.
we select a
SI project and  We have identified the school measures that will
form a SI team? contribute to the attainment of targets in the priority area
defined. These measures shall be the reference point of
our assessment .

11
11
 School Measures

Lets start with a discussion of what school measures are.

1. 1

School measures tell us something important about our outputs and how we deliver
them. They help us understand, manage, and improve what our organizations do.
GET ORGANIZED

FIGURE 1.1 - SCHOOL MEASURES AND STAKEHOLDERS

School Process
Leadership Training School Measure
Stakeholders
Attendance Monitoring Achievement Rate

Guidance Counseling Graduation Rate Learners

Remedial Process Dropout Rate

Curriculum delivery process

School Measure
Professional Development Stakeholders
Awards and
In Service Training Recognitions
Teachers
Gender Awareness Staff Development
Development Level

School measures include:

These are examples of school measures • Enrollment rate
that form part of our performance
metrics. How do these measures relate • Dropout rate
to the quality of education we provide • Attendance of students
our students? These school measures • Cohort survival
tell us whether we are able to meet our
goals. It allows us to assess whether • Graduation rate
our stakeholders are satisfied. It also • Child protection and
tells us whether improvements are Nutrition
necessary and effective.
• Student Performance
Scores
• Teacher development
• SBM accreditation
• Sufficient infrastructure

12
 1. 1
School measures relate

GET ORGANIZED
the school process to the
needs of stakeholders. Some challenges encountered in
conducting SI projects are the following:
For instance, students go to school
 Projects identified are not related
to receive quality education.
to the school priority objectives.
Processes such as the conduct of
leadership training, attendance  Failure to properly scope projects
monitoring, guidance counseling,
 No concept of a stakeholder
remedial classes, and curriculum
delivery are assessed through expectation
measures such as the Achievement  Lackof a concept and
rate, Graduation Rate, and Dropout understanding of a process
Rate. These measures are indicators
of whether students receive quality  No clear process owner
education from their schools.  No buy-in with the process owner
When there is non-conformance to  Lack
of proper stakeholder
standards, this triggers the need to management.
conduct a SI project.

The tools of the SI method will help

us address these challenges. Three of
these tools are discussed in subsequent
sections :

1. Using a project selection criteria;

2. Creating a SI project template;
and
3. Establishing the SI project
organization.

After we have identified the school measures that contributes to the attainment
of our SIP targets, we might think of various projects that can provide the
output/outcomes needed to attain our targets. The process for selecting
the SI Project should be undertaken properly to avoid errors or gaps in the
process. This is where a project selection criteria becomes helpful.

13
13
 Project Selection
1. 1

The project selection criteria involve the following:

GET ORGANIZED

 The expected project outputs and/or outcomes support the

targeted performance indicator (PI) or school measure
 The project revolves around the improvement of an identified
internal school process.
 The project has outputs and outcomes which are realizable within
the six-month project duration. Six months from the Assess stage
to the Act stage
 Project activities are generally executable and within the control
of the project SI Team, or through a local or division-level
stakeholder with whom the SI Team can partner.
 The project does not require a capital outlay to execute.

To organize the information for a SI Project, a template can be used as reference.

This project template will show how we recognized the needs of our stakeholders,
how we generated solutions, and how to make them sustainable.

A template is needed to show our learning as well so that other people can
learn from us as well. However, the documentation of the project need not be
tedious. We can follow this storyboard format that uses the A3 template, named
such because it uses an A3-sized document.
It’s a visual documentation
IMPLEMENTATION PLAN
PROJECT TITLE

Name of the School and Project

Objective
Statement
template. At one glance, we
STAGE 2: ANALYZE

Solution Generation
Team Members
can see what has happened
To view A3 template,

Value Analysis
Improved Process Diagram

in the project.
go to PAGE 151

BACKGROUND
STAGE 1: ASSESS

Tasks and Timeline

School Profile
School Measures Budget and Resource
VOC
The A3 is divided into
Stakeholder Analysis
Project Scoping (SIPOC)
Evaluation of Implementation Risks

CURRENT STATE TEST RESULTS two major parts-- the

Piloting
Process Map +
Data Gathering and Presentation
Rollout
Before and After
first column shows the
Cost Benefit Analysis
Problem statement
project’s current state and
STAGE 3: ACT

PROBLEM ANALYSIS KEY LEARNING the second column shows

STAGE 2: ANALYZE

FUTURE STATE

Root Cause Analysis

Validation of Causes
Project Closure
the future state after the
Project Sharing
Prioritization of Valid Causes
project’s implementation.

SI Project
FIGURE 1.2 - SI PROJECT TEMPLATE

Template
14
 Definitions

1. 1
• PROJECT TITLE

GET ORGANIZED
The project title contains
the name of the project,
team leader, and team
members. The project title
should be very attractive to
the sponsors/ stakeholders
in order to entice them
to support the project and
cater to its needs.

• BACKGROUND
The background contains brief information about the project. It
should be supported with data on the school issue. It should also
reflect the voice of stakeholder and be clear with the scope of
the project. The background of the project should contain a high-
level performance measure of the school that is important for the
stakeholders.

• CURRENT STATE
The current state provides the current process
map including baseline data. In this step, it is
critical to map the ‘as is’ process rather than
what should be. The baseline data should include
specific outcomes and measures of performance.
Storm clouds or pain points should also be
highlighted in this step.

• PROBLEM ANALYSIS (For each storm cloud)

The problem analysis portion provides the summary of the root
cause analysis performed. A why-why diagram is used to analyze
and identify the root cause of the problem. The root cause of
the problem should lead to the solution to the problem.

15
15
 • FUTURE STATE
The future state provides a
1. 1

description of the proposed

solutions and possible
GET ORGANIZED

interventions on the process.

In this step, value analysis is
performed and an improved
process map is provided in the
SI Project Template.

• IMPLEMENTATION PLAN
The implementation plan spells out the WHAT (needs to happen),
WHO (will do it), WHEN (it will be completed), and OUTCOME
(expected results). In this portion, tasks and timeline are
determined. Budget and resources needed are also identified.
This portion provides an analysis of stakeholders as well as risks
associated with implementing solutions to the problem.

• TEST RESULTS
A pilot run is performed in the SI project to determine
whether changes have positive impacts to the school measure.
The pilot run is implemented in a smaller scale to ensure that
improvements are effective before implementing to a wider
scope. To have a solid basis on the improvement project, compare
the before and after results in a graph.

• KEY LEARNING
Lessons learned must be shared
with other schools because they
may have similar problems and
might be able to apply what we
have already learned. Likewise, our
school can learn from other schools
as well. The key learning could also
include recognition and reward. This
provides closure to the SI project.

16
 Establishing the Team

The next step in getting organized after drafting the Project template is to

1. 1
select and establish the team from the school that will implement the project.
The SI organization at the school level is led by the School Head who works

GET ORGANIZED
with the School Governing Council (SGC). The school may have several
SI Teams, each working on an improvement project. School SI Facilitators
provide guidance on the application of these tools and techniques.

School Head
- - - - - - -

School Governing
Council
FIGURE 1.3: SCHOOL IMPROVEMENT ( SI ) PROJECT ORGANIZATION

School SI School SI
Facilitator Trainer

SI Team 1 SI Team 2 SI Team 3

Team Leader Team Leader Team Leader
Members Members Members

17
17
 FIGURE 1.4 – THE SI TEAM AND STAKEHOLDERS
1. 1

School Head
GET ORGANIZED

SI
Facilitator

SI Team

Making a Great Team

The members of the SI team should be creative and

open minded. These people should have high hopes,
possess a kayang-gawin (can do), kakayanin (will do)
attitude, and are very open to new ideas.

Team members should be good team players. These are people who know how
to maturely handle the different personalities in the team. These people should
also be respectable and credible.

The team should be composed of 3-8 members

because a smaller team can work and organize
faster. Teams greater than 8 require
additional facilitation and often require
sub-teams.

18
 The Process Owner

It is important to have a process owner because the projects take place in the

1. 1
context of process improvement.

The process owner is the person responsible for ensuring the efficiency of the

GET ORGANIZED
process, has the ability to make changes in the process and is highly involved
in the project. The process owner has the responsibility and authority to
manage and improve a process.

The librarian, Math department head, subject coordinator are examples of

process owner.

Process Owner
FIGURE 1.5 - PROCESS OWNER

Overall
Process

Dept A Dept B Dept C Dept D

In summary, this section should have helped us (1) understand

how to select a SI project; (2) know what is a project
template and (3) use guidelines in organizing and identifying
key people that will take part in the SI project.

The next section will describe the 2nd step in the ASSESS
stage which is Talking to your Stakeholder

19
19
 Step 1: Get Organized
Lesson Review
1
1. 1
The student attendance rate
for a particular school has
consistently been at 100% in
GET ORGANIZED
the last 5 years. If quality is measured
by student attendance, what
dimension of quality is demonstrated
by the performance of this school?
a. Performance
b. Reliability
c. Durability
d. Conformance to standards
e. None of the Choices
2
The number of students at
risk of dropping out (SARDO)
is increasing beyond the
standard set by a particular school.
What project should the SI team
conduct?
a. Look into the external factors/
processes that cause students to
miss classes.
b. Look into the internal factors/
processes that are used
to monitor the students’
attendance.
c. Help the students’ parents
earn more income so that the
students don’t have to work after
class.
d. Construct new classrooms to
attract students to go to school.
e. All of the Choices
3
A n elementary school has set
a goal that 25% of Grade IV
Learners should be numerates
upon completing the grade level. At
the end of year 2013, 100 out of 300
Grade IV Learners were numerates.
Which dimension of quality is
demonstrated in this performance?
a. Performance.
b. Durability.
c. Conformance to standards.
d. Reliability.
e. All of the Choices
20
4
A SI team is investigating the
Teaching-Learning Process
for Reading to determine why
many of students are still non-readers.
The team decided to observe the
Teaching-Learning Process of a particular
teacher, but failed to inform the teacher
the reasons behind the observation. In
effect, the teacher thought that he/ she
was being audited and geared away
from his/ her normal teaching-learning
process. What challenge did the SI team
experience in this scenario?
a. No Project Accountability.
b. No Clear Process Owner.
c. No Buy-in with the Process Owner.
d. Project Sponsors did not break road
blocks.
e. None of the Choices
5
A SI team is looking into the
Teaching-Learning Process for
Reading to determine why many
students are still non-readers. Two
months into the project, the team felt the
need to consider the Feeding Program
because most students in the class
seemed malnourished. While looking
into the Feeding Program Process, the
Team decided to look into the process
of cooking food. By the end of the year,
the SI project is still ongoing and the
team no longer knows what to do. What
challenge did the SI team experience in
this scenario?
a. Failure to properly define the scope
of the project.
b. Lack of Stakeholder Management.
c. Lack of concept and understanding
of a process.
d. Mismatch of project team members.
e. None of the Choices
6
A SI team is looking to improve
their school’s performance by
raising the their students’ NAT
Scores, specifically for Math. They
decided to look into the Teaching-
Learning Process for Math. At the end
of the project, the SI team was able to
generate a revised Teaching-Learning
Process to help students solve Word
Problems. By the next NAT, the students’

scores in Math increased by 10%. Math
teachers were very happy with the project
because they were able to teach word
problems easily. Students were also
satisfied with the increase of their grades.
The output of the project is ___________
9
The result of the diagnostic
reading test that was
administered to Grade 6
learners last 2013 shows that 83% of
633 students were diagnosed with to
the Frustration reading level in word

1. 1
while the outcome is ________. recognition. The school has set the
a. 10% increase in Math NAT Scores; desired goal that no student should
be left at the Frustration level. Which

Revised teaching learning process
b. Revised teaching learning process;
10% increase in NAT Scores.
c. Happy teachers; Satisfied students.
d. Satisfied students; happy teachers.
e. All of the Choices
GET ORGANIZED
process should the SI team investigate
to address the school’s problem?
a. The Remedial Process for
Reading.
b. Teaching-Learning Process of
Reading.
c. Attendance Monitoring Process

7
of Students.
A SI team is trying to determine
why students are unable to solve d. Feeding Program Process.
word problems in Math. The team e. All of the Choices
found that the students had difficulties
in understanding word problems. The SI

10
team then shifted their attention from A SI team is looking into the
the Math Teaching-Learning process Teaching-Learning Process for
toward the Reading Comprehension Science. Who is the Process
Teaching-Learning process. This scenario Owner?
demonstrates the concept of-- a. The School Head.
a. Scope Creep. b. SI team.
b. Lack of Focus. c. Local Government Units.
c. Systems Thinking – interrelationships d. Science Teachers.
of processes within the school
system. e. All of the Choices
ANSWERS
ON PAGE
176
d. Shifting the Burden.
e. None of the Choices

8A
n elementary school has
set a goal that 25% of
Grade IV Learners should
be numerates upon completing the
grade level. Given the data in Figure 1,
this is the most appropriate background
statement for a SI project:
a. 163 out of the 178 (92%) Grade IV
Learners are Non-numerates.
b. 175 out of the 178 (98%) of Grade IV
Learners have not reached the level
of Numerates.
c. There is a high level of Non- FIGURE 1.GRADE IV NUMERATE LEVEL
numerates Learners in Section 1,
Section 3, and Section 4.
d. Only 3 out of the 178 (1. 68%) Grade
IV Learners are Numerates.
e. All of the Choices
21
21
1. 2
TALK W/ STAKEHOLDERS

step two:
Talk With Your
Stakeholders

Learning Output:
Identifying stakeholders; Voice of stakeholders

Learning Outcome:
Demonstrate the following:
1. skill in identifying stakeholders;
2. gathering the voice of stakeholders;
3. understanding the needs of stakeholders.

22
 1. 2
TALK W/ STAKEHOLDERS
ASSESS 1. 2
Talk
With Your
Stakeholders

It is important to understand the stakeholders’ needs and

expectations, as well as their perception of whether the process
or system is capable of addressing these. The stakeholder may
also be a source of improvement ideas or suggestions.
In this section, you will learn how to understand the
stakeholders’ requirements and identify improvement
opportunities based on these requirements.

23
23
 Learners /
Students
1. 2

FIGURE 2.1 :
STAKEHOLDERS
TALK W/ STAKEHOLDERS

Who are your

Stakeholders are groups or individuals who benefit
from or participate in the process or project
stakeholders? improvement. Who are your stakeholders in the
school? These are learners, parents, the government,
future employers, teachers, principal, janitors, etc.

How do we classify the stakeholders?

There are four types of stakeholders: primary, secondary, tertiary, and internal
stakeholders. A primary stakeholder directly receives the service. In our case,
an example of primary stakeholders is the learners. A secondary stakeholder
indirectly receives the service. In our case, these can be the learners’ parents.
Tertiary stakeholders are indirect but crucial participants in the process, such
as future employers, the government, and society in general. Finally, internal
stakeholders are individuals or groups who are part of the improvement
process. In our case, internal stakeholders are part of the school, such as
teachers and principals.

Primary Secondary Tertiary

Stakeholder Stakeholders - Stakeholders –
- learners parents future employers,
- government
FIGURE 2.2 - TYPES OF STAKEHOLDERS

Internal Stakeholders
– employees of institutions,
teachers, etc.

24
Stakeholders have different needs.
As an example, please see FIGURE 2.3

1.0
FOR A FAIR SELECTION, EVERYONE HAS TO TAKE
PLEASE CLIMB THAT TREE!

ANALYZE
THE SAME EXAM!

FIGURE 2.3 - STAKEHOLDER SEGMENTS

As observed in the Figure, each type of animal has different capabilities. As expected,
the monkey will have an advantage in climbing a tree. The same idea applies to
stakeholders. Different types of stakeholders have different needs that they wanted
to satisfy-- enrolling their child or even supporting a school. It is important to
understand the stakeholder segments in order to satisfy their different needs.
In line with understanding the needs of stakeholders, it is critical to have the
stakeholders themselves help in identifying their needs. The Voice of the Stakeholder
(VOS) is a qualitative statement or phrase that describes the stakeholders’ needs and
is worded in the stakeholder’s language. The use of the stakeholders’ own language
is important because we may be able to pick up new ideas on what they need.
Oftentimes, stakeholders are unable to directly voice out what they need or want.
As such, it is important to ask follow-up questions to identify stakeholders’ needs
that are important to them.

Some of the
questions that we
need to ask are:
“WHAT”is important to
“WHAT”do
parents, students, and/ students,
parents,
or teachers? and teach
ers
ACTUALLY
mean?

“WHY”are
these needs
important? “WHERE”can we
ent “WHAT”is our baseline
focus our improvem
performance from
efforts?
parents, students,
and/ or teacher’s?

25
25
 To avoid raising prices,
we made the hole bigger
and bigger, until the
1. 2

donut finally disappeared

TALK W/ STAKEHOLDERS

FOR SALE FIGURE 2.4

CUSTOMER VALUE

We must be able to understand what is valuable to our stakeholders. What is our

VALUE to our stakeholders? Why do learners go to school? Why do parents send their
children to school? In FIGURE 2.4, the donut store does not understand the value
of what they sell to stakeholders. Increasing the size of the donut by increasing the
hole does not add value to stakeholders. Instead, it is important for the stakeholder
to receive a bigger donut because they want to satisfy their hunger.

Must balance WANTS and NEEDS!

When gathering VOS, we must be careful in determining

whether something is a need or a want. Needs are what
stakeholders expect to receive from a concept or service.
Wants are preferences of a stakeholder on how to receive
a concept or service. Needs are more likely common across
your stakeholders. Wants may vary from stakeholder to
stakeholder even if they share the same needs. We have
to make sure to address the needs first before the wants.
However, wants are important to create a balance on what
and how we deliver our service to our stakeholders.

When identifying stakeholder needs, several issues may arise.

Stakeholders may state that: However, their real needs might be:
• “I need access • “I need to have new
to the internet.” teaching materials.”
• “I need to have a projector • “I need to have the
inside the classroom.” entire class see the
teaching materials.”

The real needs of the stakeholders may have to be inferred or extracted from what
they actually say during interviews. While they may identify the things they need,
it is critical to determine why they need these things.

26
Stakeholders may state that: But their actual need might be:

• “I want an • “I need to have a

understanding teacher.” strict teacher.”

1. 2
In the preceding example, the stakeholder says that they need an understanding
teacher, but what they actually need is a strict teacher who can enforce order in
the classroom.

TALK W/ STAKEHOLDERS
But their actual usage for these
Stakeholders may state that:
needs might be:
• “I need a computer.”
• “I need a calculator.”
• “We need books in the library.”
• “We need a place for
students to study.”

In this example, stakeholders perceive that they need a specific item

such as a computer, but they only plan to use it to calculate. As such,
they do not really need a computer, instead they need a calculator.

Here are a few more examples:

Internal stakeholders may say:

• “We need to provide chairs in the classroom for our students.”

External stakeholders may say:

• “We need more classrooms.”

The focus of the internal and external stakeholders are different, so they will
phrase their needs differently.
In terms of effectiveness, stakeholders may say:

• “We need our students to learn.”

• “I need to finish my lessons on time.”
But if asked to focus on efficiency, stakeholders may say:

• “We need our students to graduate.”

• “I need my students to understand the lesson.”

Through these examples, we learn that stakeholders have different ways of

saying what they need. We have to learn how to scrutinize and understand
what they truly mean.

There are different tools that can be used in gathering

the voice of stakeholders. The most common way is by
conducting interviews or Focus Group Discussions (FGD).
It is critical to allow our stakeholders to elaborate on their

27
27
 responses in order to infer the specific needs that are critical for them. After
gathering data through interviews, we can conduct surveys to quantify and
verify the responses from the interviews. In most cases, tools need to be
used in combination. Tools used in combination move you from one level of
certainty to the next.
1. 2

Interview questions should be open-ended. When necessary, follow-up the

questions to delve further into the stakeholder issues. In such cases, we
TALK W/ STAKEHOLDERS

should allow the stakeholders to talk. We must avoid biased, leading, or

loaded questions. Our questions should be clear, and the way we word the
questions should not be ambiguous.
How do we analyze the responses of the stakeholders? We have to transcribe
the stakeholders’ responses verbatim, or word for word. The use of their own

DYADS OR TRIADS
ONE ON ONE Dyads or Triads to obtain or capture
Conduct personal (one on one)
desired “outcomes”with deeper and more
interviews which help identify and list refined understanding”
what they really need and want
FIGURE 2.5: VOS METHODOLOGIES

FOCUS GROUP DISCUSSION

(FGD) or observational groups to SURVEYS
obtain deeper and more refined
Surveys to quantify and verify
understanding

language is important. We have to read through these interview transcriptions

and highlight any statements that you think are relevant to your project. The
strongest statements should be written in sticky notes in order to group or
classify the stakeholders’ responses.

28
Aside from the VOS methods mentioned previously, there are other
modes of gathering data which may be qualitative in nature.
Other forms of qualitative research include:

1. 2
a) Home Visits - The researcher goes

TALK W/ STAKEHOLDERS
to the respondent’s home and observes
the practices of the respondent. The
respondent is fully aware that he/ she is
being observed.

b) Classroom Observations
(Natural Environment)
The researchers observe their stakeholders
in a natural environment (i. e. where class
decisions are made, where stakeholders
spend most of their time). Usually, the
respondents are not aware that they are
being observed.

c) Buddy Panels/ Adult Panels -

An ongoing panel among stakeholders. The
respondents come in pairs wherein one is a moderator
and the other is a co-moderator. This technique is
effective among kids and teens because it is less
intimidating and more fun. The Buddy panel is also
effective in rapid concept/ prototype development.
This allows researchers to establish a more intimate
relationship with the stakeholders and gain more
insights about their lifestyles, feelings, and attitudes.
This technique can also be conducted on adults.

d) Diaries - This is effective in rapid concept/

prototype development. The use of diaries allows
researchers to understand behavioral changes in the
adoption of a new idea.

e) Conversations with experts / third parties

Identify experts on the topic and set up a meeting with
them to get their views and insights on the issue.

29
29
 In school, the use of observation methods can be a good tool to gather information.
The benefits of observational studies include:

• Understanding the exact process that the student go through when learning.
• Determining home stresses that students are exposed to.
1. 2

• Understanding the ease/ difficulty that students experience with certain

activities.
TALK W/ STAKEHOLDERS

• Understanding how teachers and students actually use teaching materials.

After gathering information through

Theme 1
the various research methods, it
is important to put some order Need 1 Need 2
to the data to see trends or
get a sense of the value of the
information. One tool that can be
used for the purpose for qualitative
data is the Affinity Diagram.

What is an
affinity diagram? Theme 2
When Gathering large amounts of Need 3
language data, an affinity diagram:
 Helps grasp very large or
complex issues.
 Finds patterns in voluminous
data.
Need 4 Need 4
 Organizes ideas, issues,
opinions.
 Facilitates understanding.

Theme 2
Need 6
Need 5

Need 7

FIGURE 2.6 AFFINITY DIAGRAM

30
 How do we create an
affinity diagram?
1. Gather ideas from interview
transcripts, surveys, etc. Read
through your stakeholder notes.
Highlight statements you think are
related to the stakeholders’ needs.
2. Transfer data onto index cards
or self-stick notes - Write down
one sentence per card.
3. Group the cards to find the
“affinity.” Shuffle the cards and
lay them out, or randomly place
self-stick notes on the flipchart.
Read each card and group
together the cards that seem
similar. Let the cards “group
themselves.” Do this silently.
If you disagree with a card’s placement,
move it. Don’t discuss your decision with
other group members. If you disagree
with where someone moved a card,
move the card back. If a card moves
three times, make a duplicate card.
4. Label the groups of cards. Examine
each group and determine its essence
or common theme (aim for 3 to 5 words).
Write the theme on a blank card and
use this as the group’s label. Continue
doing this for all groups. Having a group
comprised of one card is acceptable.
5. Optional: group the clusters into
“superclusters.” Place related groupings
near each other. Create superheaders,
if necessary.
CLUSTER LABEL
LABEL LABEL LABEL
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31
An affinity diagram allows us to
organize language data to find
patterns. This is as important as
organizing numerical data. The
more data you have, or the more
1. 2
complex the problem, the more
important it is to organize this
data in a meaningful way. When
TALK W/ STAKEHOLDERS
we read unsorted statements,
it is easy to create meaning
by filtering the data through
our own biases. By sorting the
statements, we get a more
objective view of themes and
patterns.
• Unlike other data tools,
the creation of an affinity
diagram stresses creative
or intuitive thinking more
than logical thinking.
• The first step in getting
value from stakeholder
data is organizing it in
a way that will reveal
themes.
• An affinity diagram is a
good tool for this purpose
because it organizes
language data into related
groups.
• The affinity diagram
involves the whole team,
which helps increase the
buy-in from individuals.
 Examples of affinity diagrams are presented in Figures 2.7, 2.8, 2.9.
In getting the VOS, one should be careful in analyzing and interpreting data. There
may be difficulties in translating what the stakeholder is saying to what we should be
measuring.
1. 2

Possible reasons include:

• The VOS are biased
TALK W/ STAKEHOLDERS

• The VOS are ambiguous to us.

• The VOS can have many meanings.
• The VOS are not expressed as a true need.
• The difference between needs and wants is not clear.
• The VOS was gathered from the wrong stakeholders.

FIGURE 2.7 - EXAMPLE:

HOTEL CHECK-IN
PROCESS AFFINITY
DIAGRAM

Available
Information

Should Have
Information about
Local Entertainment
The “Right”Room

Should Be Able to Give

Me Directions to Local
Get My Room Key Businesses
Quickly

Check-in Experience Be Able to Tell Me

Get the Room I About the Hotel
Reserved Services

Clerk Should be Friendly

Tell Me How to Get Tell Me Where My Ease of handling
to My Room Convention/Meeting is
Located
“Stuff
Clerk Should Be Able to
Resolve Problems Quickly
Room Key Needs to
Work Give Me Advice on Don’t Want to Carry
Check-in Location Good Restaurants Luggage a Long Way
Should be Obvious
Make Sure I Get My
“Miles” Get Help With My
Recognize Me If I’ve Luggage If I Need
Been Here Before It

Clerk Should Be Park My Car If I

Courteous Need It

Treat Me Special If I
am a Frequent Stayer

Keep My Personal Data

Private

32

Sapat na oras
sa klase
Kailangan ko ng
sapat na oras sa
klase
Gusto ko bigyan ako
ng oras ni titser
para maka-recite
Gusto ko tulungan
ako ni titser sa pag-
practice
Kailangan ko ng mas
mahabang “time”para
maturuan kami
magbasa.
Kulang ang oras para
mag-practice
Gusto ko dahan
dahan sa pagturo
FIGURE 2.8 - POSSIBLE REQUIREMENTS FOR LEARNING ENGLISH IN GRADE 7
Enough time
for the class
• I want sufficient
time to solve the math
problem in the classroom
• I want to participate in
class recitation
• I want the teacher to
help me do practice solving
math problems
• I need more time to
learn how to apply division
and multiplication
• I need more time to
practice understanding
math problems
• I want the teacher to
teach slowly
OF GRADE IV STUDENTS ON THEIR MATH SUBJECT (ANSWER)
Me saysay ang
mga natutunan ko
Gusto ko magamit
ang aking natutunan
sa labas ng klase
Kailangan ko
matuto ng salita na
magagamit ko sa
“internet chat”
Matulungan akong
makaintindi ng mga
salitang inglish sa
“Google”
Gusto kong matuto
ng salitang ingles na
makatulong sa aming
negosyo sa bahay
The learning in
class is relevant environment for
• I want to know how to
apply the operations
• I want a quiet class
• I want to use what I
• I don’t want the class
have learned outside of
the classroom
• I need help how to
understand how to use
• I need to sit properly so
math in day to day
activities
• I need to learn math to
help in my parents sari-
sari store business
• I need to sit in front
• I don’t want to sit
FIGURE 2.9 - VOS
33
33
Akmang
Kapaligiran para sa
pag-aral ng ingles
Gusto ko ng tahimik
na klase
1. 2
Ayokong maingay
sa klase habang
Sapat na paraan*
TALK W/ STAKEHOLDERS
nagsasalita si
teacher para matuto
Kailangan kong
makaupo ng maayos
para hindi ako Gusto ng me laro.
nahirapan
Gusto ko ng me
Kailangan kong “pictures”
umupo sa malapit
para makita and
makarinig ng mabuti Kailangan ko na me
librong magamit sa
labas ng klase
Ayokong malapit
masyado sa harapan
dahil “farsighted”ako Gusto ko
nakapagtanong ako
sa guro ko
Gusto masaya sa
klase
*Paraan – also refers to
how to use the teaching
materials
c
a+b=
Conducive Proper method
of teaching
learning Math • I need to have books
to use outside of the
classroom
• I want to be able to ask
to be noisy while the
questions to teacher
teacher is explaining the
math lessons • I want the class to be
fun to learn
I will not have a hard • I want games in class
time listening and taking
down notes from the
lecture
of the class so I can
see and hear better
in front since I am
farsighted
 Why are VOSs important?
Through this tool, we can identify the stakeholders’ real needs.
Based on the VOS, the processes can be improved and monitored.
Furthermore, we may be able to translate the key measures into
1. 2

concrete improvement plans.

After thoroughly understanding the stakeholders needs, we can
TALK W/ STAKEHOLDERS

then proceed to flesh out the process that best serves their interests.

REMEMBER
A stakeholder-focused organization understands
the requirements of their stakeholders and
measures how well these requirements are met

34
Step 2: Talk With Your Stakeholders
Lesson Review
1 2
A SI Team has decided to
investigate the Teaching-Learning
Process of Math to increase their
students’ NAT Scores. The customers
for the Teaching-Learning Process for
Math are the Learners, Parents, School
Head, and Society as a whole. Which
of the following is true regarding the
classification of the different customers?
a. Learners – Primary; Parents –
Secondary; School Head – Internal;
Society – Tertiary
b. School Head – Primary; Learners
– Secondary; Parents – Internal;
Parents – Tertiary
c. Parents – Primary; Learners –
Secondary; School Head – Internal;
Society – Tertiary
d. Society – Primary; Parents –
Secondary; Learners – Internal;
School Head – Tertiary
e. None of the choices
35
35
A SI Team looking into the
1. 2
Teaching-Learning Process for
Science has discovered that there
TALK W/ STAKEHOLDERS
are learners who perform better when
the teachers conduct graded recitation.
Other learners understood the lesson
better when the teacher used visual
aids like graphs and pictures. There are
other learners who do well with hands-
on activities. In understanding the needs
and wants of these learners the SI team
decided to group learners according
to the teaching style most beneficial to
them. What concept did the SI team
demonstrate in this scenario?
a. Voice of the Stakeholder
b. Affinity Diagram
c. Stakeholder Segmentation
d. Stratification
e. All of the choices
3
A SI Team decided to interview
Grade 1 students to gather the
VOS regarding their performance
in English. What is the most appropriate
VOS method that the team should use
to ensure that the students wouldn’t be
afraid to speak up?
a. Personal Interviews
b. Home Visits
c. Dyads/ Triads
d. Expert Opinion
e. All of the choices
 4 6
A SI Team is creating interview
questions to gather the VOS from
their learners.
One question that they want to ask is
1. 2
phrased as such: “What do you think
are the problems that the school will
TALK W/ STAKEHOLDERS
encounter if students are provided with
computers in class?”What bias is shown
in this question?
a. Unstated Criteria
b. Loaded Question
c. Ambiguous wording
d. Leading Question
e. All of the choices
5
A SI Team is creating interview
questions to gather the VOS from
their learners. One question that
they want to ask is phrased as such:
“What factors, such as good learning
environment and good acoustics, do
you think are necessary for learners to
effectively understand the lesson?”What
bias is shown in this question? Choose
the most appropriate answer.
a. Loaded question
b. Leading question
c. Example containment
d. Unstated criteria
e. None of the choices
36
A SI Team interviewed a learner
who responded with the
statement, “The classrooms should
be air-conditioned.” The SI Team
noticed that the learner expressed a
stated need and not a real need. What
could the real need of the learner be?
a. I need to hear what the teacher is
saying.
b. I need a classroom that is
conducive for learning.
c. I need to be relaxed while learning
so I can understand the lesson.
d. I need to focus on the lesson.
e. All of the choices
7
The following are the statements
that a SI Team has gathered from
learners regarding their Science
subject:
• I want a quiet class so I can hear what
the teacher is saying.
• I want a comfortable chair so I can
focus on listening to the teacher.
• I want enough lighting to see what the
teacher is writing on the board.
What is the most appropriate theme for
this group of VOCs?
a. Proper Instructional Materials
b. Applicability of the lessons in real
life
c. Enough time to understand the
lesson
d. Conducive environment for
learning
e. All of the choices
8
A SI Team interviewed a learner
who responded with the
statement, “I want a personal
computer in class.” The SI Team noticed
that the learner expressed a solution for

1. 2
an intended usage and not a need for
the actual usage. What could the actual

TALK W/ STAKEHOLDERS
usage of the learner be?
a. I need proper learning materials.
b. I need to use MS Excel for
calculations.
c. I need to use the internet.
d. I need to use MS Word for taking
notes.
e. All of the choices

9
The VOS that a SI Team has
gathered expresses the need to
have “enough time for class to
learn.” What is the most appropriate
measure to quantify this VOS?
a. Total class time
b. Total teaching and learning time
c. Total time for exams
d. Total class recitation time
e. All of the choices

10
A SI Team is looking into the
Feeding Program Process
and they want to observe
the learners undergoing the process
in order to determine their needs
and wants. What appropriate form of
qualitative research can the team use?
a. Home visits
b. Process Observation
c. Conversations with Experts
d. Survey Questionnaires
e. All of the choices
ANSWERS
ON PAGE
180

37
37
1. 3
WALK THE PROCESS

step three:
Walk the Process

Learning Output:
Current Process Map and Identified Storm Clouds
(Pain Points in the Process)

Learning Outcome:
Demonstrate critical thinking by
1. Connecting the voice of the stakeholder to the school
processes
2. Mapping the process to show what is currently happening
3. Identifying storm clouds/ pain points in the current process

38
 1. 3
WALK THE PROCESS
ASSESS 1. 3
Walk The
Process

At this step in the SI process, we have already

accomplished the following: (1) identified a broad
problem based on a relevant school measure; (2)
identified the key people who will comprise the SI
team; and (3) identified the needs of the learners
and stakeholders affected by the broad problem
through the Voice of the Stakeholder (VOS).

We are now ready to explore Step 3 of the

Continuous Improvement Methodology,
Walk the Process.

39
39
 REVIEW: TALK YOU ARE HERE:
WITH YOUR WALK THE PROCESS
STAKEHOLDERS
At the end of this step, we will be able to :
1. 3

Recall that in the previous step,

• Identify where the issue is located in the
certain concerns were raised
process, and
by our Learners in the VOS.
WALK THE PROCESS

Now, we must connect these • Identify what data to collect to further

concerns to the specific critical understand the issue.
school processes in order for us
to understand further why and
This step contributes importantly to the
where these problems occur.
succeeding steps, so we have to understand
the current step thoroughly.
In the process of understanding the voice of
the stakeholder, we are able to relate their
concerns to a specific school measure and
assess how well we are satisfying these needs
(refer to Figure 3.1).
FIGURE 3.1: REVIEW VOICE OF THE STAKEHOLDER

Repetition
Rate Voices of the “learners”

I Need. . .
Participation
Drop-out
Rate
Rate

Achievement Graduation
Rate Measure

These school measures did not appear from a vacuum. These must be the
results or outputs of a process. Understanding these processes is the key
to identifying where the problems occur.

What is a Process?
A process is a set of activities that
are arranged together in order to
deliver a product or service.

40
Every day, one way or the other, we become
stakeholders of a process. Think about
Machine Manpower
ordering fried chicken. Processes are involved
in delivering that juicy and crispy chicken. The
processes involved in this particular scenario

1. 3
are: preparing chicken, frying chicken, dripping
the oil, placing the chicken in a tray, and finally,
delivering the chicken to our table. (Please see

WALK THE PROCESS

Figure 3.2 for an illustration of this process. )
Now, the juiciness and the crispiness of our Process Step 1
fried chicken are highly dependent on the way
it was processed. These may be attributed to
the preparation and/ or the frying process. If the
cooks overcooked the chicken, it might not be Material Method
juicy anymore. The point of this illustration is that
the resulting quality of the product or service
that we receive is dependent on its processes.
In our schools, we rely on many processes such Machine Manpower
as the enrollment process, the teaching process,
the curriculum development process, and the
school canteen processes, just to name a few. The
recipients of these processes are our learners,
parents, teachers, and other stakeholders.
How do we know if these processes are able
to achieve its goals and objectives? Do these
processes satisfy the needs and the wants of our Process Step 2
leaners and stakeholders?
A process has different components and inputs
that work together in achieving its goals. These
Material Method
components can be categorized as Manpower,
Materials, Machine, and Method.

Manpower refers to the persons in charge of

doing the work (ex. teacher, student, parents).

Materials refer to the different things that are

needed to execute the process (ex. test papers,
chalk, teaching materials).

Machine refers to the equipment or machineries

needed to execute the process (ex. projector,
television, speaker, microphone), while

Method refers to the tasks/ steps involved in

a process (ex. the way the teaching materials
are delivered, student evaluation, checking
of test papers). These components are very
important in assessing the performance of their
corresponding processes because the issues or
problems in the process may be attributed to FIGURE 3.2:
one or more of these components. FRIED CHICKEN PROCESS

41
41
 Why do we need to understand
the process?
We need to understand processes in order
to know how a stakeholders’ need or want
1.33
is being met. Without understanding the
1.
process, we can’t deliver a consistent,
PROCESS
THE PROCESS
efficient, and effective way of achieving our
stakeholders’ needs and wants.
How do we understand a process?
WALK THE
To understand a process, there must be a way
to represent or capture what is happening
WALK
in reality. This is done through the use of a
model.
Model Definition
• Models are representations of systems
or processes.
• Models enable the understanding,
analysis, improvement, or replacement of
the system/ process.
• Models describe:
 things it works on
 what a system/ process does
 what controls it
 what means it uses to perform its
functions
 what it produces
 how it is constructed
A model has different forms. It can be in
the form of prototype, mathematical, or
graphical representation. Whenever there
is a building or condominium to be built in
an area, a prototype model is used to show
people a scaled example of how the finished
project will look like after its construction. A
mathematical model is used to establish a
relationship of variables, such as the idea of
force in physics. To show the sequence and
flow of work in a process, a process map is
drawn to represent it. This is the model form
that we will focus on because it is the most
useful technique for process improvement.
42
What is process mapping?
It is the technique of using flowcharts
to illustrate the flow of a process,
proceeding from the most macro
perspective to the level of detail
required to identify opportunities for
improvement.
Why should we
map the process?
 It promotes the common
understanding of the process
among the SI team members.
 It clarifies the steps in the
process.
 It helps identify the
improvement opportunities in
the process (complexity, waste,
delays, inefficiencies, and
bottlenecks).
 It helps uncover problems in the
process.
 It helps reveal how the process
operates.
 It provides an opportunity for
the SI team members to learn
about the work that is being
performed.
 Most processes today are
undocumented, leading to more
confusion and inconsistencies
within the organization. People
commonly act in ways that they
think is right. On the other hand,
most documented processes are
often ignored or not followed
properly.
The main objective of process
mapping is for us to understand its
importance and not just conduct
it for the sake of documentation/
reporting alone.
 “You don’t learn to Process Map,
You Process Map to learn.”

1.33
1.
-Dr. Myron Tribus

WALK THE PROCESS

To map a process, we can use different types of flowcharts.

What is a Flowchart?
It is a diagram that uses graphic symbols to depict the nature
and flow of the steps in a process.
Process
Flowchart How do we create Flowcharts?
When creating a flowchart, it is ideal to work with a group so
as to encourage multiple viewpoints. The group should be
comprised of people who are involved in the process that
we wish to focus on. A suggested procedure for creating
flowcharts is given below.

Brainstorm action steps.

- Write the action steps on self-stick notes or on a flipchart. It is more beneficial
to use this technique rather than conduct interviews and map out the process.
Interviews can be time consuming because we may need to go back and schedule
another interview in order to validate the map. Normally, when conducting
interviews, we may miss many details that may result in more iterations in order to
improve the action steps. If we use flipcharts and self-stick notes, the SI group can
simultaneously validate the action steps because they can see it instantaneously.
It is easier to respond to any corrections in your flowchart because you can easily
move the stick notes and proceed to the discussion.
In mapping the current process flow, it is important to ensure that the map reflects
what is currently happening. A common mistake in process mapping is combining
the present state with the desired outcome.
If the team is having difficulties in mapping their process, it may mean that their
process sequence is unclear or that there is no standard process. This may result in
an inconsistent performance.
- Make sure to include the steps that occur when things go wrong. This will give us
an idea of how people will react when faced with different scenarios and situations.

43
43
 Arrange the steps in sequence.

- Be consistent in the direction of the Don’t forget to check

work flow. for missing steps or
decision points.
1.33

- Time should always flow from top to

1.

bottom, or from left to right. Always validate your map!

PROCESS
THE PROCESS

- Use appropriate flowchart symbols. Map out only what is

currently happening in the
process, and not what the
process should be.
WALK THE
WALK

Enumerate the steps.

At this point, we should map out the current situation, as it is. As such, the
flowchart(s) should map out what is really happening in the process. However,
process maps can also be used/ viewed through different perspectives:

• What we think the process is • What the process could be

-this describes the team’s perspective
of what is happening in the process
(Be careful with this! We should
always validate our map because our
perspectives may not represent what
is really happening).
• What the process really is
-this describes what is actually
happening in the process and is
usually validated through process
observation (This is the primary focus
of this step. We should map out what
is really happening, no hiding!)
-this describes the team’s
perspective of what the process
could be (This can be used for
developing solutions, which will
be discussed in step 6).
• What the process should be
-this describes the actual future
state of the process based on
the stakeholders’ requirements
(This can be used for establishing
solutions, which will be discussed
on step 7).

In a workshop session on the Continuous Improvement Methodology, one principal

asked the facilitator why he should conduct process mapping when his school was
not experiencing any problems in their enrollment process. The facilitator asked the
principal if his school can continue to expect a smooth enrollment process should he
be transferred to another school. The principal answered no because he is the only
one who knows the details of their school’s enrollment process.
A process must be repeatable and replicable. Process should not be pegged on one
person because when this person is absent, the process might crumble. Process maps
can help us communicate what the process should be so that we can a have consistent
and reliable performance.

44
 Key school processes can be defined at different levels of the organization. It is always
advisable to start at the top to first have a better grasp of the overall school processes.
This will allow us to see how major school processes are connected to each other.
Then, we can map out the processes to a more detailed map and stop wherever we
find the issues/opportunities of improvement.

1.33
1.
Figure 3.3 shows an example of the different levels in the process map of a manufacturing
company.

WALK THE PROCESS

Level 1

New Product Demand Demand Stakeholder

Development Generation Fulfillment Service
FIGURE 3.3: STARTING AT THE TOP

Level 2

Ordering Producing Picking Shipping

Materials

Level 3

Filling Sealing Packing

Mixing

At level 1, we can see the high level processes
of the company. Level 2 shows a more
detailed process of demand fulfillment,
while Level 3 shows how the product is being
produced in detail. In summary, the different
process levels in the figure are the following:
Level 1 = highest-level view of work in
the organization
Level 2 = work that flows across several
departments or within an entire department
or work area
Level 3 = a detailed view of a particular
process
In this map, we can see that the
actual production needs materials
to produce the product before
eventually being passed on to
the picking process for delivery.
However, we have only mapped
out the production stage possibly
because we are only concerned
on the producing level as a critical
process that connects to our VOS.
In this case, we only focus our
attention to the process of our
concern. However, it is also equally
important to know the process that
our area of concern is dependent
on and connected to.

45
45
 FIGURE 3.4: CURRICULUM DEVELOPMENT
1.3
1. 3 PROCESS
THE PROCESS

Develop Design Develop and

Strategic Curriculum Student Operations Manage
Planning Instruction Support Management Stakeholders
Services
WALK THE
WALK

Design and Provide

Assess
Develop Deliver Effective Evaluate
Student
Curriculum Professional Instructional Programs
Achievement
Learning Programs

Align with Define/design Provide for

federal/ curriculum Develop scope/ Develop Select
parent and Demonstrate
state/local development sequence/ instructional instructional
community the program
standards procedures timeline calendars resources
input

Figure 3.4 shows an example of a process map

applied to school processes. Again, Level 1
should show the high level processes in school.
Level 2 focuses on discussing the different sub-
processes of the Develop Curriculum Instruction
Process, while Level 3 shows the details of the
actual curriculum development process only. The
level will depend on the kind of problem that we
wish to address (ex. In curriculum development,
we will not go into the minute details of getting
the paper, printing, etc).

46
 Another example that we can all relate to is the process of
preparing our breakfast. Let’s say that we want to know why
it takes a lot of time to preparing breakfast. We want to first

1.3
start at the high level map. The ingredients for breakfast are
the primary input of the process, while the output is obviously

WALK THE PROCESS

the meal that want. Basically, our process map will have three
high level processes: preparing, cooking, and serving.
Let us presume that our cooking process has taken a lot of
our time. At this level of process mapping, we can’t really
pinpoint the cause of our particular problem. Further details
are then needed to better understand the process. Please
see Figure 3.5 for the sample process map.

INPUTS: OUTPUTS:
eggs, milk, bread, butter,
bacon, plates, utensils, MAKE BREAKFAST scrambled eggs, toast, crisp
bacon, pan-fried potatoes
cookware, potatoes
FIGURE 3.5: BREAKFAST PREPARATION

Prepare Ingredients COOK INGREDIENTS Serve Ingredients

Cook Bacon COOK EGGS Toast Bread Fry Potatoes

Heat Pan Pour Mixture Stir Mixture Add Pepper Remove Eggs

47
47
 Starting at the very detailed map may
create confusion because there is no
clear start and end in the process.
Mapping must all start at the high level
process to first identify the boundary
1.33
Refer to the example shown in Figure 3.6.
The stakeholders are the grade 7 students.
The output relevant to them are their
grades in science. The identified process
connected to their grades is the Teaching

and scope of the process we need to Delivery Process, which is composed of

1.

map. high level processes: preparatory activities,

actual presentation, and evaluation. The
PROCESS
THE PROCESS

To define the boundary and scope of
our process, we can use the SIPOC
Diagram. The acronym SIPOC stands
for suppliers, inputs, process, outputs,
WALK THE
necessary inputs for this process are the
lesson plan, teacher’s guide, learner’s
guide, instructional materials, laptop,
projector, and computer-- all of which are

and customer, which form the columns provided by the teacher. Based on the
of the table as shown in Figure 3.6. SIPOC, we can see that our focus is on
WALK

the actual delivery of lessons and does

SIPOC can also help us identify the
not include the creation of lesson plans
important elements of the process.
because those are already inputs to the
It is important that we identify the
process. The grades of the students are
stakeholders or customers of the
the primary output of the process and
process (internal or external) and
data must be gathered to determine if
be able to link these to our school
grade 7 students would have acceptable/
processes. SIPOC also shows the
desirable grades. Otherwise, we must
relevant output of the process and its
further investigate the process by dwelling
relevant inputs from the suppliers in
in to the details of the process and locating
order to execute the process.
where the problematic issues occur.

FIGURE 3.6: SIPOC OF TEACHING DELIVERY PROCESS

S UPPLIER I NPUTS P ROCESS O UTPUTS C USTOMER

Teacher Lesson Plan Teaching Grades in Grade 7
Delivery Science learners
Teacher Process
Guide

Learner’s
Guide

Instructional
Materials

Laptop,
Computer and
LCD Projector

Preparatory
Activities Presentation Evaluation

48
SIPOC
The following are Steps to Complete the SIPOC Diagram

SIPOC diagrams are very easy to accomplish. Here are the steps we should follow:

1.33
1.
1. Create an area that will allow the team to post additions to the SIPOC diagram. This
could be a transparency (to be projected by an overhead projector) that follows the

WALK THE PROCESS

provided template, flip charts with headings (S-I-P-O-C) written on each, or headings
written on post-it notes to be posted on a wall.
2. Begin with the stakeholder. Identify the stakeholder that will receive the outputs of
this process.
3. Identify the outputs of this process.
4. Map out up to four to five high level steps.
5. Identify the inputs required for the process to function properly.
6. Identify the suppliers of the inputs that are required in the process.

Accomplishing the SIPOC diagram

Process is not enough to understand what is
Process Represents action happening in the process because it
or set of actions only gives us a high level perspective of
the process. It lacks details on exposing
Control Flow the issues in the process. As such,
Shows sequence different flowcharting techniques must
of execution be explored.

Initial Node Refer to Figure 3.7 for the basic

Start
The beginning of flowchart symbols:
a set of actions
The basic symbols are further detailed
Final Node below.
End Stops all flows in • Process - Represents action or set
an activity of actions (ex. check, count, recite,
read)
• Control Flow - Shows the
sequence of the process
Decision Node Decision Node
• Initial Node - The beginning of
the process
• Final Node - The end of the
process
Waiting
Waiting
• Decision Node - (ex. Pass or fail?
To proceed or not to proceed?)
• Waiting - (ex. Waiting for teacher
FIGURE 3.7: feedback, waiting for grades)
BASIC FLOWCHART SYMBOLS

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49
 Hotel Checkout Process Process Name
1.3
1. 3

1 2 3
Approach front desk Is there Yes
Wait
PROCESS
THE PROCESS

a line?

No
WALK THE

4
Numbered Steps Step up to desk
WALK

Key of symbols
5 6
Clerk available? No
Wait

Start / End Yes

Clear direction
of flow (top to
7 bottom or left
Decision Give Room Number to right)

Action / Task

8
Check bill
Sequence

9 10
Date of creation or Charges correct? Correct charges
update & name of No
creator

Yes

Pay bill Clear starting and

ending points

FIGURE 3.8: ACTIVITY FLOWCHARTS

50
The first type of flowchart that we will discuss is the activity flowchart.

- These flowcharts specify the steps

that happen in a process. These often

1.33
1.
include the decision points, rework
loops, complexity, etc.

WALK THE PROCESS

Activity - The SI team can quickly assess their
Flowchart current process through the use of
flowcharts. Ex. More diamonds (decision
points) in the flowchart indicate that
the process may take longer because it
needs the approval of more layers.
Figures 3. 8 to 3. 10 show examples of activity
flowcharts for a Hotel Check-out process, the reading
comprehension test process flowchart, and the
parent-teacher dialogue flowchart respectively.

Preparation Distribution Test Proper

Recording Checking Retrieving

Identifying
Least Mastered
Item Analysis Skills

FIGURE 3.9: READING COMPREHENSION TEST PROCESS FLOWCHART

51
51
 FIGURE 3.10: PARENT TEACHER DIALOGUE FLOWCHART
1.33

Start
1. PROCESS
THE PROCESS
WALK THE

Adviser Check
Prepare Forms 1 Attendance:
WALK

and 2 Form 1

Inform Parents Identify

(Verbal) SARDO

PTD during Card Parents

Yes
Giving Arrive?

No

End Drop
or
Home Visit

End

52
The other type of flowchart is the deployment flowchart.

• These flowcharts show the detailed steps in a

process and which people or groups are involved

1.33
1.
in each step.
Deployment

WALK THE PROCESS

Flowcharts • It is particularly useful in processes that involve
the flow of information between people or
functions, as it emphasizes the handoff areas.
Please see Figure 3.11 for an example of a deployment flowchart.
This flowchart is very useful if we want to highlight multiple
handoff processes such as document approval. We may now
realize why approving a document takes time.

People or groups
listed across the top
FIGURE 3.11: DEPLOYMENT FLOWCHARTS

SALES BILLING SHIPPING STAKEHOLDER ELAPSED

TIME

Steps listed in column of person Deliver goods Time flows

or group doing step or in charge down the page
2 8

Notifies sales of Receives Delivery 5 days

completed delivery

9
3 Records receipt and
Sends invoice to claims against this
Stakeholder delivery

10 days

4 10

Notifies billing Receives invoice

of invoice

11

4 Checks invoice
Deliver goods against receipt

12

Pays bill

Receives and
records payment

Horizontal lines clearly

7 identify handoffs
Reviews weekly
report of overdue
accounts

53
53
 We don’t need to use all the types of flowcharts mentioned. The team
must identify which of these tools will help them the most. Table 3. 1
shows the summary of the different flowcharts and their particular uses.
1.3
1. 3

TABLE 3. 1: TYPES OF FLOWCHARTS

PROCESS

SIPOC
THE PROCESS

Activity Flowchart Deployment Flowchart

WALK THE
WALK

• To identify the major • To display the • To help highlight

steps of the process complexity and handoff areas in
and where it begins decision points of a processes between
and ends process people or functions
• To illustrate where in • To identify activity • To clarify roles and
the process you will loops and time indicate dependencies
collect data consuming activities

Which Flowcharting Common Process

Technique Should we use?
• SIPOC is used in identifying the
high-level processes (Level 0 and
Level 1).
• Activity and Deployment flowcharts
are used in identifying the low-level
processes (Level 2).
• Activity flowcharts are used in
processes performed by a single
process participant.
• Deployment flowcharts are used
in processes performed by multiple
participants.
Mapping Mistakes
x Being unclear about the focus of
our process mapping.
x Trying to create the
“perfect”process maps (and
forgetting why we’re mapping the
process in the first place).
x Using SIPOC to map the project
processes. SIPOC must be used for
the critical process that connects
to our VOS and not the project
processes.
x Mapping the ideal state of the
process and not what is currently
happening.
x Starting the map at a very detailed
level.
x Incorrect flowchart use.

54

It must be clear that we are not
doing an audit and no one should be
blamed for problems in the process.
Mapping a process should help us
understand what is happening and
how it contributes to the main issue.
Therefore, the purpose of our work
should be clearly explained. If people
feel that they are being audited or
criticized in their work, they might not
reveal the true extent of the problem,
preventing us from identifying and
locating the problematic issues. For
example, if in case your VOS raises
the issue of the way the teaching
materials are delivered, we may
discover from the data we gathered
that only 1 section experiences this
problem. In this case, we should not
limit our observation and interview to
the teacher of that section because
she might be offended and may not
participate in our process mapping.
We should try to involve all the teachers
in that grade level and explain to them
that we are doing this to improve our
teaching process. This way, they may
feel that this is really a school effort
and not just a way to investigate a
particular teacher. After all, it is the
process that is problematic, and not a
single teacher.
After accomplishing the process map and highlighting what is
currently happening, we are now ready to assess our process
by identifying storm clouds or pain points in the process.
55
55
WALK THE PROCESS
Guidelines
• The objective is to know and
1.33
1.
understand the process through
interviews and direct observation.
WALK THE PROCESS
• A small size of interviewers/
observers is preferred.
• Map the entire whole process
personally – Observe the entire
process from start-to-finish before
gathering data.
• Bring a pencil and paper.
• Bring a stopwatch and do not rely
on standard times, estimated times, or
information that you cannot personally
obtain.
• Always collect information on the
current state of the process while
personally walking along the actual
pathways of material and information
flows.
• Interview a sample of the people
performing the task to fully understand
what is occurring in the process.
• Do not rely on memory and
knowledge of the process.
• Do not only use interview
information to identify the steps of the
process.
• Be discerning of information
provided by process owners.
• Existing process documentation may
not always reflect the actual practice.
 What are storm clouds
(Pain points)? Waiting
Storm clouds are pain points that are
1.33

observable and relevant to the critical

1.

school measure. These pain points exist in

certain steps or activities within a process
PROCESS
THE PROCESS

and represent potential problem areas that

may be tackled later. It is called pain points
because these are observations that we don’t
want to see in the process but are actually
WALK THE

occurring. For example, there is poor students

participation in class, certain students are
WALK

often late or absent, students receive low

grades in drills, classes experience overtime,
students can’t complete AGONA, classes
experience delayed starts, students possess
weak spelling and pronunciation skills,
students can’t perform basic math operations,
and students litter inside the classroom.
What are the characteristics
of a storm cloud?
• They help locate where the issues
reside in the current process.
• They are relevant to the
background of the project.
• They are specific.
• They are observable / real.
• They are measurable.
Why is it important to
identify storm clouds?
The careful identification of critical
storm clouds in the process
enables us to look at a smaller,
more targeted, and more focused
problem that contributes to the
broader school issue. The goal is
to determine a focused problem
which makes it easier to identify
causes, take corrective actions, and
perform incremental improvements
in the process. These incremental
improvements in the process may
not have an immediate effect on
the broad school issue but if root
causes of the focused problems
are addressed, we can certainly
improve the performance on the
broad school issue in time.

Storm Clouds (Pain points) are relevant to the critical school measure.
These can refer to:
• Inconsistencies in the • Delays in the activities • Inability to deliver the
school measure (ex. of the process (ex. Time required output (ex.
Grades of students in a spent in class preparation, submission of homework,
quarter) extension of classes) can’t complete problem
solving)
• Inconsistency in the • Inconsistency in the
process output (ex. activities of the process • Inconsistency in the input
Grades of students (ex. Time spent in teacher’s (ex. student reading level)
during formative test) student interaction)

56
 Figure 3.12 shows an example of how storm clouds are identified
in the process of teaching math problems to grade 2 students.
In this process, the teachers observed that pupils can’t perform
basic math operations, can’t complete AGONA, and that more

1.33
1.
time in class is spent in discussing math problems.

WALK THE PROCESS

INCONSISTENT CAN’T PERFORM
DISCUSSION TIME BASIC OPERATION

PROBLEM
SOLVING
SELECTION

PROBLEM
SOLVING
SELECTION TEST ON
DISCUSSION PROBLEM
SOLVING

CANNOT COMPLETE AGONA

CORRECTLY

RE-TEST AND
FEEDBACK CHECK ON THE
ANSWER
FEEDBACK ON
TEST RESULT

FIGURE 3.12: SAMPLE PROCESS MAP WITH STORM CLOUDS IN PROBLEM SOLVING

We have now drawn our process map and identified storm

clouds or pain points. We are now ready to proceed to the
next step and determine the focused problem statement.

57
57
 Step3: Walk the Process
Lesson Review
1.33

1 2
1.

A SI team has decided to improve A SI Team has decided to look

PROCESS

their students’ NAT Scores in into the Waste Management

THE PROCESS

Science because it has consistently Process of a particular school.

been below the standards set by the The process starts when the learners
school. The team gathered the VOS of throw their garbage. The garbage is
WALK THE

the learners in a particular grade level either thrown in the trash container or
and found that one of the prominent it is thrown anywhere in the campus. If
WALK

themes was the need for hands-on
applications. Given the VOS theme,
which is the most appropriate process for
the SI Team to focus on?
a. Feeding Program Process
b. Remedial Process
c. Guidance Counseling
d. Lesson Planning Process
e. All of the Choices
the learner decides to throw garbage
in the trash container, they need to
properly segregate it. If the garbage is
properly segregated, there is no need
to segregate it again. If the learner
does not segregate their garbage
prior to disposal, someone will need
to segregate the garbage at the end
of the day. If the learners throw their
trash anywhere in the campus, the
janitor needs to pick it up and throw it
in the proper container.
Given the described choices
involved in the Waste Management
Process, which is the most
appropriate flowcharting technique
that the SI Team should use?
a. SIPOC

b. Activity Flowchart

c. Deployment Flowchart

d. Data Flow Mapping

e. All of the Choices

58

3 4
A SI Team has decided to focus
on the Feeding Program Process
for a particular grade level.
The process starts when the learners
proceed to the designated feeding area
during the break. When the students
arrive at the feeding area, the teachers
and staff assigned there would give out
utensils, paper plates, and paper cups.
The canteen staff would then fill their
plates with food and pour water into
the cups. When the students are fed,
they return to their classrooms. Identify
the Supplier, Inputs, Outputs, and
Stakeholders involved in this process.
a. Supplier – teachers, staff,
and canteen personnel;
Inputs – utensils, paper plates,
paper cups, food, and hungry
learners; Outputs – fed learners;
Stakeholders – learners
b. Supplier – learners; Inputs –
utensils, paper plates, paper cups,
and food; Outputs – fed learners;
Stakeholders – teachers and staff
c. Supplier – teachers, staff, and
canteen personnel; Inputs –
learners; Outputs – fed learners;
Stakeholders – Parents
d. Supplier – Principal; Inputs –
hungry learners; Outputs – fed
learners; Stakeholders LGUs
e. None of the Choices
59
59
1.33
1.
A SI Team is mapping the current
WALK THE PROCESS
state of the Teaching-Learning
Process for Filipino. Which
flowcharting perspective should the
team use?
a. What they think the process is
b. What the process really is
c. What the process could be
d. What the process should be
e. All of the choices
5
A SI Team is looking into the
Enrollment Process of a particular
school. They want to map the
current process. The first step is when
the students get their assessment from
the registrar’s office. The students
then need to bring their assessment
to the accounting office to determine
how much they need to pay. After
getting the details of the payment,
they need to proceed to the cashier
for the payment and then back to the
registrar’s office to receive the official
Enrollment Assessment Form. Given this
process, which is the most appropriate
flowcharting technique that the SI Team
should use?
a. SIPOC
b. Activity Flowchart
c. Deployment Flowchart
d. Data Flow Mapping
e. All of the Choices
 6
A SI Team is mapping the current process of the Guidance
Counseling Process. The flow of their process flowchart is as
follows: Get Organized, Talk with the Stakeholders, Walk the
Process, Identify priority Improvement Areas, Do Root Cause Analysis,
1.33

Develop Solutions, and Implement the Solution. Which common

1.

mistake did the SI Team commit?

PROCESS
THE PROCESS

a. Mapping the Project Processes

b. Wrong use of flowcharting technique

c. Mapping the process at different levels

WALK THE

d. Trying to create the “perfect’ process map

WALK

e. None of the Choices – the SI Team did not commit any error

7
A SI Team is looking into the process of the Reading
Comprehension Test. Figure1 below shows the process chart.
FIG. 1: READING COMPREHENSION TEST

Given the process chart in Figure 1, which common mistake did the
SI team commit?
a. Wrong use of flowcharting technique

b. Mapping the Project Processes

c. Mapping the process at different levels

d. Trying to create the “perfect”process map

e. None of the Choices – the SI Team did not commit any error

60
8 10
A SI team has decided to lower
the number of dropouts in a
particular school according
to the desired standards set by the
school. The SI Team has interviewed
several students at risk of dropping out
(SARDO) and found that a common
theme coming from the VOS is “the
teacher doesn’t care whether I go to
class or not.” Given this VOS Theme,
which is the most appropriate process
that the SI Team should look into?
a. Attendance Monitoring Process
b. Feeding Program Process
c. Remedial Process
d. Guidance Counseling
e. All of the Choices
9
A SI Team is looking into
the Lesson Plan Preparation
Process. They want to define
the boundaries of their project as
well as its scope. They want to ensure
that the project will focus only on the
Lesson Plan Preparation Process. They
also want to avoid scope creep as the
project progresses. Which is the most
appropriate flowcharting technique that
the SI Team should use?
a. SIPOC
b. Activity Flowchart
c. Deployment Flowchart
d. Data Flow Mapping
e. All of the Choices
61
61
A SI Team is wishes to create
the process map for the
Teaching-Learning Process
for Science. The Project Team Leader
1.33
1.
will brief the team regarding some
guidelines that they should remember
when mapping the process. Which
WALK THE PROCESS
among the guidelines below are
CORRECT?
i. The SI Team should have a meeting
in the office to sit down and map
out what is happening in the
Teaching-Learning Process.
ii. We should divide the process
into several segments then send
different persons to map out each
segment to boost the team’s
efficiency.
iii. If you must gather time data, just
ask the teacher how long they
usually take to finish a particular
step in the process.
iv. Remember that we are mapping
the current process and not the
future state.
a. All guidelines are correct
b. All guidelines are wrong
c. Only ii and iii are correct
d. Only iv is correct
e. Only ii and iv are correct
ANSWERS
ON PAGE
184
1. 4
IDENTIFY PRIORITY IMPROVEMENT AREAS

step four:
Identifying Priority
Improvement Areas
Learning Output: Focused Problem Statement

Learning Outcome:
1. Know what storm clouds are and
how to locate them in the process;
2. Identify relevant process measures
for each storm cloud that affect
process performance;
3. Recognize the importance of data
in problem identification;
4. Create a data collection plan
based on the identified process
measures;
5. Differentiate the different
types of data collected;
6. Identify the most
appropriate graphical
presentation tool to use for
each type of data collected;
7. Transform a broad problem
into a problem statement
with a narrower focus

62
 1. 4
IDENTIFY PRIORITY IMPROVEMENT AREAS
ASSESS 1. 4
Identifying
Priority
Improvement
Areas

Introduction:
At this stage, you have already accomplished the following:
1. identified a broad problem based on a relevant school measure;
2. identified the key people who will comprise the SI team;
3. identified the needs of the stakeholders and stakeholders affected
by the broad problem;
4. identified and mapped the process that is linked to the school
measure; and
5. identified the storm clouds that were observed while walking
through the process.

63
63
 What are
storm clouds?
1. 4
IDENTIFY PRIORITY IMPROVEMENT AREAS

Storm clouds are pain points that are

observable and relevant to the critical
school measure. These pain points
exist in certain steps or activities within
a process and represent potential
problem areas that may be tackled later.

Why is the identification of storm clouds important?

The careful identification of critical storm clouds in the process enables you to look at
a smaller, more targeted, and more focused problem that contributes to the broader
school issue.
The goal is to determine a focused problem which makes it easier to identify causes,
take corrective actions, and perform incremental improvements in the process.
These incremental improvements in the process may not have an immediate effect on
the broad school issue but if root causes of the focused problems are addressed, you
are certain that the performance on the broad school issue will improve in time.

INCONSISTENT CAN’T PERFORM

Figure 4.1 is a map or an activity
DISCUSSION TIME BASIC OPERATION
flowchart representing the mathematics
PROBLEM
SOLVING
SELECTION
teaching process for Grade 4 pupils of a
particular school. The broad school issue
PROBLEM
SOLVING
here is the lower than 25% numerates
DISCUSSION
SELECTION TEST ON
PROBLEM level of these Grade 4 students. These
SOLVING
students have expressed that they have
difficulty in dealing with word problems.
CANNOT COMPLETE AGONA
CORRECTLY The teaching process in the classroom
was therefore observed resulting in the
three storm clouds you see in the figure
RE-TEST AND
4.1 namely: inconsistent discussion time,
CHECK ON THE
FEEDBACK
ANSWER cannot perform basic operations, and
FEEDBACK ON
TEST RESULT
cannot complete AGONA correctly.

FIGURE 4.1: ACTIVITY FLOWCHART

64
What do you do after observing and identifying
the storm clouds that may have contributed to
the low math scores of the students?

1. 4
Data Gathering

IDENTIFY PRIORITY IMPROVEMENT AREAS

The next step is for you to validate your observations by gathering data
on the specific process activities where storm clouds are situated. Past or
historical data may be collected if such data record is available. However, if
such data record is not available, you have to observe the process activity
and collect data according to a “data gathering plan.” In the latter case, the
data collected helps in creating a performance baseline.
Primarily, data can help link the process measures (e. g. time allotted for
discussion, number of additional problems solved, number of test items
answered correctly, student test score, etc. ) to the broad or high level school
measures such as NAT and Phil-IRI scores. Data can show you where the
problems in the process really occur.
Additionally, data helps you to:
 separate what you think from what is really happening
 confirm or disprove preconceived ideas and theories
 see the pattern of the problem over time
 measure the impact of changes introduced in a process
 monitor and control a process
 avoid solutions that will not actually contribute in solving the problem

The data that you collect must have the following characteristics:

 Sufficient – data should capture what is happening

 Relevant – data should be linked to the storm cloud and the critical
school measure

 Representative – data gathering process should cover

everythingthat is affected by the issue

 Contextual – the exact time of data collection, location where data

was collected, manner of data collection, subject(s) of data collection,
prevailing conditions during data collection, etc. should be captured
during the data collection process

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65
 Data Collection Plan Project ________________________

What questions do you Be clear about your question so that you are
want to answer? going to be correct when you collect data
1. 4

Data Operational Definition and Procedures

IDENTIFY PRIORITY IMPROVEMENT AREAS

What Measure type/ How Related conditions Sampling How/where

Data type measured 1 to record 2 notes recorded
(attach form)

Define the data you

need to collect and its
type. This will guide you An operational definition tells exactly how you
in terms of how you will go about collecting and recording the data
can present it later.

FIGURE 4.2A: DATA COLLECTION PLAN FEATURES

Data Collection Plan

In order to ensure that data is sufficient, relevant, representative, and
contextual, it is helpful to prepare a data collection plan as shown in Figure
4.2A. The basic elements of a data collection plan include the data you need
to collect, the data type, and the operational definition. Identifying the type
of data at this early stage influences which data tools and analytical methods
you should use later whereas an operational definition tells exactly how you
will go about collecting and recording the data.

Types of Data
There are two main types of data, namely qualitative and quantitative data. Qualitative
data are those that are not measured with numbers whereas quantitative data are
those that are measured numerically. Recall that in talking to your stakeholders, a lot
of qualitative data such as topics in math where students encounter much difficulty,
students’ description of a conducive learning environment, students’ rating of a new
textbook or a new teaching method, etc. were collected and processed. Here, however,
you are expected to work mostly on quantitative data rather than qualitative data.

There are two types of quantitative data namely

discrete and continuous data.

66
 Discrete Data
Discrete data can only take on
Count data – a type of data in
specific numerical values such as test

1. 4
which the observations can take only
scores, number of errors committed,
non-negative integer values {0, 1, 2,
etc. while continuous data can take
3, …}, e. g. the number of mistakes

IDENTIFY PRIORITY IMPROVEMENT AREAS

any numerical value such as length
of time, weight of students, space,
volume of trash, etc.
Discrete data include, but are not
limited to, the following types:
Percentage – the proportion
of items that possess a given
characteristic, e. g. percentage of
numerates versus the percentage
of non-numerates, percentage of
passing versus failing students, etc.
Attribute data – a type of data
that is binary in nature, e. g. good or
bad, satisfactory or not satisfactory,
pass or fail, etc. This type of data
does not lend itself to analysis unless
it is converted to count data or
percentages.
committed in each of the four basic
operations in math, the number of
passing and failing students in a
class, etc. Count data are generally
converted to percentages. With
count data, it is important to know
the boundaries that define when you
will start and stop the count. This
can be a given time period or a fixed
area or space.
Ordinal data –a type of data
consisting of numerical scores that
exist on an arbitrary numerical scale
with the purpose of establishing a
ranking over a set of data points, e.
g. survey questionnaire data where
answers are coded as 1, 2, 3, and 4
representing poor, fair, good and
excellent respectively

Continuous data, on the other hand, are often obtained

Continuous by use of a measuring system where the usefulness of the
Data data depends on the quality of this measurement system.
With continuous data, the reliability of the measurement
instrument such as a stopwatch or a weighing scale is
extremely important. You need to know how stable,
accurate, and precise your measurement system is.

Finally, independence is also important for all collected

data. It means that any given measurement or occurrence is
not influenced by another measurement or occurrence. For
example, a mistake in the recording of a quiz score will lead
to a mistake on the final grade of a student. The final grade
mistake is not independent of the quiz score mistake.

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 Operational Definition
An operational definition is a precise description that tells how to get a value for
1. 4

the characteristic you are trying to measure. It specifies what the characteristic is
and also describes your way of measuring that characteristic or feature. It removes
ambiguity so that all people involved in the data collection process have the same
IDENTIFY PRIORITY IMPROVEMENT AREAS

understanding of the characteristic or feature in question. If the data you need is

teaching time for example, an operational definition will clearly specify what to include
as teaching time, i. e. does it include only the lecture time or does it also include
discussion time, problem solving time, exam time, etc. Take note that there is no wrong
answer as this specification is geared towards the consistency of data collection.
The characteristics of an operational definition are as follows:
 It must be specific and concrete – When an operational definition is specific
and concrete, different people can use the definition and know that their data
will be measured in the same way.
 It must be measurable – Being measurable means you know how to assign a
value (either a number or a yes/no) to a data point.
 It must be useful to both you and your stakeholder – To be useful, an
operational definition must be meaningful to both you and your stakeholders.
That is, it should relate to how the stakeholder will judge quality, and should
allow a go/no go decision—”yes, we’ve met the stakeholder’s need”or “no,
we haven’t met the stakeholder’s need.”
 There is no single right answer – There is no single right operational definition
for a characteristic, but everyone who is measuring something must agree on
the definition.

Data Collection Plan Project ________________________

What questions do you Be clear about your question so that you are Still referring to Figure 4.2B, an operational
want to answer? going to be correct when you collect data

Data Operational Definition and Procedures

definition specifies the sampling scheme or
What Measure type/
Data type
How
measured 1
Related conditions
to record 2
Sampling
notes
How/where
recorded
how data is to be measured. It also specifies
(attach form)
the related conditions to record, provides some
space for sampling notes, specifies how data is
Define the data you
need to collect and its
to be recorded and shows the sampling forms
type. This will guide you
in terms of how you
An operational definition tells exactly how you
will go about collecting and recording the data
where data is to be recorded. Take note that
can present it later.
the documentation of your data collection plan
FIGURE 4.2B: need not follow the format shown in Figure 4.2B.
DATA COLLECTION PLAN FEATURES

The format in Figure 4.2B merely provides a guide in documenting your data
collection plan. You may come up with your own format provided that you include
all the elements and specifications of a data collection plan as previously discussed.
You may refer to Figure 4.3 for a sample accomplished data collection plan that
follows a different format.

68
FIGURE 4.3: SAMPLE DATA COLLECTION PLAN

1. 4
IDENTIFY PRIORITY IMPROVEMENT AREAS
Developing a Sampling Scheme

There are many times when collecting all the data from a process is not
practical or possible. There may be too much data, and it would be
impractical, too costly, or too time consuming to collect and analyze
everything.
Sampling means collecting a portion of all the data and then using that
portion to draw conclusions or make inferences about the characteristic
that is being measured. Statistical methods allow us to make sound
conclusions about a process even from a relatively small sample. This is
called “statistical inference.”
You should plan out the sampling methodology that determines how your
data will be measured. In addition, if you are conducting observations,
you have to define what you need to observe and plan to make those
observations at the appropriate time periods. The sampling methodology
specifies the number of observations you should make on a particular
activity in the process, what activity to observe or who to observe and where
to observe them, how frequently each identified subject in the sample is to
be observed, and the time interval between observations.

Related Conditions to Record

“Related factors”are stratification factors or potential causes that you may want
to monitor as you collect your data. Stratification factors in collecting student
performance data on a worded problem math quiz may include class section,
teacher, student gender, etc. If these stratification factors are clearly specified
in the operational definition, recording of data can be done according to these
factors during the data collection stage. This will permit ready and easier analysis
when you go to the data analysis stage.

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69
 Data Collection Forms

Data collection forms facilitate and organize the recording of collected data.
These forms also indicate how data is to be recorded. The boundaries that define
1. 4

the start and end of an observation should be clearly specified in these forms
whenever possible.
IDENTIFY PRIORITY IMPROVEMENT AREAS

There are a lot of data collection forms that you can use depending on the type
of data you need to collect. One of the most commonly used data collection form
used for count data is the tally sheet as shown in Figure 4.4.

Tally Sheet Defines what data

is being collected
A tally sheet is used as a form for collecting
data through observation and counting. MACHINE DOWNTIME
It is used to count how often some -Line 13-
event has happened. Referring to Figure Operator: Mary Operator: May 19
4.4, you will see that the top portion
Lists the characteristics or conditions of interest
Reason Frequency Comments
of the tally sheet defines what data is
Carton transport
being collected. It basically provides
a column for listing the characteristics Metal check
Has room for comments
or conditions that you are interested in No product

observing/counting and another column Sealing unit

for recording the tally or count of the Barcoding

occurrence of each characteristic. A third
Conveyor belt
column is provided for important notes
Burned flakes
or comments that may be generated Bad product Low Weight

during the observation period. Extra Other

columns may also be included for

tracking stratification factors specified Includes place to
put the data
in the operational definition of the data
gathering plan as previously discussed. FIGURE 4.4: SAMPLE TALLY SHEET

Other commonly used forms include

the check sheet and the frequency plot
as shown in Figure 4.5 and Figure 4.6
respectively.

Check Sheet
A check sheet is a structured
form for collecting and
analyzing count data. This
form is generally used
when collecting data on the
frequency of occurrence of
problems or possible causes of
a problem. It is also sometimes
referred to as a tally sheet.

FIGURE 4.5 SAMPLE CHECK SHEET

70
FIGURE 4.6: SAMPLE FREQUENCY PLOT CHART

Frequency Plot
A frequency plot, on the other hand,
is a graph that shows the pattern
in a set of data by plotting how

1. 4
often particular values of a measure
occur. Frequency plots are useful to

IDENTIFY PRIORITY IMPROVEMENT AREAS

investigate the spread of continuous
data and whether it clusters or forms
a particular shape such as the familiar
normal curve. The horizontal axis of a
frequency plot graph shows groupings
of a continuous measure (e. g. age,
weight, time) while the vertical axis
shows the number of times that a value
in that group was observed.

The data collection forms discussed above are generally designed and created only
after determining the problem/event to observe, what to count, and the duration of
your data collection effort. In designing any data collection form, you should always
remember to keep the form simple to use and easy to understand and include only
the information you intend to use. Pilot the data collection form for a short trial period
before using it on a full scale basis in order to ensure that it is able to collect the
appropriate data and is easy to use. Do not hesitate to make changes as needed.

Some Tips on Data Collection

Have an orientation on
gathering data
Do preliminary tests on data
collection using the designed data
collection forms
Make sure that the measuring
device that will be used in collecting
data is sufficient to capture the
needed data accuracy
Review the operational definition in the
data gathering plan to ensure that
the procedure of collecting data is
consistent across all data collectors
Data collected should be consistent
in the unit of measure
Process owners and subjects are
informed of the data collection
FIGURE 4.7: TIME DATA COLLECTION FORM
A customized time data collection
form may also be designed
as shown in Figure 4.7 for the
purpose of observing and timing
defined process steps. This is a
common form used in collecting
continuous time data. You need to
review the operational definitions
discussed earlier for the starting
and ending points of each process
step before developing the time
data collection form.
What is the next step after collecting
all the necessary data from the
identified storm clouds in Figure 4.1?

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 Data Analysis
Data analysis is the process of evaluating collected data using analytical and logical
reasoning to examine each component of the data provided. Data from various sources
1. 4

is gathered, reviewed, and analyzed in order to generate findings, validate initial ideas,
and come up with conclusions that are key in transforming the broad problem into
IDENTIFY PRIORITY IMPROVEMENT AREAS

a focused problem. After gathering the relevant data for each of the storm clouds
according to your data gathering plan, you need to convert these data into meaningful
information by making use of the appropriate data analysis tools. The appropriate use
of graphical display and analysis tools, coupled with the proper treatment of data,
leads to a clearer and better understanding of the focused problem to be tackled.

Graphical Data Display and Analysis Tools

The following section presents the most commonly used data display and tools used
to analyze data in the pursuit of the focused problem.
FIGURE 4.8: LINE GRAPH
FORM

Line Chart
A line chart is a time plot that shows a graph of data in time order. It shows the trend
or pattern of occurrence of an event over a specified period of time. Figure 4.8 shows
a line graph of a school’s enrollment from school year 2000-2001 to school year 2010-
2011. Through the line graph, you will readily see that enrollment (represented by
the red line) of the school has steadily dropped from a high of 156,000 students in
school year 2000-2001 to its lowest of 129,000 students in school year 2010-2011. If
this decline is happening consistently over time, it should be a cause of alarm for the
school administrators.

72
In order to further magnify the school’s problem, Figure 4.8 also shows
the pattern of the school’s available funding over the same time period.
You will see here that funding has increased from $740,000 in school year
2000-2001 to $1,075,000 in school year 2010-2011 (represented by the
blue line). You will expect that enrollment should have increased given

1. 4
the steady increase in funding or spending. However, the presentation
of enrollment and funding data through the line graphs enabled you to

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clearly see the relationship between variables which will not be readily
evident if you read the data on a yearly basis. Thus, we come to the
conclusion that the school’s enrollment is dropping but funding or
spending keeps rising. It could be that money was not appropriately
spent by the school administrators in items that have a strong correlation
with enrollment. The graphs could also mean that operational expenses
have increased through time and that the decreasing enrollment trend
may suggest the school’s inability to support some basic services in
the coming years. Obviously, further investigation is necessary to drill
down to the focused problem statement and this is where the other
data presentation and analysis tools are helpful.
Other uses of the line graph include:
 focusing attention on truly vital changes in the process;
 tracking useful information for predicting trends;
 understanding variation in the process;
 comparing a performance measure before and after
implementation of a solution in order to assess the solution’s
impact; and
 detecting trends, shifts, and cycles in the process

Steps in Doing the Line Chart

1. Determine the purpose of the chart and the data
to be monitored, collected, and analyzed. Select
the time interval or an equivalent representation of
passage of time (minute, hour, trial sequence, etc. ).
2. Collect the data that will be plotted.
3. Plot time on the horizontal axis (typically located at the bottom).
4. Label the vertical axis and plot the data collected in step 2 on the
vertical axis (typically located on the left-hand-side).
5. Think of a chart title and use it to label the chart.

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 FIGURE 4.8: STRATIFIED LINE CHART
FIGURE 4.9: DATA STRATIFICATION
Stratification

Direct your attention now to Figure 4.9.

The top-most graph shows the total
1. 4

monthly volume of waste (measured in

tons) collected in a school. The graph
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shows no particular pattern apart from

certain months having significantly
higher amount of collected waste
than others. Since the graph shows
you the total collected waste, you may
be interested to know where much of
this total waste actually comes from.
This will direct the school’s clean up
drive and waste monitoring efforts to
areas that contribute most to waste
generation.
In order to break down the total waste
into its components, stratification is
a helpful tool. Recall that your data
gathering plan contains a “Related
Conditions to Record”column? These
are the related factors that may be
important in narrowing down your
problem area. For as long as you
indicated the various locations where
waste data should be collected in
your data gathering plan, you should
have the data you need in doing the
stratification. The Stratified Line Chart
in Figure 4.9 breaks down the total
collected waste into waste collected
from the canteen, library and gym.
You may also choose to put the total
waste, library waste, gym waste, and
canteen waste all in one graph rather
than graphing them separately.

Although the library and canteen generally have higher waste levels as compared to
the gym, stratification permits you to see that the waste levels in the library and canteen
are stable through time, with the canteen waste level having a bit of a downward bias.
What you do not see in the total waste graph found on the upper portion of Figure 4.9
is the fact that the gym waste level has sharply increased through time, even surpassing
the waste levels of the library and canteen. It only becomes obvious after stratification
has been done. While it is true that all areas must be monitored and kept clean, the
gym waste level may be chosen as the more focused problem area since the trend
indicates that it may develop into a more serious problem for the school community if
it is not properly monitored and addressed.

74
 How to create the Stratified Line Chart in Microsoft Excel:
1. Encode data from each source in separate columns.

1. 4
2. Highlight multiple columns at the same time and choose
a Line Chart type. Excel does the stratification for you by

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creating a line chart for each of the identified data source.

Histogram
A histogram is a frequency plot that shows the shape or distribution of the data by
constructing bar charts to depict the frequency of the different data range values.
FIGURE 4.10: SAMPLE HISTOGRAM

Figure 4.10 shows the histogram for the final grades (in percentage) of 425 students in
Chem 142 of section D. The final grade ranges, which will be referred to as bins, are
marked on the x-axis while the frequency of occurrence of each bin defines the y-axis.
In Figure 4.9, the frequency of occurrence of each bin is represented by the height of
the bar chart associated to the bin where frequency refers to the number of students
whose final grade falls within a particular bin.

Number of Bins in a Histogram

The number of bins in a histogram is calculated using some guide formulae so that
you can clearly see data distribution and patterns. Too many bins plotted along the
x-axis of a histogram excessively details the data, thus failing to make pertinent data
patterns immediately obvious. Too few bins, on the other hand, aggregates data too
much, thus hiding pertinent patterns that effectively describe your data. It is therefore
important to use the right number of bins in a histogram so as to make the center and
the spread of the data highly noticeable.

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 Going back to Figure 4.10, you will see that the lowest final grade falls within the 20-23
bin while the highest final grade falls within the 96-99 bin. Figure 4.9 used a total of 20
bins (20-23, 24-27, 28-31, 32-35, … , 84-87, 88-91, 92-95, and 96-99). You can see that
the use of 20 bins effectively shows that the clustering or concentration of final grades
occurs in 4 bins represented by the 68-71, 72-75, 76-79, and 80-83 bins. The average
1. 4

final grade for this data set is 73 and this average value falls within the aforementioned
4 bins. Furthermore, it must be noted that most data patterns resemble that of the
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normal distribution where the most frequently occurring value lies in the middle and
other observations tail off symmetrically in both directions.

Steps in Constructing the Histogram

1. Count the number of data you have.
2. Determine the right number of bins – the right number of bins
depends on the number of data points. A guideline on the
number of bins you could work with is given as follows:

Number of Data Points Number of Bins

100 or less 7 to 10
101 to 200 11 to 15
More than 200 13 to 20

3. Get the maximum and minimum data value. Compute the

difference between the two and divide the difference by the
number of bins identified in step 2. Call this resulting number
as the class width. Round this number off to a convenient value.
4. The smallest data is the lower limit of the first bin range. Add
the class width computed in step 3 to the lower limit of the first
bin range to get the lower limit of the next bin range. The upper
limit of a bin range is the number that immediately precedes
the lower limit of the next bin range. Do this until the maximum
value in the data set already falls within the last bin range.
5. Count the number of data falling into each bin range.
6. Create a graph on graphing paper. Mark the bin ranges on the
x-axis (horizontal axis) with no space between the bin ranges.
Mark the frequency in equal intervals on the y-axis (vertical axis)
7. Plot your data. For each bin range, draw a horizontal line at
the appropriate frequency marker. Then, create a vertical bar
for that bin range reaching up to the marked frequency level
thereby creating a bar chart. Do this for each bin range.

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 watch?v=RyxPp22x9PU)

Pareto Chart
The Pareto chart is a frequency distribution (or histogram) of attribute data
arranged by category from highest to lowest frequency of occurrence. A Pareto
chart is used if data categories to be tallied are qualitative where the calculation

1. 4
of average and standard deviation is not possible. The cumulative percentage
occurrence of each data category is calculated and plotted as a line graph to

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represent each data category’s percentage contribution to the problem being
analyzed. The Pareto chart is a very useful data analysis tool in identifying the
critical few that contributes most to the occurrence of the problem. The Pareto
principle works on the famous 80-20 rule which states that 80% of the problem
can be solved by focusing on 20% of the identified causes.

TABLE 4.1: SAMPLE DATA FOR PARETO ANALYSIS FIGURE 4.11: PARETO CHART

Table 4. 1 lists the reasons as to why students are having problems accessing files
in the computer lab. 125 students were interviewed and a total of nine different
reasons were cited. The Pareto principle works on the critical few that contribute
most to the file access problem experienced by the students in the lab. In this
simple data example, you can readily see that the critical few include unable
to download, cannot open the file and open as read only. These three reasons
already account for 95 out of the total of 125 responses or 76% of the problem.
In solving this problem, you may focus your effort in eliminating the occurrence
of these three reasons. Figure 4.11 graphically displays the Pareto chart for the
qualitative data given in Table 4. 1.
The Pareto chart is generally analyzed by identifying those items that appear
to account for most of the problem. Do this by looking for a clear breakpoint in
the line graph, where it starts to level off quickly. If there is no clear breakpoint,
identify those items that account for 60 percent or more of the effect. If there
appears to be no pattern (the bars are essentially all of the same height), think of
some factors that may affect the outcome, such as day of the week, time period
of the day (i. e. morning, noon, afternoon), age group of students, grade level,
class section, etc. Then, subdivide the data and draw separate Pareto charts for
each subgroup to see if a pattern emerges.

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 Steps in Constructing the Pareto Chart
1. 4

1. Develop a list of problems, items or causes to be

compared.
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2. Develop a standard measure for comparing the items listed in

step 1. Items are usually compared in terms of their frequency of
occurrence, length of time it takes, and cost among others.
3. Choose a timeframe for collecting the data.
4. For each item, tally the frequency of occurrence (or cost or total
time it took). Then, add these amounts to determine the grand
total for all the items. Find the percentage contribution of each
item to the grand total by taking the frequency (or cost or time)
of the item, dividing it by the grand total and multiplying by 100.
5. List the items being compared in decreasing order of the measure
of comparison: e. g. , the most frequent to the least frequent. The
cumulative percent for an item is the sum of that item’s percent
of the total and that of all the other items that come before it in
the ordering by rank.
6. List the items on the horizontal axis of a graph from highest to
lowest. Label the left vertical axis with the numbers (frequency,
time or cost), then label the right vertical axis with the cumulative
percentages (the cumulative total should equal 100 percent).
Draw and put in the bar charts representing the frequency, time,
or cost for each item.
7. Draw a line graph of the cumulative percentages. The first point
on the line graph should line up with the top of the first bar.

78
 Scatter Plot
The scatter plot graphs pairs of
numerical data, with one variable
on each axis (dependent variable

1. 4
on the y-axis and independent
variable on the x-axis), to look for

IDENTIFY PRIORITY IMPROVEMENT AREAS

FIGURE 4.12: SCATTER PLOT
a relationship between them. If
the two variables are correlated,
the points will fall along a line or
curve. Correlation between the two
variables may either be positive
or negative as determined by the
slope of the line or curve that best
fits the scatter plot. The better the
correlation, the tighter the points
will hug the line or curve.

Scatter plots are used when trying to determine whether two variables are related,
such as when you are trying to validate potential root causes of problems, or whether
a particular cause and effect are related, or when determining whether two effects
that appear to be related both occur with the same cause.
Figure 4.12 shows you a sample scatter plot that attempts to correlate hours of study
and test scores of students. In this example, the test score changes whenever there is
a change in the hours of study.
Test score is therefore the dependent variable plotted on the y-axis while the hours
of study is the independent variable plotted on the x-axis. It is important not to
interchange the assignment of variables on the x and the y axis. You can observe
that the scatter plot in Figure 4.12 indicates a strong positive correlation between the
two variables. This means that if an improvement in test scores is sought, one of the
variables to focus on should be the hours allotted by a student in studying.

Steps in Creating the Scatter Plot

1. Identify the independent variable (x) and
dependent variable (y) that you want to correlate.
2. Collect the paired (x,y) data through surveys or observations involving
the two variables. Each data point should consist of a numerical value for
x and a numerical value for y.
3. Plot each data point on the Cartesian plane.

79
79
 After the application of data presentation and analysis tools
to all the data collected (i. e. determining the most frequently
occurring problem items, the pattern or trend of a problem item
1. 4

through time, the activity or set of activities that takes the

longest time or consumes majority of the school resources, the
IDENTIFY PRIORITY IMPROVEMENT AREAS

relationship of problem items in a process to other items within

the same process or even to items in other processes, etc. ),
you are now a step closer to narrowing down the process issues
(storm clouds) further into a more focused problem statement.
How then do you arrive at a focused problem statement?

Selecting the Focused Problem Statement

The objective of selecting the focused problem statement is for you to focus your
improvement effort on a smaller problem by analyzing the gathered data on the
process area that is linked to the broad school problem. Attempting to solve the
broad problem directly is usually ineffective since there are too many variables or
factors that may have caused the occurrence of the problem. Linking the broad
problem to a specific process, and then identifying storm clouds or problem
areas within the process, and further narrowing down the focus by analyzing
data collected on each of the storm clouds to pinpoint exactly where the biggest
impact occurs in the process, are all necessary steps in determining the focused
problem statement.
A focused problem statement is a problem statement that pertains only to a
specific component of the problem. It is a problem statement that includes
information about the following questions:

WHAT IS THE PROBLEM AND

WHO
HOW OFTEN IS IT HAPPENING?
IS ENGAGED IN
THE BEHAVIOR?

WHERE IS IT
HAPPENING? WHEN IS THE PROBLEM MOST
LIKELY TO HAPPEN?

80
The idea of breaking down the broad problem into a more focused, process
oriented problem is portrayed by the illustration on the upper right side of
Figure 4.13. This illustration suggests that a focused problem deals with very
few issues (just an inch wide) which permits more depth of analysis (a mile
deep) through an exhaustive identification of causes. It is also easier to take

1. 4
corrective actions or make improvements on small problems. The focused
problem approach results in a much more effective utilization of the school’s

IDENTIFY PRIORITY IMPROVEMENT AREAS

resources.

FIGURE 4.13: FOCUSED PROBLEM DEFINITION

It should be noted that the occurrence of a broad problem based on a critical

school measure such as low NAT Scores of students is surely the effect of many
factors or variables existing in several school processes. If the broad problem
is directly tackled and solved, the solution will blindly touch on many problem
areas (a mile wide) which seriously limits the depth of analysis (just an inch deep)
that can be made. This situation is depicted by the illustration on the right side
of Figure 4.13. In the typical problem solving approach where “solutions”are
prescribed in an attempt to directly solve the broad school problem, it is
extremely difficult to sustain the resulting improvement of implemented
solutions because root causes have not been identified.

Figure 4.14 (next page) shows you a sample evolution of the focused problem
statement. From a very vague statement “The canteen service is poor”, the
problem statement was transformed to a more focused statement by specifying
what the problem is, what type of service is involved, what the standard or
acceptable service time is, how much time the current service takes, and when
the problem occurs most often, i. e. day of the week and time of the day.
Now that you know how to transform a broad problem into a focused problem
statement, it is equally important to know which storm cloud among the many
storm clouds in the selected process to focus on.

81
81
 FIGURE 4.14: FOCUSED PROBLEM STATEMENT EVOLUTION
1.1.34 AREAS

BROAD/ SOMEWHAT NARROW

PROCESS

The canteen VAGUE FOCUSED FOCUS

IMPROVEMENT

service is poor.
What: Poor Service
PRIORITYTHE
WALK
IDENTIFY

BROAD/ SOMEWHAT NARROW

VAGUE FOCUSED FOCUS

The cashier service

of the canteen is What: Poor Service
taking too long. What type of service: Cashier service

What about the service:

It is too long.

BROAD/ SOMEWHAT NARROW

VAGUE FOCUSED FOCUS

Monitoring last Jan. 2014

showed that the cashier service
of the canteen during class
recess during Mondays takes
30 minutes to finish, versus the
standard of 15 minutes.
What: Poor Service
What type of service: Cashier service
What about the service:
It is too long.

How long: 30 minutes

What is the standard: 15 minutes

When is this problem the greatest:

Recess time. on Mondays

When was this observed: Jan. 2014

82
 FIGURE 4.15: ACTIVITY
PROCESS FLOWCHART
Issue 1
Selecting the Focused
Problem Among Storm Clouds

1.
1.43 IDENTIFY
Figure 4.15 shows a generic activity
process flowchart with several storm
clouds or problem areas situated along

WALKPRIORITY
the process. You have collected and
analyzed data, as well as formulated
the focused problem statement for Issue 2 Issue 3

THE IMPROVEMENT
each storm cloud. Your task now is to
select one focused problem among

PROCESS AREAS
the storm clouds.
One way to select the focused problem
is to examine if a relationship exists
among storm clouds. You will have
to go back to your data and perform
additional data analysis if the situation
calls for it. It must be noted here that Issue 4
a storm cloud may have an effect on
another storm cloud. Storm clouds that
have an effect on another storm cloud
is said to have a causal relationship
with the other storm cloud.
Issue 5

Absences Students Failed

in Math
FIGURE 4.16: STORM CLOUDS
WITH CAUSAL RELATIONSHIP

Student Absences
Health

Mean
Teaching ? Percentage
Time Spent Scores of Class
in Class

83
83
 Figure 4.16 shows some of the observed problem areas or storm clouds
within the math teaching and learning process that have possible
relationships between them. It can be noticed in Figure 4.16 that
absences cause failure of students in math and health of students cause
absences. However, there is a question mark between teaching time
1. 4

spent in class and mean percentage scores of the class. This is because
the relationship that exists between the two storm clouds is not definite
IDENTIFY PRIORITY IMPROVEMENT AREAS

and that there may be other variables or storm clouds that have a more
defined causal relationship to the mean percentage scores. Further
analysis and validation of data is needed in these cases. It is important to
note that data, together with the tools used in analyzing data, are essential
in establishing the existence or non-existence of these relationships.
The scatter plot previously discussed may be used to determine if such
relationship exists between storm clouds.

SCHOOL MEASURE:
Low number of passing students in Math for Grade Level

Issue 3

Issue 1 Issue 2 Issue 4

Lecture on
Do Review Assess
Check Current Give
Motivation Previous Student
Attendance Lesson Homework
Activities Lesson Mastery

FIGURE 4.17: PROCESS FLOW CHART FOR GRADE SCHOOL MATH TEACHING

Figure 4.17 shows the activity process flowchart for the grade school math
teaching process with four storm clouds situated along the process. The
broad problem is the low number of passing students in math. Logically,
you can see that there is a causal relationship between issue 2 and issue
1, issue 2 and issue 3, and between issue 3 and issue 1.

84
 Issue 4

1. 4
IDENTIFY PRIORITY IMPROVEMENT AREAS
Issue 2 Issue 1

Issue 3

FIGURE 4.18: CAUSAL RELATIONSHIP ILLUSTRATION

It cannot be ignored, however, that there is a causal relationship

between issue 1 and issue 4, issue 2 and issue 4, and between issue
3 and issue 4 as shown in Figure 4.18. This prompts you to select
issue 4 as your focused problem statement.
Now that you have determined the focused problem statement, you
may proceed to the next step which is Root Cause Analysis (RCA).

References:
http://asq. org/learn-about-quality/data-collection-analysis-tools/overview/check-
sheet. html
http://www. qihub. scot. nhs. uk/knowledge-centre/quality-improvement-tools/
frequency-plots. aspx
http://www. businessdictionary. com/definition/data-analysis. html
http://www. reliableplant. com/Read/2251/pareto-chart

85
85
 Step 4: Identify Priority Improvement Areas
Lesson Review
1. 1

FIGURE 2: ENGLISH AND MATH SCORES OF

FIGURE 1: SCHOOL DROP OUT RATE FOR
2000-2014 Drop Out Rate
GRADE IV STUDENTS.
GET ORGANIZED

5 120
4.5

4 100
3.5

3 80

English
2.5

2
60
1.5

1
40
0.5

0
20
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

1
0 20 40 60 80 100
The Drop out rates for all year
Math
levels of a particular high school

2
for the last 15 years is shown
A SI Team is looking into the Math
in FIGURE 1.The School Head is
Scores of learners in Grade IV.
concerned that the drop out rate has
From the VOS, the team found
been increasing since year 2000. What
that learners need to understand and
should the School Head do?
comprehend the problems properly
a. Form a SI Team to tackle the drop
before they can solve it. The team
out rate of the school.
gathered data on the English and Math
b. Disaggregate the data further Scores of the learners. The scores can
to determine which year level be seen in FIGURE 2.What analysis can
contributes to the increasing trend the SI Team gather from this figure?
of the drop out rate.
a. As English Grades go up, so do
c. Start a home visitation program Math Grades.
to entice students to go to school
and prevent dropouts. b. As English Grades go up, Math
Grades go down.
d. Call a meeting for all teachers
and scold them regarding the c. Math and English Grades are not
increasing drop out rate. related.

e. All of the choices d. Math teachers are better than

English Teachers.
e. None of the choices

86
3 4
A SI Team is looking into the Science A SI Team is looking
grades of Grade VI learners. Table 1 into the Math Grades of
below shows the data that the team has Learners in Grade IV. The
gathered. The school has set a standard that 1st grading exam was analyzed

1. 1
the passing grade for Science is 75. The SI for the purpose of counting and
Team now wants to know how many students classifying what type of questions
were able to get a score of 75 or higher, and learners made the most mistakes

GET ORGANIZED
how many students failed. The team also wants on. Table 2 below shows the
to know the distribution of the grades of the data that the SI Team was able to
students. gather.
TABLE 1. SCIENCE GRADES OF GRADE VI LEARNERS TABLE 2. MISTAKE TYPE FREQUENCY
Mistake Frequency
91 76 81 95 93
Asked 591
83 71 93 89 56
Operation 387
54 81 95 59 62
Expression 372
99 89 59 93 97
Given 223
67 79 95 53 89
Total 1573
83 99 42 74 40 Which type of graphical data
58 74 88 65 51 display will help the SI Team
98 90 40 60 86 determine the type of mistake in
order to help the team prioritize
Which type of graphical data display will help problem areas for their project?
the SI Team in their analysis? a. Line Graph
a. Line Graph
b. Pareto Chart
b. Pareto Chart
c. Histogram
c. Histogram
d. Scatter Plot
d. Scatter Plot
a. None of the choices
e. None of the choices

5
A SI Team is looking to improve the NAT Scores of its learners in Math. The
team focuses on the Teaching-Learning Process of Problem Solving in Math
and found the following storm clouds: Which among these
i. Inconsistent discussion time: discussion time storm clouds should
ranges from 15-30 minutes the SI Team focus on?
a. i, ii, and iii
ii. Learners can’t perform basic operations: Item analysis
shows that learners get the lowest scores in this area b. i only
iii. Delay in providing feedback: it takes a month for the c. i, ii, and iv
teachers to return the results of the exam
d. ii and iv
iv. Learners can’t comprehend the given problem: Item
analysis shows that students don’t perform the correct e. All Storm clouds
operations asked in the problems

87
87
 6 7
A SI Team is looking into
the Teaching-Learning
process of Science for
Grade III Learners. During the
1. 1
walk the process phase, the
team observed that the entire
Teaching-Learning process
GET ORGANIZED
exceeded the 40-minute allotted
time. The team now decides to
gather data to further investigate
this storm cloud. What is the most
appropriate data that the team
should gather in order to identify
the factors which contribute to
the excess time?
a. Time data on the start
time and end time of the
Teaching-learning process
b. Time data on the amount of
time in excess of 40 minutes
c. Time data on the amount of
time spent for recitation
d. Time data on the start time
and end time of each sub-
process of the Teaching-
learning process
e. All of the choices
A SI Team is looking into a particular
school’s Feeding Program. The team
has finished observing the process
and gathering data on storm clouds. The
storm cloud that the team is focusing on
is the excessive length of time for the
feeding program. The team is now ready to
formulate the focused problem statement.
Which is the most appropriate focused
problem statement for this process?
a. The feeding program is poor.
b. The feeding program is taking too long.
c. The feeding program takes between
20-30 minutes to finish, which is beyond
the standard of 15 minutes. This is
based on data gathered last June 2014.
d. The feeding program takes 30 minutes.
e. None of the choices
8
A SI Team is looking into the scores of
Grade III learners in Science because
majority of learners failed to reach
the passing rate of 75%. The SI team found
that the majority of the learners were having
difficulties in Inferring. The team further
investigated the performance of the learners
and gathered data. Now the team is ready
to craft their focused problem statement.
Which is the most appropriate focused
problem statement?
a. Learners are having difficulties in
Inferring.
b. Learners are getting low scores in
Inferring.
c. 50% of Learners fail in Science 3.
d. Only 29% of learners answered the
item on inferring about sense organs
correctly.
e. None of the choices
88
 SECTION A MATH SCORES
700 120%
Freq. %

600
100%

500
80%

Cumulative % Cont.

1. 1
400
Frequency

60%
300

GET ORGANIZED
40%
200 SECTION C MATH SCORES
20%
100

0 0%
41 to 50 21 to 30 31 to 40 10 to 20

Discussion Time

FIGURE 3.PARETO CHART ON

DISCUSSION TIME
FIGURE 4.SECTION A AND C MATH SCORES

9
HISTOGRAM
A SI team looking into

10
the discussion time of the A SI Team is investigating the
Teaching-Learning process Math Scores of two sections of
for English has gathered time data Grade IV Learners. The team
and created a Pareto Chart to help created a histogram of the grades of the
establish the focused problem two sections in order to help them establish
statement. Comment on the team’s their focused problem statement. What
Pareto Chart (as shown in Figure 3). analysis can the SI Team get from the
a. The Pareto chart is correct. The graphs?
team should focus on the 41-50
a. The scores of section A are higher than
minute discussion time.
section C. The team should focus on
b. The Pareto chart is wrong. The the scores of section A and determine
Pareto Chart is only used when why the learners are getting high
data categories are qualitative. scores.
The team should have used a
b. The scores of section C are lower than
histogram instead.
section A. In fact, with the passing
c. The Pareto chart is wrong. The standard of 75%, no learner passed
cumulative percentage should in section C. The SI team should look
only be up to 100%. into the reasons for why the scores of
section C are very low.
d. The Pareto chart is correct.
The team should focus on 80% c. Only a few students got a score of 90.
of the problem, which are the 3 in Section A. The SI team should
41-50, 21-30, and 31-40 minute focus on increasing the grades of
discussion times. section A.
e. None of the choices d. The scores of section A are higher
than those of section C. The SI team
should ask the students of section A to
mentor the students of section C.
ANSWERS
ON PAGE
89
89
188
 step five:
Root Cause Analysis
2. 1
ROOT CAUSE ANALYSIS

Learning Output:
Why-Why Diagram, Root Causes of the Focused Problem

Learning Outcome:
1. Know what a root cause is;
2. Use data and process information to help identify possible
causes of the problem;
3. Perform a why-why analysis on a focused problem;
4. Identify the root causes of the focused problem using the
why-why analysis;
5. Distinguish a well conducted why-why analysis from one that
is not;
6. Understand and avoid the common mistakes committed in
performing a why-why analysis; and
7. Use data in performing root cause validation

90
 ANALYZE 2. 1
Root
Cause
Analysis

2. 1
ROOT CAUSE ANALYSIS
Introduction:
1. At this stage, you have already accomplished the following:
2. identified a broad problem based on a relevant school measure;
3. identified the key people who will comprise the SI team;
4. identified the needs of the customers and stakeholders affected by the
broad problem;
5. identified and mapped the process that is linked to the school measure;
6. identified the storm clouds that were observed while walking through the
process;
7. prepared a data gathering plan;
8. collected relevant data on each of the storm clouds in the process based
on the data gathering plan;
9. analyzed the collected data using the appropriate graphical data display
techniques and data analysis tools; and
10. selected a focused problem statement among the storm clouds

91
91
 So far, you have completed the Assess stage of the Continuous
Improvement (SI) methodology. It is time to move on to the first step in the
Analyze stage. Recall that the Analyze stage is focused on investigating and
validating the reasons for a well specified school problem or opportunity.

Now that you have identified a process problem, it is time to focus

all your attention in analyzing this problem and determining
all the underlying causes that contribute to the occurrence of
this problem. The only way for you to come up with appropriate
and relevant solutions that will address your focused problem
is to correctly identify the root cause of the problem.

What is a A root cause is the deepest underlying

root cause?
cause, or causes, of the problematic
symptoms within any process.
2. 1
ROOT CAUSE ANALYSIS

Symptom of the problem

“The Weed”
Above the surface
(obvious)
FIGURE 5.1: PROBLEM SYMPTOM & UNDERLYING CAUSES

FIGURE 5.1: ROOT CAUSE ILLUSTRATION

The Underlying Causes

“The Root”
Below the surface
(not obvious)

92
The “problem”you observed while “walking the process”may be likened
to the weed in Figure 5.1. It is what rises above the surface. It is what is
obvious to you and therefore, it is the one that you readily see. The weed is
actually a symptom of the problem that you have identified. The underlying
causes of this symptom, or what is commonly referred to as “The Root”, is
not obvious because it lies below the observable surface. As you can see
in Figure 5.1, the root extends way down below the surface suggesting
that some form of analysis is required in order to get to the “bottom”of
the weed. If the root or the bottom of the weed is resolved, it will surely
result in the elimination, or substantial reduction, of the symptom. It is very
important to note at this point that the root cause should be something
that you can influence and control in order for you to be able to resolve it.
Often, the most immediate or obvious cause is mistakenly identified as the
root cause when, instead, it is simply the cause closest to the surface or the
symptom. For example, blame is oftentimes first centered on an individual
when there is an observed problem in a process. Although an individual may
have indeed committed an error that resulted in the observed problem, a
deeper cause may be found in areas such as the individual’s training, the
individual’s work schedule, the duties assigned to the individual, clarification
of duties, the individual’s workload, supervision, work environment, or any

2. 1
of a host of other issues. Most people involved in an approach known as
the Root Cause Analysis understand that the vast majority of root causes

ROOT CAUSE ANALYSIS

are system-based rather than individual-based.

Root Cause Analysis

What is Root Cause Analysis and
why do you need to do Root Cause Analysis?
The usual approach to problem solving used by many is to jump directly
into solutions based on preconceived ideas, assumptions or biases about
the existence of the problem. Data gathering and problem analysis using
these relevant data are not appropriately and sufficiently done to get to
the root cause of the problem. As such, solutions may temporarily provide
improvement or “symptom relief”but the problem eventually resurfaces
since the root cause was not properly addressed. This is the reason why the
root cause analysis approach is both helpful and necessary.
Root Cause Analysis (RCA) is a structured and thorough review of the
problem designed to identify and verify what is causing the symptoms, i.
e. the root cause. The root cause must be within the boundaries of the
process scope. Only entities identified in the SIPOC, which you have
done in the “Walk the Process”step, must be discussed in the Root Cause
Analysis. Performing Root Cause Analysis requires complete honesty and
no predetermined assumptions. Otherwise, it may lead you to ignore the
real causes of the problem.
The next questions that should be answered are: How is RCA done? What
type of analysis do we employ to effectively carry out the RCA approach?

93
93
 ?
?? Why-Why Analysis
The why-why analysis is a systematic approach in determining all the contributors
to a problem by asking a series of “Why”questions. The diagram presented
in Figure 5.2 illustrates the steps involved in using the why-why analysis. The
problem is first described in very specific terms. For each likely cause, you should
ask the question “Why did this happen?.” In doing this, you have to make sure
that each response has a logical relationship to the response that preceded it.
Continue asking the question “Why did this happen?”for a minimum of five times
(if possible) in order to achieve depth of analysis. The process is stopped when
you have enough information to identify the root cause of the problem.
The steps involved in the why-why analysis (as shown in Figure 5.2) are carried out
using the why-why diagram. The why-why diagram is a tree diagram where each
child statement is determined simply by asking why the parent statement occurs.
The very nature of the why-why diagram forces you to drill down to the underlying
reasons as to why certain “causes”are observed until you end up with a cause that
can be directly addressed.
2. 1

Identify specific problem

ROOT CAUSE ANALYSIS

Ask why problem happens

If the answer is not

the root cause, ask
why again

FIGURE 5.2: THE WHY-WHY ANALYSIS

94
Steps in Doing the Why-Why Diagram

1. Write down the specific problem. Writing the issue

and describing it completely help to formalize
the focused problem. It also helps other team
members to focus on the same problem.

2. Ask why the focused problem

happens and write the
answer below the problem.

3. If the answer you just provided does not

2. 1
identify the root cause of the focused
problem that you wrote down in Step 1, ask

ROOT CAUSE ANALYSIS

“why?”again and write down the answer below
the answer you provided in the previous step.

4. Loop back to step 3 until the team

is in agreement that the root cause
of the problem has been identified.

In order to effectively answer the why questions (steps 2 and 3), you should
visualize the object or situation. The answers to your why questions should
drill down to the root cause. This means that the answers you provide should
become smaller and smaller in scope. The end of this chain of answers is the
root cause and becomes your bridge to the permanent solution.
The most challenging part, however, is step 4 or knowing when you have
reached the root cause. School improvement teams and others using Root
Cause Analysis often wonder when to stop seeking the cause and make the
decision that sufficient data is already available to arrive at a reasonable root.
This is often a judgment call that will improve with experience. Often, the lack
of data and the pressures of time frustrate the effort of finding the root and
force the analysis process to halt at a level below the surface symptom, but
perhaps not as deep as it must ultimately go.

95
95
 When is a Cause a Root Cause?
In order for you to know if you have stopped at the root cause in your
why-why analysis, you may want to use the following guide questions:

Would the problem have If the answer to

occurred if the cause this question is YES,
you have identified had the cause you have
not been present? identified is NOT the
root cause.

Will the problem reoccur If the answer to

as the result of the same this question is YES,
2. 1

cause if the cause is the cause you have

corrected or dissolved? identified is NOT the
root cause.
ROOT CAUSE ANALYSIS

If the answer to
Will correction
this question is YES,
or resolution of
the cause you have
the cause lead to
identified is NOT the
similar events?
root cause.

Furthermore, the root cause should be logical. It should make sense and
provide clarity to the problem. Most importantly, it should be something
that you can influence and control as previously mentioned.
Using the guidelines provided and some common sense, SI teams can
usually arrive at a proximate area of cause or causes that if dissolved, or
reduced, will remedy or reduce the symptom. SI teams, however, should
not allow timidity or fear to block deeper discovery of issues that may be
related to either cultural or deeper organizational elements.

96
 Figure 5.3 shows an example of a very simple why-why diagram on the late
issuance of grades to grade school students. In this illustration of the why-
why diagram, you can see that the problem is not completely described as
to when it happens, where it happens and how frequently it happens. It can
also be observed that the root causes are identified after asking just one
“why”question for each identified cause. The good thing about the diagram
though is that the identified root causes are system-based and not directed
on any individual. It does not blame the teacher or the vice principal for
the late issuance of grades. Rather, it implies that an underlying monitoring
and control process, employed by the school system, is responsible for the
occurrence of the identified problem. Moreover, the identified root causes
are within the school administrators’ influence and control.

Grades are
distributed to the
students beyond
the 7 days policy

2. 1
Teachers are not The grades have

ROOT CAUSE ANALYSIS

concerned on the to be approved by
timely distribution the Vice Principal
of grades

Need to check
Teachers are allowed FIGURE 5.3:
SAMPLE WHY-WHY DIAGRAM for computation
to submit beyond
ON LATE GRADES ISSUANCE errors.
the deadline.

97
97
 As mentioned earlier, it is desired to ask at least five why questions when doing
the why-why diagram in order to achieve depth of analysis. This depth of
analysis is illustrated using the diagram presented in Figure 5.4. The five whys
force you to do deep thinking and reasoning towards specifying the root causes
of the problem. As you probe deeper and deeper towards the root causes of
the problem, other problems in the system are also likely to be affected by
the same root causes. Addressing the root causes therefore raises unintended
benefits as you do not only eliminate or reduce the occurrence of the main
problem, but you also sideswipe and solve other system problems as well.
FIGURE 5.4: “THE FIVE WHYS”AND MILE-DEEP THINKING

Problem Problem Problem Problem Problem Problem Problem Problem

Etc.
A B C D E F G H

Local focus
on causes
Ask the
question
“WHY?” WHY?
2. 1

1 Why did X happen?

five times Because of W.
Wider focus
on causes

WHY?
ROOT CAUSE ANALYSIS

2 Why did W happen? Wider focus

Because of V. on causes

WHY?
3 Why did V happen? Wider focus
Because of U. on causes

WHY?
Why did U happen? Wider focus
4 on causes
Because of T.

WHY?
Wider focus
5 Why did T happen? on causes
Because of S.

In summary, the construction of the why-why

diagram should be guided by the following:
 Do not include a response to a why question that is not
within your scope, control, or influence.
 Each response should have a clear and logical relationship
to the response that immediately precedes it.
 Each response should be measurable and testable.
 It may also be helpful at this point to be aware of
the common mistakes in Root Cause Analysis in order
to avoid committing these mistakes.

98
 Common Mistakes in Root Cause Analysis

FIGURE 5.5: COMMON MISTAKE #1 FIGURE 5.6: COMMON MISTAKE #2

(MISSING LINK BETWEEN CAUSES) (FOCUSING ON THE WHO, NOT ON THE WHY)

Students are unable Students Teachers are

Students

Problem
are unable incompetent
to correctly follow do not
to correctly in giving
test instructions. follow test
understand the
instructions. instructions to
instructions. students.

Problem Root Cause

Why?

Copying of
Students are
Root cause

assignments Students are

Test instructions take more than slow in writing. unskilled in
writing.
are long. 10 minutes.

Problem Root Cause

2. 1
Missing link between causes Focusing on the who,

ROOT CAUSE ANALYSIS

A missing link occurs when the cause is
unable to directly explain the occurrence
of the problem that immediately
precedes it. This common mistake is
illustrated in Figure 5.5. The reason why
students are unable to correctly follow
test instructions is not directly because
the test instructions are long. There is
a missing explanation in between the
problem and the cause. Perhaps the
reason why students did not correctly
follow test instructions is because they
do not understand the instructions.
They do not understand the instructions
because the test instructions are long.
The missing link here is therefore
“Students do not understand the
instructions.”
not on the why
As mentioned earlier, a good why-why
analysis is one where the identified
causes are system-based rather than
individual-based. It is not mainly about
who committed the mistake or who is
responsible for the mistake but rather,
why did the mistake happen? What
underlying process or processes caused
the mistake to happen? Figure 5.6
illustrates another common mistake in
Root Cause Analysis where the why-why
analysis focuses on the “who”rather
than on the “why.” Specifically,
the teachers’ competence and the
students’ skill were the focus of the
analysis.

99
99
 FIGURE 5.7: COMMON MISTAKE #3 (CAUSES FIGURE 5.8: COMMON MISTAKE #4 (CAUSES
THAT BEGIN WITH “NO”, “NONE”, “LACK OF”) IDENTIFIED ARE NON-STANDARD OCCURRENCES)

Giving of instructions for

group activities take more Preparation of projector
than 10 minutes. in class take more than
10 minutes.
Problem Wh
Problem
y?

Why?
Teachers write the
instructions on the
board.
Wh
y?

Brownout
No Visual Aids

Root Cause Root Cause

Causes that begin with Causes identified are

2. 1

“no,”“none,”“lack of” non-standard occurrence

ROOT CAUSE ANALYSIS

Causes that begin with these words will Causes that seldom occur, and/or
put any why-why analysis to an abrupt the occurrence of which is beyond
end. You will be led to believe that you your control, should not appear
have just stopped at the root cause when in your why-why analysis. This is
in fact you have not. This is a common because there is nothing you can
mistake that looks more into prescribing do to address such causes. Figure
solutions or the course of action to take 5.8 identifies “brownout”as the root
rather than drilling down into the system cause of long projector preparation
elements that really cause the problem to time. This should not even have been
occur. This is oftentimes indicative of the identified as a problem if the delay
“biases”of the person doing the analysis. only occurred because there is no
Figure 5.7 illustrates this common mistake electricity. Clearly, such occurrence
by analyzing why the teacher takes more is beyond anybody’s control and you
than 10 minutes in giving instructions. cannot do anything to resolve the
You can see that the analysis came to an brownout issue.
abrupt end when “No visual aids”was
identified as the reason why teachers had
to write on the board. This is because
the person doing the analysis is indirectly
prescribing visual aids as the solution
to the problem. Does this mean then
that the problem will be solved simply
by having visual aids? Definitely not! If
indeed visual aids are needed to solve the
problem, the analysis should have focused
more on the preparation process in giving
instructions and the elements in a visual
aid that help achieve faster delivery (by
the teacher) and understanding (by the
students) of instructions.

100
FIGURE 5.9: COMMON MISTAKE #5 (CAUSES
THAT ARE DISGUISED SOLUTIONS)
Instructions
of teachers
are unclear for
students.
?
hy
W
Giving of
instructions for
group activities
take more than
10 minutes.
Problem
Causes that are
disguised solutions
This is related to common mistake
#3 where the root cause is actually a
disguised solution to the problem. The
why-why analysis in Figure 5.9 identifies
the “lack of training of teachers in giving
instructions”as the root cause. The
phrase “lack of training”is suggestive
of “providing training for the teachers
on giving instructions”as the solution
to the problem. Will training solve
the problem? Definitely not! This is
especially true if the real issues are
not properly identified and addressed
by the training. The more appropriate
question to ask is: “What elements in
the instruction preparation and delivery
process are deficient?”It could be the
design of the activity itself or the choice
of words used or the activity output that
is unclear to the students or a host of
other causes that may be linked to the
process. These are the critical elements
that must be addressed in developing a
solution to address the problem.
FIGURE 5.10: COMMON MISTAKE #6
(BIAS IN IDENTIFICATION OF THE CAUSES)
Test Instructions
are long.
Root Cause
Why?
W
hy
?
Students do not understand
the instructions.
Lack of training
for teachers in
Why?
giving instructions
Root Cause Students are unable to correctly
follow test instructions.
Problem
Bias in the identification
2. 1
of the causes
ROOT CAUSE ANALYSIS
This mistake involves conducting the
why-why analysis backwards where you
start with a pre-determined root cause
and then establish the linkages that
lead you back to the problem. The bias
in the identification of the root cause
exists mainly because you already
have a solution in mind. This is a very
dangerous practice since improvement
efforts are almost certain to fail if
the true causes are not properly and
methodically identified in the analysis
process. Figure 5.10 illustrates this
backward approach in conducting the
why-why analysis.
101
101
 Validation of Root Causes
The output of the why-why analysis arises from
the SI team’s brainstorming of possible causes.
It is therefore important to validate whether
these root causes are real or not. Validation is
done by identifying the data to be collected
for each identified root cause.
As emphasized in Step 4: Identifying Priority
Improvement Areas, data is important in
2. 1

validating the existence of storm clouds in a

process. Similarly, data plays an important role
in root cause validation.
ROOT CAUSE ANALYSIS

Root cause validation also begins with a data collection plan. It involves
the development of data collection forms, development of a sampling
methodology, actual collection of data through data sampling and/or
actual observations, and the use of graphical data display techniques and
data analysis tools such as the line graph, histogram, scatter plot, stratified
line graph, Pareto chart, etc. The output of this validation process is the
identification of the REAL causes of the problem.
After identifying the REAL root causes of the problem, the SI team must then
identify how much each one of the REAL causes contributes to the problem
and if solving these causes is within the control of the SI Team.
Once all these are done, we are now ready to develop solutions that will
address the problem and improve our processes.

102
 Step 5: Root Cause Analysis
Lesson Review

1
FIGURE 1
A SI Team is looking into why the Feeding Program
takes 30 minutes when the students’ break should only
last 15 minutes. The team identified some causes of the
problem as shown in FIGURE 1.Which common mistake in
RCA did the team commit?
a. Missing link between causes
b. Focusing on the who, not on the why
c. Causes that begin with “no,”“none,”or “lack of”
d. Causes identified are non-standard occurrences
e. None of the choices
FIGURE 2

2
A SI Team is looking into why the Feeding Program
2. 1

2. 1
takes 30 minutes when the students’ break should only
last 15 minutes. The team identified some causes for
ROOT CAUSE ANALYSIS

the problem as shown in FIGURE 2.Which common mistake

ROOT CAUSE ANALYSIS

in RCA did the team commit?
a. Causes that begin with “no,”“none,”or “lack of”
b. Causes identified are non-standard occurrences
c. Focusing on the who, not on the why
d. Missing link between causes
e. None of the choices
FIGURE 3

3
A SI Team is looking into why the discussion time for a
particular topic takes 30 minutes, causing the Teaching-
Learning process to exceed the allotted 40 minutes.
The team identified some causes of the problem as shown in
Figure 3.Which common mistake did the team commit?
a. Causes that begin with “no,”“none,”and “lack of”
b. Causes identified are non-standard occurrences
c. Focusing on the who, not on the why
d. Missing link between causes
e. None of the choices
FIGURE 4

4
A SI Team is looking into why the discussion time for a
particular topic takes 30 minutes, causing the Teaching-
Learning process to exceed the allotted 40 minutes.
The team identified some causes of the problem as shown in
Figure 4.Which common mistake did the team commit?

103
103
 a. Causes that begin with
“no,”“none,”and “lack of”
b. Causes identified are non-standard
occurrences
c. Focusing on the who, not on the why
d. Missing link between causes
e. None of the choices
FIGURE 5
5
A SI Team is looking into why the
discussion time for a particular topic
takes 30 minutes, causing the Teaching-
Learning Process to exceed the allotted 40
minutes. They’ve identified some causes
2. 1
of the problem as shown in Figure 5.Which
common mistake did they commit?
ROOT CAUSE ANALYSIS
a. Causes identified are non-standard
occurrences
b. Causes are disguised as solutions
c. Missing link between causes
d. Bias in identification of causes
e. None of the choices
FIGURE 6
6
A SI Team is looking into why the
Feeding Program takes 30 minutes
when the students’ break should only
last 15 minutes. The team identified some
causes of the problem as shown in Figure
6.Which common mistake in RCA did the
team commit?
a. Causes identified are non-standard
occurrences
b. Causes are disguised as solutions
c. Missing link between causes
d. Bias in identification of causes
a. None of the choices
104
FIGURE 7.READING COMPREHENSION
AND MATH WORD PROBLEM SCORES
7
A SI team is looking into why
the learners from Grade IV
Section C are having difficulties
in solving Math word problems.
The team gathered data on student
scores for Reading Comprehension
and Math word problems. The team is
now ready to do a root cause analysis.
Their focused problem statement
is “Based on an item analysis of
students’ exams, only 5 out of the
45 learners are able to solve word
problems.”
Figure 7 reflects data that the team
gathered. Which causes are the
most appropriate to explain why
only 5 out of 45 learners were able
to answer word problems?
a. Learners are having difficulties in
understanding the word problem
- the words are unfamiliar to the
students
b. Learners can’t complete the
AGONA method - Learners can’t
perform basic operations
c. Learners lack practice to solve
word problems - the teacher
didn’t give them enough
practice exercises
d. Learners don’t understand how
to solve word problems - the
teacher didn’t use visual aids
e. All of the choices
 8
A SI team is looking into the
performance of its Grade VII learners
in Reading because their NAT scores
were below the school’s standards. The
team was able to focus on a particular
section that students did not perform well
in. The team conducted an item analysis
and found that only 3 out of 43 students
were able pass an exam on identifying
figures of speech. The team is now going
to perform a root cause analysis.
FIGURE 8.WHY-WHY DIAGRAM FOR READING
9 10
A SI team is looking into the performance
of its Grade VII learners in Reading
because their NAT scores were below
the school’s standards. The team was able to
focus on a particular section of reading where
the students performed poorly. The team
conducted an item analysis and found that only
3 out of 43 students were able pass an exam
on identifying figures of speech. The team is
pondering on what they should do next.
i. The team should perform a Root Cause
Analysis to determine the root cause of the
problem before identifying solutions.
ii. The team should initiate a review program
for learners to help them with figures of
speech.
iii. The team should look into the data that
they have gathered on the Teaching-
Learning Process for reading to help
execute a root cause analysis.
iv. The team should buy visual aids to help
the students understand figures of speech.
Which is/are the most appropriate step/s that
the SI team should do?
a. i, ii and iv d. All of the choices
b. ii and iv e. None of the
c. i and iii choices
105
105
Comment on the SI Team’s Why-why.
a. The why-why diagram is correct. The
team should now look into helping the
families earn more income.
b. The why-why diagram is still incomplete.
The team should further look into the
reasons for why the learners families have
low incomes.
c. The why-why diagram is wrong. There is
a missing cause as to why only 4 out of
43 students passed the exam. The cause
“The students didn’t understand the
lesson”should be considered.
d. The why-why diagram is wrong. The SI
team shouldn’t look into causes that are
outside of their control.
e. None of the choices
2. 1
A SI team conducted a Root
Cause Analysis and found
that one of the root causes
ROOT CAUSE ANALYSIS
for why the feeding program takes
30 minutes is that the canteen is too
far from the classrooms. The team is
now pondering on their next steps.
i. The team should build a
new canteen closer to the
classroom.
ii. The team should gather data
to verify the root cause that
they have identified.
iii. The team should transfer
the classrooms closer to the
canteen.
iv. The team should just bring the
food to the classroom.
Which is/ are the most appropriate
step/s that the SI team should do?
a. i or iii
b. ii only
c. iv only
d. i, iii, and iv
e. None of the choices
ANSWERS
ON PAGE
192
 step six:
Generating Solutions
2. 2
GENERATING SOLUTIONS

Learning Output:

Future Process Map

Learning Outcome:
1. Provide an approach in generating a solution;
2. Connect the generated solutions to the root
causes of the problem;
3. Demonstrate critical and creative thinking in
developing solutions; and
4. Explain the basis, principles or concepts used
in generating solutions to address the root
causes of the problem

106
 ANALYZE 2. 2
Generating
Solutions

2. 2
GENERATING SOLUTIONS
Introduction:
At this stage, you have already accomplished the following:

a. f. prepared a data gathering plan;

on a relevant school measure; g. collected relevant data on each
of the storm clouds in the process
comprise the SI team;
c. h. analyzed the collected data using
the appropriate graphical data
display techniques and data
d. analysis tools;
i.
measure; statement among the storm
e. clouds; and
j.
through the process;

107
107
 Solutions are not just created to satisfy yourself and to say

solution development process in terms of its “musts”and “wants.”

rate of students or teachers, improvement in the percentage of Grade 4 students who

time in the canteen during recess periods, etc.

2. 2

MUST
GENERATING SOLUTIONS

pertain to the minimum

requirements that the solution WANT
has to satisfy. It could specify
the level of attainment of the

to students on time all the “Wants”, on the other hand,

time), the time period within
which the solution is ready

within one month. ), or even the additional reading or computing

increase awareness of students on

health and safety hazards within
Php5,000. 00). the school campus”, etc.

Developing and choosing a solution should account for the Voice of the

of just a single criterion such as service time, implementation cost, passing

108
that can guide you in developing
solutions. Each concept can target
one or more non-value activities and
help minimize, if not eliminate them.
Solutions may vary from an activity
change to a process change all the way
to a system change. What you should

and process changes that produce

incremental process improvements and
which eventually produce a positive

Sometimes, an activity or process change

into the elimination of non-value adding

adding activities or activities that
management techniques, prevention

2. 2
assignment, resource management, these non-value adding activities is

GENERATING SOLUTIONS
systems, information system design, etc.

remove the redundant and wasteful actions. It also allows us to estimate the precise

process.

and/or physical employee effort. Productivity improvements also result from the

structure and resources involved in the process to achieve continuous improvement.

! !

!
! !

109
109
 FIGURE 6.1:
COMPONENTS OF AN ACTIVITY

VALUE ADDING

NECESSARY BUT NON

VALUE ADDING

NON VALUE ADDING

2.2
GENERATING SOLUTIONS

Value-adding activities

or function to the product

emphasized that your

value in your value creation

value and what is not.

110
Necessary but non-value activities Non-value adding activities
are those that are not essential to
produce an output or render the

Activities that do not add value

challenge is how to inspect without having
is a solution development principle that will
to the output or the service may
include defects, errors, omissions,
preparation/setup, transporting,
waiting, delay, etc.

2. 2
students learn math.
Figure 6.1 indicates that in general, 60% of the actions performed in an activity are

GENERATING SOLUTIONS
leads to continuous improvement.

Segregating Value from

Non-Value Adding Activities
in the Activity Flowchart
Value Added Steps NON-Value Added Steps
Loop

A tool that you can use to segregate

value-adding from non-value adding Loop

activities in a process is the opportunity

No No

value-adding and the non-value adding

steps. Loop No

No

divided into the value-added and non-

FIGURE 6.2A: OPPORTUNITY FLOWCHART

value-added steps are joined with an
arrow only if there are no non-value-

111
111
 from the non-value-added steps in providing a photocopy service.

discussed in the following section:

2.2

Value Added Steps Non-Value Added

Yes
GENERATING SOLUTIONS

Yes No

No

No Yes

No No No

Yes Yes Yes

Yes No

FIGURE 6.2B: OPPORTUNITY FLOWCHART

 PROCESS: FOCUSED PROBLEM OBJECTIVE OF
STATEMENT: SOLUTION
GENERATION:

ROOT CAUSES:
SOLUTIONS:

2.2
GENERATING SOLUTIONS
After a thorough analysis of the activities involved in the feeding process, it is

time to the feeding center are non-value adding activities. As such, effort has to

distance of classroom to feeding center causes the pupils not to eat all at the

long distances to the feeding center, however, is totally non-value adding.

centralized signal eliminates the dependency on a pupil leader and addresses the

113
113
 Problems that require some form of monitoring and control
in order to prevent continuous occurrence may benefit from
visual management concepts. What is Visual Management?

Visual Management FIGURE 6.3A

Visual management is a technique Trees

Fire
such as schedules, performance
targets and accomplishments, Fire
Roof
concerned. It presents information
Broken
in a way that is easy to understand Window
Window
Shrubbery Shrubbery

Grass
words, so that everyone concerned
2.2

Box
conveyed. road
Grass
GENERATING SOLUTIONS

FIGURE 6.3B

convey the message whereas the

latter uses a picture to convey the
same message. Which one conveys

the meaning of words and therefore

interpretations that create confusion

among the people concerned.

what is happening,

114
Know what is happening

FIGURE 6.4A: WORK CELL LAYOUT

are

Visual management techniques such as the

and

t o

2.2
GENERATING SOLUTIONS
means a status display station.

| |||| | |
| |
|
|
|

3
|
|
|
|
|
|
|
|
|
|

|
| |
| | |

FIGURE 6.4B: SIGNAL: ANDON

115
115
 Know what to do next
Solutions using visual management techniques
should not stop at telling you what is happening.

is Visual Scheduling which utilizes visual tools

to communicate scheduling requirements.
Figure 6.5a shows a visual scheduling

communicates to airport ground staff what

2.2

FIGURE6.5A:
6.5A:COMMUNICATE
COMMUNICATESCHEDULING:
SCHEDULING:
is an illustration of visual replenishment
FIGURE
GENERATING SOLUTIONS

VISUALSCHEDULING
VISUAL SCHEDULING

for incoming raw materials, demarcated

communicate scheduling requirements and

FIGURE 6.5B:
FIGURE 6.5B: VISUAL
VISUAL REPLENISHMENT
REPLENISHMENT

116
 FIGURE 6.6A: PHOTOGRAPHIC JOB AIDS

2.2
Know how to do the work

GENERATING SOLUTIONS

INBOX

PENDING

OUTBOX

FIGURE 6.6B: IN AND OUT BOX FOR IDENTIFYING WORK

117
117
 FIGURE 6.7A: USING LANES IN SCHOOL HALLWAYS FIGURE 6.7B: SUPPLY
ARRANGER FOR THE DRAWER
2.2
GENERATING SOLUTIONS

its location, and an optional picture or silhouette of the item.

hazardous areas, crime scenes, etc.

FIGURE 6.8A: SHADOW BOARD FOR FIGURE 6.8B SHADOW BOARD FOR OFFICE SUPPLIES
TOOLS

118
Know how well
work was done

communicates performance measures and

performances ranging from an individual

most common visual aid is the posting

of performance measures at different
levels of the school environment. A visual
performance tool is shown in Figure 6.9a
which uses adjectives written on French
fry containers to represent the students’
perception of a classroom activity. FIGURE 6.9A: COMMUNICATE
PERFORMANCE MEASURES

done in class.

2. 2
communicates a school’s performance

GENERATING SOLUTIONS
indicator, current performance on that
indicator, and future target for that same

aid is usually posted on classroom and

performing on a particular indicator.

FIGURE 6.9B: COMMUNICATE

PERFORMANCE MEASURES & TARGETS

119
119
 Visual management techniques provide you with
an easy and creative way of carrying out the

A visual system offers you the following advantages:

" Information is readily available to " Competition is encouraged

everyone.
" Failure is not to be feared. Honest
performance is displayed so that
everyone knows the current status
of performance and seeks ways to
accomplish the goal as a team.
" Individuals can readily see the effect
of their contribution to the team’s
performance. Improvements within
the team can be worked on and
2. 2
because information about
everyone else’s performance is
readily available.
" Clear and unambiguous visual
displays aid communication
of strengths, problem areas,
opportunities for improvement
and even potential hazards.
"
allows the synchronization of

made in a timely manner. all departments to achieve a

common goal.
GENERATING SOLUTIONS

It must be emphasized that in order to be effective, visuals must be

open, honest, relevant, simple, clear, and displayed close to the area
concerned. Visual displays should also be regularly updated with the
most current information status and realistic targets for relevance.

# Irrelevant or complex reporting # No visible use of real time or

system and measurement that is not
easy to understand
# No visual signals in the school or
inside the classroom that promote
flow and safety
# Limited understanding by teachers
and students of how things are done
or how problems arecf identified
short term school or classroom
measures that everyone can work
on and monitor the progress
together
# Display of classroom information
is not timely causing late reaction
to problems
PROCESS: FOCUSED PROBLEM OBJECTIVE OF SOLUTION
STATEMENT: GENERATION:

SOLUTIONS:

ROOT CAUSE:

problem

2. 2
GENERATING SOLUTIONS
 5S to develop or enhance solutions, particularly those that address safety,
2. 2
GENERATING SOLUTIONS

and sustaining the new order created.

Step 1: SEIRI (SORT)

Segregate and Eliminate
t
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unnecessary items and eliminate
what is not needed
t
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unnecessary and unimportant
items
t
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properly FIGURE 6.10: 5S (SEIRI OR SORT)
t
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obstacles and reducing the
chance of being disturbed with
unnecessary items
Step 2: SEITON (SET IN ORDER)
Arrange, Straighten or Streamline
t
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items so that they can be found and
picked up easily by anyone
t
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necessary items can easily be located
and accessed by anyone
t
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area where they are needed to promote
an efficient work environment
t
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time in finding the necessary items

a very disorganized tool drawer where

2. 2
in one area of the drawer. In contrast, the
picture on the lower part of Figure 6.11

GENERATING SOLUTIONS
organized tool drawer where each tool has FIGURE 6.11: 5S (SEITON OR SET IN ORDER)
its designated location inside the drawer.

Step 3: SEISO (SHINE)

Daily Cleanup Process
t
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everyday
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deterioration
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inspect if everything in the workplace is in
order

with no clear space for people, material, and

In contrast, the picture on the lower half of

clear pathways for safe people, material, and

FIGURE 6.12: 5S (SEISO OR SHINE)

 Step 4:
SEIKETSU (STANDARDIZE)
Steps & Safety
$ 4UBOEBSEJ[F
DMFBOVQ
BDUJWJUJFT
TP

that these actions are specific and
easy to perform

IJHI
RVBMJUZ
BOE

$ .BJOUBJO
IJHI
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PG

housekeeping and workplace
organization at all times
$ Create a system to maintain
cleanliness, orderliness, and a safe
work environment
$ Ensure compliance to procedures
by conducting regular daily checks
of the work area
2. 2
$ This is the condition attained when
you maintain the first three steps
GENERATING SOLUTIONS
FIGURE 6.13:
MISTAKE PROOFING
Step 5:
SHITSUKE (SUSTAIN)
%
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or procedure that physically or
procedurally prevents a person from
arrow in Figure 6.13 indicates that
you have to turn the cap counter-
mean that errors are committed and
6.14a is designed so that you do not insert the

FIGURE 6.14A: MISTAKE PROOFING

OUR ELECTRIC SOCKETS

2. 2
GENERATING SOLUTIONS
FIG 6. 14B: AVOIDING EXCESS HAND CARRY SIZTE IN AIRLINES

FIGURE 6.14C: DISPOSAL BIN POKA YOKE

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GENERATING SOLUTIONS

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not set up properly

unconventional or less traditional idea generation techniques that

 Creativity techniques
Quick and Dirty
Some creativity techniques
that you may want to use are
would do when faced with your
challenge.

rules.
Short Time Investment

develop a solution that you have

are involved with your area of inquiry.

and what does not, what advice they

2. 2
GENERATING SOLUTIONS
questions- who, what, where, when,
the elements of the larger world

diagram involving the forces, factors,

requirements, constraints, and

perspective, from someone else’s

vantage point. Start with someone
who has no understanding of your on one of the forces acting on your

the constraints on other forces

Building on Creative Ideas

 the question “What could the team do with the parents so that students do not

in school and community activities, staging of parents-teacher conferences, etc.

to encourage more questions, allow the students to discuss these questions in

2. 2
GENERATING SOLUTIONS

Far-fetched Good idea–could Perfect

ideas something implement idea
useful

Far-fetched Good idea–could Perfect

ideas something implement idea
useful

FIGURE 6.15: BUILDING ON CREATIVE IDEAS

Future Process Map

amount of time saved in posting of visual aid versus erasing and writing down notes on

CURRENT FUTURE Map

Map

2. 2
including creativity and other

GENERATING SOLUTIONS
comes to effective in terms of improving the
comes to

A plan for implementing the

crafted to ensure that the solutions

are not just good on paper or

designed and developed. An

implementation plan includes the

or cost management, resource

writes

Improvement Plan.

FIGURE 6.16: EXAMPLE

OF CURRENT VS.
FUTURE PROCESS MAP
 Step 6: Develop Solutions
Lesson Review

1 4
A A
Analysis and found that one of the root solution to ensure that learners
causes for why the feeding program
to do during the feeding program.

program process, resulting in delays. Which where the feeding area is, and posted
concept is the most appropriate for the SI
program procedure.
a.

the allotted 15-minute time. Which

c. solution concept did the team apply?
d. a.
a.
2. 2

A
c.
d.
GENERATING SOLUTIONS

that one of the root causes e.

. Which concept is the most

generate solutions?
5 A for students not
throwing their trash in the proper

a.

c.
. What should
d.
the SI team do?
e.
a.
for not listening when they were

3
A oriented regarding the proper
Analysis and found that one of the root waste segregation.
causes for why the discussion time of a

the trash containers properly

the materials that she will use for the lesson.
and painting them with different
Which concept is the most appropriate for the
colors for easier differentiation.

a. c. Assign students to guard the

trash cans and penalize those
who they catch not segregating
c. their wastes.
d. d. Hire more people to segregate
a. the waste from the trash cans.
130 e.
6 8
A SI team found that one A

time for their

lectures.
.
. Which solution
call of each student. What can the concept did the SI team use?
SI team do? a. d. Visual
a.
to simplify the Attendance e.
c.
lessen the time to conduct

9
A

the need for a roll call.

Eliminate the process procedure.

adding procedure.
c.
place one in each classroom.
2. 2
GENERATING SOLUTIONS
. Which solution concept
did the SI team use?
a.

their attendance. c.
d. d.
student to scan their time e.
cards.

1 0
e. A SI team conducted a

7
A found that one of the root
the causes for why teachers

have to erase the contents of the .

in the previous period. Which all materials are arranged in one container and
.
develop solutions? Which solution concept did the SI team use?
a. a.

c. c.
d. d.
e. e.

131
131
 step seven:
Finalize
| 2.3

Improvement Plan
FINALIZE IMPROVEMENT PLAN

Learning Output:
Cost Management Plan, Resource Plan and Risk
Management Plan

Learning Outcome:
1. Understand basic project planning tools and concepts
and use these to plan the implementation of the
selected improvement solution;
2. Know the different resources required for project
implementation and be able to calculate how much of
these resources are required;
3. Recognize and anticipate potential problems or
risks that may be encountered during project
implementation; and
4. Assess and analyze

132
 ANALYZE 2.3
Finalize
Improvement
Plan

2.3 | FINALIZE IMPROVEMENT PLAN

Introduction:
At this stage, you have already accomplished the following:

a. identified a broad problem based g. collected relevant data on each of the

on a relevant school measure;
b. identified the key people who will
comprise the CI team;
c. identified the needs of the
customers and stakeholders
affected by the broad problem;
d. identified and mapped the
process that is linked to the
school measure;
e. identified the storm clouds that
were observed while walking
through the process;
f. prepared a data gathering plan;
storm clouds in the process based on
the data gathering plan;
h. analyzed the collected data using the
appropriate graphical data display
techniques and data analysis tools;
i. selected a focused problem
statement among the storm clouds;
j. identified and validated the root
causes of the problem;
k. generated solutions that will address
the root causes of the problem; and
l. developed the future process map
based on the solutions selected

In the succeeding discussions, you will be taught how to

effectively carry out and finalize your improvement plan
as well as anticipate problems that may arise during the
implementation (pilot or rollout) of the recommended solutions.

133
133
 Implementation Planning
You have learned that a solution is developed for the purpose of addressing
the root causes of a problem. The assumption is that the problem will be
resolved if the root causes are addressed. However, this is not always a
valid assumption. The effectivity of a solution in solving a problem depends
largely on how well the implementation plan is crafted. Very good solutions
may fail because of the absence of a good implementation plan.
Implementation planning is the process of defining and refining tasks
and resources required to implement the solutions. The answers to the
following questions are crucial:

What planning & other What are the activities,

pre-implementation tasks, & subtasks required
work have to be done? to implement the solution?
• Plan the resources needed • Define the actual work or
| 2.3

to carry out the solutions. interventions to be done in

Resources pertain to money, time, solving the process problem.
FINALIZE IMPROVEMENT PLAN

people, machines, tools, space,
information, etc. needed to carry
out the implementation.
• Plan the pre-work to be
done. Pre-work may include
scheduling and conducting the
planning meetings, forming an
implementation and monitoring
team, discussing the planned
solutions and implementation
to all stakeholders (i.e. school
administrators, teachers, pupils,
parents, community officers, etc.),
making budget calculations,
purchasing the materials needed,
fabricating an item needed for a
process activity, documenting the
anticipated future state (“to-be”
process) of the process or new work
procedures and guidelines needed,
preparing the visual materials, etc.
Work may include changing the present
layout of the classroom, posting
visual materials in the classrooms and
hallways, re-locating or setting up
feeding centers near the classroom,
perform 5S in the workplace,
administering a special test for Grade
4 pupils, inserting fun math activities in
addition to the regular lecture, etc.
• Define the activities and tasks
to be performed including all
activity and task details. For
example, administering a special test
require activities such as preparation
of test objectives, formulation of test
questions, classification and selection
of test questions to be included in the
test, printing of test questionnaire,
administration of the test, proctoring of
the test, checking of test papers, and
graphing test results for analysis and
feedback. The details of these activities
should also clearly specified.

134
 Who is responsible in performing What is the timeline
each defined task? What are the for implementation?
respective roles of each stakeholder
in implementing the solutions? • Specify exactly when
each implementation
• Specify clearly who performs which phase and activity is
tasks so that everyone knows his or her supposed to be carried
role and contribution to the implementation out. The beginning and end
process? A table of defined roles and date or period of each activity
responsibilities may be created to show the should be clearly specified
work that each stakeholder has to perform for and made known to everyone
the implementation of the solutions and the involved.
improvement of the process being examined.
• Do not forget to specify who monitors the
• The complete project
progress, effectivity, and efficiency of the schedule, including pilot
implementation process. runs if any, should be posted

2.3 | FINALIZE IMPROVEMENT PLAN

for everyone to see and track
progress.

How do you carry out the planned solutions?

• Divide the planned or proposed solutions into
implementation phases. An example may be to divide the new
process for teaching problem solving to Grade 4 students in a school into:
1. Posting on the blackboard of key words used to denote each math
operation (Phase 1: Word Recognition and Retention Phase),
2. Supplementing key words with bundle of math words and rhymes
songs on math operations (Phase 2: Word Mastery and Comprehension
Phase) and
3. Administering a special test to the Grade 4 pupils (Phase 3: Testing and
Feedback Phase before Solution Roll-out).

• Decide if a full implementation or a pilot or parallel run will

be conducted for some or all of the solutions.
A full scale implementation of a solution means that the solution is applied
to the whole population involved in the process being improved. A pilot
or parallel run means that you implement the proposed solution on a
portion of the population to test out the solution first. The majority of the
population continues to run using the current process. This prevents major
disruptions in the process in the event that the proposed solution does not
work. An example of a pilot run is the implementation of Phase 1, Phase
2, and Phase 3 discussed in the previous point on a particular Grade 4
section first while allowing all other Grade 4 section teachers to continue
with the present word problem teaching process.

135
135
 What are the deliverables
and milestones? What are the
necessary reports?
• Specify the expected deliverables and
milestone for each implementation phase.
You may also extend this to include the
expected deliverables for each activity. A
status report that summarizes the progress of
each milestone should also be prepared for
the benefit of the stakeholders.
• For Phase 1, Phase2, and Phase 3
discussed in the previous point, for example,
deliverables may be the discussion of worded
problems using the key words posted on
the blackboard, the singing of math rhymes
songs in class, and test results respectively. What potential problems
Deliverables should at least be observable. or risks do you anticipate
| 2.3

to encounter during the

2.0

• A milestone for Phase 1 may be familiarity

of Grade 4 pupils with frequently used math implementation of the
PLAN

words measured through improved pupil proposed solutions?

ASSESS

participation in class recitations. For Phase

• Risk management involves the
FINALIZE IMPROVEMENT

2, a milestone may be mastery of words and

better comprehension of worded problems
measured though the percentage of correct
answers provided by pupils during class
recitation and board work. Lastly, a milestone
for Phase 3 may be the improved performance
in correctly completing the AGONA method
measured through the percentage of test
passers in class. The milestones should be
measurable so that you will have a way of
determining whether the milestone has been
achieved or not. A status report is prepared
for each of the milestones.
identification of potential problems
that may arise during the pilot run or
rollout of the solution. A potential
problem analysis is performed and
a contingency plan is developed
for each potential problem in
case the problem occurs during
implementation. This is necessary
in order to mitigate and minimize
the negative effects of failure in the
implementation process.

Answers to all the questions aforementioned reveal the basic elements

of an implementation plan. These elements include tasks and timeline,
budget and other resources required, a list of stakeholders and their roles
in the improvement project, monitoring and feedback reports, and a listing
of potential problems and countermeasures in case these problems occur
during implementation. The elements of an implementation plan may be
shown using table presentations and charting tools as shown in Figure 7.1.
These are commonly referred to as project planning tools.

136
 FIGURE 7.1: ELEMENTS OF THE IMPLEMENTATION PLAN

Step Aug Sept Oct Nov Dec Jan

Task &
Timeline

Person Communication
Expenses or Group & Participation

xxxxxxxxxxxx 00.00
Finance
xxxxxxxxxxxx 00.00

2.3
xxxxxxxxxxxx 00.00 Sales

2.0
| FINALIZE
Staff Time IS

Ted 5 hrs

ASSESS
Budget & Resources Stakeholders

IMPROVEMENT PLAN
How to Check

change made
Plan Actuals

Potential Potential Countermeasures

Potential Step Failure Cause

Problems

137
137
 Project Planning Tools
Planning tools are charts, diagrams, and graphical techniques that aid in the
presentation and understanding of the implementation plan. These tools
include Gantt Charts, Tree Diagrams, Planning Grids, and Flowcharts. Figure
7.2 shows a sample of these planning tools.

FIGURE 7.2: PLANNING TOOLS

Step Aug Sept Oct Nov Dec Jan

Gantt
Charts
| 2.3
FINALIZE IMPROVEMENT PLAN

A Gantt chart is a type of bar chart that illustrates a project schedule. It

shows the start and finish dates of each one of the project elements. Gantt
charts also show which project activities may be done simultaneously and
which project activities follow a strict precedence relationship between them.
It may also be used to show the current schedule or percentage completion
status of the project.

Respon- Due Whom to Budget Other

Step No. Step Product sibility Date Involve Cost Topics

Planning
Grids

Planning grids are a more comprehensive tool as they not only capture
all project details (i.e., steps, activities, activity sequence, stakeholder’s
responsibilities, who does what, and the activity due date) that may be obtained
from the different planning tools discussed earlier, but they may also indicate
the deliverables per activity, the milestones, and the budget requirement.

138
 FIGURE 7.2: PLANNING TOOLS

Tree
Diagrams

A tree diagram is a graphic tool used to list all possibilities of

a sequence of events in a systematic or chronological way. Just like
the Gantt chart, the tree diagram shows the precedence relationship
between activities. However, tree diagrams cannot clearly show which
activities may be performed simultaneously as well as the timing of

2.3 | FINALIZE IMPROVEMENT PLAN

these activities. The why-why diagram discussed in step 5 is a form of
a tree diagram. The implementation phases of a proposed solution
and the sequence of activities under each phase may be drawn and
illustrated using a tree diagram.

Sales Technical Shipping Coordinator

Flowcharts

Multi-column process flowcharts, also known as “process

swim lane diagrams”, are used to show the detailed steps involved in
the project activities, the sequence in which these steps are performed,
who performs what, and what information is passed from one project
entity (or stakeholder) to another. It shows the interaction among the
different project stakeholders. The participation and role of the various
project stakeholders are also clearly defined using the multi-column
flow process chart.

139
139
 As earlier discussed, the basic elements of an implementation plan include the
budget and cost management plan, the resource plan, and the risk management
plan. The following section discusses these basic elements in detail:

Budget and Cost Management Plan

The budget and cost management plan specifies the
budget and cost items in relation to key project activities
and resource requirements. These cost items may be
classified as a one-time cost or a recurring cost. The
purchase of additional utensils for a feeding station in a
school or an audio system to be used as a signal for pupils
to go to the feeding station is a one-time cost. On the
other hand, the paper used in creating the weekly visual
materials for the bundle of math words is a recurring
cost. The salary of additional feeding station personnel,
brought about by the proposed increase in the number of
feeding stations, is another example of a recurring cost.
| 2.3
FINALIZE IMPROVEMENT PLAN

Expense Income

Analysis Budget
FIGURE 7.3: BUDGET PLAN

140
 Please refer to Figure 7.3 for a picture of the essential
elements of a budget and cost management plan.
The budget and cost management planning process is
essential to the healthy financial performance of any project.
This process develops the interim and final budget for
the implementation of the solution, as well as the plan for
when and how expenditures will occur over the lifetime of
the solution. This process also includes establishing the
standards and processes for tracking and reporting on-going
costs and the implementation budget.
Three activities are required to come up with a budget and cost management plan:

• Cost Estimating - developing an approximation of the costs of the resources

needed to complete the implementation activities

• Cost Budgeting – aggregating the estimated costs of individual activities or

work packages to establish a cost baseline

• Cost Control – influencing the factors that create cost variances and controlling

2.3 | FINALIZE IMPROVEMENT PLAN

changes to the project budget

Inputs needed to come

up with a budget and cost
management plan include:
• Initial target budgets
• Implementation Plan
• Estimates of work effort
by resource
• Estimates of resource costs
• Organizational budget and
cost tracking standards and
processes, including cost
accounts and breakdowns
INPUT On the other hand, the
outputs of a budget
and cost management
plan include:
• A budget which
provides a reasonably
accurate picture of how
the implementation
of the project plans
to accrue cost over
time
• A set of cost
management
procedures to be used
in tracking the financial
performance of the
implementation and
in reporting this actual

OUTPUT
financial performance
against the budget

141
141
| 2.3
2.0 PLAN
ASSESS
FINALIZE IMPROVEMENT

FIGURE 7.4: RESOURCE PLAN

Resource Plan
A resource plan defines the organizational structure for the implementation of the
solution as well as the roles and responsibilities of each individual or entity involved in
this structure. Any identified work in relation to the implementation of the project will
surely require resources. Planning for resources require an understanding of roles and
responsibilities and where the contributions fit within the project.
Please refer to Figure 7.4 for a picture of a resource planning meeting.
The implementation plan activities, together with the staffing procedures and
standards, are the inputs needed to come up with a resource plan. On the other hand,
the outputs of a resource plan are the expected contributions of each resource to the
project and the reporting relationships among these resources.
There are two simple steps required to come up with a sound resource plan. These are:
• Assess and document the skill and effort requirements to complete the implementation
of the solution.
• Use the skills and effort requirements from the previous step to develop the plan for
allocating resources to the implementation plan activities.

142
Risk Management Plan
The four components of risk management are:

Risk Identification
• Identifying potential problems
or risks that may arise from the
implementation of your solutions

Risk Assessment
• Assessing the likelihood or
probability that the risks identified
will occur
• Assessing the consequence,
impact, or severity of the risk event
if it does occur

2.3
2.0
• Establishing a risk score for each

| FINALIZE
identified risk and a ranking of risks
based on the risk scores

ASSESSIMPROVEMENT PLAN
Risk Response Strategy
• Determining the best strategy to implement for each risk
 Avoidance strategy: performing actions to eliminate the
cause of the risk
 Transference strategy: transferring the risk to another
party such as a contractor or through insurance
 Mitigation strategy: lowering the impact of the risk by
reducing the likelihood of occurrence, reducing the
consequence, or both

Risk Response Planning

• Developing an action plan or contingency plan for each risk
• Assigning a person to be responsible for tracking and
managing each identified risk
• Initiating an immediate action plan for risks of highest priority

143
143
 Other risks brought about by the
Improvement projects in school and its stakeholders are as
follows:
the school level may face  Unrealistic expectations by
different possible risks. regional office, students,
parents, teachers,
These school system and operational administrators, etc
risks include, but are not limited to, the  Significant physical and cultural
following: changes needed by the school
in adopting the proposed
 Major Increase in Costs/Budget needs solutions
which delays the project implementation  Resistance to change by the
 Evolving and changing student and school and its stakeholders
community requirements which render  Extensive training and
the proposed solution to the problem education of school
irrelevant stakeholders
 Poor school performance despite the  Inappropriate level of project
support
interventions made at the process level
 Unavailability of school
| 2.3

 Too long a time table for implementing administrators, teachers, & staff
school changes which may again render
the proposed solution to the problem
FINALIZE IMPROVEMENT PLAN

irrelevant due to the changing customer
and stakeholder requirements
 Readiness and commitment of the
school which again delays the project
implementation or even cause the project
to be unsuccessful due to the absence of
administrative support
Risks that the school does not
have control over include:
 Poor material or equipment
supplier support
 Project success is critically
dependent on an external
entity such as a consultant or
a product supplier which are
both outside of the school’s
control
 Impact of other projects on the
school initiative

In general, it is important to consider the

 following project planning risks as you

develop your implementation plan:

 Complex task dependencies  Unrealistic implementation target dates lead

will almost always produce
implementation problems
 Informal project control
procedures do not provide
the monitoring and feedback
mechanism necessary
to avoid cost overruns,
demoralization of project
contributors, etc.
to a perception of project failure and possible
cost overrun due to overtime of project
participants
 Low commitment by project team and
stakeholders creates lack of support leading to
implementation difficulties and project delays
 Resources not available during
implementation lead to project delays

144
 Yellow light: Red light: Red light:

High
Proceed with Address before Do not
Caution proceeding Proceed
Probability of Occurence

Medium

Yellow light: Yellow light: Red light:

Proceed with Proceed with Reassess
Caution Caution project

Red light:
Low

Green light: Yellow light:

Proceed with Proceed with Address before
Caution Caution proceeding

Low Medium High

2.3 | FINALIZE IMPROVEMENT PLAN

Impact on Project
FIGURE 7.5: RISK MANAGEMENT

How is risk assessment and analysis performed?

In doing risk assessment, the probability of a risk affecting a project can range
from “yellow light” (low) to “red light”(high) as shown in Figure 7.5. It is the team’s
responsibility to identify and assess risks prior to the implementation of a project.
Failure to recognize and address a significant risk could jeopardize an entire project.

PROBABILITY IMPACT
 Major Uncertainties Remain  Performance, Quality, Cost
 Little or No Prior Experience Or Safety Impacts Resulting
HIGH
Or Data In Major Redesign And
(5)
 Infrastructure and/or Resources Program Delay
Not In Place

 Some Uncertainties Remain  Performance, Quality, Cost

MODERATE  Some Experience & Data Exist and/or Safety Impacts
(3) Resulting In Minor Redesign
 Infrastructure In Place But
Under-Resourced And Schedule Adjustment

 Few Uncertainties Remain

 Performance, Quality, Cost
LOW  Significant Experience And
And Safety Requirements
(1) Data Exist
Met Within Planned
 Infrastructure In Place And Schedule
Fully Resourced
TABLE 7.1: GENERAL RISK RATING GUIDE

145
145
 Table 7.1 shows the General Risk Rating Guide. Through a 3x3 matrix, it presents
the basic guidelines in evaluating the probability of occurrence and impact levels
of a certain risk. The table provides the rubric for assessment as well. There are
only three possible scores for both probability of occurrence and impact of the risk.
Probability of occurrence and impact of the risk are scored separately. A score of
“5” represents a high probability of occurrence of a risk or a high impact produced
by the risk. A score of “3” represents a moderate probability of occurrence of a
risk or a moderate impact produced by the risk. Lastly, a score of “1” represents a
low probability of occurrence of a risk or a low impact produced by the risk.

RISK ITEM

ISSUE: ISSUE:
4th Year students are failing math Absenteeism from faculty
CONCERN: CONCERN:
Students are not interested Missed classes by students
CONSEQUENCE: CONSEQUENCE:
Lost opportunity for student to graduate Incomplete lessons with students
| 2.3
FINALIZE IMPROVEMENT PLAN

RISK SCORE
PROB IMPACT TOTAL PROB IMPACT TOTAL
3 5 15 5 5 25

For Each Risk:

1. Rate Probability Of Occurrence
2. Rate Severity Of Impact
3. Categorize Risk Types

RISK
R
IMPACT SEVERE
TYPE LO HI
DO NOT PROCEED

1 3 5

O
HIGH

HI 5 5 15 25 RE-ASSESS PROJECT
PROBABILITY

Y
MEDIUM
3 3 9 15 FIX BEFORE
IMPLEMENTATION

5
LOW
LO 1 1 3 G PROCEED WITH
CAUTION

FIGURE 7.6: ANALYZING RISKS

146
Using the General Risk Rating Guide, FIGURE 7.7: PLAN FOR MITIGATING MEASURES
the output of risk assessment is
therefore a risk score which is obtained
by multiplying the probability of RISK ITEM
occurrence score and the impact score.
The higher the risk score, the higher ISSUE:
the risk, and the higher is its priority in 4th Year students are failing math
terms of risk response. Based on the CONCERN:
risk score, a risk may also be classified Students are not listening in class
or categorized as a severe (red), high
(orange), medium (yellow) impact of risk CONSEQUENCE:
before proceeding, and proceed with students do not graduate on time
caution low (green). For the “severe”
risk category, the solution can still be RISK PROB IMPACT TOTAL
piloted but there is very high probability SCORE 3 5 15
of failure and it is recommended to
rethink the solution.  However, this PLAN
can still be implemented but with
the appropriate risk management
measures. ACTION: Introduce practical examples

2.3 | FINALIZE IMPROVEMENT PLAN

MEASURE: Weekly exams
This risk classification scheme, along OWNER-DATE: Joe - 2/15
with the risk score calculation, is RESIDUAL RISK: 5
illustrated in Figure 7.6. The output of
risk analysis is therefore a categorization
and prioritization of the identified risks.
As soon as all the identified risks have RISK ITEM
been assessed and analyzed, a plan ISSUE:
for mitigating and reducing the impact
Absenteeism from faculty
of these risks must be developed as
shown in Figure 7.7. Risk reduction CONCERN:
plans involve the following steps: Missed classes by students
CONSEQUENCE:
 Identify specific risk mitigating Incomplete lessons with students
actions with corresponding
measures of success.
RISK PROB IMPACT TOTAL
 Assign a “risk owner” and
SCORE 5 5 25
agree on the mitigating action
completion date.
 Estimate the Residual Risk Score PLAN
(Probability of Risk Occurrence ACTION: Review teaching schedule
x Impact Remaining After and assignment
Implementation of Mitigating
MEASURE: Attendance
Action).
OWNER-DATE: Barbara - 12/15
 Post the contingency plans in the
columns beside risk items and RESIDUAL RISK: 5
scores as shown in Figure 7.7.

147
147
 FINALIZE IMPROVEMENT PLAN | 2.3

FIGURE 7.8: RISK ASSESSMENT FORMAT

Step 3: Response Step 4 : Risk Response
Step 1: Risk Identification Step 2: Risk Assessment Strategy Planning

Risk Management
Risk Description of Risk Event Potential Impact
ID Strategy Action
Category Risk Event Trigger if Risk Event Occurs

(1-5)
(1-5)
Severity
Plan/Contingency Plan

( 1 - 25 )

Likelihood
Risk Score
Assigned to

Describe how the
design or process
Categorize functions (or items)
the risk can fail. The
1 according to question being asked
its here is “How could it
consequence fail” not “If it will fail”.
Assess the
Describe the Assess how often
severity based on
consequences of each a failure mode or Risk Score = Provide actions to
how bad the
failure mode. It is its cause happens. Severity x eliminate the cause of
Provide effects of the
extremely important to Rated on a scale Likelihood the risk. The strategy
reasons why failure mode is. A Assign a person to be
capture the experiences of of 1 to 10, where Highest Risk should lower the impact
the failure rating of 10 responsible for tracking and
the customer. Thus, we 10 means that Score of the risk by reducing
mode can or means that an managing each identified risk
must put ourselves in the failure is certain warrants first the likelihood of
will occur. effect is so severe,
shoes of the customer and to occur and 1 consideration occurrence, reducing the
it threatens the
know these effects means extremely for analysis. consequence, or both
safety of the
through their perspective. remote.
customer.

FIGURE 7.9: EXAMPLE OF RISK ASSESSMENT FORM

 

148
Step 3: Response Step 4 : Risk Response
Step 1: Risk Identification Step 2: Risk Assessment Strategy Planning

Risk Management
Risk Description of Risk Event Potential Impact
ID Strategy Action
Category Risk Event Trigger if Risk Event Occurs

(1-5)
(1-5)
Severity
Plan/Contingency Plan
( 1 - 25 )

Likelihood
Risk Score
Assigned to

Create Anti-littering Principal, Head Teachers,

Committee Guidance counselor, Student
Government, Class Advisers,
Class President

on a particular class section or on a particular area of the school.

Include effects of
global warming and
Students will not No strict The student will still Science Teachers
waste management
1 Moderate support the implementation throw their trash 3 3 9
campaign for “Zero of rules; everywhere topics in science
Litter” Project subjects
for a school improvement project risk factor is presented in Figure 7.9.

Award Most Clean Anti-Littering Committee

Room of the Week
assessment form shown in Figure 7.8. An example of a Risk Management Form
of risk management as discussed earlier may be summarized using the risk
A comprehensive risk management plan that includes the four components

and manage the implementation of the proposed solutions by piloting these solutions
the Continuous Improvement “Triple A” Methodology. You are now ready to monitor
When the improvement plans are finalized, you can now proceed to the Act stage of
Step 7: Finalize Improvement Plans
Lesson Review
1
A SI Team has developed a solution
to ensure that the time to conduct the
Feeding program will be within the
allotted 15 minutes. The team will be using
visual management to ensure that the learners
know how the process will take place. What
is the most appropriate step that the SI team
should do next?
a. Call a meeting to brief the staff and
teachers in charge of the Feeding program
so that they can implement it immediately
the next day.
b. Draft a memo indicating that this solution
should be implemented immediately on all
grade levels within the school.
c. Set a target date for the implementation
of the solution and let the teachers and
staff in charge of the Feeding program
implement it. The SI Team should look for
a new project.
d. Determine the different activities, timeline,
and resources needed, and create a plan
to implement such solution.
e. None of the Choices
2
A SI Team has developed a solution
to help learners identify the proper
trashcan to throw their wastes in
order to ensure that the waste is properly
segregated. The SI Team will paint the
trashcans in different colors, each color
pertaining to a particular type of waste. The
team has set the implementation of the
solution one week from now in order to give
time for the painting of existing trashcans or
buying new trashcans. A month has passed by
and the solution has not been implemented.
The School Head called a meeting to ask
the SI team why the solution has not been
implemented. The SI team mentioned that the
trashcans have not been painted. The School
Head asked who is in charge of painting the
trashcans and the SI team looked at one
another in silence. What mistake did the SI
team commit in this scenario?
149
149
a. They should have set a tighter
deadline to pressure everyone to
implement their solution.
b. They should have set a longer
deadline in order to give more time
for the painting and procurement of
new trash cans.
c. They failed to assign the person
responsible for painting and procuring
trashcans.
d. They failed to ask the School Head for
a budget to buy the new trashcans.
3
A SI Team has developed a
2.3 | FINALIZE IMPROVEMENT PLAN
solution to ensure that the time
for the Feeding program will
be within the allotted 15 minutes. The
team will be using visual management
to ensure that the learners know how
the process will take place The team set
a budget of 5,000 pesos to buy all the
required materials and everything that
they need to implement the solution.
By the end of the implementation, the
team accounted for the total cost and
ended up spending 20,000 pesos for
the implementation of their solution.
Comment on the budget variance of
15,000 pesos that the SI Team incurred in
this scenario.
a. The variance of 15,000 pesos is
acceptable as long as the SI Team can
justify it. Furthermore, the school still
has a lot of money.
b. The variance of 15,000 pesos should
have been prevented if the SI Team
implemented strict cost control
mechanisms.
c. The variance of 15,000 pesos should
have been prevented if the SI Team
declared a higher budget.
d. The variance of 15,000 pesos was the
result of one teacher’s action. It should
be charged to that person.
 4
A SI Team has developed a solution to help students remember the AGONA
method. The team will be using pictures portraying the steps of the AGONA
method. The team started off with picture drawings to portray the steps. At the
end of the implementation, the team ended up with a video production showing the
steps of the AGONA. The team even bought flat screen monitors that they placed in
each classroom so that they can show the video. They ended up with a cost of 500,000
pesos. What is missing with the implementation of the SI Team that caused their
expenses to balloon to 500,000 pesos?
a. The team did not create a budget to limit d. The team should have
their expenses. asked for financial
b. The team did not properly estimate donations from
the costs of the materials for the stakeholders so that
implementation. the cost that the school
will shoulder will be
c. The team should have canvassed for lessened.
cheaper flat screen monitors and video
production services. e. None of the Choices
| 2.3

5 6
A SI Team found that teachers exceed A SI Team implemented
the allotted time for class because they a solution to ensure that
FINALIZE IMPROVEMENT PLAN

constantly forget the materials that will students segregate their

be used for class. The SI Team will implement a
solution wherein teachers are given a checklist
of items to bring to class. With this solution, the
SI Team has identified the following risks:
i. The teacher might forget his/ her
checklist, rendering the team’s solution as
useless.
ii. The checklist might not include all the
things that the teacher needs for the day.
iii. The checklist might not be reusable,
making it an expensive solution to
implement.
iv. The checklist items might be too small,
making the teachers forget some items.
Which of the following are
legitimate risks for this solution?
a. i only
b. ii and iii
c. iii and iv
d. None of the Choices
e. All of the Choices
waste properly. The team budgeted
for the procurement of new
trashcans with different colors, each
color representing a certain type of
waste. After the implementation,
the school had difficulties looking
for budget to buy trash bags that
they will use for the trashcans.
These trash bags are to be replaced
regularly. What led the SI team
to face such problem after the
implementation of their solution?
a. The team failed to budget for
the recurring costs (trash bags)
and only considered the one
time costs (trash cans).
b. The SI Team did not foresee
the costs of trash bags as a
risk.
c. The SI team did not assign a
person responsible for buying
the trash bags.
d. The SI Team forgot to estimate
the costs for the trash bags.
e. None of the Choices

150
7 10
A SI Team has identified a certain
risk where they had no prior
experience and there are major
uncertainties regarding that risk. The
team also found that the effect of the risk
may result in not meeting the intended
benefits of the solution. What should the
SI Team do?
a. The risk is severe. The team should
not proceed with the solution.
b. The risk is significant. It should be
addressed first before proceeding.
c. The risk is low. The team can
proceed with caution.
d. There is not much risk. The team can
proceed with no worries.
e. None of the Choices.
8
A SI Team has determined that
the implementation of a solution
requires significant time from
certain personnel/ teachers. What should
the SI team do?
a. Create an implementation plan.
b. Create a budget and cost
management plan.
c. Create a resource plan.
d. Create a risk management plan.
a. None of the Choices
9
A SI Team is going to implement
a solution to lessen the setup
time of teachers before class. The
team has identified the risks associated
with the solution. What is the next step
that the team should take?
a. Implement the solution.
b. Formulate a Risk Response Strategy
to deal with the risks identified.
c. Create a cost estimate for each risk.
d. Do not proceed with the solution
implementation.
e. None of the Choices
151
151
A SI Team is going to
implement a solution that
involves the participation
of Grade V teachers. The team has
identified the risk that the teachers
may not cooperate with the solution
implementation. The team identified
several preventive measures:
i. Lay-off the teachers and get new
ones who will surely cooperate.
ii. Include the teachers in the
planning process of the solution
so as to ensure their buy-in.
iii. Create a memo ordering the
teachers to cooperate with the
solution implementation or incur
penalties otherwise.
2.3 | FINALIZE IMPROVEMENT PLAN
iv. Create a rewards and recognition
system that will reward teachers
who are able to successfully
implement the solution.
Which preventive action/s is/
are appropriate to deal with
this risk?
a. i and iii
b. ii and iii
c. iii only
d. ii and iv
a. None of the Choices
ANSWERS
ON PAGE
214
 step eight:
Pilot Your Solutions

Learning Output:
Pilot Test Results
3.1

Learning Outcome:
PILOT YOUR SOLUTIONS

1. Understand the basic concepts in testing solutions

and monitoring the implementation status; and
2. Be able to implement an improvement solution
under controlled conditions.

152
 ACT 3.1
Pilot Your
Solutions

Introduction:
At this stage, you have already accomplished the following:

1. 9.
relevant school measure; statement among the storm clouds;
2. 10.
comprise the CI team;
3. 11. generated solutions that will
address the root causes of the

3.1
4. 12. developed the future process map
PILOT YOUR SOLUTIONS

5. 13.
process; process in order to address the
6. prepared a data gathering plan;
14.
7. collected relevant data on each of the
resources required for project
implementation and
data gathering plan;
15.
8. analyzed the collected data using the
during the implementation and
appropriate graphical data display
come up with a plan that can
techniques and data analysis tools;

153
153
 In this step, you should be able
to test whether the solution is
able to address the problem you
are considering in your project
and you should also be able to
measure the costs and benefits of
applying your solution.

FIGURE 8.1 – TEST SOLUTIONS

Why Test Solutions?

As seen in Figure 8.1, testing of solutions or pilot testing is implementing the solution
using a smaller scope as opposed to fully implementing the solution. In this step, it is

provides an opportunity to revisit the project

solutions allows the team to evaluate whether

FIGURE 8.2 – BEFORE & AFTER SOLUTION

expected results. Testing of solutions allows
the implementation of the solution considering

costly to apply the solution, especially if the

solution does not provide the expected results.
3.1

Testing the solution also allows us to improve

the solution.
PILOT YOUR SOLUTIONS

In cases when the expected results are not met,

we can enhance the solution and correct areas
that needs improvement. We can also understand

phase, we can convince other teachers and students that

we can achieve expected results through implementing
the solution. We can also validate the expected results

154
When to Test Solutions?
You need to test the solutions when there is a need

of the solution. Testing is necessary when we want to

whether we have enough resources to implement the

solution. In some cases, we need to test the solutions

as in a pilot test. We should also test solutions when changes would have far-reaching,

Some critical issues in planning a test of solution

In planning the testing of solution, we are
focused on identifying where we want to

select a small population out of the entire

scope, say for example, a section out of an
entire grade level.

required. The only important consideration

conditions. That is, all potential conditions

samples. 3.1
FIGURE 8.3: USING A SAMPLE
PILOT YOUR SOLUTIONS
FROM A POPULATION

put these measures. We also have to consider how we can minimize disruptive impacts
on the school schedule or student learnings while ensuring the validity of the testing.

we should continue with implementing the solution or we should correct some aspects,

155
155
 Evaluate the results
After pilot testing, we now have to
evaluate the results. In evaluating, we
have to clearly show what changed with
the performance measures. We typically
use histograms, pareto charts, and other

implementation. Through providing visual

as well as our colleagues can clearly see

Please see the charts in Figure 8.4 for

some examples.

Before After Good

} Improvement

Remaining Gap
Step 4 Changes
Implemented } Target

Before After

} Improvement
3.1
PILOT YOUR SOLUTIONS

A1 A2 A3 A4 A2 A1 A3 A4

Before After

FIGURE 8.4 - DISPLAYING BEFORE AND AFTER DATA

156
 Absences (Before)
In showing graphs, we 20
18
16
we are showing the data
14
using a similar scale. It is
12
important to continuously
10
monitor the performance
8
measures in order to 6
show whether there had 4
2
the implementation of 0
the solution.

Absences (After)
200
FIGURE 8.5 - NOTE ON 180
COMPARING RESULTS ON
DIFFERENT GRAPHS 160
140
Make sure 120
the scale is 100

the same 80
60
* Changing the Y-axis 40
* Changing the X-axis 20
00

3.1
total expected cost of each option against
PILOT YOUR SOLUTIONS

much. The steps include:

1.

2. Identify all costs components.

3. Compare and assess

FIGURE 8.6
COST-BENEFIT ANALYSIS

157
157

Non-recurring costs:
Implementation Costs,
Training Costs, Facility
Costs, and Meeting Costs.
Costs
In terms of cost considerations, we
have non-recurring costs such as those
involved in setting up for the purpose of
deploying the solution. Examples are:
Implementation Costs, Training Costs,
Facility Costs, and Meeting Costs.

Recurring costs are costs that are

Recurring costs:
repeatedly incurred. Examples
Material/Supplies Costs
and Maintenance Costs.
Maintenance Costs. In some cases,

such as extra effort on the part of

teachers or other school personnel.
The time of teachers to implement the

such as in

such as improvement in communication

terms of the respect of students to their teachers and other school personnel or the
quality of health within school premises.
3.1

Depending on the results of the pilot test, some adjustments

PILOT YOUR SOLUTIONS

1. Review the pilot process performance results and

2. Review the process maps and identify any needed

adjustments in the piloted process improvements

3. Draft the revised process maps and update related

supporting documents and materials

158
 The key message of
this step is you have to
monitor and manage the
implementation of your
solution in order to assess
whether the solution can
provide the desired results.

of failure as early as this step to assure success

when you roll-out your solution to the entire
school. Piloting the solution allows the team to

should give them enough time to smooth out

solution is in top form, we can then rollout the

solution at a larger, system-wide scale.

3.1
The next section will help us in implementing your solution in a
PILOT YOUR SOLUTIONS

larger scale. Questions such as, How do you ensure that solutions
are applied consistently during roll-out? What level of commitment
do you need to ensure the success of the project? How would
you communicate and gain the buy-in of your solution to your
stakeholders? will be addressed in the following section.

159
159
 Step 8: Test your Solution
Lesson Review FIGURE 1. 4TH YEAR DROP OUT RATE (BEFORE)

1 ensure that the feeding program does

not exceed the allotted 30 minutes.
The team has completed the

management plan, the resource plan, and

next most appropriate step that the SI team

a. Implement the solution on a full scale,

involving all grade levels in the school. FIGURE 2. 4TH YEAR DROP OUT RATE (AFTER)

ready for school-wide implementation

c. Test the solution on a small scale to

improvements if necessary.
d.
and let them implement it. The SI
team should move to the next project.

3
e. None of the choices A
drop out rate of 4th year

2
A learners has tested the solution

method. The team is now ready to
implement the solution to the entire school.
The Team leader explains to the team that
3.1
and after graph of the drop out
2. Comment on the data of the SI
Team.

a. The solution is effective. The

(i) So that the team can make drop out rates decreased
PILOT YOUR SOLUTIONS

improvements to the solution. after the implementation of

(ii) So that the team will be able to
scaling of the two graphs are
understand the risks involved.
(iii) So that the team will be able to
validate the expected results.
The solution is not effective.
(iv) So that the team will know the effects of The graph shows that the
their solution on the entire year level. drop out rates increased after
a. i only the implementation of the
solution.
ii and iii
c. i, ii, and iii
d. All of the choices
e. None of the choices
160

c. The solution is not effective.
The graph shows that there is
no change in the drop out rates
after the implementation of the
solution.
d. The solution is effective. The drop
out rates decreased after the
implementation of the solution,
graphs.
e. None of the choices
4
A c. Escalate the issue to the School
performance of learners in Science
has implemented a pilot test for
their solution. They have gathered the
data for the test. What is the next most
appropriate step that the team should
a. Implement the solution for the
rest of the school.
Evaluate the tests results and
compare these with the current
state in order to see if there really
are improvements.
c.
teachers and let them implement
the solution for the rest of the
school.
d. Do not implement the solution.
e. None of the choices.
161
161
5
A SI team has developed three
solutions to ensure that the
feeding program does not
exceed the allotted time of 30 minutes.
The team is unsure of which solution to
a. Implement all three solutions
and compare which one is the
most effective.
teachers and let them worry
team can now move to another
project.
what to do.
d.
and choose the solution with the
e. None of the choices.
6
A SI team is going to perform
solution to ensure the proper
segregation of waste. Their solution
and assign different colors for each
receptacle of waste. The team has
3.1
i. Training costs for the teachers
ii. Cost for meetings
PILOT YOUR SOLUTIONS
iii. Cost for trash cans
iv. Cost for trash bags
Which cost should be included
a. i only
i, ii, and iii
c. iii and iv
d. All of the choices
e. None of the choices
 7 9
A SI team has tested a solution to A
increase the Reading Comprehension a solution which involves
scores of learners. The team has teachers using a different
gathered data and found that their
solution is not effective. What should the
to implement the new method
a. Blame each other for the failure of
the solution.
the team gathered the data and
found that the solution was not
and determine if they missed
something. teachers did not implement the
c. Implement the solution to the entire method correctly. Comment on the

a.
d. Blame the teachers and the learners correct. The teachers should
for the failure of their solution.
failure of the solution.
e. None of the choices.

incorrect. They failed to

8
A SI Team has developed a
solution to ensure that teachers can for the solution and how to
use the method. The team
teaching. The team will use the concept relied on the memo of the

teacher is reluctant with the approach of implementation.

c.
a. incorrect. They should have
a memo to force compliance. mentioned in the memo that
non-compliance will result in
Replace the teacher with someone penalties.
who will cooperate.
d.
3.1

c. Choose another grade level to

implement the solution. other solutions to address the
PILOT YOUR SOLUTIONS

d. Include the teacher in the piloting

e. None of the choices.
the effects of the solution.
e. None of the choices.

162
10
A
IV Learners. The team has developed a solution and are
planning to test it. The scores of three of the Grade IV

a. d. Section A and B.
e. All of the Sections.
c.

FIGURE 3. SECTION A MATH SCORES

FIGURE 4. SECTION B MATH SCORES

3.1
PILOT YOUR SOLUTIONS

FIGURE 5. SECTION C MATH SCORES

ANSWERS
ON PAGE
206
163
163
 step nine:
Roll-Out Your
Solutions
Learning Output:
The Implementation of Solution
3.2

Learning Outcome:
ROLL-OUT SOLUTIONS

1. Understand the basic concepts of standardizing

and monitoring solutions, as well as managing
implementations; and
2. Be able to rollout an improvement solution under
controlled conditions.

164
 ACT 3.2
Roll-Out
Your
Solutions

Introduction:
At this stage, you have already accomplished the following:
1. 10.
a relevant school measure;
2. 11. generated solutions that will address
comprise the SI team;
3. 12. developed the future process map

13.
4.
3.2
5. 14.
ROLL-OUT SOLUTIONS

required for project implementation;

process;
15.
6. prepared a data gathering plan; during the implementation and
generate plans that can mitigate
7. collected relevant data on each
of the storm clouds in the process
16. tested the effectiveness of our
solution in a small scale group and
8. analyzed the collected data using the
appropriate graphical data display 17.
techniques and data analysis tools; solution.
9.
statement among the storm clouds;

165
165
 In this step, we should be able to prepare the resources, identify correct
people, obtain stakeholder support, and train people in implementing
the change or the solution. We should also be able to standardize the
implementation and monitor the performance measures to manage the
implementation of solutions. At the end of this stage, we should be able
to rollout our solution to the scope considered in the project
.

People
Side

Communication is the exchange of information

from you to others and from others to you.

project team, the students, as well as the other

teachers. It is also important to ensure that we

people involved to ensure that the concerns of

each are addressed in the implementation of

from accepting change and will also facilitate

FigUre 9.1: commUnication

Participation means involving the teachers in

the planning and execution of a change so that
they can develop a shared sense of ownership
and commitment. Participation is critical to
3.2

will follow through with the implementation of

the solution. Please see Figure 9.2.
ROLL-OUT SOLUTIONS

FigUre 9.2: participation

Education means providing teachers with what

implement the desired changes. It is important

to train teachers to ensure that they have a
common understanding of how and what to
do during the implementation of the solution.
Please see Figure 9.3.

FigUre 9.3: edUcation

166
Oftentimes, we spend all our time on the “technical” side of a change—
what has to happen by when, etc— that we ignore the people side of the
change—how to help the people who will have to change their ways of
doing things in order to realize progress. We have to make sure that we
are able to manage our people to easily facilitate change in practices.

Understanding:
to the following questions –what to do, when to do, where it

Capability:

implementation of the solution.

commitment if we guarantee that all teacher concerns

3.2
We have to account for the commitment of teachers

their support and remove their resistance from the

ROLL-OUT SOLUTIONS

improvement efforts vital to the accomplishment of

167
167
 FigUre 9.4 - commitment wall Commitment signing is critical to

involved are really part of the

that teachers feel that they are part

of the project. Commitment signing

the posting of photographs on

wall, and including the pictures of

the signing in the school newsletter.
A commitment wall can also help
strengthen the commitment of
teachers. Please see Figure 9.4.

of the project solutions.

Developing a Increase
Communication
List down what we are prepared
Plan
3.2
ROLL-OUT SOLUTIONS

Determine exactly what List down what we are prepared

we need from particular
resource intensive.
to complete our project

We should state this clearly. e

through the use of

168
 1 2

to the idea of continuous improvement at

the start of the project. However, he plays an
Apply enough soap to
Wet hands with water
thoroughly wash hands

to the level of enthusiastic support and must 3 4

the project will fail. Rub hands until soap turns

into a fine lather
Wash hands for 15-20 seconds

When comparing the commitment levels of a

teacher to a principal, we expect him or her 5 6

to lend appropriate support while not requiring

Dry hands with cloth

Rinse hands thoroughly
or paper towel

have varying levels of support and we should

not expect the same level of commitment from FigUre 9.5 - step-By-step instrUctions

Developing Standard
DISCIPLINE
MANUAL

Practices and Procedures

In the solution rollout, we have to develop
standard practices and procedures. Nothing

is what allows high quality to happen on a

to monitor and ensure that the solution is FigUre 9.6 – discipline manUal 3.2
implemented similarly across the whole school
ROLL-OUT SOLUTIONS

or across the scope of the project. We should

PROjeCT TITLe ImPLemeNTATION PLAN
STAge 2: ANALYze

Value Analysis

implement the solution and achieve the desired

STAge 1: ASSeSS

bACkgROUND

results across time. VOC

In this step, standardization & documentation

CURReNT STATe TeST ReSULTS
STAge 3: ACT

elements of a process are performed consistently PRObLem ANALYSIS keY LeARNINg

STAge 2: ANALYze

fUTURe STATe

changes are made only when data shows that

FigUre 9.7 – a3 docUment
illustrate examples of the implementation of
standardization and documentation.
169
169
 Standard practices and procedures are the written agreements

Actions that affect the quality, cost, or delivery of the product

improve our desired results. Figure 9.8 illustrates the level of detail
in a process.

FigUre 9.8 level oF detail

Get up Get clean Dress Eat

Dry &

knees and
3.2

rise turn
ROLL-OUT SOLUTIONS

Standard practices are useful in creating consistency among

providing a standard practice are presented in Figure 9.9.

170
 1 2 3

4 5 6

standard

7
FigUre 9.9 - creating standard
practices and procedUres

standard

in their language. Leaving out the persons performing the activities from
the creation of procedures can result in procedures that are theoretical

Not testing the procedure prior to full scale implementation may create

3.2
ROLL-OUT SOLUTIONS

having a method to update procedures renders it useless. Not destroying

171
171
 ! Increased reliability
!
!

!
!

!
!

Training

a common process is trained in the new

methods. Even experienced employees need

Do not try to hold a single training session to

teach people everything that they may ever
3.2

have to focus on the most critical aspects of

ROLL-OUT SOLUTIONS

WHY they have to change their existing

practices.

support. Do not expect everyone to learn

172
 In summary, Step 9: Roll out
this step helped your solution
us ensure that
Lesson Review
solutions are
applied consistently
1
A
solution on one section in Grade IV to
by standardizing address the low grades of learners in
our processes.
solution is effective. What is the next most
appropriate step that the team should
Standardization allows us
to maintain the gains of the a.
changes we will roll-out. teachers and let the teachers roll
out its implementation to other
We can do this by sections.
documenting the standard
process that will lead to
better implementation and levels.
monitoring. c.
in Grade IV.
Lastly, training ensure that
all process users perform d.
key tasks in the same way. should now move to other projects.
The next section focuses on e. None of the choices.
identifying ways to make

2
sure that the gains are A SI team is planning to roll out
sustainable in the long run. their solution to ensure that
the feeding program does not

team has completed the testing, the cost

3.2
strategies of their solution. Before the
team rolls out the solution, they conducted
a program to inform the teachers involved
ROLL-OUT SOLUTIONS

the solution. What element of the people

side planning did the team illustrate in this

a. Communication
Participation
c. Education
d. All of the choices
e. None of the choices

173
173
 3 5
A SI team is planning to roll
out their solution to ensure
has completed the testing, the cost
strategies of their solution. Before
the team rolls out the solution, they
regularly met with the teachers who will
inputs on how to properly implement
as well as other details regarding the
implementation. What element of the
people side planning did the team
a. Communication
Participation
c. Education
d. All of the choices
e. None of the choices
4
A SI team is planning to roll out
their solution to ensure that
allotted time for discussing the lessons
the testing, the cost computations, and
solution. Before the team rolls out the
solution, they conducted short training
sessions with the teachers involved to
3.2
ensure that the teachers understood how
to implement the solution. What element
of the people side planning did the team
ROLL-OUT SOLUTIONS
a. Communication
Participation
c. Education
d. All of the choices
e. None of the choices
174
A
standard procedures and
documentation for their solution
in order to increase the scores of learners
procedures. During the orientation, one of
that it is up to the teachers whether they
should follow every single step of the
procedure. What pitfall did the SI team
a. Not including the persons
performing the activities in the
creation of procedures.
Not testing the procedure prior to
c.
d.
procedures or certain parts of the
procedures.
e. None of the choices.
6
A
standard procedures and
documentation for their solution
in order to ensure that the feeding
program does not exceed the allotted
a new methodology on how to conduct
the procedures and documentation to the
teachers and staff in charge of the feeding
implement it. What pitfall did the SI team
a.
c.
procedures or certain parts of the
procedures.
d. Not having a method to update
procedures.
e. None of the choices.
7 9
A A SI team is ready to roll out the
standard procedures and
documentation on the process of
procedures as well. After several years,
method has changed a lot in order to
adapt with the changes in teaching
methods and learner needs. However,
the procedures and documentations
were not updated. What pitfall did the SI
a. Not telling people how to do a
c.
procedures or certain parts of the
procedures.
d. Not having a method to update
procedures.
e. None of the choices.
8
A
standard procedures and
documentation to ensure that
for class discussions. What is the next
most appropriate step that the team
a. Leave the standard procedures
and documentation with the users
and proceed to the next project.
procedures and documentation.
c.
d. Give the standard procedure and
documentation to the School
Head.
e. None of the choices.
175
175
solution to ensure the proper
segregation of waste in the
that they would need the help of
parents in order to remind the learners
regarding the segregation of waste. As
such, the SI team called a symposium to
orient parents regarding their proposed
solution and what the parents can do to
help. What element of the people side
planning did the team illustrate in this
a. Communication with
Participation
c. Education
d. All of the choices
e. None of the choices
10
A SI team has standardized
the new methodology to
to ensure that students understand and
Method. With the new standard
process, the school can ensure that the
method is delivered the same way every
3.2
time, regardless of who is delivering it.
What use for standard practices was ROLL-OUT SOLUTIONS
a. Create consistency among
individuals or groups
c.
people.
d. Provide a trail for tracing
e. None of the choices.
ON pAGE
 step ten:
Check Progress

Learning Output:
Longitudinal data of the current and improved process
3.3

Learning Outcome:
CHECK PROGRESS

1. Assess the degree of improvements made in the

problem
2. Demonstrate basic concepts on monitoring and
evaluation that will lead to continuously improving
the process.
3. Be able to turn over the monitoring and evaluation
role back to Process Owners.

176
 ACT 3.3
Check
Progress

Introduction:
At this stage, you have already accomplished the following:
1. 11. generated solutions that will address
a relevant school measure;
2. 12. developed the future process map
comprise the SI team;
3. 13.

4. 14.
required for project implementation;

3.3
5. 15.
the implementation and come up
process; with a plan that can mitigate each of
CHECK PROGRESS

6. prepared a data gathering plan;

16. tested the effectivity of the solution
7. collected relevant data on each of the in small scale group;
the data gathering plan; 17.
solution;
8. analyzed the collected data using the
appropriate graphical data display 18.
techniques and data analysis tools;
and
9.
among the storm clouds; 19. implemented solution to a larger
10. scale group.

177
177
 improved process continues to perform as expected, and that the intended

measures as well eliminating the causes of unsatisfactory performance.

sustained performance.

the change in goal. After this step, you need to review the results of your
project if it achieved its goals, if not, then you have to assess your process
again, analyze the data, create new ways to improve the process and

intervention results shown in a graph or interviews of our major customers

you are interested with.

What do you need to check? ! Tasks,

timelines
gather data on the same measures
! Budgets,
resources
3.3

the same data collection procedures.

are the methods; document what ! Stakeholder

involvement
CHECK PROGRESS

steps are actually followed during

implementation. At this point, you
must recall all the plans that you ! Plans for
checking
of your improvement plan (Step 7)
! Failure
prevention

to the standardized procedures and

target performance levels.

178
Active Follow-up,
Correction, and Support.

SCHOOL
data should give us a signal if there is a need
IMPROVEMENT
performance then the team must gather together

Inputs Daily Output

Meetings

Results (units, Action items

quality, safety)

Process measures Figure 10.1

Active FOllOw-uP,
Problems (delays, cOrrectiOn, AnD
waste, downtime, SuPPOrt

scrap)
Follow-up
3.3
CHECK PROGRESS

179
179
 Figure 10.2 levelS OF Fix

How to What to
Produce it Produce

Process
Measurements Machines

Output

Store Store
Inputs Produce it Fix it
Product Product

Methods People Environment

Policies
3.3

Add more data to an existing run chart or control chart.

CHECK PROGRESS

Prepare new Pareto charts for those you created in the Assess stage.
Ensure that the scale and dimensions the same to accurately judge the
degree of improvement.

Draw new frequency plots on the same scale as the original plots.

successful implementation of the solution, they gather data on the level

180
 After identifying what needs to be checked, the next
thing to do is to determine how to evaluate these results.
Evaluating is not only understanding and evaluating the
data but also must translates into actions of what needs
to be improved in the process if it shows undesirable
results from our objective/targets.

Figure 10.3 - DiSPlAying BeFOre AnD AFter DAtA

BeFOre AFter Good

} Improvement

Remaining Gap
Step 4 Changes
Implemented }
BeFOre AFter

} Improvement

A1 A2 A3 A4 A2 A1 A3 A4 3.3
CHECK PROGRESS

BeFOre AFter

181
181
 What do you need to evaluate?

Results Methods
How much was the gap between Did you follow your plan?
desired and actual reduced?
Did you need to modify
Were the plans effective the plan/solution during
in addressing the causes you implementation?
targeted?
What would you do
What do customers tell you now differently next time
that the changes are in place? around?
Has enough progress been made
or do you need to go back and
try other solutions?

or negative side effects?

improvement it was change for good. For example, the project aims to reduce
3.3
CHECK PROGRESS

and more people are inspired and encouraged to start their own projects.

182
project and are ready to move on. Right?
Well, not so fast! As the project leader
or member you own responsibility to the
stakeholder and customer to formally
close out the project.

Project Closure

of progress and of efforts of the teams helps Here are some of the activities
you may want to do during
the project closure:

time and effort that went into

success of project was communicated to the the initiative.

the methodology and therefore they are now

the initiative:

– About the problem or

3.3
Project closure does not mean closing or ending process being studied.
the project only. Project closure means turning
– About the improvement
CHECK PROGRESS

process itself and hand

over responsibilities
to ensure that the process owner recognizes
for standardization
and monitoring to the
appropriate people.
very reason why in step 1 we emphasized that
we need to recognized process owners and – Learnings from the
current project may also
help ensure the success
they play a very important role in the process
of future projects
are still the one who will execute the process.

183
183
 Final note on Congratulations!
Project Closure

" Improvement
must be
continuous, on our learners and recognize that involvement of your major
but individual
initiatives and
project teams
come to an end.
" Learn when it’s SI helped us to see what is really happening in our processes
time to say
goodbye.
process. SI approach allowed us to have a systematic way of
" Develop managerial
systems to
capture learning
and enable the
organization to
address system
issues.
" Documentation to see our learners achieve their dreams in life and you as his/
and recognition
are two critical
aspects of project
team closure.
3.3

" Celebrate!
CHECK PROGRESS

184
Step 10: Check your Progress
Lesson Review

1. 3.
A SI team has rolled out their solution A
to ensure that the feeding program implementation and roll out of

monitored the solution for a certain time

to ensure that it continuous to perform
a. Close the project and proceed to
the next one. the next most appropriate step that they

Monitor the solution to ensure that

the process continues to perform as a. Document the learning from this
project, recognize the team for

c. Proceed to the next project monitoring and evaluation to the

immediately. process owner, and proceed to
d. the next project.
teachers and proceed to the next Proceed immediately to the next
project. project.
e. None of the choices. c. Be content with what they
have achieved and with the

2.
performance of the school.
d. Continue with the monitoring
of the project performance
to ensure that it continuous
to perform according to
process exceeded the 40 minutes allotted expectations.

data on the start and end times of each None of the choices.

4.
A

3.3
to implement their solution to address the that the learners have low scores
issue, which data should they gather to CHECK PROGRESS
remedial classes to help learners with
a. low grades improve their performance.
end time of the teaching learning
process a.

excess of 40 minutes c.
c. d. All of the choices
spent for recitation
e. None of the Choices
d.

teaching learning process

e. None of the choices

185
185
 5.
A
that learners have low scores in

nd made c.

the failure of the solution.

a. d.
was successful or not, additional
c.
d. All of the choices e. None of the choices.

8.
e. None of the Choices
A

6.
implementation of their solution
A SI team is investigating the drop to speed up the Feeding Program
out rate of a particular school.
data and are ready to analyze the results.
monitoring process and introduced new
policies to ensure the accuracy of the
What should the SI Team evaluate?
attendance and the monitoring of learners i.
and actual performance.
ii. Adherence to the implementation
a. plan.
iii.
implementation.
c.
iv. Effectiveness of the solution to
d. All of the choices
e. None of the Choices
a. i, ii, and iii

7.
A
i only
solution to improve the math
c. i and iv
3.3

Before the implementation there d. All of the choices

numerates. After the implementation of e. None of the choices
CHECK PROGRESS

the solution, they gathered data on the

that there were still 50% of learners who

a.

increase and made it consistent.

186
9.
A

implementation of the solution, they gathered data on the reading

i.

ii.

iii.
the next project.
iv.
it with the plan to see if there are deviations to the plan that caused
the failure.

Which action/s should the SI team do?

a. i only
ii only
c. ii and iii
d. i and iv
e. None of the choices

10
.

have also monitored the solution for a certain time to ensure that

i. 3.3
project
CHECK PROGRESS

ii. Capture the learning from the initiative

iii. Develop managerial systems to monitor the implementation
iv.
done

Which action/s should the SI team do for the project closure?

a. i only
i, ii and iii
c. ii and iii
d. i and iv
e. None of the choices ANSWERS
ON PAgE
228
187
187
 Review AnSweR KeyS
Step 1: Get Organized for
page
Answer Key 20

The student attendance rate for a particular school has consistently been at 100%
1 in the last 5 years. If quality is measured by student attendance, what dimension of
quality is demonstrated by the performance of this school?
a. Performance. (While performance may seem very similar to the
conformance to desired standards, reliability is a better measure in
assessing the quality of performance through time.)

b. Reliability. (This describes the consistency of performance over time. In this

case, the school’s attendance rate has been at 100% in the last 5 years.)

c. Durability. (A hard-wearing quality, able to withstand pressure and other

challenges. This quality, however, is unrelated to the attendance rate.)

d. Conformance to standards. (While the school’s 100% attendance rate is

certainly remarkable, it is important to note that they have maintained this
standard in the last 5. In this case, reliability is a better dimension to assess
the quality of the school’s performance.)

e. None of the Choices

2
The number of students at risk of dropping out (SARDO) is increasing beyond
the standard set by a particular school. What project should the SI team
conduct?
a. Look into the external factors/ processes that cause students to miss
classes. (SI projects should focus on processes that the SI team can control.)

b. Look into the internal factors/ processes that are used to monitor the
students’ attendance. (SI projects should focus on processes that the SI
team can control.)

c. Help the students’ parents earn more income so that the students don’t
have to work after class. (This is an external intervention that is outside the
responsibility of the SI team.)

d. Construct new classrooms to attract students to go to school. (We don’t

want projects that require capital outlay. Instead, we need projects that
are simple, easy to implement, cost effective, and have a huge impact.
Consider the leverage points.)

e. All of the Choices

An elementary school has set a goal that 25% of Grade IV Learners should

3 be numerates upon completing the grade level. At the end of year 2013, 100
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out of 300 Grade IV Learners were numerates. Which dimension of quality is

demonstrated in this performance?

188
 a. Performance. (A standard goal has been set. Conformance to this standard
is the best dimension to demonstrated in this case.)

b. Durability. (This quality is unrelated to the students being numerates.)

c. Conformance to standards. (The school was able to reach its desired

standard, even surpassing it.)

d. Reliability. (We are not looking at the quality of the performance over time.)

e. All of the Choices

A SI team is investigating the Teaching-Learning Process for Reading to determine

4 why many of students are still non-readers. The team decided to observe the
Teaching-Learning Process of a particular teacher, but failed to inform the
teacher the reasons behind the observation. In effect, the teacher thought that
he/ she was being audited and geared away from his/ her normal teaching-
learning process. What challenge did the SI team experience in this scenario?
a. No Project Accountability. (While certainly not idea, this situation shows that
there are people in charge or are accountable for the project.)

b. No Clear Process Owner. (The situation clearly shows that the teacher is the
process owner.)

c. No Buy-in with the Process Owner. (The process owner wasn’t informed
about the objectives of the observation.)

d. Project Sponsors did not break road blocks. (This was not a major road
block that required project sponsor intervention.)

e. None of the Choices

A SI team is looking into the Teaching-Learning Process for Reading to

5 determine why many students are still non-readers. Two months into the project,
the team felt the need to consider the Feeding Program because most students
in the class seemed malnourishe While looking into the Feeding Program
Process, the Team decided to look into the process of cooking foo By the end
of the year, the SI project is still ongoing and the team no longer knows what to
do. What challenge did the SI team experience in this scenario?
a. ope of the project. (“Scope creep”

of the project at the onset, resulting in an unmanageable range of topics to

consider.)

b. Lack of Stakeholder Management. (There is no mention of stakeholders in

the scenario.)

c. Lack of concept and understanding of a process. (There is no indication that

the SI team don’t understand what the process is.)

d. Mismatch of project team members. (There is no indication that there is

tension between project team members.)
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e. None of the Choices

189
189
 6
A SI team is looking to improve their school’s performance by raising the their

Teaching-Learning Process for Math. At the end of the project, the SI team was
able to generate a revised Teaching-Learning Process to help students solve
Word Problems. By the next NAT, the students’ scores in Math increased by
10%. Math teachers were very happy with the project because they were able to

grades. The output of the project is _________ while the outcome is ________.
a. 10% increase in Math NAT Scores; Revised teaching learning process (These
concepts are stated the other way aroun)

b. Revised teaching learning process; 10% increase in NAT Scores.

(The project outputs refer to tangible deliverables while project
outcomes are the impacts of the outputs to the end customer.
The project was able to deliver a revised teaching learning process,
resulting in a 10% increase in NAT score.)

c.

quantify as a school measure.)

d.

e. All of the Choices

A SI team is trying to determine why students are unable to solve word problems
7 problems. The SI team then shifted their attention from the Math Teaching-
Learning process toward the Reading Comprehension Teaching-Learning
process. This scenario demonstrates the concept of--
a. Scope Creep. (There is no indication of the project’s increasing scope.)

b. Lack of Focus. (There is no indication that the team lacks focus.)

c. Systems Thinking – interrelationships of processes within the school system.

(The SI team was able to look at the relationships between the students’
ability to understand word problem and their ability to solve for it.)

d. Shifting the Burden. (There is no indication that the SI team passed the
problem to English teachers.)

e. None of the Choices

An elementary school has set a goal

8 that 25% of Grade IV Learners should be

numerates upon completing the grade
level. Given the data in Figure 1, this is the
most appropriate background statement
for a SI project:
a. 163 out of the 178 (92%) Grade IV
Learners are Non-numerates. (The
Resources

standard set by the school is based

on the number of learners being
numerates.)
190
 b. 175 out of the 178 (98%) of Grade IV Learners have not reached the
level of Numerates. (This can also be a correct answer, however, Letter
D presents a more accurate statement of the problem.)

c. There is a high level of Non-numerates Learners in Section 1, Section 3,

and Section 4. (This statement is vague and is not supported by dat)

d. Only 3 out of the 178 (1.68%) Grade IV Learners are Numerates.

(This is in line with the standards set by the school, and the low
percentage level is more accurate than what is stated in Letter )

e. All of the Choices

9 The result of the diagnostic reading test that was administered to Grade 6
learners last 2013 shows that 83% of 633 students were diagnosed with to
the Frustration reading level in word recognition. The school has set the
desired goal that no student should be left at the Frustration level. Which
process should the SI team investigate to address the school’s problem?
a. The Remedial Process for Reading.(Remedial is a reactive process. We
want to be proactive.)

b. Teaching-Learning Process of Reading. (This process has a direct

impact on the performance of learners in reading and serves as a
preventive action as well.)

c. Attendance Monitoring Process of Students. (This is not related to the

performance of learners in reading.)

d. Feeding Program Process (This is not directly related to the performance

of learners in reading.)

e. All of the Choices

10 A SI team is looking into the Teaching-Learning Process for Science. Who is
the Process Owner?
a. The School Head (The School Head can oversee the health of the
teaching learning process but he/ she is not the implementer of the
process nor the improvements.)

b. SI team. (There is no mention that the SI team is composed of Science

teachers. They are simply process improvement specialists looking to
improve the process.)

c. Local Government Units. (These are external stakeholders, not process

owners.)

d. Science Teachers. (They are able to monitor the overall health of the
process and can implement improvements into it.)

e. All of the Choices

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191
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 Step 2: Talk with Stakeholders
Answer Key
for
page
35

1
A SI Team has decided to investigate the Teaching-Learning Process
of Math to increase the NAT Scores of their students in Math. The
stakeholders for the Teaching-Learning Process for Math are the
Learners, Parents, School Head, and Society. Which of the following

a. Learners – Primary; Parents – Secondary; School Head –

Internal; Society – Tertiary (The learners receive the primary
service of education in math; parents are indirect recipients
of the service; the school head is part of the school system
thus he/ she is an internal stakeholder; society is a tertiary
stakeholder– less direct but crucial.)
b. School Head – Primary; Learners – Secondary; Parents –
Internal; Parents – Tertiary
c. Parents – Primary; Learners – Secondary; School Head –
Internal; Society – Tertiary
d. Society – Primary; Parents – Secondary; Learners – Internal;
School Head – Tertiary
e. None of the choices

A SI Team looking into the Teaching-Learning Process for Science

2 has discovered that there are learners who perform better when the
teachers conducts graded recitations. The team also discovered
that there are learners who understood the lesson better when the
teacher used graphs and pictures. Additionally, there are learners
who do well when they have hands-on activities to understand the
lesson. Therefore, in understanding the needs and wants of their
learners, the team decided to group the learners into three different
types. What concept did the SI team show in this scenario?
a. Voice of the Stakeholder (The team has not started gathering
the needs and wants of the stakeholders.)
b.
c. Stakeholder Segmentation (the different types of learners
have different needs and wants. As such, they need to be
segmented.)
d.
in order to get better insights.)
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e. All of the choices

192
3
A SI Team has decided to interview Grade 1 students to gather
the VOS regarding their performance in English. What is the most
appropriate VOS method that the team should use to ensure that the
students will not be afraid to speak up?
a. Personal Interviews (One-on-one interviews with teachers may
intimidate the learners.)
b. Home Visits (The learners’ performance in English is related to
the Teaching-Learning process which occurs in the classroom.
There is no need to observe the learners at home.)
c. Dyads/ Triads (Interviewing by pairs or triads will help ease the
nerves of the learners and the SI team will be able to gather more
valuable information.)
d. Expert Opinion (Because we are looking into the performance
of learners in English, the VOS should directly come from the
learners.)
e. All of the choices

A SI Team is creating interview questions to gather the VOS from their

4 learners. One question that they want to ask is “What do you think are
the problems that the school will encounter if students are provided
with computers in class?” What bias is shown in this question?
a. Unstated Criteria (No criteria is needed for the question.)
b. Loaded Question (The question has only one idea.)
c. Ambiguous wording (The wordings are clear.)
d. Leading Question (The questions is leading us to think that there
is a problem with computers in class.)
e. All of the choices

A SI Team is creating interview questions to gather the VOS from their

5 learners. One question that they want to ask is “What factors, such
as good learning environment and good acoustics, do you think are
necessary for learners to effectively understand the lesson?” What
bias is shown in this question? Choose the most appropriate answer.
a. Loaded question (The questions has only one idea.)
b. Leading question (The questions is neutral.)
c. Example containment (The question gives examples that may
limit the answers of the participants.)
d. Unstated criteria (No criteria is needed for this question.)
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e. None of the choices

193
193
 6
A SI Team interviewed a learner and she said, “The classrooms should be
air-conditioned.” The SI Team noticed that the learner expressed a stated
need and not a real need. What could be the real need of the learner that
they interviewed?
a. I need to hear what the teacher is saying. (Air-conditioned rooms
prevents outside noise from coming in.)
b. I need a classroom that is conducive for learning. (Air-conditioned
rooms provide a better environment for learning.)
c. I need to be relaxed while learning so I can understand the lesson.
(Air-conditioned room provide a more relaxed environment.)
d. I need to focus on the lesson. (Air-conditioned rooms prevent outside
noise from coming in, helping learners focus)
e. All of the choices (All choices can be the real needs of the learner.)

The following are the statements that a SI Team has gathered from
7 learners regarding their Science Subject:
I want a quiet class so I can hear what the teacher is saying.
I want a comfortable chair so I can focus on listening to the teacher.
I want enough lighting to see what the teacher is writing on the board.

What is the most appropriate theme for this group of VOSs?

a. Proper Instructional Materials (The VOSs are not related to
instructional materials.)
b. Applicability of the lessons in real life (The VOSs are not related to
lesson application.)
c. Enough time to understand the lesson (The VOSs are not related to
time.)
d. Conducive environment for learning (The VOSs all speak about the
learning environment of the learners.)
e. All of the choices

A SI Team interviewed a learner and he said, “I want a personal computer

8 in class.” The SI Team noticed that the learner expressed a solution for an
intended usage and not a need for an actual usage. What could the actual
usage of the learner be?
a. I need proper learning materials. (This VOS provides an actual usage
and is not leading to a solution.)
b. I need to use MS Excel for calculations. (This VOS is still an intended
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usage. The VOS should not suggest a solution. A calculator can also
be used for computations.)

194
 c. I need to use the internet. (This VOS is still unclear as to why
the learner needs to use the internet.)
d. I need to use MS Word for taking notes. (This VOS is still an
intended usage. The VOS should not suggest a solution. A
notebook and pen can also be used to take notes.)
e. All of the choices

The VOS that a SI Team gathered expresses the need to have

9 “enough time for class to learn.” What is the most appropriate
measure to quantify this VOS?
a. Total class time (There could be other activities covered in the
class time that is not related to learning.)
b. Total teaching and learning time
(This provides a good measure of the learning of students.)
c. Total time for exams (Exams are just a way to measure
performance, it doesn’t cover the learning aspect.)
d. Total class recitation time (Recitations are just a way to
measure performance, it doesn’t cover the learning aspect.)
e. All of the choices

A SI Team is looking into the Feeding Program Process and they

10 want to observe the learners as they undergo the process in order
to determine the learners’ needs and wants. What appropriate
form of qualitative research can the team use?
a. Home visits (The feeding program happens in school so there
is no need to visit the learners at home.)
b. Process Observation (The team wants to observe the learners
in their natural environment while undergoing the feeding
program process.)
c. Conversations with Experts (The learners are the ones who
experience the process, not the experts.)
d. Survey Questionnaires (The objective is to observe the
learners while undergoing the process. Survey questionnaires
will not show what is actually happening.)
e. All of the choices
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 Step 3: walk the Process
Answer Key for
page
58

1
A SI team decided to improve the NAT Scores of their students
in Science because it has consistently been below the school
standards. They gathered the VOS of the learners in a particular
grade level and found that one of the prominent themes that
came out was the need for “hands-on applications for the
concepts taught.” Given the VOS theme, which is the most
appropriate process that the SI Team should focus on?
a. Feeding Program Process (This is not related to the VOS.)
b. Remedial Process (This may be related but is a reactive
process.)
c. Guidance Counseling (This is not related to the VOS.)
d. Lesson Planning Process (This is the most applicable
process to address the VOS. The applications can be
included in the lesson plan.)
e. All of the Choices

A SI Team decided to look into the Waste Management Process

2 of a particular school. The process begins when the learners

throw their garbage. The garbage is either thrown in the thrash
container or it is thrown anywhere in the campus. If the learner
decides to throw their garbage in the trash container, they need
to properly segregate it. If the garbage is properly segregated,
there is no need to segregate it again. If the learner does not
segregate garbage before throwing it, someone will need to
segregate the garbage at the end of the day. If the learners
throw their trash anywhere in the campus, the janitor needs to
pick it up and throw it in the proper container.
Given the described choices, which is the most

should utilize?
a. SIPOC (This is used for high-level process mapping.)
b. Activity Flowchart (The process is complex with a lot of

applicable.)
c. Deployment Flowchart (This is used when there is a lot of
hand-off phases in the process.)
d.
for this scenario.)
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e. All of the Choices

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3
A SI Team decided to focus on the Feeding Program Process for a particular
grade level. The process begins when the learners proceed to the designated
feeding area during the break. When the learners arrive at the feeding area, the
teachers and staff assigned there would give them utensils, paper plates, and

water into their cups. When the students are fed, they return to their classrooms.
Identify the Supplier, Inputs, Outputs, and Stakeholders of this process.
a. Supplier – teachers, staff, and
canteen personnel; Inputs –
utensils, paper plates, paper cups,
food, and hungry learners; Outputs
– fed learners; Stakeholders–
learners (The utensils, paper plates,
paper cups, food, and hungry
students are necessary to begin
the process. The teachers, staff,
canteen personnel provide these
inputs. The process gives out
learners who are fed. The direct
stakeholders are the learners.)
b. Supplier – learners; Inputs – utensils,
paper plates, paper cups, and food;
Outputs – fed learners; Stakeholders
– teachers and staff
c. Supplier – teachers, staff, and
canteen personnel; Inputs –
learners; Outputs – fed learners;
Stakeholders – Parents
d. Supplier – Principal; Inputs – hungry
learners; Outputs – fed learners;
Stakeholders -- LGUs
e. None of the Choices

A SI Team is mapping the current state of the Teaching-Learning Process for

4 a. What they think the process is
(This perspective is biased.)
b. What the process really is
(This is what we want in order
to understand what is actually
happening in the process.)
c. What the process could be
(We are mapping the current status of
the process, and not its future state.)
d. What the process should be
(We are mapping the current status of
the process, not its future state.)
e. All of the choices

A SI Team is looking into the Enrollment Process for a particular school. They

5
getting the details of the payment, they need to proceed to the cashier to pay

Enrollment Assessment Form. Given this process, which is the most appropriate

a. SIPOC (This is used c. Deployment Flowchart (The process

for high-level process
mapping.)
b. Activity Flowchart
(The process is not that
complex.)
has a lot of hand-off phases. As such,
technique to be used.)
d.
is not being mapped in this scenario.)
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e. All of the Choices

197
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 6
A SI Team is mapping the current process for Guidance Counseling. The

Stakeholders, Walk the Process, Identify priority Improvement Areas, Do

Root Cause Analysis, Develop Solutions, and Implement the Solution. Which
common mistake did the SI Team commit?
a. Mapping the Project Processes (The steps mapped are the steps involved
in executing improvement projects, the triple A steps.)
b.
c.
d. Trying to create the “perfect’ process map (We cannot determine that the
team is trying to create the perfect process.)
e. None of the Choices – the SI Team did not commit
any error.

A SI Team is looking into the process

7 for the Reading Comprehension Test.

Figure 2 below shows the process chart.
Given the process chart in Figure 2, Figure 2. reading
which common mistake did the SI Comprehension
team commit? TesT proCess
a.

the process, and there are not a lot of hand-off phases involved.)
b. Mapping the Project Processes (The process activities are based on the
Reading comprehension test.)
c. Mapping the process at different levels (The activities are mapped in
different levels. Most of the activities are at level 1 but the procedure for
distributing the exams was detailed at level 2.)
d. Trying to create the “perfect’ process map (There is no indication that the
team is trying to create the perfect process.)
e. None of the Choices – the SI Team did not commit any error.

8
A SI team decided to focus on lowering the number of dropouts in a particular
school in order to achieve a school’s standard. The SI Team interviewed several
students at risk of dropping out (SARDO) and found that a common theme
coming from the VOS is “The teacher doesn’t care whether I go to class or
not.” Given this VOS Theme, which is the most appropriate process that the SI
Team should look into?
a. Attendance Monitoring Process (This is the school process that can have
an impact on SARDO.)
b. Feeding Program Process (This is not related to SARDO.)
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198
 c. Remedial Process (This is not related to SARDO.)
d. Guidance Counseling (This may be related to SARDO, however, it does
not directly address the VOS concern.)
e. All of the Choices

A SI Team is looking into the Lesson Plan Preparation Process. They now want
9 ensure that the project will focus only on the Lesson Plan Preparation Process.
They also want to avoid scope creep as the project progresses. Which is the

a. SIPOC (SIPOC is for high- c. Deployment Flowchart (The

level process mapping and team needs a high-level map
that can be used for scoping.)
project.)
d.
b. Activity Flowchart (The team the data is not being mapped in
needs a high-level map that this scenario.)
can be used for scoping.)
e. All of the Choices

A SI Team is now looking to create the process map for the Teaching-Learning
10 Process for Science. The Project Team Leader briefs the team regarding some
guidelines that they should remember when mapping the process.

i. The SI Team should have a meeting in the a. All guidelines

are correct
in the Teaching-Learning Process. (This is
incorrect. The team should go to where b. All guidelines
the process is happening and observe the are wrong
personally in oder to map it out accurately.) c. Only ii and iii
ii. We should divide the process into several are correct
groups then send different persons to map d. Only iv is
correct
also incorrect. The team should map together
to have a full understanding of the process and e. Only ii and iv
not just parts of it.) are correct

iii. If the team must gather time data, they can ask

particular step in the process. (The team should

gather the data and not rely on data provided
by the teachers.)
iv. Remember that the team is supposed to be
mapping the current process and not its future
state. (This is correct. The team needs to map
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out what is currently happening.)

199
199
 Step 4: identify Priority improvement Areas
Answer Key for
page

Figure 1: sChool drop ouT

86 Figure 2: english and maTh
sCores oF grade iV sTudenTs.
raTe For 2000-2014 120
5

4.5 100
4

3.5
80

English
3

2.5
60

40
2

1.5

20
1

0.5

0
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 0
0 20 40 60 80 100
The Drop out rates for all year levels of Math

1
a particular high school for the last 15
years is shown in Figure 1. The School

2
Head is concerned that the drop out A SI Team is looking into
rate has been increasing since year 2000. the Math Scores of learners
What should the School Head do? in Grade IV. From the VOS,
the team found that learners
a. Form a SI Team to tackle the drop need to understand and
out rate of the school. (The drop comprehend the problems
out rate of the entire school is a big properly before they can solve
problem with several factors that it. The team gathered data on
affect it. The team cannot be sure if the English and Math Scores of
all year levels encounter the same the learners. The scores can be
problems with their dropouts.) seen in Figure 2. What analysis
b. Disaggregate the data further can the SI Team gather from
to determine which year level
contributes to the increasing trend a. As English Grades go up,
of the drop out rate. (The school so do Math Grades. (The
needs to investigate the issue scatter plot shows that
further. The problem may not be the English and Math grades
same for all year levels and for all are positively related.)
sections.)
b. As English Grades go up,
c. Start a home visitation program Math Grades go down.
to entice students to go to school (English and Math grades
and prevent dropouts. (The SI are positively related.)
team cannot be sure that a home
visitation program will solve the c. Math and English Grades
problem. This solution comes out are not related. (English
of nowhere if the team does not and Math grades are
determine the root cause of the positively related)
problem.)
d. Math teachers are better
d. Call a meeting for all teachers and than English Teachers.
scold them regarding the increasing (The data does not show
drop out rate. (The system is the the performance of
problem, not individual persons) teachers.)
e. All of the choices e. None of the choices
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200
 Table 1. sCienCe grades
oF grade Vi learners

3 A SI Team is looking into the Science grades

of Grade VI learners. Table 1 below shows the
data that the team has gathered. The school
91
83
76
71
81
93
95
89
93
56
has set a standard that the passing grade for 54 81 95 59 62
Science is 75. The SI Team now wants to know
how many students were able to get a score 99 89 59 93 97
of 75 or higher, and how many students failed. 67 79 95 53 89
The team also wants to know the distribution 83 99 42 74 40
of the grades of the students.
58 74 88 65 51
Which type of graphical data display will help 98 90 40 60 86
the SI Team in their analysis?
a. Line Graph (A line graph is c. Histogram (A histogram shows the
used to show the behavior distribution of data over a given range.)
of data through time.)
d. Scatter Plot (A scatter plot is used to show
b. Pareto Chart (A Pareto the relationship between two variables.)
Chart is used when the
categories are qualitative.) e. None of the choices

Table 2. misTake Type FrequenCy

4
A SI Team is looking into the Math Grades of
Learners in Grade IV. The 1st grading exam was
Mistake Frequency
what type of questions learners made the most Asked 591
mistakes on. Table 2 below shows the data that the SI Operation 387
Team was able to gather.
Expression 372
Which type of graphical data display will help the SI
Given 223
Team determine the type of mistake in order to help
Total 1573

a. Line Graph (A line graph is c. Histogram (A histogram shows the

used to show the behavior
of data through time.)
b. Pareto Chart (A Pareto
Chart is used when the
categories are qualitative.)
distribution of data over a given range.)
d. Scatter Plot (A scatter plot is used to show
the relationship between two variables.)
e. None of the choices

A SI Team is looking to improve the NAT Scores of its learners in Math. The team

5 focuses on the Teaching-Learning Process of Problem Solving in Math and found

the following storm clouds:
i. Inconsistent discussion time: discussion time ranges from 15-30 Which among
minutes (This issue can be observed in the Teaching-learning
process of problem solving and has an impact on the NAT scores.) these storm
clouds should
ii. Learners can’t perform basic operations: Item analysis shows that
learners get the lowest scores in this area (This issue can be
observed in the Teaching-learning process of problem solving focus on?
and has an impact on the NAT scores.) a. i, ii, and iii
iii. Delay in providing feedback: it takes a month for the teachers to b. i only
return the results of the exam (This issue can be observed in the
Teaching-learning process for problem solving but it does not have c. i, ii, and iv
a direct impact on NAT scores. The team needs to focus on storm
clouds that affect the school measure under investigation.) d. ii and iv
iv. Learners can’t comprehend the given problem: Item analysis shows e. All Storm
that students don’t perform the correct operations asked in the
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clouds
problems (This issue can be observed in the Teaching-learning
process of problem solving and has an impact on the NAT scores.)

201
201
 6
A SI Team is looking into the Teaching-Learning process of Science for Grade
III Learners. During the walk the process phase, the team observed that the
entire Teaching-Learning process exceeded the 40-minute allotted time. The
team now decides to gather data to further investigate this storm cloud. What is
the most appropriate data that the team should gather in order to identify the
factors which contribute to the excess time?
a. Time data on the start time and end time of the Teaching-learning process

process is taking the longest time.)

b. Time data on the amount of time in excess of 40 minutes (This data will not

c. Time data on the amount of time spent for recitation (This data is too
focused. It is just one sub-process in the entire Teaching-learning process.
This data will limit the investigation on which sub-process causes the delay.)
d. Time data on the start time and end time of each sub-process of the

As such, the team can investigate which sub-process causes the delay.)
e. All of the choices

A SI Team is looking into a particular school’s Feeding Program. The team has

7 cloud that the team is focusing on is the excessive length of time for the feeding
program. The team is now ready to formulate the focused problem statement.
Which is the most appropriate focused problem statement for this process?
a. The feeding program is poor. d. The feeding program
(This problem statement is vague.) takes 30 minutes.
(This problem
b. The feeding program is taking too long. statement is still
(This problem statement is vague.) vague. There is no
c. The feeding program takes between 20-30 comparison with the
standard and when it
standard of 15 minutes. This is based on occurred.)
data gathered last June 2014. e. None of the choices
(This problem statement is focused. It states
the standard, the actual time the process
takes, and when the problems occurred.)

8
A SI Team is looking into the scores of Grade III learners in Science because
majority of learners failed to reach the passing rate of 75%. The SI team found

further investigated the performance of the learners and gathered data. Now
the team is ready to craft their focused problem statement. Which is the most
appropriate focused problem statement?
a. d. Only 29% of learners
(This problem statement is vague.) answered the item on
inferring about sense
b. Learners are getting low scores in organs correctly.
Inferring. (This problem statement is (This problem
vague.) statement is focused.
It provides data and
c. 50% of Learners fail in Science 3. it is based on the
(This problem statement is considered a investigation of the
high level problem statement. The team team.)
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why learners fail in Science.) e. None of the choices

202
9
A SI team looking into the discussion time Figure 3. pareTo CharT on disCussion Time
of the Teaching-Learning process for English
has gathered time data and created a Pareto 700 120%
Chart to help establish the focused problem Freq. %

statement. Comment on the team’s Pareto 600

100%
Chart (as shown in Figure 3).
500
a. The Pareto chart is correct. The team 80%

Cumulative % Cont.
should focus on the 41-50 minute 400

Frequency
discussion time. (The data categories are 60%
qualitative. The team should not have 300
used the Pareto chart.) 40%
200
b. The Pareto chart is wrong. The Pareto
Chart is only used when data categories 100
20%

are qualitative. The team should have

used a histogram instead. (The data 0
41 to 50 21 to 30 31 to 40 10 to 20
0%

categories are qualitative. The team

should not have used the Pareto chart.) Discussion Time

c. The Pareto chart is wrong. The cumulative percentage should only be up to

100%. (The data categories are qualitative. The team should not have used
the Pareto chart, and the problem with 100% is just a formatting issue.)
d. The Pareto chart is correct. The team should focus on 80% of the problem,
which are the 41-50, 21-30, and 31-40 minute discussion times. (The data
categories are qualitative. The team should not have used the Pareto chart.)
e. None of the choices

A SI Team is investigating the Math Scores of two sections of Grade IV Learners.

10 The team created a histogram of the grades of the two sections in order to help
them establish their focused problem statement. What analysis can the SI Team
get from the graphs?
a. The scores of section A are higher than section C. The team should focus
on the scores of section A and determine why the learners are getting high
scores. (Section A is already doing well. The team should focus on section C,
which has lower grades.)
b. The scores of section C are lower than section A. In fact, with the passing
standard of 75%, no learner passed in section C. The SI team should look
into the reasons for why the scores of section C are very low. (This is the
most appropriate analysis taken from the graph. It shows a real problem as
well as the magnitude of the problem.)
seCTion a maTh sCores c. Only a few students got a score of
90.3 in Section A. The SI team should
focus on increasing the grades of
Figure 4. seCTion a and C

section A. (Section A is already doing

maTh sCores hisTogram

well. The team should focus on

section C, which has lower grades.)

seCTion C maTh sCores

d. The scores of section A are higher
than those of section C. The SI team
should ask the students of section A
to mentor the students of section C.
(This is already a solution. The SI team
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the root cause of the problem.)

e. All of the choices

203
203
 Step 5: Root Cause Analysis
Answer Key
for

1
A SI Team is looking into the reasons for why the Feeding
page
103
Program takes 30 minutes when the students’ break only

for the problem as shown in Figure 1. Which common

Figure 1 mistake in RCA did the team commit?
a. Missing link between causes (There is no direct link
between the duration of the feeding program and
the distance from the classroom to the canteen.
There should be another cause stating that the
travel time of the students from the classroom to the
canteen takes a long time.)
b. Focusing on the who, not on the why (There is no
mention of a person/s in the root cause analysis.)
c. Causes that begin with “no,” “none,” or “lack of”
(The cause does not begin with “no,” “none,” or
“lack of.”)
d.
(There is no indication that the cause is a non-
standard occurrence.)
e. None of the choices

A SI Team is looking into the reasons for why the Feeding

Figure 2 2 Program takes 30 minutes when the students’ break

some causes for the problem as shown in Figure 2. Which

common mistake in RCA did the team commit?
a. Causes that begin with “no,” “none,” or “lack of”
(The causes don’t begin with “no,” “none,” or “lack
of.”)
b.
(There is no indication that the cause is a non-
standard occurrence.)
c. Focusing on the who, not on the why
(The analysis focuses on the learners when it should
focus on why the process takes too long. SI Teams
must never focus the on the people because it is the
processes that we should look into.)
d. Missing link between causes
(There are no missing links between the causes.)
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e. None of the choices

204
 Figure 3

A SI Team is looking into the

3 reasons for why the discussion

time of a particular topic
takes 30 minutes, causing the
Teaching-learning process
to exceed the allotted 40

some causes for the problem

as shown in Figure 3. Which
common mistake did the team
commit?
a. Causes that begin with “no,” “none,” and “lack of”
(The focus of the analysis should be on the process. Phrasing causes
like this tends to suggest solutions.)
b.
indication that the causes are non-standard occurrences.)
c. Focusing on the who, not on the why
(The causes should focus on the process, and not on the persons.)
d. Missing link between causes
(There are no missing links between the causes.)
e. None of the choices
Figure 4

A SI Team is looking into the

4 reasons for why the discussion

time of a particular topic takes 30
minutes, causing the Teaching-
learning process to exceed the
allotted 40 minutes. The team

problem as shown in Figure 4.

Which common mistake did the
team commit?
a. Causes that begin with “no,” “none,” and “lack of”
(The cause don’t begin with “no,” “none,” or “lack of.”)
b.
(This cause is a non-standard occurrence. Visitors talking to teachers
do not happen often and is not part of the process.)
c. Focusing on the who, not on the why
(The cause is not blaming a person.)
d. Missing link between causes
(There is no missing link between the causes.)
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e. None of the choices

205
205
 Figure 5

A SI Team is looking into the reasons for why the discussion time of a
5 particular topic takes 30 minutes, causing the Teaching-learning process to

problem as shown in Figure 5. Which common mistake did the team commit?
a.
that the causes are non-standard occurrences.)
b. Causes disguised as solutions (The causes are geared towards the
solution of providing the teachers with more training.)
c. Missing link between causes (There are no missing links between the
causes.)
d.
the causes.)
e. None of the choices

Figure 6

A SI Team is looking into the reasons for why the Feeding Program takes 30
6 minutes when the students’ break should only last for 15 minutes. The team

mistake in RCA did the team commit?

a.
that the causes are non-standard occurrences.)
b. Causes disguised as solutions (No solution is mentioned in the analysis.)
c. Missing link between causes (There are no missing links between the
causes.)
d.
regarding the distance between the canteen and the classroom.)
e. None of the choices
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206
Figure 7. reading Comprehension
and maTh Word problem sCores

A SI team is looking into the reasons for why the learners from Grade

7 Math. The team gathered the data regarding the learners’ Reading
Comprehension and Math word problem scores. The team is now
ready to do a root cause analysis. Their focused problem statement
is “Only 5 out of the 45 learners are able to solve word problems
based on an item analysis of their exams.”

Guided by the data that the team gathered as shown in Figure 7,

which causes are the most appropriate to answer the question of
why only 5 out of 45 learners are able to answer word problems?
a.

(This analysis is a direct result of the interpretation of the data

that shows a direct proportion between the learners’ scores in
math problem solving and reading comprehension.)
b.
can’t perform basic operations. (This analysis is not supported
by the given data.)
c.
teacher did not give the learners enough practice exercises.
(This analysis is not supported by the given data.)
d. The learners do not understand how to solve word problems.

supported by the given data.)

e. All of the choices
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207
207
 A SI team is looking into the performance of its Grade VII learners in

8 Reading because their NAT scores were below the school’s standards.
The team was able to focus on a particular section that showed a low
performance in reading. The team conducted an item analysis and found
that only 3 out of 43 students were able pass the exams on identifying

Figure 8. Why-Why diagram For reading

a. The why-why diagram of the team is correct. The team should now
look into helping the families earn more income. (The analysis is
wrong. It focused on issues that are beyond the control of the team.)
b. The why-why diagram is still incomplete. The team should look
further into the reasons for why the learner’s family has low income.
(The analysis is wrong. It focused on issues that are beyond the
control of the team.)
c. The why-why diagram is wrong. There is a missing cause for why
only 4 out of 43 students passed. The cause “the students did not
understand the lesson” should be added. (Although this is correct,
the overall analysis is still wrong because the team focused on
external factors that are beyond their control.)
d. The why-why diagram is wrong. The SI team should not look into
causes that are outside of their control. (The analysis is wrong.
It focused on issues that are beyond the control of the team.)
e. None of the choices

A SI team is looking into the performance of its Grade VII learners in

9 Reading because their NAT scores were below the school’s standards.
The team was able to focus on a particular section with low performance
in Reading. The team conducted an item analysis and found that only

speech. The team is pondering on the next steps that they should take.
i. The team should perform a Root Cause Analysis to determine the
root cause of the problem before identifying solutions. (The triple

implementing solutions.)
ii. The team should initiate a review program for learners to help the
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not implement a solution before determining the root cause of the

problem.)

208
 iii. The team should look into the data that they have gathered
on the Teaching-learning process for Reading in order to help
them conduct a root cause analysis. (The triple A approach is

implementing solutions.)
iv. The team should buy visual aids to help the students understand

look into the root causes of the problem.)

should take?
a. i, ii, and iv.
b. ii and iv
c. i and iii
d. All of the choices
e. None of the choices

A SI team conducted a Root Cause Analysis and found that one of the
10 root causes for why the feeding program takes 30 minutes is because that
the canteen is too far from the classroom. The team is now pondering on
their next steps.
i. The team should build a new canteen Which is/ are the
closer to the classroom. (The team should most appropriate

capital outlay, which is not encouraged.) team should do?

a. i or iii
ii. The team should gather data to verify
b. ii only
(Validating the root cause gives the team
c. iv only
This is an important step before identifying d. i, iii, and iv
solutions.)
e. None of the
iii. The team should transfer the classrooms choices
closer to the canteen. (The team should

capital outlay, which is not encouraged.)

iv. The team should just bring the food to the

before generating solutions.)

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209
209
 Step 6: Develop Solutions
Answer Key
for
page
130

1
A SI team conducted a Root Cause Analysis and found that one of the
root causes for why the Feeding Program takes 30 minutes is because

resulting in delays. Which concept should the SI Team to use in order

to generate solutions?
a.
wasteful activities in the process. Although delays are wasteful, it is
the result of the lack of knowledge of the process which cannot be

b. Visual Management (Visual management will help the learners

understand what to do next, resulting in the reduction or elimination
of the delays in the process)
c. Good Housekeeping (This concept is geared towards cleaning and

this scenario.)
d.
mistakes, and is not the main issue that the team wants to address.)
e. None of the Choices

A SI Team conducted a Root Cause Analysis and found that one of the

2 root causes for why the discussion time of a lesson in Math takes 30
minutes is because there are many unnecessary activities in class before
the lesson is discussed. Which concept is the most appropriate for the SI
Team to use in order to generate solutions?
a.

activities and eliminate them from the process.)

b. Visual Management (This concept is used to manage a process
through the use of visual signals. This is not the issue that needs to
be addressed in this scenario.)
c. Good Housekeeping (This concept is geared towards cleaning and

scenario.)
d.
mistakes, and is not the main issue that the team wants to address.)
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e. None of the Choices

210
 A SI Team conducted a Root Cause Analysis and found that one of
3 the root causes for why the discussion time of a lesson in Science
takes 30 minutes is because the teacher is always scrambling to look
for materials to be used during the lesson. Which concept is the most
appropriate for the SI Team to use in order to generate solutions?
a. c. Good Housekeeping (This
for materials is an unnecessary concept focuses on cleaning
activity which can be addressed by

a more appropriate solution materials needed for class.)

concept is Good Housekeeping.)
d.
b. Visual Management (This concept is geared towards preventing
is used to manage a process mistakes, and is not the main
through the use of visual signals. issue that the team wants to
This is not the issue that needs to address in this scenario.)
be addressed in this scenario.)
e. None of the Choices

A SI Team implemented a solution to ensure that learners know where

4 to go and what to do during the Feeding Program. The team made use
of signs pointing the learners to where the feeding area is, and posted

there will be no delays and that the process will be completed within the
allotted 15 minutes. Which solution concept did the team apply?

a. c.
(This concept aims to used to eliminate non-value activities
prevent learners from from a process. Although the delays
making mistakes. This were eliminated through the team’s
was not addressed by solution, the team used visual
the team’s solution.) management effectively.)
b. Good Housekeeping d. Visual Management (This concept is
(This concept is geared towards letting the learners
know what to do next through visual
cleaning, which are not signs.)
addressed in the team’s
solution.) e. None of the Choices

5
A SI Team found that the Root Cause of students not throwing their trash in the
proper receptacle for segregation is because the students do not know which
trash can is used for biodegradable wastes, which is for non-biodegradable
waste, and which is for recyclables. What should the SI team do?
a. Blame and scold the students for not listening when they were
oriented regarding the proper trash cans for segregation. (This is not
a good solution because it does not help the students identify the
proper trash can for segregation.)
b. The SI team should implement visual management by labeling the
trash containers properly and painting them with different colors
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for easier differentiation. (This action helps the students identify the
proper trash can for segregation.)

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 c.

and is not sustainable.)

d. Hire more people to segregate the waste from the trash cans.
(This solution is reactive. The SI team needs to be proactive.)
e. All of the Choices

A SI team found that a one root cause for why Teachers exceed the allotted
6 time for class is because the Attendance Checking procedure takes too long.
The teachers make a roll call of each student. What can the SI team do?
a. c. Buy a biometric scanner and
simplify the Attendance Checking place one in each classroom.
process and lessen the time Ask the students to scan their
to conduct it. They can ask the biometrics and it will serve
students to sit alphabetically and as their attendance. (This
just check names of the students solution is expensive and is not
assigned to the vacant seats. These advisable. There are cheaper
will identify the absentees without and simpler solutions than this.)
having to call out every student’s
name. (This solution is simple and d. Use a time card and ask each
does not require capital outlay.) student to scan their time
cards. This will serve as their
b. Eliminate the process of checking attendance, (This solution is
attendance because it is non-value expensive and is not advisable.
adding. (Although checking the There are cheaper and simpler
students’ attendance may be non- solutions than this.)
value adding, it is necessary for the
school and cannot be disregarded.) e. None of the Choices

A SI Team found that a cause for why teachers exceed the allotted time

7 blackboard which was used by the previous teacher. Which concept can the
SI Team use to develop solutions to this problem?
a.
necessary in this scenario.)
b. Good Housekeeping (This concept is geared towards cleaning and

c.
Though erasing the blackboard is a wasteful activity, it can be more
appropriately be resolved by good housekeeping.)
d. Visual Management (This solution can be used to put signs informing
the teachers to clean the blackboard, but good housekeeping is more
appropriate because it deals with cleaning the workstation.)
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e. None of the Choices

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8
A SI Team found that a cause for why teachers exceed the allotted time for
class is because the teachers constantly forget the materials that they will be
using for class. The SI Team implemented a solution wherein the teachers
are given a checklist of items that they should bring to class. Which solution
concept did the SI team use?
a. d. Visual Management
scenario prevents the teachers from (This solution is for
making mistakes.) providing visual signs
to help teachers and
b. Good Housekeeping (This solution is
learners, which is
not necessary in the
which is not necessary in the scenario.)
scenario.)
c.
e. None of the Choices
eliminating wasteful activities, which is not
necessary in the scenario.)

9
A SI Team found that a root cause of the problem that learners cannot
complete the AGONA method in solving word problems is because the

the steps in the AGONA Method can help the students remember it. Which
solution concept did the SI team use?

a. d. Visual Management
preventing mistakes, which is not shown in (This solution is for
the scenario.) providing visual signs
to help teachers and
b. Good Housekeeping (This solution is learners, which is
shown in their solution.)
which is not shown in the scenario.)
e. None of the Choices
c.
eliminating wasteful activities, which is not
shown in the scenario.)

A SI team conducted a Root Cause Analysis and found that one of the root
10 causes for why the Feeding Program takes 30 minutes is because the staff

utensils, paper plates, and paper cups. The SI Team implemented a solution
wherein the materials are arranged properly in one container and labeled

concept did the SI team use?

a. d. Visual Management
preventing mistakes, which is not shown in (This solution is for
the scenario.) providing visual signs
to help teachers and
b. Good Housekeeping (This solution is learners, which is not
shown in the scenario.)
which is shown in their solution.)
e. None of the Choices
c.
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eliminating wasteful activities, which is not

shown in the scenario.)

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 Step 7: Finalize improvement Plan
Answer Key for
page
149
A SI Team has developed a solution to ensure that the time to conduct the

1 Feeding program will be within the allotted 15 minutes. The team will be using
visual management to ensure that the learners know how the process will take
place. What is the most appropriate step that the SI team should do next?
a. Call a meeting to brief the implementation of the solution and
staff and teachers in charge let the teachers and staff in charge
of the Feeding program so of the Feeding program implement
that they can implement it it. The SI Team should look for a new
immediately the next day. project. (The team should plan the
(The team should plan the
pilot test. The team should also be
conduct a pilot test.) hands-on in the implementation.)
b. Draft a memo indicating d. Determine the different activities,
that this solution should be timeline, and resources needed, and
implemented immediately create a plan to implement such
on all grade levels within the
school. (The team should plan and then implement the solution.)

conduct pilot test.) e. None of the Choices

c. Set a target date for the

A SI Team has developed a solution to help learners identify the proper trashcan

2 to throw their wastes in order to ensure that the waste is properly segregated.
The SI Team will paint the trashcans in different colors, each color pertaining to
a particular type of waste. The team has set the implementation of the solution
one week from now in order to give time for the painting of existing trashcans
or buying new trashcans. A month has passed by and the solution has not been
implemented. The School Head called a meeting to ask the SI team why the
solution has not been implemented. The SI team mentioned that the trashcans
have not been painted. The School Head asked who is in charge of painting the
trashcans and the SI team looked at one another in silence. What mistake did the
SI team commit in this scenario?
a. They should have set a tighter deadline c. They failed to assign the person
to pressure everyone to implement responsible for painting and
their solution. procuring trashcans. (This is the
(The deadline is not the issue in the issue in the scenario. No one
scenario.) was given the responsibility
to oversee the project’s
b. They should have set a longer deadline implementation.)
in order to give more time for the
painting and procurement of new trash d. They failed to ask the School
cans. (The deadline is not the issue in Head for a budget to buy the
the scenario.) new trashcans. (The budget is
not the issue in the scenario.)
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 A SI Team has developed a solution to ensure that the time for the Feeding program will

3 be within the allotted 15 minutes. The team will be using visual management to ensure
that the learners know how the process will take place The team set a budget of 5,000
pesos to buy all the required materials and everything that they need to implement the
solution. By the end of the implementation, the team accounted for the total cost and
ended up spending 20,000 pesos for the implementation of their solution. Comment on
the budget variance of 15,000 pesos that the SI Team incurred in this scenario.
a. The variance of 15,000 pesos is acceptable as long as the SI Team can justify it.
Furthermore, the school still has a lot of money. (The variance is quite big, and
having a lot of money does not justify the variance.)
b. The variance of 15,000 pesos should have been prevented if the SI Team
implemented strict cost control mechanisms. (This is the issue in this scenario.
The team failed to implement control mechanisms.)
c. The variance of 15,000 pesos should have been prevented if the SI Team declared
a higher budget. (Having a higher budget will not ensure the elimination of the
variance.)
d. The variance of 15,000 pesos was the result of one teacher’s action. It should
be charged to that person. (The team is blaming an individual person, which is
discouraged in the triple A approach because the individual is only a victim of the
system having a lack of cost control mechanisms.)

A SI Team has developed a solution to help students remember the AGONA method.

4 The team will be using pictures portraying the steps of the AGONA method. The team
started off with picture drawings to portray the steps. At the end of the implementation,
the team ended up with a video production showing the steps of the AGONA. The team

show the video. They ended up with a cost of 500,000 pesos. What is missing with the
implementation of the SI Team that caused their expenses to balloon to 500,000 pesos?
a. The team did not create a budget to limit their expenses. (Failing to set a budget
will result in uncontrolled expenses, which occurred in this scenario.)
b. The team did not properly estimate the costs of the materials for the
implementation. (Proper estimation will have an impact on the cost, but without a
budget, costs can still run away from the team.)
c.
production services. (Without a budget to compare to, the team cannot determine
if an item’s price is within the budget.)
d.
cost that the school will shoulder will be lessened. (Donations will help reduce the
costs shouldered by the school but it will not prevent the team from incurring a high
cost.)
e. None of the Choices

A SI Team found that a cause for why teachers exceed the allotted time for class is that

5 because they constantly forget the materials that will be used for class. The SI Team will
implement a solution wherein teachers are given a checklist of items to bring to class.

i. The teacher might forget his/ her checklist, rendering the team’s solution as useless.
(This is a valid risk associated with the solution.)
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 ii. The checklist might not include all the things Which of the following
that the teacher needs for the day. (This is a valid are legitimate risks for this
risk associated with the solution.) solution?
iii. The checklist might not be reusable, making it a. i only
an expensive solution to implement. b. ii and iii
(This is a valid risk associated with the solution.)
c. iii and iv
iv. The checklist items might be too small, making
the teachers forget some items. (This is a valid d. None of the Choices
risk associated with the solution.)
e. All of the Choices

A SI Team implemented a solution to ensure that students segregate their waste

6 properly. The team budgeted for the procurement of new trashcans with different
colors, each color representing a certain type of waste. After the implementation,

the trashcans. These trash bags are to be replaced regularly. What led the SI team to
face such problem after the implementation of their solution?
a. The team failed to budget for the recurring costs (trash bags) and only
considered the one time costs (trash cans). (Recurring costs, and not only one
time capital costs, should be included in the budget.)
b. The SI Team did not foresee the costs of trash bags as a risk. (The trash bags are
not a risk in the team’s solution implementation.)
c. The SI team did not assign a person responsible for buying the trash bags. (This
will not resolve the issue. Even if a person is responsible, without budgeting for
the trash bags, there will be no money to procure these.)
d. The SI Team forgot to estimate the costs for the trash bags. (This will not resolve
the issue. Even if the team was able to estimate the costs of the trash bags they
still won’t be able to procure them because it’s not in their budget)
e. None of the Choices

7 kind of risk and that there are major uncertainties regarding that risk. The team also

the solution. What should the SI Team do?

a. The risk is a showstopper. The
team should not proceed with
the solution. (The conditions
mentioned puts the risk in the
category of a showstopper.)
b.
proceeding. (The conditions
mentioned puts the risk in the
category of a showstopper.)
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c. The risk is low. The team can
proceed with caution. (The
conditions mentioned puts the risk
in the category of a showstopper.)
d. There is not much risk. The team
can proceed with no worries. (The
conditions mentioned puts the risk
in the category of a showstopper.)
e. None of the Choices.

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8 from certain personnel/ teachers. What should the SI team do?
a. Create an implementation plan. (An implementation plan is not appropriate for
the scenario.)
b. Create a budget and cost management plan. (There is no mention of costs or a
budget.)
c. Create a resource plan. (A resource plan looks into the needed resources for the
solution’s implementation and ensure the availability of these resources.)
d. Create a risk management plan. (The team is not looking into the risks
associated with the implementation.)
e. None of the Choices

A SI Team is going to implement a solution to lessen the setup time of teachers before

9 that the team should take?

a. Implement the solution. (The team is taking a high risk by implementing the
solution without planning for risk mitigation strategies.)
b.
(This is the most appropriate action. The team should plan on how to handle
and mitigate risks.)
c. Create a cost estimate for each risk. (This is an appropriate but incomplete risk
management strategy.)
d. Do not proceed with the solution implementation. (There is no mention that the

e. None of the Choices

A SI Team is going to implement a solution that involves the participation of Grade V

10
i. Lay-off the teachers and get new ones who will surely
cooperate. (This action will not address the issue.) Which preventive
action/s is/are
ii. Include the teachers in the planning process of the
solution so as to ensure their buy-in. (This action will appropriate to deal
help mitigate the risk by ensuring the teachers’ buy in.) with this risk?
a. i and iii
iii. Create a memo ordering the teachers to cooperate
with the solution implementation or incur penalties b. ii and iii
otherwise. (This will create forced buy in, which can be
c. iii only
problematic in the future.)
d. ii and iv
iv. Create a rewards and recognition system that
will reward teachers who are able to successfully e. None of the
implement the solution. (This action will help ensure Choices
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the buy in of the teachers.)

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 Step 8: Pilot your Solution
Answer Key
for
page
150

1 does not exceed the allotted 30 minutes. The team has completed the
implementation plan, the budget and cost management plan, the resource
plan, and the risk management plans. What is the next most appropriate
step that the SI team should take?
a. Implement the solution on a full scale, involving all grade levels in the
school. (Implementing the full scale solution is very risky. The team may
not even know if the solution can be effective.)
b. Ask the School Head to draft a memo making the team’s solution

(Implementing the full scale solution is very risky. The team may not
even know if the solution can be effective.)
c. Test the solution on a small scale to determine if it really works, and

determine its effectiveness and to plan for the risks associated with it.)
d. Hand over the solution to the teachers and let them implement it. The

project up to a full roll-out of the solution.)

e. None of the choices

method. The team is now ready to implement the solution to the entire

2 school. The Team leader explains to the team that they need to test their

i. So that the team can make improvements to the solution. a. i only

(Having tested the solution, the team can then make
improvements if certain problems or issues arise during b. ii and iii
the testing.) c. i, ii, and iii
ii. So that the team will be able to understand the risks d. All of the
choices
planning phase could appear during the testing phase.)
e. None of the
iii. So that the team will be able to validate the expected choices

solution will work.)

iv. So that the team will know the effects of their solution
on the entire year level. (Testing the solution does not
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guarantee its effectiveness on a larger population.)

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Figure 1. 4Th year drop ouT raTe (beFore) Figure 2. 4Th year drop ouT raTe (aFTer)

A SI Team looking into the drop out rate of 4th year learners has tested the

3 solution and has gathered data. The before and after graph of the drop out

a. The solution is effective. The drop out rates decreased after the
implementation of the solution. However, the scaling of the two graphs

before and after performances.)

b. The solution is not effective. The graph shows that the drop out rates
increased after the implementation of the solution. (The solution is

school’s before and after performances.)

c. The solution is not effective. The graph shows that there is no change
in the drop out rates after the implementation of the solution. (The

compare the school’s before and after performances.)

d. The solution is effective. The drop out rates decreased after the

graphs. (The solution is effective, but the graphs use different

performances.)
e. None of the choices

A SI team looking into the performance of learners in Science has

implemented a pilot test for their solution. They have gathered the data for

4 the test. What is the next most appropriate step that the team should take?
a. Implement the solution for the rest of the school. (The team should

solution.)
b. Evaluate the tests results and compare these with the current state in
order to see if there really are improvements. (Evaluating the results will
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help the team determine whether the solution is effective or not.)

219
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 c. Hand over the solution to the teachers and let them implement the

project up to the full roll-out of the solution)

d. Do not implement the solution. (There is no indication that the
solution is not effective and should not be implemented.)
e. None of the choices.

A SI team has developed three solutions to ensure that the feeding

5 program does not exceed the allotted time of 30 minutes. The team is
unsure of which solution to implement. What should the team do?
a. Implement all three solutions and compare which one is the most

to do.)
b. Hand over the solutions to the teachers and let them worry about
which to implement. The team can now move to another project.

solution.)
c. Escalate the issue to the School Head and let him/ her decide what
to do. (The SI team should think of what needs to be done and
should not divest its responsibility on the school head. The school
head, in turn, can give helpful suggestions.)
d.

e. None of the choices.

6 ensure the proper segregation of waste. Their solution is to label the trash
cans properly and assign different colors for each receptacle of waste. The

Which cost should be included

i. Training costs for the teachers
(This should be included in the
analysis as a non-recurring cost.) a. i only
ii. Cost for meetings b. i, ii, and iii
(This is a non-recurring cost
that must be included.) c. iii and iv

iii. Cost for trash cans d. All of the choices

(This is a capital cost that
must be included.) e. None of the choices

iv. Cost for trash bags

(This is a recurring cost
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that must be included.)

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7
A SI team has tested a solution to increase the Reading Comprehension
scores of learners. The team has gathered data and found that their
solution is not effective. What should the team do?
a. Blame each other for the failure of the solution. (The team should not
blame each other for the failure of the solution. The solution’s failure
could caused by something that they missed in the analysis.)
b. Go back to the root cause analysis and determine if they missed
something. (The team might have missed something in the analysis or
in the solution generation phase that led to the failure of the solution.)
c. Implement the solution to the entire school, hoping that the bigger
population will yield better results. (A bigger population does not
guarantee better results. The cause of the solution’s failure might be
something the team missed in their analysis, and they should review
that.)
d. Blame the teachers and the learners for the failure of their solution.
(The team should not blame the teachers and the learners for the
failure of their solution. The cause of the solution’s failure could be
something that the team missed in their analysis.)
e. None of the choices.

A SI Team has developed a solution to ensure that teachers can

8 concept of good housekeeping. However, one teacher is reluctant with the

approach of the SI team. What can the team do?
a. Ask the principal to give the teacher a memo to force compliance.
(Forced compliance will be problematic in the long run because the
teacher is still not convinced in the team’s solution.)
b. Replace the teacher with someone who will cooperate. (Replacing the
teacher will not ensure the substitute’s buy in.)
c. Choose another grade level to implement the solution. (The solution
should be implemented on the grade level where the issue is present.)
d. Include the teacher in the piloting of the solution so he/ she can feel
the effects of the solution. (Including the teacher in the pilot effort will
make him/ her feel effects of the solution, resulting in the teacher’s
buy-in.)
e. None of the choices.

A SI Team is about to test a solution which involves teachers using a

9 different method for teaching AGONA. The team asked the teachers to
implement the new method through a memo sent by the School Head.
After the pilot testing, the team gathered the data and found that the
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solution was not effective because some of the teachers did not implement
the method correctly. Comment on the approach taken by the SI team.

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 a. The team’s approach was correct. The teachers should be reprehended for the
failure of the solution. (The team’s approach was incorrect. The team did not
explain the reason for the solution and how to implement it. Additionally, the
team should not blame the teachers for the failure of the solution.)
b. The team’s approach was incorrect. They failed to secure the teachers’
buy-in by not explaining the reason for the solution and how to use the
method. The team relied on the memo of the School Head for the solution’s
implementation. (The team’s approach was incorrect. They did not explain the
reason for the solution and how to implement it.)
c. The team’s approach was incorrect. They should have mentioned in the
memo that non-compliance will result in penalties. (The team’s approach
was incorrect. They did not explain the reason for the solution and how to
implement it. Imposing penalties will not ensure the teachers’ compliance and
may create more problems in the future.)
d. The team’s approach was correct. They must think of other solutions to
address the problem. (The team’s approach was incorrect. They did not
explain the reason for the solution and how to implement it. The solution is

e. None of the choices.

A SI Team is looking to increase the Math

10
Figure 3. seCTion a maTh sCores
Scores of Grade IV Learners. The team has
developed a solution and are planning to test
it. The scores of three of the Grade IV sections
before the implementation of the solution can
be seen in Figures 3-5. Which section should
the SI team test the solution on?
a. Section A Only. (The solution should be
implemented on the section where the
issue is present. The grades of Section A Figure 4. seCTion b maTh sCores
learners are high.)
b. Section B Only. (The solution should be
implemented on the section where the
issue is present. The grades of Section B
learners are average.)
c. Section C Only. (The solution should be
implemented on the section where the Figure 5. seCTion C maTh sCores
issue is present. The grades of Section C
students are low and no one passed the
school’s standards.)
d. Section A and B. (The solution should be
implemented on the section where the
issue is present. The grades of Section A
and B learners are high and average.)
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e. All of the Sections.

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Step 9: Roll-Out your Solution
Answer Key
for
page
173

1 to address the low grades of learners in Science. Based on the learners’

test results, the team was able to prove that their solution is effective.
What is the next most appropriate step that the team should take?
a. Turn over the solution to the teachers and let the teachers roll out

project up to the full roll out of the solution. The team should then
guide the teachers during the roll out.)
b. Roll out the solution to all grade levels. (The issue that the team is

not be applicable to other grade levels.)

c. Roll out the solution to all sections in Grade IV. (The issue that

solution should be rolled out to other Grade IV sections.)

d. The project is completed. The team should now move to other

out of the solution. The team should guide the teachers during the
roll out.)
e. None of the choices.

A SI team is planning to roll out their solution to ensure that the

2 feeding program does not exceed the allotted 30 minutes. The

team has completed the testing, the cost computations, and the risk
management strategies of their solution. Before the team rolls out the
solution, they conducted a program to inform the teachers involved
about the details of the implementation, when the implementation is
going to be conducted, as well as the rationale behind the solution.
What element of the people side planning did the team illustrate in this
scenario?
a. Communication (The team shared information about the solution
with the teachers so the teachers will know what is going to
happen.)
b. Participation (The scenario does not show the teachers being
involved in the planning and execution of the solution.)
c. Education (The scenario does not show the teachers being given
what they need to successfully implement the solution.)
d. All of the choices
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e. None of the choices

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 3
A SI team is planning to roll out their solution to ensure that learners know
how to do the AGONA method. The team has completed the testing, the
cost computations, and the risk management strategies of their solution.
Before the team rolls out the solution, they regularly met with the teachers
who will be involved and asked for the teachers’ inputs on how to properly
implement the solution, what needs to be done, as well as other details
regarding the implementation. What element of the people side planning
did the team illustrate in this scenario?
a. Communication (The scenario does c. Education (The scenario
not show the sharing of information does not show the
regarding the solution.) teachers being given what
they need to successfully
b. Participation (The team was
implement the solution.)
involving the teachers in the
planning and execution of the d. All of the choices
solution.)
e. None of the choices

A SI team is planning to roll out their solution to ensure that the teachers

4 don’t exceed the allotted time for discussing the lessons in English. The team
has completed the testing, the cost computations, and the risk management
strategies of their solution. Before the team rolls out the solution, they
conducted short training sessions with the teachers involved to ensure that
the teachers understood how to implement the solution. What element of the
people side planning did the team illustrate in this scenario?
a. Communication (The scenario does c. Education (The team was
not show the sharing of information training the teachers so
regarding the solution.) that the teachers can
successfully implement
b. Participation (The scenario does the solution.)
not show the teachers being
involved in the planning and d. All of the choices
execution of the solution.)
e. None of the choices

A SI team has established standard procedures and documentation for their

5 solution in order to increase the scores of learners in Math. The team is now
going to orient the teachers who will be using these procedures. During the
orientation, one of the SI Team members told that teachers that it is up to
the teachers whether they should follow every single step of the procedure.
What pitfall did the SI team member commit in this scenario?
a. Not including the persons c. Not stating the result to be
performing the activities in the obtained. (The scenario does
creation of procedures. (The not show the lack of results.)
scenario does not show the non-
d. Telling the teachers to ignore
involvement of persons using the
procedures or certain parts of
procedures during its creation.)
the procedures. (The scenario
b. Not testing the procedure prior shows the speaker encouraging
to full-scale implementation. the participants to skip certain
(The scenario does not show parts of the procedures.)
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the team’s failure to test the

e. None of the choices.
procedure.)

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 A SI team has established standard procedures and documentation

6 for their solution in order to ensure that the feeding program does
not exceed the allotted 30 minutes. The team’s solution involves a
new methodology on how to conduct the feeding program. The
team then gave the procedures and documentation to the teachers
and staff in charge of the feeding program, and asked them to read
it then implement it. What pitfall did the SI team commit in this
scenario?
a. Not explaining how to do a step/s. (The scenario shows that
the teachers were asked to study the procedure and determine
how to do execute these by themselves. The teachers were not
oriented on how to do it.)
b. Not making the procedures readily available to people. (The
scenario does not show the unavailability of the procedures.)
c. Telling workers to ignore procedures or certain parts of the
procedures. (The scenario does not encourage the ignorance of
steps in the procedure.)
d. Not having a method to update procedures. (The scenario does
not show the need to update the procedures.)
e. None of the choices.

A SI Team has established standard procedures and documentation

7 on the process of teaching learners the AGONA Method. The

procedures have been turned over to the Math teachers. The Math
teachers have been trained on how to perform the procedures
as well. After several years, the process of teaching the AGONA
method has changed a lot in order to adapt with the changes in
teaching methods and learner needs. However, the procedures and
documentations were not updated. What pitfall did the SI team
commit in this scenario?
a. Not telling people how to do a step/s. (The scenario does not
show the lack of training of people on how to do the step/s in
the procedure.)
b. Not making the procedures readily available to people. (The
scenario does not show the unavailability of the procedures.)
c. Telling workers to ignore procedures or certain parts of the
procedures. (The scenario does not encourage the ignorance of
steps in the procedure.)
d. Not having a method to update procedures. (The scenario
shows the need to update the procedures because the actual
process has already changed but there remains no method on
how to execute it.)
e. None of the choices.
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 8
A SI team has established standard procedures and documentation
to ensure that teachers don’t exceed the allotted time for class
discussions. What is the next most appropriate step that the team
should take?
a. Leave the standard procedures and documentation with the users
and proceed to the next project. (The users should be trained
properly so that they know how to apply the procedures.)
b. Train the users of the standard procedures and documentation.
(The users should be trained properly so that they know how to
apply the procedures.)
c. Keep the standard procedures and documentation in the library.
(Procedures and documentations should not be kept in the library.
These should be kept near the place where the process will be
executed so that people can easily refer to the procedures and
documentations when needed.)
d. Give the standard procedure and documentation to the School
Head. (The School Head can have a copy of the procedures and
documentation. However, these should still be given to the users.)
e. None of the choices.

A SI team is ready to roll out the solution to ensure the proper

9 segregation of waste in the school. The SI team has determined that
they would need the help of parents in order to remind the learners
regarding the segregation of waste. As such, the SI team called a
symposium to orient parents regarding their proposed solution and
what the parents can do to help. What element of the people side
planning did the team illustrate in this scenario?
a. Communication with stakeholders (The team shared information
with stakeholders so that the stakeholders will know what is going
to happen and that they can provide their inputs and support.)
b. Participation (The scenario does not show the parents being
involved in the planning and execution of the solution.)
c. Education (The scenario does not show the parents being given
what they need to successfully implement the solution.)
d. All of the choices
e. None of the choices
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10 method. The new methodology is their solution to ensure that students
understand and know how to do the AGONA method. There are
currently 5 teachers handling Math subjects for Grade IV and all of them
are teaching the AGONA Method. With the new standard process, the
school can ensure that the method is delivered the same way every time,
regardless of who is delivering it. What use for standard practices was
illustrated in this scenario?
a. Create consistency among individuals or groups
(This makes the process output more predictable. Creating a
standard procedure ensures that the process will be delivered
consistently every time, regardless who is doing it.)
b. Provide “know-why” for teachers and leaders currently on the job.
(The scenario does not show the procedure helping the teachers
do what they need to do.)
c. Provide a basis for training new people (The scenario does not
show the procedures being used to train new people.)
d. Provide a trail for tracing problems (The scenario does not show the
procedures being used to trace problems.)
e. None of the choices.

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 Step 10: Check your Progress
Answer Key for
page
185

1
A SI team has rolled out their solution to ensure that the feeding
program doesn’t exceed the allotted 30 minutes. What is the next
most appropriate step that they should make?
a. Close the project and proceed to the next one. (the team should
monitor the solution to ensure it continuously performs according
to expectations before closing it)
b. Monitor the solution to ensure that the process continues to

monitor the solution to ensure it continuously performs according

to expectations before closing it)
c. Proceed to the next project immediately. (the team should
monitor the solution to ensure it continuously performs according
to expectations)
d. Leave the monitoring to the teachers and proceed to the next
project. (monitoring should initially be done by the team,
and they should set up a monitoring system that they should
handover to the process owners)
e. None of the choices.

A SI Team is looking into the Teaching Learning process of Science

2 for Grade III Learners. During the walk the process the team observed
that the entire Teaching Learning process exceeded the 40 minutes
allotted time. The team now decided to gather data on the start
and end times of each sub-process of the teaching learning process
of Science. The team is now going to implement their solution to
address the issue, which data should they gather to assess and
monitor the implementation?
a. Time data on the start time and end time of the teaching
learning process (this data is not consistent to what they
collected in Step 4)
b. Time data on the amount of time in excess of 40 minutes (this
data is not similar to what they collected in Step 4)
c. Time data on the amount of time spent for recitation (this data is
not similar to what they collected in Step 4)
d. Time data on the start time and end time of each sub-process
of the teaching learning process (this data gathers how long
each sub-process took, this is consistent with the data that they
gathered in Step 4.)
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e. None of the choices

228
3 solution. They have also monitored the solution for a certain time to
ensure that it continuous to perform according to what is expected.
What is the next most appropriate step that they should take?
a.
their contribution, handover the monitoring and evaluation to
the process owner, and proceed to the next project. (the team
should take these actions to properly close the project)
b. Proceed immediately to the next project. (proper closing of the
project should be done)
c. Be content with what they have achieved and with the
performance of the school. (the team and the school should
never be content they should pursue continuous improvement)
d. Continue with the monitoring of the project performance to
ensure that it continuous to perform according to expectations.
(the team should know when to let go and proceed to other
projects)
e. None of the choices.

4
A SI team is looking into the issue that the learners have low scores
in Science. They implemented remedial classes to help learners with

apply?
a. Level 1 Fix the Output (this level is corrective, the output is being

b.
that produces the output)
c.
and procedures within the system)
d. All of the choices
e. None of the Choices

A SI team is looking into the issue that learners have low scores in
5 Math. The team investigated the teaching-learning process math and

a. Level 1 Fix the Output (this level is corrective, the output is being

b.
that produces the output)
c.
and procedures within the system)
d. All of the choices
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e. None of the Choices

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 6
A SI team is investigating the drop out rate of a particular school. They looked
into the attendance monitoring process and introduced new policies to ensure
the accuracy of the attendance and the monitoring of learners with poor

a.
b.
produces the output)
c.
within the system)
d. All of the choices
e. None of the Choices

7 IV learners. Before the implementation there were 50% of students who were non-
numerates. After the implementation of the solution, they gathered data on the
level of numerates in grade IV and found that there were still 50% of learners who
were non-numerates. The school standard is that at most 10% of learners being
non-numerates is acceptable. Comment on the results of the solution of the SI
team?
a. The solution was successful; the team was able to sustain 50% of learners
who are non-numerates. They were able to prevent its increase and made it
consistent. (SI improvement projects aim to meet the standards set by the
school or make improvements from the current state)
b. The solution was unsuccessful. The team was not able to reach the standard
set by the school. (The team was not able to meet the performance standard
set by the school or even improve their current situation)
c. The solution was unsuccessful; the team should blame the teachers for the
failure of the solution. (Yes the solution was unsuccessful but the team should

d. It’s hard to say whether the solution was successful or not, additional data
should be gathered. (the data shows that the solution is unsuccessful, the
team was not able to meet the target performance or even improve the
current performance)
e. None of the choices.

8 Feeding Program process. They gathered ‘before’ and ‘after’ data and are ready

i. The difference between the desired and actual performance.

(this is correct because it shows whether the solution is
effective) a. i, ii, and iii
ii. Adherence to the implementation plan. (this is correct b. i only
because it shows whether the plan was followed)
c. i and iv
iii.
d. All of the
not initially planned but are still important) choices
iv. Effectiveness of the solution to target the causes e. None of the
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choices

230
9 Grade IV learners. Before the implementation there were 50% of students who
were non-readers. After the implementation of the solution, they gathered

of learners who were non-readers. The school standard is that at most 10% of
learners being non-readers is acceptable. What should the SI team do after
getting this result?
i. The team should re-evaluate the analysis that they did and
look into the reasons of why they were not able to bring Which
down the number of learners who are non-readers. (this is action/s
correct because the team looks back into their analysis to
determine why their implementation failed) should the SI
team do?
ii. The team should investigate who is the reason for the a. i only
failure of the solution so they have someone to blame. (this
is wrong, the team should not blame people for failure, b. ii only
instead evaluate the process that they followed and their
analysis) c. ii and iii

iii. The team should accept the failure of the solution and move d. i and iv
on to the next project. (this is wrong, the team should not e. None of
give up whenever they experience failure, they should look the choices
into the reasons why it failed and improve)
iv. The team should look into the actual implementation and
compare it with the plan to see if there are deviations to
the plan that caused the failure. (this is correct because the
team looks into the implementation to see if deviations from
the plan happened which might have caused the failure.)

10 solution for a certain time to ensure that it continuous to perform according to

what is expected. They are now ready to close the project. What activities should
they undertake for the closure?
i.
into the project (this is correct, the team should be Which
action/s
projects) should the SI
ii. Capture the learning from the initiative (this is
team do for
correct because the learning will help future project the project
implementations) closure?
a. i only
iii. Develop managerial systems to monitor the
implementation (this is correct because the monitoring b. i, ii and iii
should be handed over to the process owner, and a
system will make it easy for them) c. ii and iii
iv. Celebrate and be content with the improvement that d. i and iv
they have done (celebration is correct, the team should
e. None of the
celebrate their achievements but they should not be
choices
content with the improvements made, we want to instill
a culture of continuous improvement)
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 PROjeCT FORMS

PROjeCT TiTle

Name of the School and project

Team Members
STAGe 1: ASSeSS

bACKGROunD

School Measures
VoC
project Scoping (SIpoC)

CuRRenT STATe

process Map +
Data gathering and presentation

problem statement

PRObleM AnAlySiS
STAGe 2: AnAlyze

root Cause analysis

Validation of Causes

prioritization of Valid Causes

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 FuTuRe STATe
objective
Statement
STAGe 2: AnAlyze

Solution generation
Value analysis
Improved process Diagram

iMPleMenTATiOn PlAn
Tasks and Timeline
Budget and resource
Stakeholder analysis

evaluation of Implementation risks

TeST ReSulTS

piloting

rollout

Before and after

STAGe 3: ACT

Key leARninG

project Closure

project Sharing
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Resources

Si RiSK TeMPlATe
Step 3: Response Step 4 : Risk Response
Step 1: Risk Identification Step 2: Risk Assessment Strategy Planning

Risk Management
Risk Description of Risk Event Potential Impact
ID Strategy Action
Category Risk Event Trigger if Risk Event Occurs

(1-5)
(1-5)
Severity
Plan/Contingency Plan

( 1 - 25 )

Likelihood
Risk Score
Assigned to

Describe how the
design or process
Categorize functions (or items)
the risk can fail. The
1 according to question being asked
its here is “How could it
Describe the
consequences of each
failure mode. It is
Provide
extremely important to
reasons why
capture the experiences of
the failure
the customer. Thus, we
mode can or
Assess the
Assess how often
severity based on
a failure mode or Risk Score = Provide actions to
how bad the
its cause happens. Severity x eliminate the cause of
effects of the
Rated on a scale Likelihood the risk. The strategy
failure mode is. A Assign a person to be
of 1 to 10, where Highest Risk should lower the impact
rating of 10 responsible for tracking and
10 means that Score of the risk by reducing
means that an managing each identified risk

234
must put ourselves in the failure is certain warrants first the likelihood of
consequence fail” not “If it will fail”. will occur. effect is so severe,
shoes of the customer and to occur and 1 consideration occurrence, reducing the
it threatens the
know these effects means extremely for analysis. consequence, or both
safety of the
through their perspective. remote.
customer.

Step 2: Risk Step 4 : Risk Response

Step 1: Risk Identification Step 3: Response Strategy
Assessment Planning

Risk Management
Risk Description of Risk Event Potential Impact
ID Strategy Action
Category Risk Event Trigger if Risk Event Occurs
(1-5)
(1-5)
Severity

Plan/Contingency Plan
( 1 - 25 )

Likelihood
Risk Score
Assigned to

Principal, Head
Create Anti-littering Committee Teachers, Guidance
counselor, Student
Government, Class
Advisers, Class
Students will Include effects of global warming and President
The student will
not support No strict waste management topics in science
still throw their
1 Moderate the campaign implementation 3 3 9 subjects
trash
 failure mode. It is its cause happens. Severity x eliminate the cause of
Categorize functions (or items) Provide effects of the
extremely important to Rated on a scale Likelihood the risk. The strategy
the risk can fail. The reasons why failure mode is. A Assign a person to be
capture the experiences of of 1 to 10, where Highest Risk should lower the impact
1 according to question being asked the failure rating of 10 responsible for tracking and
the customer. Thus, we 10 means that Score of the risk by reducing
its here is “How could it mode can or means that an managing each identified risk
must put ourselves in the failure is certain warrants first the likelihood of
consequence fail” not “If it will fail”. will occur. effect is so severe,
shoes of the customer and to occur and 1 consideration occurrence, reducing the
it threatens the
know these effects means extremely for analysis. consequence, or both
safety of the
through their perspective. remote.
customer.

eXAMPle Si RiSK TeMPlATe

Step 2: Risk Step 4 : Risk Response
Step 1: Risk Identification Step 3: Response Strategy
Assessment Planning

Risk Management
Risk Description of Risk Event Potential Impact
ID Strategy Action
Category Risk Event Trigger if Risk Event Occurs

(1-5)
(1-5)
Severity
Plan/Contingency Plan

( 1 - 25 )

Likelihood
Risk Score
Assigned to

Principal, Head
Create Anti-littering Committee Teachers, Guidance
counselor, Student
Government, Class
Advisers, Class
Students will Include effects of global warming and President

235
235
The student will
not support No strict waste management topics in science
still throw their
1 Moderate the campaign implementation 3 3 9 subjects
trash
for “Zero of rules;
everywhere
Litter” Science Teachers
Project
Award Most Clean Room of the
Week

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SIPOC TEMPLATE
Supplier Inputs Process Output Customer

236
Process Steps
 SAMPLE DATA COLLECTION PLAN 1
(THIS IS ONLY A SAMPLE DATA COLLECTION PLAN, TEMPLATE CAN BE
CHANGED DEPENDING ON THE DATA NEEDED)
Data Collection Plan Project ________________________
What questions do you want to answer?

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237
Data Operational Definition and Procedures
What Measure How measured Related conditions Sampling How/where
type/ Data 1 to record 2 notes recorded (attach
type form)

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SAMPLE DATA COLLECTION PLAN 2

(THIS IS ONLY A SAMPLE DATA COLLECTION PLAN, TEMPLATE CAN BE CHANGED DEPENDING ON THE DATA NEEDED)

Process Step Time Start Time End Cumulative Time Notes

238
 SChOOl iMPROveMenT STORy

Schooll lmprove1
m ent Story of Mari'lkina High School
Rea.ding I nte ruention Pr-ogr-am

ODUCTIO

Status of Read·ng Leve[ls of Students

At the star oif SY 2013 to 2014, the school sti I. ad a num er
of s ude ts w it · lo,w reading abmties, despite t ei
impleme atio of a reading imp oveme t prograrm
ariki1na HS
Dis1 ibut on ,of Students Wi'th , ead i ng Dli IC 11.1 11 ,es
I
1

Ga e7

2nd r

To address th Js issue, Marikina

T e sc: ool de ined e~r
HS dedded to try o e
improve · e ta ea as,
Contini ous mprovemen
,.' To im r ove the Grade 4
methodollogy. They selected
eading abili y o the 14
the st de ts with Grade 4
fo rth year .st1 dents at t e
reading [levels, t e lowest
e d of Decembe 2013.N'
e
rating amo t ose w ith
reading ifficu lt ies, as the
I Se ptem ber 2013, t ey
1

target for their Conti 0 1 s

initiated the C~ process.
Improve ent mterve t io .
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239
239
 1. Get Organized

The school established t heir SI team to implement

t he improvement process.

The SI Team conducted home

visi a ion to orien he parents
abou he project, ge heir
approval, and s dy he
studen s' background. Aside
from parents, s dents and
eachers were also in erviewed.

e team prepared
survey forms for
paren and den
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240
 3. Walk the P OC@SS

The current reading intervent ion process was apped out. The in-class remedial
reading was i mplem ented in al l year levels (Grade 7 - 4 1 year ) using McCall Crabbs
Test and t he Comprehensive Assessment of Reading Strategies (CARS). It did not
address the individual lea ming needs of students in reading and comprehension.

A.d m ln tcr
Conduct e.acher- plemenft e ,Ca du_ct fteache - Ad.mlnJstcr
cCall
designed In-class designed McCal I Crabbs
C at>bs
prc-t,cs1 and diaiJIOs k test r-eadi g d as c post posMcs-1 and
anaJyzc an d analyze intervention test .;md .a_nalyze analyze
results results u ngCAR resu rcsu s

4. l de t ify Prio ity l mrprove ent Area

Based on the McCall Crabbs Pre-test resu lts (2 ' .. Qtr. SY 2012-2013), 862 t hird
year HS studen s ave reading abili ies ranging from ·Grade 4 to 2 d Year.
In t he Pos - es (4 h Q r. SY 2012-2013) 14 third year HS students have a
reading abili y of Grade 4 level. These st dents are now in their fourth year.

PROBLEM STATEMENT

ave a reading ability o

Grade

No. of Striv ing Adol escents NO. OF STRJVING ADOLESCENT

READERS
Gr;,ii:: 4 ,
14
REAIDI G GRADE
L£VEL POST TEST
4 14
5 110
6 252
7 187
2nd Vear 70
lOTAII. 633
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 S. Do Root Ca se A alysis
Amo g t ·e oo ca us.es iden ...i e by he SI Team were : poor reil di g comp re ensi on d e
to poor vocabulary. poor st a · habi s. beca set ere is o o e to gu·de he • v.ilried
a[P plica ·ons and differe i ated st ategies of CARS among Engl is te chers, a d i ~cl.lss
implementation of CARS does not add ess deve opment of ind· idual readings ii s.
I I
ATER1ALS

Fourteen
fou rt:h year
1

students
with Grade
4 re ding
level

6. Develop Soll utio

1

The SI Team fo tions to ild ress t e oot ca ses to ensu e thilt he ta rget spec·fied
·n the objective wou ld be ac ieved w· hin th ee ont s. These we e ma· ly cond cti g
o ial in school illlld deve oping customiz,e d materi als to suppJement CAR S.

l!S' le
test ,and ;irn;il~"" the
o ·mprove the 11:5L
Grade 4 reading
ilbility of t he 14
4 1"1 year st udent s Cmdu.c t th.c !!-11d ;mt1ty:r
at the end of Flcrnedlal t n Ult
December 5cnlo,ns

7. Fi alize Improvement Plan

C • f I

· ,tG P :H
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 10. C ec Progress

- 0 E ATER
Grade 6 level = .S
Grade 5 level = 6
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 step eight:
Pilot Your Solutions

Learning Output:
Pilot Test Results
3.1

Learning Outcome:
PILOT YOUR SOLUTIONS

1. Understand the basic concepts in testing solutions

and monitoring the implementation status; and
2. Be able to implement an improvement solution
under controlled conditions.

152
 ACT 3.1
Pilot Your
Solutions
Introduction:
At this stage, you have already accomplished the following:
1. identified a broad problem based on a
relevant school measure;
2. identified the key people who will
comprise the CI team;
3. identified the needs of the customers
and stakeholders affected by the broad
problem;
4. identified and mapped the process that
is linked to the school measure;
5. identified the storm clouds that were
observed while walking through the
process;
6. prepared a data gathering plan;
7. collected relevant data on each of the
storm clouds in the process based on the
data gathering plan;
8. analyzed the collected data using the
appropriate graphical data display
techniques and data analysis tools;
153
153
9. selected a focused problem
statement among the storm clouds;
10. identified and validated the root
causes of the problem identified;
11. generated solutions that will
address the root causes of the
problem;
3.1
12. developed the future process map
based on the solutions selected; PILOT YOUR SOLUTIONS
13. identified and agreed upon a
solution to be applied in the
process in order to address the
problem;
14. Identified the different
resources required for project
implementation and
15. anticipated risks that may arise
during the implementation and
come up with a plan that can
mitigate each of these risks
 In this step, you should be able
to test whether the solution is
able to address the problem you
are considering in your project
and you should also be able to
measure the costs and benefits of
applying your solution.

FIGURE 8.1 – TEST SOLUTIONS

Why Test Solutions?

As seen in Figure 8.1, testing of solutions or pilot testing is implementing the solution
using a smaller scope as opposed to fully implementing the solution. In this step, it is
necessary to record and observe the performance measures considered in the project.

Testing of solutions is important because it

provides an opportunity to revisit the project
objectives and the chosen solution. Testing of
solutions allows the team to evaluate whether

FIGURE 8.2 – BEFORE & AFTER SOLUTION

the chosen solution is able to provide the
expected results. Testing of solutions allows
the implementation of the solution considering
a smaller-scale. With this, it would not be too
costly to apply the solution, especially if the
solution does not provide the expected results.
3.1

Testing the solution also allows us to improve

the solution.
PILOT YOUR SOLUTIONS

In cases when the expected results are not met,

we can enhance the solution and correct areas
that needs improvement. We can also understand
the risks to have smooth implementation.
Understanding risks are important so we can
develop ways to mitigate these risks.

Testing solutions can also facilitate buy-in of other teachers

and students. By seeing desirable results in the pilot testing
phase, we can convince other teachers and students that
we can achieve expected results through implementing
the solution. We can also validate the expected results
and identify previously unknown performance problems.

154
When to Test Solutions?
You need to test the solutions when there is a need
to confirm the expected results and the practicality
of the solution. Testing is necessary when we want to
know whether it is easy to implement the solution, or
whether we have enough resources to implement the
solution. In some cases, we need to test the solutions
to identify difficulties that we will encounter in order
to be ready for these in the full implementation phase.

Through seeing potential risks we are exposed to in implementing solutions, we can

reduce the risk of failure. We should also test the solution when the scope of the change
is large, and reversing the change would be difficult. In this case, it would be too costly
to implement the change so it would be better to implement in a smaller-scale first, such
as in a pilot test. We should also test solutions when changes would have far-reaching,
unforeseen consequences because testing would allow us to see these situations.

Some critical issues in planning a test of solution

In planning the testing of solution, we are
focused on identifying where we want to
implement the change first. We typically
select a small population out of the entire
scope, say for example, a section out of an
entire grade level.

Through focusing on one section first, it will be

easier to implement and less resources will be
required. The only important consideration
should be to cover the full range of process
conditions. That is, all potential conditions

3.1
are present in the identified pilot test area or
samples.
FIGURE 8.3: USING A SAMPLE
PILOT YOUR SOLUTIONS

We should make sure that we are able to see FROM A POPULATION

the whole process and be able to implement the solution in full such that we can
evaluate whether it would be beneficial to implement on a larger or in a full scale.

It is also critical to identify what needs to be measured, when, and where do we have to
put these measures. We also have to consider how we can minimize disruptive impacts
on the school schedule or student learnings while ensuring the validity of the testing.

Finally, we should be able to evaluate the results of the pilot test to determine whether
we should continue with implementing the solution or we should correct some aspects,
or in some cases, even forgo the solution for a better option. In analyzing the results of
the pilot test, we should be able to go back to the project objectives to know whether
we are able to address each objective and eliminate the problem we considered.

155
155
 Evaluate the results
After pilot testing, we now have to
evaluate the results. In evaluating, we
have to clearly show what changed with
the performance measures. We typically
use histograms, pareto charts, and other
figures such as pictures to show the
conditions before and the results after the
implementation. Through providing visual
representation of results, our stakeholders
as well as our colleagues can clearly see
the benefits of implementing the solution.
Please see the charts in Figure 8.4 for
some examples.

Before After Good

} Improvement

Remaining Gap
Step 4 Changes
Implemented } Target

Before After

} Improvement
3.1
PILOT YOUR SOLUTIONS

A1 A2 A3 A4 A2 A1 A3 A4

Before After

FIGURE 8.4 - DISPLAYING BEFORE AND AFTER DATA

156
 Absences (Before)
In showing graphs, we 20
18
have to make sure that
16
we are showing the data
14
using a similar scale. It is
12
important to continuously
10
monitor the performance
8
measures in order to 6
show whether there had 4
been improvements with 2
the implementation of 0
the solution.

Absences (After)
200
FIGURE 8.5 - NOTE ON 180
COMPARING RESULTS ON
DIFFERENT GRAPHS 160

Make sure
140
120
the scale is 100

the same 80
60
* Changing the Y-axis 40
* Changing the X-axis 20
00

Cost-Benefit Analysis
Cost-Benefit Analysis involves comparing the 3.1
total expected cost of each option against
PILOT YOUR SOLUTIONS

the total expected benefits, to see whether

the benefits outweigh the costs, and by how
much. The steps include:

1. Measure the benefits.

2. Identify all costs components.

3. Compare and assess

with the stakeholders.

FIGURE 8.6
COST-BENEFIT ANALYSIS

157
157

Non-recurring costs:
Implementation Costs,
Training Costs, Facility
Costs, and Meeting Costs.
Costs
In terms of cost considerations, we
have non-recurring costs such as those
involved in setting up for the purpose of
deploying the solution. Examples are:
Implementation Costs, Training Costs,
Facility Costs, and Meeting Costs.

Recurring costs are costs that are

Recurring costs:
repeatedly incurred. Examples
Material/Supplies Costs
include: Material/Supplies Costs and
and Maintenance Costs.
Maintenance Costs. In some cases,
there could also be intangible costs
such as extra effort on the part of
teachers or other school personnel.
The time of teachers to implement the
change could also be treated as a cost
measure for the cost benefit analysis.
Benefits
The benefits could either be tangible/quantitatively measureable benefits such as in
the case of increase in student grades, decrease in student absences, or increase in
number of students, or intangible/qualitative such as improvement in communication
between teachers, the satisfaction of students with the teaching methods, or in terms
of having better relationships between the principal and teachers. It could also be in
terms of the respect of students to their teachers and other school personnel or the
quality of health within school premises.

Regardless of the solution that we piloted, it is important to consider both tangible

and intangible benefits because these affect the quality of education we provide our
customers, which are students, parents, and other stakeholders.
3.1

Depending on the results of the pilot test, some adjustments

may need to be done to the process improvements.
PILOT YOUR SOLUTIONS

1. Review the pilot process performance results and

feedback from customers and other stakeholders

2. Review the process maps and identify any needed

adjustments in the piloted process improvements

3. Draft the revised process maps and update related

supporting documents and materials

158
 The key message of
this step is you have to
monitor and manage the
implementation of your
solution in order to assess
whether the solution can
provide the desired results.
We can only do this by testing our solution in a
small group to know if the solution is effective
or not. Therefore, by doing this, we can still
further improve your solution and mitigate risks
of failure as early as this step to assure success
when you roll-out your solution to the entire
school. Piloting the solution allows the team to
observe the corrective program at work. This
should give them enough time to smooth out
kinks and improve on the solution. Once the
solution is in top form, we can then rollout the
solution at a larger, system-wide scale.

3.1
The next section will help us in implementing your solution in a
PILOT YOUR SOLUTIONS

larger scale. Questions such as, How do you ensure that solutions
are applied consistently during roll-out? What level of commitment
do you need to ensure the success of the project? How would
you communicate and gain the buy-in of your solution to your
stakeholders? will be addressed in the following section.

159
159
 Step 8: Test your Solution
Lesson Review FIGURE 1. 4TH YEAR DROP OUT RATE (BEFORE)

1
SI team has identified a solution to
ensure that the feeding program does
not exceed the allotted 30 minutes.
The team has completed the
implementation plan, the budget and cost
management plan, the resource plan, and
the risk management plans. What is the
next most appropriate step that the SI team
should take?
a. Implement the solution on a full scale,
involving all grade levels in the school. FIGURE 2. 4TH YEAR DROP OUT RATE (AFTER)

b. Ask the School Head to draft a memo

making the team’s solution official and
ready for school-wide implementation
as soon as possible.
c. Test the solution on a small scale to
determine if it really works, and make
improvements if necessary.
d. Hand over the solution to the teachers
and let them implement it. The SI
team should move to the next project.

3
e. None of the choices A SI Team looking into the
drop out rate of 4th year

2
A SI team identified a solution to help
students understand the AGONA
method. The team is now ready to
implement the solution to the entire school.
The Team leader explains to the team that
they need to test their solutions first. Why
3.1
learners has tested the solution
and has gathered data. The before
and after graph of the drop out
rate can be seen in figures 1 and
2. Comment on the data of the SI
Team.

should the team test their solutions first? a. The solution is effective. The
(i) So that the team can make drop out rates decreased
PILOT YOUR SOLUTIONS

improvements to the solution. after the implementation of

the solution. However, the
(ii) So that the team will be able to
scaling of the two graphs are
understand the risks involved.
different, which makes these
(iii) So that the team will be able to difficult to compare.
validate the expected results.
b. The solution is not effective.
(iv) So that the team will know the effects of The graph shows that the
their solution on the entire year level. drop out rates increased after
a. i only the implementation of the
solution.
b. ii and iii
c. i, ii, and iii
d. All of the choices
e. None of the choices
160

c. The solution is not effective.
The graph shows that there is
no change in the drop out rates
after the implementation of the
solution.
d. The solution is effective. The drop
out rates decreased after the
implementation of the solution,
which is perfectly reflected in the
graphs.
e. None of the choices
4
A SI team looking into the
performance of learners in Science
has implemented a pilot test for
their solution. They have gathered the
data for the test. What is the next most
appropriate step that the team should
take?
a. Implement the solution for the
rest of the school.
b. Evaluate the tests results and
compare these with the current
state in order to see if there really
are improvements.
c. Hand over the solution to the
teachers and let them implement
the solution for the rest of the
school.
d. Do not implement the solution.
e. None of the choices.
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161
5
A SI team has developed three
solutions to ensure that the
feeding program does not
exceed the allotted time of 30 minutes.
The team is unsure of which solution to
implement. What should the team do?
a. Implement all three solutions
and compare which one is the
most effective.
b. Hand over the solutions to the
teachers and let them worry
about which to implement. The
team can now move to another
project.
c. Escalate the issue to the School
Head and let him/ her decide
what to do.
d. Perform cost-benefit analysis,
and choose the solution with the
highest net benefit.
e. None of the choices.
6
A SI team is going to perform
a cost-benefit analysis of their
solution to ensure the proper
segregation of waste. Their solution
is to label the trash cans properly
and assign different colors for each
receptacle of waste. The team has
identified the following costs:
3.1
i. Training costs for the teachers
ii. Cost for meetings
PILOT YOUR SOLUTIONS
iii. Cost for trash cans
iv. Cost for trash bags
Which cost should be included
in the cost-benefit analysis?
a. i only
b. i, ii, and iii
c. iii and iv
d. All of the choices
e. None of the choices
 7 9
A SI team has tested a solution to
increase the Reading Comprehension
scores of learners. The team has
gathered data and found that their
solution is not effective. What should the
team do?
a. Blame each other for the failure of
the solution.
b. Go back to the root cause analysis
and determine if they missed
something.
c. Implement the solution to the entire
school, hoping that the bigger
population will yield better results.
d. Blame the teachers and the learners
for the failure of their solution.
e. None of the choices.
8
A SI Team has developed a
solution to ensure that teachers can
immediately find what they need for
teaching. The team will use the concept
of good housekeeping. However, one
teacher is reluctant with the approach of
the SI team. What can the team do?
a. Ask the principal to give the teacher
a memo to force compliance.
b. Replace the teacher with someone
who will cooperate.
3.1
c. Choose another grade level to
implement the solution.
PILOT YOUR SOLUTIONS
d. Include the teacher in the piloting
of the solution so he/ she can feel
the effects of the solution.
e. None of the choices.
162
A SI Team is about to test
a solution which involves
teachers using a different
method for teaching AGONA.
The team asked the teachers
to implement the new method
through a memo sent by the School
Head. After the pilot testing,
the team gathered the data and
found that the solution was not
effective because some of the
teachers did not implement the
method correctly. Comment on the
approach taken by the SI team.
a. The team’s approach was
correct. The teachers should
be reprehended for the
failure of the solution.
b. The team’s approach was
incorrect. They failed to
secure the teachers’ buy-in
by not explaining the reason
for the solution and how to
use the method. The team
relied on the memo of the
School Head for the solution’s
implementation.
c. The team’s approach was
incorrect. They should have
mentioned in the memo that
non-compliance will result in
penalties.
d. The team’s approach was
correct. They must think of
other solutions to address the
problem.
e. None of the choices.
10
A SI Team is looking to increase the Math Scores of Grade
IV Learners. The team has developed a solution and are
planning to test it. The scores of three of the Grade IV
sections before the implementation of the solution can be seen in
Figures 3-5. Which section should the SI team test the solution on?
a. Section A Only. d. Section A and B.
b. Section B Only. e. All of the Sections.
c. Section C Only.

FIGURE 3. SECTION A MATH SCORES

FIGURE 4. SECTION B MATH SCORES

3.1
PILOT YOUR SOLUTIONS

FIGURE 5. SECTION C MATH SCORES

ANSWERS
ON PAGE
206
163
163
 step ten:
Check Progress

Learning Output:
Longitudinal data of the current and improved process
3.3

Learning Outcome:
CHECK PROGRESS

1. Assess the degree of improvements made in the

problem
2. Demonstrate basic concepts on monitoring and
evaluation that will lead to continuously improving
the process.
3. Be able to turn over the monitoring and evaluation
role back to Process Owners.

176
 ACT 3.3
Check
Progress
Introduction:
At this stage, you have already accomplished the following:
1. identified a broad problem based on
a relevant school measure;
2. identified the key people who will
comprise the SI team;
3. identified the needs of the customers
and stakeholders affected by the
broad problem;
4. identified and mapped the process
that is linked to the school measure;
5. identified the storm clouds that were
observed while walking through the
process;
6. prepared a data gathering plan;
7. collected relevant data on each of the
storm clouds in the process based on
the data gathering plan;
8. analyzed the collected data using the
appropriate graphical data display
techniques and data analysis tools;
9. selected a focused problem statement
among the storm clouds;
10. identified and validated the root
causes of the problem identified;
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177
11. generated solutions that will address
the root causes of the problem;
12. developed the future process map
based on the solutions selected;
13. identified and agreed upon a solution
to be applied in the process in order
to address the problem;
14. Identified the different resources
required for project implementation;
3.3
15. anticipated risks that may arise during
the implementation and come up
with a plan that can mitigate each of
CHECK PROGRESS
these risks;
16. tested the effectivity of the solution
in small scale group;
17. measured the cost and benefit of the
solution;
18. established the commitment needed
by the stakeholders for the roll-out
and
19. implemented solution to a larger
scale group.
 Coming from the roll-out discussion, it is important to determine if the
improved process continues to perform as expected, and that the intended
outcomes are being realized. Therefore, there is a need to continuously
monitor the improved process if they comply with project objectives and
measures as well eliminating the causes of unsatisfactory performance.
This will ensure the consistent implementation of improvements and
sustained performance.

After you finish your project, you should be able to find another way to
improve it further. The cycle never stops until we achieve perfection in
satisfying our learners and stakeholders. We must also realize that goals
are changing for good; therefore another cycle must be done to achieve
the change in goal. After this step, you need to review the results of your
project if it achieved its goals, if not, then you have to assess your process
again, analyze the data, create new ways to improve the process and
check your progress.

In this step, you need to do two major activities and these are checking
and evaluating. Checking means referring back to the measures that
you are interested with and be able to compare the before and after
intervention results shown in a graph or interviews of our major customers
and stakeholders. On the other hand, evaluating means comparing the
results to the intended benefits of your solution to the identified measure
you are interested with.

What do you need to check?  Tasks,

First, check the Results! You need to timelines
gather data on the same measures
identified in Assess Stage and use  Budgets,
resources
3.3

the same data collection procedures.

Second that you need to check
are the methods; document what  Stakeholder
involvement
CHECK PROGRESS

steps are actually followed during

implementation. At this point, you
must recall all the plans that you  Plans for
have prepared during the finalization checking
of your improvement plan (Step 7)
 Failure
It is important to monitor both how prevention
the activities are being conducted
and the results generated by these
activities. These have to be compared
to the standardized procedures and
target performance levels.

178
Active Follow-up,
Correction, and Support.
Results gathered from the monitoring phase
should be reviewed, and actions on improvement
opportunities should be promptly taken. The SCHOOL
data should give us a signal if there is a need
to revisit our process. If data shows undesirable IMPROVEMENT
performance then the team must gather together
and investigate why it is happening. The team
must agree on what to do to mitigate the risk
of happening it again. Follow-up is important
– change is not always automatic. Follow-up is
not just about checking-up on implementation
it’s also about understanding difficulties.

Inputs Daily Output

Meetings

Results (units, Action items

quality, safety)

Process measures FIGURE 10.1

ACTIVE FOLLOW-UP,
Problems (delays, CORRECTION, AND
waste, downtime, SUPPORT

scrap)
Follow-up
3.3
CHECK PROGRESS

If you followed your plan but failed to get the desired results, you need to retrace your
steps ether by the output, process or the system. As shown in figure 10.1, output is
the lowest level of fix meaning it’s the easiest to determine why your implementation
failed. You project failed maybe because you have relatively new students which are
less proficient compared to the previous batch. Therefore the call now is to revisit the
solution and make some adjustment to the solution to cater for the new students. The
next level is the process, if the customer characteristics are the same but still the results
are not promising, you need to go back to your solution and refine some parts of your
solution or explore other options. The last level or the most difficult to fix is the system or
the policy in place. If the policy is to be blame, you need further collaboration to a wider
network of stakeholders and maybe change the constraints that cause the results to fail.
Please see Figure 10.2 on the next page to see the various levels of fix.

179
179
 FIGURE 10.2 LEVELS OF FIX

How to What to
Produce it Produce

Process
Measurements Machines

Output

Store Store
Inputs Produce it Fix it
Product Product

Methods People Environment

Policies

In this step, it is very important to display before and after data to show the
effectivity of our solutions as shown in figure 10.3 on the next page. We can
3.3

show this by following these steps:

• Add more data to an existing run chart or control chart.

CHECK PROGRESS

• Prepare new Pareto charts for those you created in the Assess stage.
Ensure that the scale and dimensions the same to accurately judge the
degree of improvement.

• Draw new frequency plots on the same scale as the original plots.

Figure 10.3 shows an example of collected data of before and after results.
The project aims to improve math proficiency of grade 4 pupils. After the
successful implementation of the solution, they gather data on the level
of numerates in grade 4 and compare it to the previous performance. The
result is, starting from only 2% numerates it was improved to 41% numerates!

180
 After identifying what needs to be checked, the next
thing to do is to determine how to evaluate these results.
Evaluating is not only understanding and evaluating the
data but also must translates into actions of what needs
to be improved in the process if it shows undesirable
results from our objective/targets.

FIGURE 10.3 - DISPLAYING BEFORE AND AFTER DATA

BEFORE AFTER Good

} Improvement

Remaining Gap
Step 4 Changes
Implemented } Target

BEFORE AFTER

} Improvement

A1 A2 A3 A4 A2 A1 A3 A4 3.3
CHECK PROGRESS

BEFORE AFTER

181
181
 What do you need to evaluate?
After displaying the before and after data you need to evaluate the following:

Results Methods
• How much was the gap between • Did you follow your plan?
desired and actual reduced?
• Did you need to modify
• Were the plans effective the plan/solution during
in addressing the causes you implementation?
targeted?
• What would you do
• What do customers tell you now differently next time
that the changes are in place? around?
• Has enough progress been made
or do you need to go back and
try other solutions?

• Were there unintended benefits

or negative side effects?

We would like also to emphasize that, it is very important to ask the customers
if they noticed and felt the change of the improvement done by the project.
This is to supplement the results from the data collected. The team must also
document the unintended effects of their solution. The unintended effects
are not initially intended to change by the project but during the process of
improvement it was change for good. For example, the project aims to reduce
3.3

frustration level in English proficiency but after the project, the learner also
improve its math problem solving grades because they are able to comprehend
CHECK PROGRESS

more in understanding worded problems. Another intended effect can come

from the team, by going through the project their problem solving skills and way
of thinking has also improved, like for example, jumping into solution without
identifying the root cause of the problem. If these unintended results and
benefits are well documented and communicated to the entire school, more
and more people are inspired and encouraged to start their own projects.

182
You finally finished a very successful
project and are ready to move on. Right?
Well, not so fast! As the project leader
or member you own responsibility to the
stakeholder and customer to formally
close out the project.

Project Closure
Note that projects need to be closed. Recognition
of progress and of efforts of the teams helps Here are some of the activities
them to be motivated and do other projects you may want to do during
again. The team must take note that closure the project closure:
is not the end of continuous improvement but
rather be used to communicate learnings and • Recognize the considerable
be able to find ways to improve better. If the time and effort that went into
success of project was communicated to the the initiative.
entire school, people will tend to believe in
• Capture the learning from
the methodology and therefore they are now
the initiative:
inspired to look for their own projects as well.
– About the problem or
3.3
Project closure does not mean closing or ending process being studied.
the project only. Project closure means turning
– About the improvement
CHECK PROGRESS
over the monitoring and evaluation role back to
process itself and hand
Process Owners. The handover must be done
over responsibilities
to ensure that the process owner recognizes
for standardization
the change and embrace it for good to make
and monitoring to the
success of the project sustainable. This is the appropriate people.
very reason why in step 1 we emphasized that
we need to recognized process owners and – Learnings from the
stakeholders before we start our project since current project may also
help ensure the success
they play a very important role in the process
of future projects
that we are looking at. At the end of the day, they
are still the one who will execute the process.

183
183
 Final note on Congratulations!
Project Closure
You have now reached the end of the Continuous
Improvement Methodology. To summarize, the SI
 Improvement methodology provided us with a very scientific, systematic,
must be practical and evidenced based approach in solving
problems in school. The methodology allowed us to focus
continuous, on our learners and recognize that involvement of your major
but individual stakeholder to make sure that the project will be successful.
initiatives and This is very logical and practical approach since we exists
project teams
because of our customers and stakeholders therefore it also
important to start from them to make sure whatever we do
come to an end. will be according to their utmost satisfaction.
 Learn when it’s SI helped us to see what is really happening in our processes
time to say through observation and data analysis. This will prevent us
goodbye. from being biased to what we currently know about the
process. SI approach allowed us to have a systematic way of
 Develop managerial identifying the root causes of our problem first and not just
systems to jump into conclusions. The SI gave us ideas on how should
we improve and develop solution to mitigate the problem
capture learning we identified. Lastly, SI taught us on how we should carefully
and enable the test and implement our solutions to be able to make sure
organization to that the gains are sustainable.
address system The SI journey seems challenging especially for those who are
issues. using this for the first time. However, we assure you that the
reward is a lifetime fulfillment of our mission. It is our dream
 Documentation to see our learners achieve their dreams in life and you as his/
and recognition her teacher plays a very important role to this success. Like
are two critical the old saying goes “A journey of a thousand miles begins
with a single step”. Good luck to your SI journey! And we are
aspects of project very excited to hear your story!
team closure.
3.3

 Celebrate!
CHECK PROGRESS

184
Step 10: Check your Progress
Lesson Review
1.
A CI team has rolled out their solution
to ensure that the feeding program
doesn’t exceed the allotted 30
minutes. What is the next most appropriate
step that they should make?
a. Close the project and proceed to
the next one.
b. Monitor the solution to ensure that
the process continues to perform as
expected before finally closing it.
c. Proceed to the next project
immediately.
d. Leave the monitoring to the
teachers and proceed to the next
project.
e. None of the choices.
2.
A CI Team is looking into the
Teaching Learning process of
Science for Grade III Learners.
During the walk the process the team
observed that the entire Teaching Learning
process exceeded the 40 minutes allotted
time. The team now decided to gather
data on the start and end times of each
sub-process of the teaching learning
process of Science. The team is now going
to implement their solution to address the
issue, which data should they gather to
assess and monitor the implementation?
a. Time data on the start time and
end time of the teaching learning
process
b. Time data on the amount of time in
excess of 40 minutes
c. Time data on the amount of time
spent for recitation
d. Time data on the start time and
end time of each sub-process of the
teaching learning process
e. None of the choices
185
185
3.
A CI team has finished the
implementation and roll out of
their solution. They have also
monitored the solution for a certain time
to ensure that it continuous to perform
according to what is expected. What is
the next most appropriate step that they
should take?
a. Document the learning from this
project, recognize the team for
their contribution, handover the
monitoring and evaluation to the
process owner, and proceed to
the next project.
b. Proceed immediately to the next
project.
c. Be content with what they
have achieved and with the
performance of the school.
d. Continue with the monitoring
of the project performance
to ensure that it continuous
to perform according to
expectations.
None of the choices.
4.
A CI team is looking into the issue
3.3
that the learners have low scores
in Science. They implemented CHECK PROGRESS
remedial classes to help learners with
low grades improve their performance.
Which level of fix did they apply?
a. Level 1 Fix the Output
b. Level 2 Fix the Process
c. Level 3 Fix the System
d. All of the choices
e. None of the Choices
 5.
A CI team is looking into the issue
that learners have low scores in
Math. The team investigated the
teaching-learning process math and made
some improvements. Which level of fix
did they apply?
a. Level 1 Fix the Output
b. Level 2 Fix the Process
c. Level 3 Fix the System
b. The solution was unsuccessful. The
team was not able to reach the
standard set by the school.
c. The solution was unsuccessful; the
team should blame the teachers for
the failure of the solution.
d. It’s hard to say whether the solution
was successful or not, additional
data should be gathered.

d. All of the choices e. None of the choices.

8.
e. None of the Choices
A CI Team has finished their
implementation of their solution

6.
A CI team is investigating the drop
out rate of a particular school.
They looked into the attendance
monitoring process and introduced new
policies to ensure the accuracy of the
attendance and the monitoring of learners
with poor attendance records. Which level
of fix did they apply?
a. Level 1 Fix the Output
b. Level 2 Fix the Process
c. Level 3 Fix the System
d. All of the choices
e. None of the Choices
to speed up the Feeding Program
process. They gathered ‘before’ and ‘after’
data and are ready to analyze the results.
What should the CI Team evaluate?
i. The difference between the desired
and actual performance.
ii. Adherence to the implementation
plan.
iii. Unintended benefits of the
implementation.
iv. Effectiveness of the solution to
target the causes identified.
a. i, ii, and iii

7.
A CI Team has implemented a
b. i only
solution to improve the math
proficiency of Grade IV learners. c. i and iv
3.3

Before the implementation there d. All of the choices

were 50% of students who were non-
numerates. After the implementation of e. None of the choices
CHECK PROGRESS

the solution, they gathered data on the

level of numerates in grade IV and found
that there were still 50% of learners who
were non-numerates. The school standard
is that at most 10% of learners being non-
numerates is acceptable. Comment on
the results of the solution of the CI team?
a. The solution was successful; the
team was able to sustain 50% of
learners who are non-numerates.
They were able to prevent its
increase and made it consistent.

186
9.
A CI Team has implemented a solution to improve the English
proficiency of Grade IV learners. Before the implementation
there were 50% of students who were non-readers. After the
implementation of the solution, they gathered data on the reading
proficiency in grade IV and found that there were still 50% of learners who
were non-readers. The school standard is that at most 10% of learners
being non-readers is acceptable. What should the CI team do after getting
this result?
i. The team should re-evaluate the analysis that they did and look into
the reasons of why they were not able to bring down the number of
learners who are non-readers.
ii. The team should investigate who is the reason for the failure of the
solution so they have someone to blame.
iii. The team should accept the failure of the solution and move on to
the next project.
iv. The team should look into the actual implementation and compare
it with the plan to see if there are deviations to the plan that caused
the failure.

Which action/s should the CI team do?

a. i only
b. ii only
c. ii and iii
d. i and iv
e. None of the choices

10
.A CI team has finished the implementation and roll out of their
solution to improve the proficiency of learners in Science. They
have also monitored the solution for a certain time to ensure that
it continuous to perform according to what is expected. They are now ready
to close the project. What activities should they undertake for the closure?
i. Recognize the time and effort that the team has given into the 3.3
project
CHECK PROGRESS

ii. Capture the learning from the initiative

iii. Develop managerial systems to monitor the implementation
iv. Celebrate and be content with the improvement that they have
done

Which action/s should the CI team do for the project closure?

a. i only
b. i, ii and iii
c. ii and iii
d. i and iv
e. None of the choices ANSWERS
ON PAGE
228
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 Review Answer Keys
Step 1: Get Organized for
page
Answer Key 20

1
The student attendance rate for a particular school has consistently been at 100%
in the last 5 years. If quality is measured by student attendance, what dimension of
quality is demonstrated by the performance of this school?
a. Performance. (While performance may seem very similar to the
conformance to desired standards, reliability is a better measure in
assessing the quality of performance through time.)

b. Reliability. (This describes the consistency of performance over time. In this

case, the school’s attendance rate has been at 100% in the last 5 years.)

c. Durability. (A hard-wearing quality, able to withstand pressure and other

challenges. This quality, however, is unrelated to the attendance rate.)

d. Conformance to standards. (While the school’s 100% attendance rate is

certainly remarkable, it is important to note that they have maintained this
standard in the last 5. In this case, reliability is a better dimension to assess
the quality of the school’s performance.)

e. None of the Choices

2
The number of students at risk of dropping out (SARDO) is increasing beyond
the standard set by a particular school. What project should the SI team
conduct?
a. Look into the external factors/ processes that cause students to miss
classes. (SI projects should focus on processes that the SI team can control.)

b. Look into the internal factors/ processes that are used to monitor the
students’ attendance. (SI projects should focus on processes that the SI
team can control.)

c. Help the students’ parents earn more income so that the students don’t
have to work after class. (This is an external intervention that is outside the
responsibility of the SI team.)

d. Construct new classrooms to attract students to go to school. (We don’t

want projects that require capital outlay. Instead, we need projects that
are simple, easy to implement, cost effective, and have a huge impact.
Consider the leverage points.)

e. All of the Choices

3
An elementary school has set a goal that 25% of Grade IV Learners should
be numerates upon completing the grade level. At the end of year 2013, 100
Resources

out of 300 Grade IV Learners were numerates. Which dimension of quality is

demonstrated in this performance?

188
 a. Performance. (A standard goal has been set. Conformance to this standard
is the best dimension to demonstrated in this case.)

b. Durability. (This quality is unrelated to the students being numerates.)

c. Conformance to standards. (The school was able to reach its desired

standard, even surpassing it.)

d. Reliability. (We are not looking at the quality of the performance over time.)

e. All of the Choices

4
A SI team is investigating the Teaching-Learning Process for Reading to determine
why many of students are still non-readers. The team decided to observe the
Teaching-Learning Process of a particular teacher, but failed to inform the
teacher the reasons behind the observation. In effect, the teacher thought that
he/ she was being audited and geared away from his/ her normal teaching-
learning process. What challenge did the SI team experience in this scenario?
a. No Project Accountability. (While certainly not idea, this situation shows that
there are people in charge or are accountable for the project.)

b. No Clear Process Owner. (The situation clearly shows that the teacher is the
process owner.)

c. No Buy-in with the Process Owner. (The process owner wasn’t informed
about the objectives of the observation.)

d. Project Sponsors did not break road blocks. (This was not a major road
block that required project sponsor intervention.)

e. None of the Choices

5
A SI team is looking into the Teaching-Learning Process for Reading to
determine why many students are still non-readers. Two months into the project,
the team felt the need to consider the Feeding Program because most students
in the class seemed malnourishe While looking into the Feeding Program
Process, the Team decided to look into the process of cooking foo By the end
of the year, the SI project is still ongoing and the team no longer knows what to
do. What challenge did the SI team experience in this scenario?
a. Failure to properly define the scope of the project. (“Scope creep”
happened in this project. The SI team failed to properly define the scope
of the project at the onset, resulting in an unmanageable range of topics to
consider.)

b. Lack of Stakeholder Management. (There is no mention of stakeholders in

the scenario.)

c. Lack of concept and understanding of a process. (There is no indication that

the SI team don’t understand what the process is.)

d. Mismatch of project team members. (There is no indication that there is

tension between project team members.)
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e. None of the Choices

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 6
A SI team is looking to improve their school’s performance by raising the their
students’ NAT Scores, specifically for Math. They decided to look into the
Teaching-Learning Process for Math. At the end of the project, the SI team was
able to generate a revised Teaching-Learning Process to help students solve
Word Problems. By the next NAT, the students’ scores in Math increased by
10%. Math teachers were very happy with the project because they were able to
teach word problems easily. Students were also satisfied with the increase of their
grades. The output of the project is _________ while the outcome is ________.
a. 10% increase in Math NAT Scores; Revised teaching learning process (These
concepts are stated the other way aroun)

b. Revised teaching learning process; 10% increase in NAT Scores.

(The project outputs refer to tangible deliverables while project
outcomes are the impacts of the outputs to the end customer.
The project was able to deliver a revised teaching learning process,
resulting in a 10% increase in NAT score.)

c. Happy teachers; Satisfied students. (Happy teachers are not a tangible

deliverable of the project. Student satisfaction is qualitative and difficult to
quantify as a school measure.)

d. Satisfied students; happy teachers. (While satisfaction and happiness can be

considered outcomes, it is difficult to quantify as school measures.)

e. All of the Choices

7
A SI team is trying to determine why students are unable to solve word problems
in Math.The team found that the students had difficulties in understanding word
problems. The SI team then shifted their attention from the Math Teaching-
Learning process toward the Reading Comprehension Teaching-Learning
process. This scenario demonstrates the concept of--
a. Scope Creep. (There is no indication of the project’s increasing scope.)

b. Lack of Focus. (There is no indication that the team lacks focus.)

c. Systems Thinking – interrelationships of processes within the school system.

(The SI team was able to look at the relationships between the students’
ability to understand word problem and their ability to solve for it.)

d. Shifting the Burden. (There is no indication that the SI team passed the
problem to English teachers.)

e. None of the Choices

An elementary school has set a goal

8 that 25% of Grade IV Learners should be

numerates upon completing the grade
level. Given the data in Figure 1, this is the
most appropriate background statement
for a SI project:
a. 163 out of the 178 (92%) Grade IV
Learners are Non-numerates. (The
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standard set by the school is based

on the number of learners being
numerates.)
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 b. 175 out of the 178 (98%) of Grade IV Learners have not reached the
level of Numerates. (This can also be a correct answer, however, Letter
D presents a more accurate statement of the problem.)

c. There is a high level of Non-numerates Learners in Section 1, Section 3,

and Section 4. (This statement is vague and is not supported by dat)

d. Only 3 out of the 178 (1.68%) Grade IV Learners are Numerates.

(This is in line with the standards set by the school, and the low
percentage level is more accurate than what is stated in Letter )

e. All of the Choices

9 The result of the diagnostic reading test that was administered to Grade 6
learners last 2013 shows that 83% of 633 students were diagnosed with to
the Frustration reading level in word recognition. The school has set the
desired goal that no student should be left at the Frustration level. Which
process should the SI team investigate to address the school’s problem?
a. The Remedial Process for Reading.(Remedial is a reactive process. We
want to be proactive.)

b. Teaching-Learning Process of Reading. (This process has a direct

impact on the performance of learners in reading and serves as a
preventive action as well.)

c. Attendance Monitoring Process of Students. (This is not related to the

performance of learners in reading.)

d. Feeding Program Process (This is not directly related to the performance

of learners in reading.)

10
e. All of the Choices

A SI team is looking into the Teaching-Learning Process for Science. Who is

the Process Owner?
a. The School Head (The School Head can oversee the health of the
teaching learning process but he/ she is not the implementer of the
process nor the improvements.)

b. SI team. (There is no mention that the SI team is composed of Science

teachers. They are simply process improvement specialists looking to
improve the process.)

c. Local Government Units. (These are external stakeholders, not process

owners.)

d. Science Teachers. (They are able to monitor the overall health of the
process and can implement improvements into it.)

e. All of the Choices

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 Step 2: Talk with Stakeholders
Answer Key
for
page
35

1
A SI Team has decided to investigate the Teaching-Learning Process
of Math to increase the NAT Scores of their students in Math. The
stakeholders for the Teaching-Learning Process for Math are the
Learners, Parents, School Head, and Society. Which of the following
is true regarding the classification of the different stakeholders?
a. Learners – Primary; Parents – Secondary; School Head –
Internal; Society – Tertiary (The learners receive the primary
service of education in math; parents are indirect recipients
of the service; the school head is part of the school system
thus he/ she is an internal stakeholder; society is a tertiary
stakeholder– less direct but crucial.)
b. School Head – Primary; Learners – Secondary; Parents –
Internal; Parents – Tertiary
c. Parents – Primary; Learners – Secondary; School Head –
Internal; Society – Tertiary
d. Society – Primary; Parents – Secondary; Learners – Internal;
School Head – Tertiary
e. None of the choices

2
A SI Team looking into the Teaching-Learning Process for Science
has discovered that there are learners who perform better when the
teachers conducts graded recitations. The team also discovered
that there are learners who understood the lesson better when the
teacher used graphs and pictures. Additionally, there are learners
who do well when they have hands-on activities to understand the
lesson. Therefore, in understanding the needs and wants of their
learners, the team decided to group the learners into three different
types. What concept did the SI team show in this scenario?
a. Voice of the Stakeholder (The team has not started gathering
the needs and wants of the stakeholders.)
b. Affinity Diagram (The team has not gotten the VOS yet.)
c. Stakeholder Segmentation (the different types of learners
have different needs and wants. As such, they need to be
segmented.)
d. Stratification (Stratification is a technique to disaggregate data
in order to get better insights.)
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e. All of the choices

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3
A SI Team has decided to interview Grade 1 students to gather
the VOS regarding their performance in English. What is the most
appropriate VOS method that the team should use to ensure that the
students will not be afraid to speak up?
a. Personal Interviews (One-on-one interviews with teachers may
intimidate the learners.)
b. Home Visits (The learners’ performance in English is related to
the Teaching-Learning process which occurs in the classroom.
There is no need to observe the learners at home.)
c. Dyads/ Triads (Interviewing by pairs or triads will help ease the
nerves of the learners and the SI team will be able to gather more
valuable information.)
d. Expert Opinion (Because we are looking into the performance
of learners in English, the VOS should directly come from the
learners.)
e. All of the choices

4
A SI Team is creating interview questions to gather the VOS from their
learners. One question that they want to ask is “What do you think are
the problems that the school will encounter if students are provided
with computers in class?” What bias is shown in this question?
a. Unstated Criteria (No criteria is needed for the question.)
b. Loaded Question (The question has only one idea.)
c. Ambiguous wording (The wordings are clear.)
d. Leading Question (The questions is leading us to think that there
is a problem with computers in class.)
e. All of the choices

5
A SI Team is creating interview questions to gather the VOS from their
learners. One question that they want to ask is “What factors, such
as good learning environment and good acoustics, do you think are
necessary for learners to effectively understand the lesson?” What
bias is shown in this question? Choose the most appropriate answer.
a. Loaded question (The questions has only one idea.)
b. Leading question (The questions is neutral.)
c. Example containment (The question gives examples that may
limit the answers of the participants.)
d. Unstated criteria (No criteria is needed for this question.)
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e. None of the choices

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 6
A SI Team interviewed a learner and she said, “The classrooms should be
air-conditioned.” The SI Team noticed that the learner expressed a stated
need and not a real need. What could be the real need of the learner that
they interviewed?
a. I need to hear what the teacher is saying. (Air-conditioned rooms
prevents outside noise from coming in.)
b. I need a classroom that is conducive for learning. (Air-conditioned
rooms provide a better environment for learning.)
c. I need to be relaxed while learning so I can understand the lesson.
(Air-conditioned room provide a more relaxed environment.)
d. I need to focus on the lesson. (Air-conditioned rooms prevent outside
noise from coming in, helping learners focus)
e. All of the choices (All choices can be the real needs of the learner.)

7
The following are the statements that a SI Team has gathered from
learners regarding their Science Subject:
• I want a quiet class so I can hear what the teacher is saying.
• I want a comfortable chair so I can focus on listening to the teacher.
• I want enough lighting to see what the teacher is writing on the board.

What is the most appropriate theme for this group of VOSs?

a. Proper Instructional Materials (The VOSs are not related to
instructional materials.)
b. Applicability of the lessons in real life (The VOSs are not related to
lesson application.)
c. Enough time to understand the lesson (The VOSs are not related to
time.)
d. Conducive environment for learning (The VOSs all speak about the
learning environment of the learners.)
e. All of the choices

8
A SI Team interviewed a learner and he said, “I want a personal computer
in class.” The SI Team noticed that the learner expressed a solution for an
intended usage and not a need for an actual usage. What could the actual
usage of the learner be?
a. I need proper learning materials. (This VOS provides an actual usage
and is not leading to a solution.)
b. I need to use MS Excel for calculations. (This VOS is still an intended
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usage. The VOS should not suggest a solution. A calculator can also
be used for computations.)

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 c. I need to use the internet. (This VOS is still unclear as to why
the learner needs to use the internet.)
d. I need to use MS Word for taking notes. (This VOS is still an
intended usage. The VOS should not suggest a solution. A
notebook and pen can also be used to take notes.)
e. All of the choices

9
The VOS that a SI Team gathered expresses the need to have
“enough time for class to learn.” What is the most appropriate
measure to quantify this VOS?
a. Total class time (There could be other activities covered in the
class time that is not related to learning.)
b. Total teaching and learning time
(This provides a good measure of the learning of students.)
c. Total time for exams (Exams are just a way to measure
performance, it doesn’t cover the learning aspect.)
d. Total class recitation time (Recitations are just a way to
measure performance, it doesn’t cover the learning aspect.)
e. All of the choices

10
A SI Team is looking into the Feeding Program Process and they
want to observe the learners as they undergo the process in order
to determine the learners’ needs and wants. What appropriate
form of qualitative research can the team use?
a. Home visits (The feeding program happens in school so there
is no need to visit the learners at home.)
b. Process Observation (The team wants to observe the learners
in their natural environment while undergoing the feeding
program process.)
c. Conversations with Experts (The learners are the ones who
experience the process, not the experts.)
d. Survey Questionnaires (The objective is to observe the
learners while undergoing the process. Survey questionnaires
will not show what is actually happening.)
e. All of the choices
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 Step 3: Walk the Process
Answer Key for
page
58

1
A SI team decided to improve the NAT Scores of their students
in Science because it has consistently been below the school
standards. They gathered the VOS of the learners in a particular
grade level and found that one of the prominent themes that
came out was the need for “hands-on applications for the
concepts taught.” Given the VOS theme, which is the most
appropriate process that the SI Team should focus on?
a. Feeding Program Process (This is not related to the VOS.)
b. Remedial Process (This may be related but is a reactive
process.)
c. Guidance Counseling (This is not related to the VOS.)
d. Lesson Planning Process (This is the most applicable
process to address the VOS. The applications can be
included in the lesson plan.)
e. All of the Choices

2
A SI Team decided to look into the Waste Management Process
of a particular school. The process begins when the learners
throw their garbage. The garbage is either thrown in the thrash
container or it is thrown anywhere in the campus. If the learner
decides to throw their garbage in the trash container, they need
to properly segregate it. If the garbage is properly segregated,
there is no need to segregate it again. If the learner does not
segregate garbage before throwing it, someone will need to
segregate the garbage at the end of the day. If the learners
throw their trash anywhere in the campus, the janitor needs to
pick it up and throw it in the proper container.
Given the described choices, which is the most
appropriate flowcharting technique that the SI Team
should utilize?
a. SIPOC (This is used for high-level process mapping.)
b. Activity Flowchart (The process is complex with a lot of
decision points, therefore the activity flowchart is the most
applicable.)
c. Deployment Flowchart (This is used when there is a lot of
hand-off phases in the process.)
d. Data Flow Mapping (The flow of data is not being mapped
for this scenario.)
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e. All of the Choices

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3
A SI Team decided to focus on the Feeding Program Process for a particular
grade level. The process begins when the learners proceed to the designated
feeding area during the break. When the learners arrive at the feeding area, the
teachers and staff assigned there would give them utensils, paper plates, and
paper cups. The canteen staff would then fill their plates with food and pour
water into their cups. When the students are fed, they return to their classrooms.
Identify the Supplier, Inputs, Outputs, and Stakeholders of this process.
a. Supplier – teachers, staff, and b. Supplier – learners; Inputs – utensils,
canteen personnel; Inputs – paper plates, paper cups, and food;
utensils, paper plates, paper cups, Outputs – fed learners; Stakeholders
food, and hungry learners; Outputs – teachers and staff
– fed learners; Stakeholders–
c. Supplier – teachers, staff, and
learners (The utensils, paper plates,
canteen personnel; Inputs –
paper cups, food, and hungry
learners; Outputs – fed learners;
students are necessary to begin
Stakeholders – Parents
the process. The teachers, staff,
canteen personnel provide these d. Supplier – Principal; Inputs – hungry
inputs. The process gives out learners; Outputs – fed learners;
learners who are fed. The direct Stakeholders -- LGUs
stakeholders are the learners.)
e. None of the Choices

4
A SI Team is mapping the current state of the Teaching-Learning Process for
Filipino. Which flowcharting perspective should the team use?
a. What they think the process is c. What the process could be
(This perspective is biased.) (We are mapping the current status of
the process, and not its future state.)
b. What the process really is
(This is what we want in order d. What the process should be
to understand what is actually (We are mapping the current status of
happening in the process.) the process, not its future state.)
e. All of the choices

5
A SI Team is looking into the Enrollment Process for a particular school. They
want to map the current process. The first step is for the students to get their
assessment from the registrar’s office. They now need to bring their assessment
to the accounting office to determine how much they need to pay. After
getting the details of the payment, they need to proceed to the cashier to pay
their tuition and then go back to the registrar’s office to receive their official
Enrollment Assessment Form. Given this process, which is the most appropriate
flowcharting technique that the SI Team should use?
a. SIPOC (This is used c. Deployment Flowchart (The process
for high-level process has a lot of hand-off phases. As such,
mapping.) this is the most appropriate flowchart
technique to be used.)
b. Activity Flowchart
(The process is not that d. Data Flow Mapping (The flow of data
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complex.) is not being mapped in this scenario.)

e. All of the Choices

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 6
A SI Team is mapping the current process for Guidance Counseling. The
flow of their process flowchart is as follows: Get Organized, Talk with the
Stakeholders, Walk the Process, Identify priority Improvement Areas, Do
Root Cause Analysis, Develop Solutions, and Implement the Solution. Which
common mistake did the SI Team commit?
a. Mapping the Project Processes (The steps mapped are the steps involved
in executing improvement projects, the triple A steps.)
b. Wrong use of flowcharting technique (No flowchart is shown.)
c. Mapping the process at different levels (The flowchart level is consistent.)
d. Trying to create the “perfect’ process map (We cannot determine that the
team is trying to create the perfect process.)
e. None of the Choices – the SI Team did not commit
any error.

7
A SI Team is looking into the process
for the Reading Comprehension Test.
Figure 2 below shows the process chart.
Given the process chart in Figure 2, Figure 2. Reading
which common mistake did the SI Comprehension
team commit? Test Process
a. Wrong use of flowcharting technique (An activity
flowchart may be applicable. However, there are no decisions involved in
the process, and there are not a lot of hand-off phases involved.)
b. Mapping the Project Processes (The process activities are based on the
Reading comprehension test.)
c. Mapping the process at different levels (The activities are mapped in
different levels. Most of the activities are at level 1 but the procedure for
distributing the exams was detailed at level 2.)
d. Trying to create the “perfect’ process map (There is no indication that the
team is trying to create the perfect process.)
e. None of the Choices – the SI Team did not commit any error.

8
A SI team decided to focus on lowering the number of dropouts in a particular
school in order to achieve a school’s standard. The SI Team interviewed several
students at risk of dropping out (SARDO) and found that a common theme
coming from the VOS is “The teacher doesn’t care whether I go to class or
not.” Given this VOS Theme, which is the most appropriate process that the SI
Team should look into?
a. Attendance Monitoring Process (This is the school process that can have
an impact on SARDO.)
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b. Feeding Program Process (This is not related to SARDO.)

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 c. Remedial Process (This is not related to SARDO.)
d. Guidance Counseling (This may be related to SARDO, however, it does
not directly address the VOS concern.)
e. All of the Choices

9
A SI Team is looking into the Lesson Plan Preparation Process. They now want
to define the boundaries of their project as well as its scope. They want to
ensure that the project will focus only on the Lesson Plan Preparation Process.
They also want to avoid scope creep as the project progresses. Which is the
most appropriate flowcharting technique that the SI Team should use?
a. SIPOC (SIPOC is for high- c. Deployment Flowchart (The
level process mapping and team needs a high-level map
for defining the scope of the that can be used for scoping.)
project.)
d. Data Flow Mapping (The flow of
b. Activity Flowchart (The team the data is not being mapped in
needs a high-level map that this scenario.)
can be used for scoping.)
e. All of the Choices

10
A SI Team is now looking to create the process map for the Teaching-Learning
Process for Science. The Project Team Leader briefs the team regarding some
guidelines that they should remember when mapping the process.
Which among the guidelines below are CORRECT?
i. The SI Team should have a meeting in the a. All guidelines
office to sit down and map what is happening are correct
in the Teaching-Learning Process. (This is
incorrect. The team should go to where b. All guidelines
the process is happening and observe the are wrong
personally in oder to map it out accurately.) c. Only ii and iii
ii. We should divide the process into several are correct
groups then send different persons to map d. Only iv is
each group so as to ensure efficiency. (This is correct
also incorrect. The team should map together
to have a full understanding of the process and e. Only ii and iv
not just parts of it.) are correct

iii. If the team must gather time data, they can ask
the teacher how long it usually takes to finish a
particular step in the process. (The team should
gather the data and not rely on data provided
by the teachers.)
iv. Remember that the team is supposed to be
mapping the current process and not its future
state. (This is correct. The team needs to map
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out what is currently happening.)

199
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 Step 4: Identify Priority Improvement Areas
Answer Key for
page

Figure 1: School Drop out

86 Figure 2: English and Math
Scores of Grade IV Students.
Rate for 2000-2014
Drop Out Rate
120
5

4.5 100
4

3.5
80

English
3

2.5
60
2
40
1.5

20
1

0.5

0
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 0
0 20 40 60 80 100
The Drop out rates for all year levels of Math

1
a particular high school for the last 15
years is shown in Figure 1. The School

2
Head is concerned that the drop out A SI Team is looking into
rate has been increasing since year 2000. the Math Scores of learners
What should the School Head do? in Grade IV. From the VOS,
the team found that learners
a. Form a SI Team to tackle the drop need to understand and
out rate of the school. (The drop comprehend the problems
out rate of the entire school is a big properly before they can solve
problem with several factors that it. The team gathered data on
affect it. The team cannot be sure if the English and Math Scores of
all year levels encounter the same the learners. The scores can be
problems with their dropouts.) seen in Figure 2. What analysis
b. Disaggregate the data further can the SI Team gather from
to determine which year level this figure?
contributes to the increasing trend a. As English Grades go up,
of the drop out rate. (The school so do Math Grades. (The
needs to investigate the issue scatter plot shows that
further. The problem may not be the English and Math grades
same for all year levels and for all are positively related.)
sections.)
b. As English Grades go up,
c. Start a home visitation program Math Grades go down.
to entice students to go to school (English and Math grades
and prevent dropouts. (The SI are positively related.)
team cannot be sure that a home
visitation program will solve the c. Math and English Grades
problem. This solution comes out are not related. (English
of nowhere if the team does not and Math grades are
determine the root cause of the positively related)
problem.)
d. Math teachers are better
d. Call a meeting for all teachers and than English Teachers.
scold them regarding the increasing (The data does not show
drop out rate. (The system is the the performance of
problem, not individual persons) teachers.)
e. All of the choices e. None of the choices
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 Table 1. Science Grades
of Grade VI Learners

3 A SI Team is looking into the Science grades

of Grade VI learners. Table 1 below shows the
data that the team has gathered. The school
91
83
76
71
81
93
95
89
93
56
has set a standard that the passing grade for 54 81 95 59 62
Science is 75. The SI Team now wants to know
how many students were able to get a score 99 89 59 93 97
of 75 or higher, and how many students failed. 67 79 95 53 89
The team also wants to know the distribution 83 99 42 74 40
of the grades of the students.
58 74 88 65 51
Which type of graphical data display will help 98 90 40 60 86
the SI Team in their analysis?
a. Line Graph (A line graph is c. Histogram (A histogram shows the
used to show the behavior distribution of data over a given range.)
of data through time.)
d. Scatter Plot (A scatter plot is used to show
b. Pareto Chart (A Pareto the relationship between two variables.)
Chart is used when the
categories are qualitative.) e. None of the choices

4
Table 2. Mistake Type Frequency
A SI Team is looking into the Math Grades of
Learners in Grade IV. The 1st grading exam was
Mistake Frequency
analyzed for the purpose of counting and classifying
what type of questions learners made the most Asked 591
mistakes on. Table 2 below shows the data that the SI Operation 387
Team was able to gather.
Expression 372
Which type of graphical data display will help the SI
Given 223
Team determine the type of mistake in order to help
the team prioritize problem areas for their project? Total 1573

a. Line Graph (A line graph is c. Histogram (A histogram shows the

used to show the behavior
of data through time.)
b. Pareto Chart (A Pareto
Chart is used when the
categories are qualitative.)
distribution of data over a given range.)
d. Scatter Plot (A scatter plot is used to show
the relationship between two variables.)
e. None of the choices

5
A SI Team is looking to improve the NAT Scores of its learners in Math. The team
focuses on the Teaching-Learning Process of Problem Solving in Math and found
the following storm clouds:
i. Inconsistent discussion time: discussion time ranges from 15-30 Which among
minutes (This issue can be observed in the Teaching-learning
process of problem solving and has an impact on the NAT scores.) these storm
clouds should
ii. Learners can’t perform basic operations: Item analysis shows that the SI Team
learners get the lowest scores in this area (This issue can be
observed in the Teaching-learning process of problem solving focus on?
and has an impact on the NAT scores.) a. i, ii, and iii
iii. Delay in providing feedback: it takes a month for the teachers to b. i only
return the results of the exam (This issue can be observed in the
Teaching-learning process for problem solving but it does not have c. i, ii, and iv
a direct impact on NAT scores. The team needs to focus on storm
clouds that affect the school measure under investigation.) d. ii and iv
iv. Learners can’t comprehend the given problem: Item analysis shows e. All Storm
that students don’t perform the correct operations asked in the
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clouds
problems (This issue can be observed in the Teaching-learning
process of problem solving and has an impact on the NAT scores.)

201
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 6
A SI Team is looking into the Teaching-Learning process of Science for Grade
III Learners. During the walk the process phase, the team observed that the
entire Teaching-Learning process exceeded the 40-minute allotted time. The
team now decides to gather data to further investigate this storm cloud. What is
the most appropriate data that the team should gather in order to identify the
factors which contribute to the excess time?
a. Time data on the start time and end time of the Teaching-learning process
(This is the aggregate time data and it will not show which specific sub-
process is taking the longest time.)
b. Time data on the amount of time in excess of 40 minutes (This data will not
show which specific sub-process causes the delay.)
c. Time data on the amount of time spent for recitation (This data is too
focused. It is just one sub-process in the entire Teaching-learning process.
This data will limit the investigation on which sub-process causes the delay.)
d. Time data on the start time and end time of each sub-process of the
Teaching-learning process (This data reflects how long each sub-process takes.
As such, the team can investigate which sub-process causes the delay.)
e. All of the choices

7
A SI Team is looking into a particular school’s Feeding Program. The team has
finished observing the process and gathering data on storm clouds. The storm
cloud that the team is focusing on is the excessive length of time for the feeding
program. The team is now ready to formulate the focused problem statement.
Which is the most appropriate focused problem statement for this process?
a. The feeding program is poor. d. The feeding program
(This problem statement is vague.) takes 30 minutes.
(This problem
b. The feeding program is taking too long. statement is still
(This problem statement is vague.) vague. There is no
c. The feeding program takes between 20-30 comparison with the
minutes to finish, which is beyond the standard and when it
standard of 15 minutes. This is based on occurred.)
data gathered last June 2014. e. None of the choices
(This problem statement is focused. It states
the standard, the actual time the process
takes, and when the problems occurred.)

8
A SI Team is looking into the scores of Grade III learners in Science because
majority of learners failed to reach the passing rate of 75%. The SI team found
that the majority of the learners were having difficulties in Inferring. The team
further investigated the performance of the learners and gathered data. Now
the team is ready to craft their focused problem statement. Which is the most
appropriate focused problem statement?
a. Learners are having difficulties in Inferring. d. Only 29% of learners
(This problem statement is vague.) answered the item on
inferring about sense
b. Learners are getting low scores in organs correctly.
Inferring. (This problem statement is (This problem
vague.) statement is focused.
It provides data and
c. 50% of Learners fail in Science 3. it is based on the
(This problem statement is considered a investigation of the
high level problem statement. The team team.)
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has already identified a possible reason for

why learners fail in Science.) e. None of the choices

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9
A SI team looking into the discussion time Figure 3. Pareto Chart on Discussion Time
of the Teaching-Learning process for English
has gathered time data and created a Pareto 700 120%
Chart to help establish the focused problem Freq. %

statement. Comment on the team’s Pareto 600

100%
Chart (as shown in Figure 3).
500
a. The Pareto chart is correct. The team 80%

Cumulative % Cont.
should focus on the 41-50 minute 400

Frequency
discussion time. (The data categories are 60%
qualitative. The team should not have 300
used the Pareto chart.) 40%
200
b. The Pareto chart is wrong. The Pareto
Chart is only used when data categories 100
20%

are qualitative. The team should have

used a histogram instead. (The data 0
41 to 50 21 to 30 31 to 40 10 to 20
0%

categories are qualitative. The team

should not have used the Pareto chart.) Discussion Time

c. The Pareto chart is wrong. The cumulative percentage should only be up to

100%. (The data categories are qualitative. The team should not have used
the Pareto chart, and the problem with 100% is just a formatting issue.)
d. The Pareto chart is correct. The team should focus on 80% of the problem,
which are the 41-50, 21-30, and 31-40 minute discussion times. (The data
categories are qualitative. The team should not have used the Pareto chart.)
e. None of the choices

10
A SI Team is investigating the Math Scores of two sections of Grade IV Learners.
The team created a histogram of the grades of the two sections in order to help
them establish their focused problem statement. What analysis can the SI Team
get from the graphs?
a. The scores of section A are higher than section C. The team should focus
on the scores of section A and determine why the learners are getting high
scores. (Section A is already doing well. The team should focus on section C,
which has lower grades.)
b. The scores of section C are lower than section A. In fact, with the passing
standard of 75%, no learner passed in section C. The SI team should look
into the reasons for why the scores of section C are very low. (This is the
most appropriate analysis taken from the graph. It shows a real problem as
well as the magnitude of the problem.)
Section A Math Scores c. Only a few students got a score of
90.3 in Section A. The SI team should
focus on increasing the grades of
Figure 4. Section A and C

section A. (Section A is already doing

Math Scores Histogram

well. The team should focus on

section C, which has lower grades.)

Section c Math Scores

d. The scores of section A are higher
than those of section C. The SI team
should ask the students of section A
to mentor the students of section C.
(This is already a solution. The SI team
first has to investigate and determine
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the root cause of the problem.)

e. All of the choices

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203
 Step 5: Root Cause Analysis
Answer Key

1
for A SI Team is looking into the reasons for why the Feeding
page
103
Program takes 30 minutes when the students’ break only
last for 15 minutes. The team has identified some causes
for the problem as shown in Figure 1. Which common
Figure 1 mistake in RCA did the team commit?
a. Missing link between causes (There is no direct link
between the duration of the feeding program and
the distance from the classroom to the canteen.
There should be another cause stating that the
travel time of the students from the classroom to the
canteen takes a long time.)
b. Focusing on the who, not on the why (There is no
mention of a person/s in the root cause analysis.)
c. Causes that begin with “no,” “none,” or “lack of”
(The cause does not begin with “no,” “none,” or
“lack of.”)
d. Causes identified are non-standard occurrences
(There is no indication that the cause is a non-
standard occurrence.)
e. None of the choices

2
A SI Team is looking into the reasons for why the Feeding
Program takes 30 minutes when the students’ break
Figure 2 should only last for 15 minutes. The team has identified
some causes for the problem as shown in Figure 2. Which
common mistake in RCA did the team commit?
a. Causes that begin with “no,” “none,” or “lack of”
(The causes don’t begin with “no,” “none,” or “lack
of.”)
b. Causes identified are non-standard occurrences
(There is no indication that the cause is a non-
standard occurrence.)
c. Focusing on the who, not on the why
(The analysis focuses on the learners when it should
focus on why the process takes too long. SI Teams
must never focus the on the people because it is the
processes that we should look into.)
d. Missing link between causes
(There are no missing links between the causes.)
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e. None of the choices

204
 Figure 3

3
A SI Team is looking into the
reasons for why the discussion
time of a particular topic
takes 30 minutes, causing the
Teaching-learning process
to exceed the allotted 40
minutes. The team identified
some causes for the problem
as shown in Figure 3. Which
common mistake did the team
commit?
a. Causes that begin with “no,” “none,” and “lack of”
(The focus of the analysis should be on the process. Phrasing causes
like this tends to suggest solutions.)
b. Causes identified are non-standard occurrences (There is no
indication that the causes are non-standard occurrences.)
c. Focusing on the who, not on the why
(The causes should focus on the process, and not on the persons.)
d. Missing link between causes
(There are no missing links between the causes.)
e. None of the choices
Figure 4

4
A SI Team is looking into the
reasons for why the discussion
time of a particular topic takes 30
minutes, causing the Teaching-
learning process to exceed the
allotted 40 minutes. The team
identified some causes for the
problem as shown in Figure 4.
Which common mistake did the
team commit?
a. Causes that begin with “no,” “none,” and “lack of”
(The cause don’t begin with “no,” “none,” or “lack of.”)
b. Causes identified are non-standard occurrences
(This cause is a non-standard occurrence. Visitors talking to teachers
do not happen often and is not part of the process.)
c. Focusing on the who, not on the why
(The cause is not blaming a person.)
d. Missing link between causes
(There is no missing link between the causes.)
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e. None of the choices

205
205
 Figure 5

5
A SI Team is looking into the reasons for why the discussion time of a
particular topic takes 30 minutes, causing the Teaching-learning process to
exceed the allotted 40 minutes. The team identified some causes for the
problem as shown in Figure 5. Which common mistake did the team commit?
a. Causes identified are non-standard occurrence (There is no indication
that the causes are non-standard occurrences.)
b. Causes disguised as solutions (The causes are geared towards the
solution of providing the teachers with more training.)
c. Missing link between causes (There are no missing links between the
causes.)
d. Bias in identification of causes (There is no bias in theidentification of
the causes.)
e. None of the choices

Figure 6

6
A SI Team is looking into the reasons for why the Feeding Program takes 30
minutes when the students’ break should only last for 15 minutes. The team
identified some causes for the problem as shown in Figure 6. Which common
mistake in RCA did the team commit?
a. Causes identified are non-standard occurrence (There is no indication
that the causes are non-standard occurrences.)
b. Causes disguised as solutions (No solution is mentioned in the analysis.)
c. Missing link between causes (There are no missing links between the
causes.)
d. Bias in identification of causes (The analysis is biased on the issue
regarding the distance between the canteen and the classroom.)
e. None of the choices
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206
Figure 7. Reading Comprehension
and Math Word Problem Scores

7
A SI team is looking into the reasons for why the learners from Grade
IV Section C are having difficulties in solving word problems in
Math. The team gathered the data regarding the learners’ Reading
Comprehension and Math word problem scores. The team is now
ready to do a root cause analysis. Their focused problem statement
is “Only 5 out of the 45 learners are able to solve word problems
based on an item analysis of their exams.”

Guided by the data that the team gathered as shown in Figure 7,

which causes are the most appropriate to answer the question of
why only 5 out of 45 learners are able to answer word problems?
a. Learners have difficulties in understanding the word problem. à
The words are unfamiliar/ difficult to understand.
(This analysis is a direct result of the interpretation of the data
that shows a direct proportion between the learners’ scores in
math problem solving and reading comprehension.)
b. The learners can’t complete the AGONA method. à Learners
can’t perform basic operations. (This analysis is not supported
by the given data.)
c. The learners lack practice in solving word problems. à The
teacher did not give the learners enough practice exercises.
(This analysis is not supported by the given data.)
d. The learners do not understand how to solve word problems.
à The teacher did not use visual aids. (This analysis is not
supported by the given data.)
e. All of the choices
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207
207
 8
A SI team is looking into the performance of its Grade VII learners in
Reading because their NAT scores were below the school’s standards.
The team was able to focus on a particular section that showed a low
performance in reading. The team conducted an item analysis and found
that only 3 out of 43 students were able pass the exams on identifying
figures of speech. The team is now going to perform a root cause analysis.

Comment on the Why-why diagram of the SI Team.

Figure 8. Why-why diagram for Reading

a. The why-why diagram of the team is correct. The team should now
look into helping the families earn more income. (The analysis is
wrong. It focused on issues that are beyond the control of the team.)
b. The why-why diagram is still incomplete. The team should look
further into the reasons for why the learner’s family has low income.
(The analysis is wrong. It focused on issues that are beyond the
control of the team.)
c. The why-why diagram is wrong. There is a missing cause for why
only 4 out of 43 students passed. The cause “the students did not
understand the lesson” should be added. (Although this is correct,
the overall analysis is still wrong because the team focused on
external factors that are beyond their control.)
d. The why-why diagram is wrong. The SI team should not look into
causes that are outside of their control. (The analysis is wrong.
It focused on issues that are beyond the control of the team.)
e. None of the choices

9
A SI team is looking into the performance of its Grade VII learners in
Reading because their NAT scores were below the school’s standards.
The team was able to focus on a particular section with low performance
in Reading. The team conducted an item analysis and found that only
3 out of 43 students were able pass an exam on identifying figures of
speech. The team is pondering on the next steps that they should take.
i. The team should perform a Root Cause Analysis to determine the
root cause of the problem before identifying solutions. (The triple
A approach is geared towards finding the root cause first before
implementing solutions.)
ii. The team should initiate a review program for learners to help the
learners become familiar with figures of speech. (The team should
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not implement a solution before determining the root cause of the

problem.)

208
 iii. The team should look into the data that they have gathered
on the Teaching-learning process for Reading in order to help
them conduct a root cause analysis. (The triple A approach is
geared towards finding the root cause of a problem first before
implementing solutions.)
iv. The team should buy visual aids to help the students understand
figures of speech. (This is already a solution. The team should first
look into the root causes of the problem.)

Which is/ are the most appropriate step/s that the SI team
should take?
a. i, ii, and iv.
b. ii and iv
c. i and iii
d. All of the choices
e. None of the choices

10
A SI team conducted a Root Cause Analysis and found that one of the
root causes for why the feeding program takes 30 minutes is because that
the canteen is too far from the classroom. The team is now pondering on
their next steps.
i. The team should build a new canteen Which is/ are the
closer to the classroom. (The team should most appropriate
first validate the root cause that they have
step/s that the SI
identified. This particular solution requires a
capital outlay, which is not encouraged.) team should do?
a. i or iii
ii. The team should gather data to verify
the root cause that they have identified. b. ii only
(Validating the root cause gives the team
confidence that their analysis is correct. c. iv only
This is an important step before identifying d. i, iii, and iv
solutions.)
e. None of the
iii. The team should transfer the classrooms choices
closer to the canteen. (The team should
first validate the root cause that they have
identified. This particular solution requires a
capital outlay, which is not encouraged.)
iv. The team should just bring the food to the
classroom. (The team should first validate
the root cause that they have identified
before generating solutions.)
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209
 Step 6: Develop Solutions
Answer Key
for
page
130

1
A SI team conducted a Root Cause Analysis and found that one of the
root causes for why the Feeding Program takes 30 minutes is because
the learners do not know the flow of the feeding program process,
resulting in delays. Which concept should the SI Team to use in order
to generate solutions?
a. Process Simplification (Process simplification focuses on eliminating
wasteful activities in the process. Although delays are wasteful, it is
the result of the lack of knowledge of the process which cannot be
remedied through process simplification.)
b. Visual Management (Visual management will help the learners
understand what to do next, resulting in the reduction or elimination
of the delays in the process)
c. Good Housekeeping (This concept is geared towards cleaning and
organizing, which are not the issues that need to be addressed in
this scenario.)
d. Mistake Proofing (This concept is geared towards preventing
mistakes, and is not the main issue that the team wants to address.)
e. None of the Choices

2
A SI Team conducted a Root Cause Analysis and found that one of the
root causes for why the discussion time of a lesson in Math takes 30
minutes is because there are many unnecessary activities in class before
the lesson is discussed. Which concept is the most appropriate for the SI
Team to use in order to generate solutions?
a. Process Simplification
(Process simplification will help the team identify the unnecessary
activities and eliminate them from the process.)
b. Visual Management (This concept is used to manage a process
through the use of visual signals. This is not the issue that needs to
be addressed in this scenario.)
c. Good Housekeeping (This concept is geared towards cleaning and
organizing which are not the issues that need to be addressed in this
scenario.)
d. Mistake Proofing (This concept is geared towards preventing
mistakes, and is not the main issue that the team wants to address.)
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e. None of the Choices

210
3
A SI Team conducted a Root Cause Analysis and found that one of
the root causes for why the discussion time of a lesson in Science
takes 30 minutes is because the teacher is always scrambling to look
for materials to be used during the lesson. Which concept is the most
appropriate for the SI Team to use in order to generate solutions?
a. Process Simplification (Scrambling c. Good Housekeeping (This
for materials is an unnecessary concept focuses on cleaning
activity which can be addressed by and organizing, which can
process simplification. However, help the teacher organize the
a more appropriate solution materials needed for class.)
concept is Good Housekeeping.)
d. Mistake Proofing (This concept
b. Visual Management (This concept is geared towards preventing
is used to manage a process mistakes, and is not the main
through the use of visual signals. issue that the team wants to
This is not the issue that needs to address in this scenario.)
be addressed in this scenario.)
e. None of the Choices

4
A SI Team implemented a solution to ensure that learners know where
to go and what to do during the Feeding Program. The team made use
of signs pointing the learners to where the feeding area is, and posted
a picture flowchart of the Feeding Program procedure. This ensures that
there will be no delays and that the process will be completed within the
allotted 15 minutes. Which solution concept did the team apply?

a. Mistake Proofing c. Process Simplification (This concept is

(This concept aims to used to eliminate non-value activities
prevent learners from from a process. Although the delays
making mistakes. This were eliminated through the team’s
was not addressed by solution, the team used visual
the team’s solution.) management effectively.)
b. Good Housekeeping d. Visual Management (This concept is
(This concept is geared towards letting the learners
for organizing and know what to do next through visual
cleaning, which are not signs.)
addressed in the team’s
solution.) e. None of the Choices

5
A SI Team found that the Root Cause of students not throwing their trash in the
proper receptacle for segregation is because the students do not know which
trash can is used for biodegradable wastes, which is for non-biodegradable
waste, and which is for recyclables. What should the SI team do?
a. Blame and scold the students for not listening when they were
oriented regarding the proper trash cans for segregation. (This is not
a good solution because it does not help the students identify the
proper trash can for segregation.)
b. The SI team should implement visual management by labeling the
trash containers properly and painting them with different colors
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for easier differentiation. (This action helps the students identify the
proper trash can for segregation.)

211
211
 c. Assign students to guard the trash cans and penalize those they catch
not segregating their waste. (This solution will be difficult to implement
and is not sustainable.)
d. Hire more people to segregate the waste from the trash cans.
(This solution is reactive. The SI team needs to be proactive.)
e. All of the Choices

6
A SI team found that a one root cause for why Teachers exceed the allotted
time for class is because the Attendance Checking procedure takes too long.
The teachers make a roll call of each student. What can the SI team do?
a. Use process simplification to c. Buy a biometric scanner and
simplify the Attendance Checking place one in each classroom.
process and lessen the time Ask the students to scan their
to conduct it. They can ask the biometrics and it will serve
students to sit alphabetically and as their attendance. (This
just check names of the students solution is expensive and is not
assigned to the vacant seats. These advisable. There are cheaper
will identify the absentees without and simpler solutions than this.)
having to call out every student’s
name. (This solution is simple and d. Use a time card and ask each
does not require capital outlay.) student to scan their time
cards. This will serve as their
b. Eliminate the process of checking attendance, (This solution is
attendance because it is non-value expensive and is not advisable.
adding. (Although checking the There are cheaper and simpler
students’ attendance may be non- solutions than this.)
value adding, it is necessary for the
school and cannot be disregarded.) e. None of the Choices

7
A SI Team found that a cause for why teachers exceed the allotted time
for class is because the teachers first have to erase the contents of the
blackboard which was used by the previous teacher. Which concept can the
SI Team use to develop solutions to this problem?
a. Mistake Proofing (This concept is for preventing mistakes which is not
necessary in this scenario.)
b. Good Housekeeping (This concept is geared towards cleaning and
organizing the workplace, which is the most appropriate for this issue.)
c. Process Simplification (This concept is for eliminating wasteful activities.
Though erasing the blackboard is a wasteful activity, it can be more
appropriately be resolved by good housekeeping.)
d. Visual Management (This solution can be used to put signs informing
the teachers to clean the blackboard, but good housekeeping is more
appropriate because it deals with cleaning the workstation.)
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e. None of the Choices

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8
A SI Team found that a cause for why teachers exceed the allotted time for
class is because the teachers constantly forget the materials that they will be
using for class. The SI Team implemented a solution wherein the teachers
are given a checklist of items that they should bring to class. Which solution
concept did the SI team use?
a. Mistake Proofing (The solution in the d. Visual Management
scenario prevents the teachers from (This solution is for
making mistakes.) providing visual signs
to help teachers and
b. Good Housekeeping (This solution is
learners, which is
geared towards cleaning and organizing,
not necessary in the
which is not necessary in the scenario.)
scenario.)
c. Process Simplification (This solution is for
e. None of the Choices
eliminating wasteful activities, which is not
necessary in the scenario.)

9
A SI Team found that a root cause of the problem that learners cannot
complete the AGONA method in solving word problems is because the
learners are having difficulties in remembering the AGONA procedure. The
SI Team implemented a solution wherein a picture flowchart representing
the steps in the AGONA Method can help the students remember it. Which
solution concept did the SI team use?

a. Mistake Proofing (This concept is for d. Visual Management

preventing mistakes, which is not shown in (This solution is for
the scenario.) providing visual signs
to help teachers and
b. Good Housekeeping (This solution is learners, which is
geared towards cleaning and organizing, shown in their solution.)
which is not shown in the scenario.)
e. None of the Choices
c. Process Simplification (This solution is for
eliminating wasteful activities, which is not
shown in the scenario.)

10
A SI team conducted a Root Cause Analysis and found that one of the root
causes for why the Feeding Program takes 30 minutes is because the staff
in charge of giving the materials to students do not know where to find the
utensils, paper plates, and paper cups. The SI Team implemented a solution
wherein the materials are arranged properly in one container and labeled
properly so that the staff can easily find what they need. Which solution
concept did the SI team use?
a. Mistake Proofing (This concept is for d. Visual Management
preventing mistakes, which is not shown in (This solution is for
the scenario.) providing visual signs
to help teachers and
b. Good Housekeeping (This solution is learners, which is not
geared towards cleaning and organizing, shown in the scenario.)
which is shown in their solution.)
e. None of the Choices
c. Process Simplification (This solution is for
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eliminating wasteful activities, which is not

shown in the scenario.)

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 Step 7: Finalize Improvement Plan
Answer Key for
page
149

1
A SI Team has developed a solution to ensure that the time to conduct the
Feeding program will be within the allotted 15 minutes. The team will be using
visual management to ensure that the learners know how the process will take
place. What is the most appropriate step that the SI team should do next?
a. Call a meeting to brief the implementation of the solution and
staff and teachers in charge let the teachers and staff in charge
of the Feeding program so of the Feeding program implement
that they can implement it it. The SI Team should look for a new
immediately the next day. project. (The team should plan the
(The team should plan the implementation first and conduct a
implementation first and pilot test. The team should also be
conduct a pilot test.) hands-on in the implementation.)
b. Draft a memo indicating d. Determine the different activities,
that this solution should be timeline, and resources needed, and
implemented immediately create a plan to implement such
on all grade levels within the solution. (The team should first plan
school. (The team should plan and then implement the solution.)
the implementation first and
conduct pilot test.) e. None of the Choices

c. Set a target date for the

2
A SI Team has developed a solution to help learners identify the proper trashcan
to throw their wastes in order to ensure that the waste is properly segregated.
The SI Team will paint the trashcans in different colors, each color pertaining to
a particular type of waste. The team has set the implementation of the solution
one week from now in order to give time for the painting of existing trashcans
or buying new trashcans. A month has passed by and the solution has not been
implemented. The School Head called a meeting to ask the SI team why the
solution has not been implemented. The SI team mentioned that the trashcans
have not been painted. The School Head asked who is in charge of painting the
trashcans and the SI team looked at one another in silence. What mistake did the
SI team commit in this scenario?
a. They should have set a tighter deadline c. They failed to assign the person
to pressure everyone to implement responsible for painting and
their solution. procuring trashcans. (This is the
(The deadline is not the issue in the issue in the scenario. No one
scenario.) was given the responsibility
to oversee the project’s
b. They should have set a longer deadline implementation.)
in order to give more time for the
painting and procurement of new trash d. They failed to ask the School
cans. (The deadline is not the issue in Head for a budget to buy the
the scenario.) new trashcans. (The budget is
not the issue in the scenario.)
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3
A SI Team has developed a solution to ensure that the time for the Feeding program will
be within the allotted 15 minutes. The team will be using visual management to ensure
that the learners know how the process will take place The team set a budget of 5,000
pesos to buy all the required materials and everything that they need to implement the
solution. By the end of the implementation, the team accounted for the total cost and
ended up spending 20,000 pesos for the implementation of their solution. Comment on
the budget variance of 15,000 pesos that the SI Team incurred in this scenario.
a. The variance of 15,000 pesos is acceptable as long as the SI Team can justify it.
Furthermore, the school still has a lot of money. (The variance is quite big, and
having a lot of money does not justify the variance.)
b. The variance of 15,000 pesos should have been prevented if the SI Team
implemented strict cost control mechanisms. (This is the issue in this scenario.
The team failed to implement control mechanisms.)
c. The variance of 15,000 pesos should have been prevented if the SI Team declared
a higher budget. (Having a higher budget will not ensure the elimination of the
variance.)
d. The variance of 15,000 pesos was the result of one teacher’s action. It should
be charged to that person. (The team is blaming an individual person, which is
discouraged in the triple A approach because the individual is only a victim of the
system having a lack of cost control mechanisms.)

4
A SI Team has developed a solution to help students remember the AGONA method.
The team will be using pictures portraying the steps of the AGONA method. The team
started off with picture drawings to portray the steps. At the end of the implementation,
the team ended up with a video production showing the steps of the AGONA. The team
even bought flat screen monitors that they placed in each classroom so that they can
show the video. They ended up with a cost of 500,000 pesos. What is missing with the
implementation of the SI Team that caused their expenses to balloon to 500,000 pesos?
a. The team did not create a budget to limit their expenses. (Failing to set a budget
will result in uncontrolled expenses, which occurred in this scenario.)
b. The team did not properly estimate the costs of the materials for the
implementation. (Proper estimation will have an impact on the cost, but without a
budget, costs can still run away from the team.)
c. The team should have canvassed for cheaper flat screen monitors and video
production services. (Without a budget to compare to, the team cannot determine
if an item’s price is within the budget.)
d. The team should have asked for financial donations from stakeholders so that the
cost that the school will shoulder will be lessened. (Donations will help reduce the
costs shouldered by the school but it will not prevent the team from incurring a high
cost.)
e. None of the Choices

5
A SI Team found that a cause for why teachers exceed the allotted time for class is that
because they constantly forget the materials that will be used for class. The SI Team will
implement a solution wherein teachers are given a checklist of items to bring to class.
With this solution, the SI Team has identified the following risks:
i. The teacher might forget his/ her checklist, rendering the team’s solution as useless.
(This is a valid risk associated with the solution.)
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215
215
 ii. The checklist might not include all the things Which of the following
that the teacher needs for the day. (This is a valid are legitimate risks for this
risk associated with the solution.) solution?
iii. The checklist might not be reusable, making it a. i only
an expensive solution to implement. b. ii and iii
(This is a valid risk associated with the solution.)
c. iii and iv
iv. The checklist items might be too small, making
the teachers forget some items. (This is a valid d. None of the Choices
risk associated with the solution.)
e. All of the Choices

6
A SI Team implemented a solution to ensure that students segregate their waste
properly. The team budgeted for the procurement of new trashcans with different
colors, each color representing a certain type of waste. After the implementation,
the school had difficulties looking for budget to buy trash bags that they will use for
the trashcans. These trash bags are to be replaced regularly. What led the SI team to
face such problem after the implementation of their solution?
a. The team failed to budget for the recurring costs (trash bags) and only
considered the one time costs (trash cans). (Recurring costs, and not only one
time capital costs, should be included in the budget.)
b. The SI Team did not foresee the costs of trash bags as a risk. (The trash bags are
not a risk in the team’s solution implementation.)
c. The SI team did not assign a person responsible for buying the trash bags. (This
will not resolve the issue. Even if a person is responsible, without budgeting for
the trash bags, there will be no money to procure these.)
d. The SI Team forgot to estimate the costs for the trash bags. (This will not resolve
the issue. Even if the team was able to estimate the costs of the trash bags they
still won’t be able to procure them because it’s not in their budget)
e. None of the Choices

7
A SI Team has identified a certain risk where there was no prior experience of that
kind of risk and that there are major uncertainties regarding that risk. The team also
found that the effect of the risk may result in not meeting the intended benefits of
the solution. What should the SI Team do?
a. The risk is a showstopper. The c. The risk is low. The team can
team should not proceed with proceed with caution. (The
the solution. (The conditions conditions mentioned puts the risk
mentioned puts the risk in the in the category of a showstopper.)
category of a showstopper.)
d. There is not much risk. The team
b. The risk is significant. It should can proceed with no worries. (The
be addressed first before conditions mentioned puts the risk
proceeding. (The conditions in the category of a showstopper.)
mentioned puts the risk in the
e. None of the Choices.
category of a showstopper.)
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8
A SI Team has determined that the implementation of a solution requires significant time
from certain personnel/ teachers. What should the SI team do?
a. Create an implementation plan. (An implementation plan is not appropriate for
the scenario.)
b. Create a budget and cost management plan. (There is no mention of costs or a
budget.)
c. Create a resource plan. (A resource plan looks into the needed resources for the
solution’s implementation and ensure the availability of these resources.)
d. Create a risk management plan. (The team is not looking into the risks
associated with the implementation.)
e. None of the Choices

9
A SI Team is going to implement a solution to lessen the setup time of teachers before
class. The team has identified the risks associated with the solution. What is the next step
that the team should take?
a. Implement the solution. (The team is taking a high risk by implementing the
solution without planning for risk mitigation strategies.)
b. Formulate a Risk Response Strategy to deal with the risks identified.
(This is the most appropriate action. The team should plan on how to handle
and mitigate risks.)
c. Create a cost estimate for each risk. (This is an appropriate but incomplete risk
management strategy.)
d. Do not proceed with the solution implementation. (There is no mention that the
risks identified are showstoppers. There is no need to stop the implementation.)
e. None of the Choices

10
A SI Team is going to implement a solution that involves the participation of Grade V
teachers. The team has identified the risk that the teachers may not cooperate with the
solution implementation. The team identified several preventive measures:
i. Lay-off the teachers and get new ones who will surely
cooperate. (This action will not address the issue.) Which preventive
action/s is/are
ii. Include the teachers in the planning process of the
solution so as to ensure their buy-in. (This action will appropriate to deal
help mitigate the risk by ensuring the teachers’ buy in.) with this risk?
a. i and iii
iii. Create a memo ordering the teachers to cooperate
with the solution implementation or incur penalties b. ii and iii
otherwise. (This will create forced buy in, which can be
c. iii only
problematic in the future.)
d. ii and iv
iv. Create a rewards and recognition system that
will reward teachers who are able to successfully e. None of the
implement the solution. (This action will help ensure Choices
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the buy in of the teachers.)

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 Step 8: Pilot Your Solution
Answer Key
for
page
150

1
A SI team has identified a solution to ensure that the feeding program
does not exceed the allotted 30 minutes. The team has completed the
implementation plan, the budget and cost management plan, the resource
plan, and the risk management plans. What is the next most appropriate
step that the SI team should take?
a. Implement the solution on a full scale, involving all grade levels in the
school. (Implementing the full scale solution is very risky. The team may
not even know if the solution can be effective.)
b. Ask the School Head to draft a memo making the team’s solution
official and ready for school-wide implementation as soon as possible.
(Implementing the full scale solution is very risky. The team may not
even know if the solution can be effective.)
c. Test the solution on a small scale to determine if it really works, and
make improvements if necessary. (Solutions should be tested first to
determine its effectiveness and to plan for the risks associated with it.)
d. Hand over the solution to the teachers and let them implement it. The
SI team should move to the next project. (The SI Team should finish the
project up to a full roll-out of the solution.)
e. None of the choices

A SI team identified a solution to help students understand the AGONA

2
method. The team is now ready to implement the solution to the entire
school. The Team leader explains to the team that they need to test their
solutions first. Why should the team test their solutions first?
i. So that the team can make improvements to the solution. a. i only
(Having tested the solution, the team can then make
improvements if certain problems or issues arise during b. ii and iii
the testing.) c. i, ii, and iii
ii. So that the team will be able to understand the risks d. All of the
involved. (Some risks that were not identified during the choices
planning phase could appear during the testing phase.)
e. None of the
iii. So that the team will be able to validate the expected choices
results. (The team can become confident that their
solution will work.)
iv. So that the team will know the effects of their solution
on the entire year level. (Testing the solution does not
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guarantee its effectiveness on a larger population.)

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Figure 1. 4th Year Drop Out Rate (Before) Figure 2. 4th Year Drop Out Rate (After)

3
A SI Team looking into the drop out rate of 4th year learners has tested the
solution and has gathered data. The before and after graph of the drop out
rate can be seen in figures 1 and 2. Comment on the data of the SI Team.
a. The solution is effective. The drop out rates decreased after the
implementation of the solution. However, the scaling of the two graphs
are different, which makes these difficult to compare. (The graphs are
not in the same scale, which makes it difficult to compare the school’s
before and after performances.)
b. The solution is not effective. The graph shows that the drop out rates
increased after the implementation of the solution. (The solution is
effective. The scales of the graphs make it difficult to compare the
school’s before and after performances.)
c. The solution is not effective. The graph shows that there is no change
in the drop out rates after the implementation of the solution. (The
solution is effective. The scales of the graphs make it difficult to
compare the school’s before and after performances.)
d. The solution is effective. The drop out rates decreased after the
implementation of the solution, which is perfectly reflected in the
graphs. (The solution is effective, but the graphs use different
scales, making it difficult to compare the school’s before and after
performances.)
e. None of the choices

A SI team looking into the performance of learners in Science has

4
implemented a pilot test for their solution. They have gathered the data for
the test. What is the next most appropriate step that the team should take?
a. Implement the solution for the rest of the school. (The team should
first evaluate the results of the test before implementing a school-wide
solution.)
b. Evaluate the tests results and compare these with the current state in
order to see if there really are improvements. (Evaluating the results will
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help the team determine whether the solution is effective or not.)

219
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 c. Hand over the solution to the teachers and let them implement the
solution for the rest of the school. (The SI team should finish the
project up to the full roll-out of the solution)
d. Do not implement the solution. (There is no indication that the
solution is not effective and should not be implemented.)
e. None of the choices.

5
A SI team has developed three solutions to ensure that the feeding
program does not exceed the allotted time of 30 minutes. The team is
unsure of which solution to implement. What should the team do?
a. Implement all three solutions and compare which one is the most
effective. (Implementing all three solutions is expensive and difficult
to do.)
b. Hand over the solutions to the teachers and let them worry about
which to implement. The team can now move to another project.
(The SI team should finish the project up to full roll-out of the
solution.)
c. Escalate the issue to the School Head and let him/ her decide what
to do. (The SI team should think of what needs to be done and
should not divest its responsibility on the school head. The school
head, in turn, can give helpful suggestions.)
d. Perform cost-benefit analysis, and choose the solution with the
highest net benefit. (A cost-benefit analysis will help the team decide
which solution to test, given its net benefits.)
e. None of the choices.

6
A SI team is going to perform a cost-benefit analysis of their solution to
ensure the proper segregation of waste. Their solution is to label the trash
cans properly and assign different colors for each receptacle of waste. The
team has identified the following costs:
Which cost should be included
i. Training costs for the teachers in the cost-benefit analysis?
(This should be included in the
analysis as a non-recurring cost.) a. i only
ii. Cost for meetings b. i, ii, and iii
(This is a non-recurring cost
that must be included.) c. iii and iv

iii. Cost for trash cans d. All of the choices

(This is a capital cost that
must be included.) e. None of the choices

iv. Cost for trash bags

(This is a recurring cost
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that must be included.)

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7
A SI team has tested a solution to increase the Reading Comprehension
scores of learners. The team has gathered data and found that their
solution is not effective. What should the team do?
a. Blame each other for the failure of the solution. (The team should not
blame each other for the failure of the solution. The solution’s failure
could caused by something that they missed in the analysis.)
b. Go back to the root cause analysis and determine if they missed
something. (The team might have missed something in the analysis or
in the solution generation phase that led to the failure of the solution.)
c. Implement the solution to the entire school, hoping that the bigger
population will yield better results. (A bigger population does not
guarantee better results. The cause of the solution’s failure might be
something the team missed in their analysis, and they should review
that.)
d. Blame the teachers and the learners for the failure of their solution.
(The team should not blame the teachers and the learners for the
failure of their solution. The cause of the solution’s failure could be
something that the team missed in their analysis.)
e. None of the choices.

8
A SI Team has developed a solution to ensure that teachers can
immediately find what they need for teaching. The team will use the
concept of good housekeeping. However, one teacher is reluctant with the
approach of the SI team. What can the team do?
a. Ask the principal to give the teacher a memo to force compliance.
(Forced compliance will be problematic in the long run because the
teacher is still not convinced in the team’s solution.)
b. Replace the teacher with someone who will cooperate. (Replacing the
teacher will not ensure the substitute’s buy in.)
c. Choose another grade level to implement the solution. (The solution
should be implemented on the grade level where the issue is present.)
d. Include the teacher in the piloting of the solution so he/ she can feel
the effects of the solution. (Including the teacher in the pilot effort will
make him/ her feel effects of the solution, resulting in the teacher’s
buy-in.)
e. None of the choices.

9
A SI Team is about to test a solution which involves teachers using a
different method for teaching AGONA. The team asked the teachers to
implement the new method through a memo sent by the School Head.
After the pilot testing, the team gathered the data and found that the
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solution was not effective because some of the teachers did not implement
the method correctly. Comment on the approach taken by the SI team.

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 a. The team’s approach was correct. The teachers should be reprehended for the
failure of the solution. (The team’s approach was incorrect. The team did not
explain the reason for the solution and how to implement it. Additionally, the
team should not blame the teachers for the failure of the solution.)
b. The team’s approach was incorrect. They failed to secure the teachers’
buy-in by not explaining the reason for the solution and how to use the
method. The team relied on the memo of the School Head for the solution’s
implementation. (The team’s approach was incorrect. They did not explain the
reason for the solution and how to implement it.)
c. The team’s approach was incorrect. They should have mentioned in the
memo that non-compliance will result in penalties. (The team’s approach
was incorrect. They did not explain the reason for the solution and how to
implement it. Imposing penalties will not ensure the teachers’ compliance and
may create more problems in the future.)
d. The team’s approach was correct. They must think of other solutions to
address the problem. (The team’s approach was incorrect. They did not
explain the reason for the solution and how to implement it. The solution is
not the problem, it is the implementation that is flawed.)
e. None of the choices.

10
A SI Team is looking to increase the Math Figure 3. Section A Math Scores
Scores of Grade IV Learners. The team has
developed a solution and are planning to test
it. The scores of three of the Grade IV sections
before the implementation of the solution can
be seen in Figures 3-5. Which section should
the SI team test the solution on?
a. Section A Only. (The solution should be
implemented on the section where the
issue is present. The grades of Section A Figure 4. Section B Math Scores
learners are high.)
b. Section B Only. (The solution should be
implemented on the section where the
issue is present. The grades of Section B
learners are average.)
c. Section C Only. (The solution should be
implemented on the section where the Figure 5. Section C Math Scores
issue is present. The grades of Section C
students are low and no one passed the
school’s standards.)
d. Section A and B. (The solution should be
implemented on the section where the
issue is present. The grades of Section A
and B learners are high and average.)
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e. All of the Sections.

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Step 9: Roll-Out Your Solution
Answer Key
for
page
173

1
A SI Team has finished testing their solution on one section in Grade IV
to address the low grades of learners in Science. Based on the learners’
test results, the team was able to prove that their solution is effective.
What is the next most appropriate step that the team should take?
a. Turn over the solution to the teachers and let the teachers roll out
its implementation to other sections. (The SI team should finish the
project up to the full roll out of the solution. The team should then
guide the teachers during the roll out.)
b. Roll out the solution to all grade levels. (The issue that the team is
tackling is specific to Grade IV learners. As such, the solution may
not be applicable to other grade levels.)
c. Roll out the solution to all sections in Grade IV. (The issue that
the team is tackling is specific to Grade IV learners. As such, the
solution should be rolled out to other Grade IV sections.)
d. The project is completed. The team should now move to other
projects. (The SI team should finish the project up to the full roll
out of the solution. The team should guide the teachers during the
roll out.)
e. None of the choices.

2
A SI team is planning to roll out their solution to ensure that the
feeding program does not exceed the allotted 30 minutes. The
team has completed the testing, the cost computations, and the risk
management strategies of their solution. Before the team rolls out the
solution, they conducted a program to inform the teachers involved
about the details of the implementation, when the implementation is
going to be conducted, as well as the rationale behind the solution.
What element of the people side planning did the team illustrate in this
scenario?
a. Communication (The team shared information about the solution
with the teachers so the teachers will know what is going to
happen.)
b. Participation (The scenario does not show the teachers being
involved in the planning and execution of the solution.)
c. Education (The scenario does not show the teachers being given
what they need to successfully implement the solution.)
d. All of the choices
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e. None of the choices

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 3
A SI team is planning to roll out their solution to ensure that learners know
how to do the AGONA method. The team has completed the testing, the
cost computations, and the risk management strategies of their solution.
Before the team rolls out the solution, they regularly met with the teachers
who will be involved and asked for the teachers’ inputs on how to properly
implement the solution, what needs to be done, as well as other details
regarding the implementation. What element of the people side planning
did the team illustrate in this scenario?
a. Communication (The scenario does c. Education (The scenario
not show the sharing of information does not show the
regarding the solution.) teachers being given what
they need to successfully
b. Participation (The team was
implement the solution.)
involving the teachers in the
planning and execution of the d. All of the choices
solution.)
e. None of the choices

A SI team is planning to roll out their solution to ensure that the teachers

4 don’t exceed the allotted time for discussing the lessons in English. The team
has completed the testing, the cost computations, and the risk management
strategies of their solution. Before the team rolls out the solution, they
conducted short training sessions with the teachers involved to ensure that
the teachers understood how to implement the solution. What element of the
people side planning did the team illustrate in this scenario?
a. Communication (The scenario does c. Education (The team was
not show the sharing of information training the teachers so
regarding the solution.) that the teachers can
successfully implement
b. Participation (The scenario does the solution.)
not show the teachers being
involved in the planning and d. All of the choices
execution of the solution.)
e. None of the choices

5
A SI team has established standard procedures and documentation for their
solution in order to increase the scores of learners in Math. The team is now
going to orient the teachers who will be using these procedures. During the
orientation, one of the SI Team members told that teachers that it is up to
the teachers whether they should follow every single step of the procedure.
What pitfall did the SI team member commit in this scenario?
a. Not including the persons c. Not stating the result to be
performing the activities in the obtained. (The scenario does
creation of procedures. (The not show the lack of results.)
scenario does not show the non-
d. Telling the teachers to ignore
involvement of persons using the
procedures or certain parts of
procedures during its creation.)
the procedures. (The scenario
b. Not testing the procedure prior shows the speaker encouraging
to full-scale implementation. the participants to skip certain
(The scenario does not show parts of the procedures.)
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the team’s failure to test the

e. None of the choices.
procedure.)

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 A SI team has established standard procedures and documentation

6 for their solution in order to ensure that the feeding program does
not exceed the allotted 30 minutes. The team’s solution involves a
new methodology on how to conduct the feeding program. The
team then gave the procedures and documentation to the teachers
and staff in charge of the feeding program, and asked them to read
it then implement it. What pitfall did the SI team commit in this
scenario?
a. Not explaining how to do a step/s. (The scenario shows that
the teachers were asked to study the procedure and determine
how to do execute these by themselves. The teachers were not
oriented on how to do it.)
b. Not making the procedures readily available to people. (The
scenario does not show the unavailability of the procedures.)
c. Telling workers to ignore procedures or certain parts of the
procedures. (The scenario does not encourage the ignorance of
steps in the procedure.)
d. Not having a method to update procedures. (The scenario does
not show the need to update the procedures.)
e. None of the choices.

7
A SI Team has established standard procedures and documentation
on the process of teaching learners the AGONA Method. The
procedures have been turned over to the Math teachers. The Math
teachers have been trained on how to perform the procedures
as well. After several years, the process of teaching the AGONA
method has changed a lot in order to adapt with the changes in
teaching methods and learner needs. However, the procedures and
documentations were not updated. What pitfall did the SI team
commit in this scenario?
a. Not telling people how to do a step/s. (The scenario does not
show the lack of training of people on how to do the step/s in
the procedure.)
b. Not making the procedures readily available to people. (The
scenario does not show the unavailability of the procedures.)
c. Telling workers to ignore procedures or certain parts of the
procedures. (The scenario does not encourage the ignorance of
steps in the procedure.)
d. Not having a method to update procedures. (The scenario
shows the need to update the procedures because the actual
process has already changed but there remains no method on
how to execute it.)
e. None of the choices.
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 8
A SI team has established standard procedures and documentation
to ensure that teachers don’t exceed the allotted time for class
discussions. What is the next most appropriate step that the team
should take?
a. Leave the standard procedures and documentation with the users
and proceed to the next project. (The users should be trained
properly so that they know how to apply the procedures.)
b. Train the users of the standard procedures and documentation.
(The users should be trained properly so that they know how to
apply the procedures.)
c. Keep the standard procedures and documentation in the library.
(Procedures and documentations should not be kept in the library.
These should be kept near the place where the process will be
executed so that people can easily refer to the procedures and
documentations when needed.)
d. Give the standard procedure and documentation to the School
Head. (The School Head can have a copy of the procedures and
documentation. However, these should still be given to the users.)
e. None of the choices.

9
A SI team is ready to roll out the solution to ensure the proper
segregation of waste in the school. The SI team has determined that
they would need the help of parents in order to remind the learners
regarding the segregation of waste. As such, the SI team called a
symposium to orient parents regarding their proposed solution and
what the parents can do to help. What element of the people side
planning did the team illustrate in this scenario?
a. Communication with stakeholders (The team shared information
with stakeholders so that the stakeholders will know what is going
to happen and that they can provide their inputs and support.)
b. Participation (The scenario does not show the parents being
involved in the planning and execution of the solution.)
c. Education (The scenario does not show the parents being given
what they need to successfully implement the solution.)
d. All of the choices
e. None of the choices
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10
A SI team has standardized the new methodology to teach the AGONA
method. The new methodology is their solution to ensure that students
understand and know how to do the AGONA method. There are
currently 5 teachers handling Math subjects for Grade IV and all of them
are teaching the AGONA Method. With the new standard process, the
school can ensure that the method is delivered the same way every time,
regardless of who is delivering it. What use for standard practices was
illustrated in this scenario?
a. Create consistency among individuals or groups
(This makes the process output more predictable. Creating a
standard procedure ensures that the process will be delivered
consistently every time, regardless who is doing it.)
b. Provide “know-why” for teachers and leaders currently on the job.
(The scenario does not show the procedure helping the teachers
do what they need to do.)
c. Provide a basis for training new people (The scenario does not
show the procedures being used to train new people.)
d. Provide a trail for tracing problems (The scenario does not show the
procedures being used to trace problems.)
e. None of the choices.

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 Step 10: Check Your Progress
Answer Key for
page
185

1
A SI team has rolled out their solution to ensure that the feeding
program doesn’t exceed the allotted 30 minutes. What is the next
most appropriate step that they should make?
a. Close the project and proceed to the next one. (the team should
monitor the solution to ensure it continuously performs according
to expectations before closing it)
b. Monitor the solution to ensure that the process continues to
perform as expected before finally closing it. (the team should
monitor the solution to ensure it continuously performs according
to expectations before closing it)
c. Proceed to the next project immediately. (the team should
monitor the solution to ensure it continuously performs according
to expectations)
d. Leave the monitoring to the teachers and proceed to the next
project. (monitoring should initially be done by the team,
and they should set up a monitoring system that they should
handover to the process owners)
e. None of the choices.

2
A SI Team is looking into the Teaching Learning process of Science
for Grade III Learners. During the walk the process the team observed
that the entire Teaching Learning process exceeded the 40 minutes
allotted time. The team now decided to gather data on the start
and end times of each sub-process of the teaching learning process
of Science. The team is now going to implement their solution to
address the issue, which data should they gather to assess and
monitor the implementation?
a. Time data on the start time and end time of the teaching
learning process (this data is not consistent to what they
collected in Step 4)
b. Time data on the amount of time in excess of 40 minutes (this
data is not similar to what they collected in Step 4)
c. Time data on the amount of time spent for recitation (this data is
not similar to what they collected in Step 4)
d. Time data on the start time and end time of each sub-process
of the teaching learning process (this data gathers how long
each sub-process took, this is consistent with the data that they
gathered in Step 4.)
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e. None of the choices

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3
A SI team has finished the implementation and roll out of their
solution. They have also monitored the solution for a certain time to
ensure that it continuous to perform according to what is expected.
What is the next most appropriate step that they should take?
a. Document the learning from this project, recognize the team for
their contribution, handover the monitoring and evaluation to
the process owner, and proceed to the next project. (the team
should take these actions to properly close the project)
b. Proceed immediately to the next project. (proper closing of the
project should be done)
c. Be content with what they have achieved and with the
performance of the school. (the team and the school should
never be content they should pursue continuous improvement)
d. Continue with the monitoring of the project performance to
ensure that it continuous to perform according to expectations.
(the team should know when to let go and proceed to other
projects)
e. None of the choices.

4
A SI team is looking into the issue that the learners have low scores
in Science. They implemented remedial classes to help learners with
low grades improve their performance. Which level of fix did they
apply?
a. Level 1 Fix the Output (this level is corrective, the output is being
fixed)
b. Level 2 Fix the Process (this level is proactive, fixing the process
that produces the output)
c. Level 3 Fix the System (this level deals with fixing the policies
and procedures within the system)
d. All of the choices
e. None of the Choices

5
A SI team is looking into the issue that learners have low scores in
Math. The team investigated the teaching-learning process math and
made some improvements. Which level of fix did they apply?
a. Level 1 Fix the Output (this level is corrective, the output is being
fixed)
b. Level 2 Fix the Process (this level is proactive, fixing the process
that produces the output)
c. Level 3 Fix the System (this level deals with fixing the policies
and procedures within the system)
d. All of the choices
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e. None of the Choices

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 6
A SI team is investigating the drop out rate of a particular school. They looked
into the attendance monitoring process and introduced new policies to ensure
the accuracy of the attendance and the monitoring of learners with poor
attendance records. Which level of fix did they apply?
a. Level 1 Fix the Output (this level is corrective, the output is being fixed)
b. Level 2 Fix the Process (this level is proactive, fixing the process that
produces the output)
c. Level 3 Fix the System (this level deals with fixing the policies and procedures
within the system)
d. All of the choices
e. None of the Choices

7 A SI Team has implemented a solution to improve the math proficiency of Grade

IV learners. Before the implementation there were 50% of students who were non-
numerates. After the implementation of the solution, they gathered data on the
level of numerates in grade IV and found that there were still 50% of learners who
were non-numerates. The school standard is that at most 10% of learners being
non-numerates is acceptable. Comment on the results of the solution of the SI
team?
a. The solution was successful; the team was able to sustain 50% of learners
who are non-numerates. They were able to prevent its increase and made it
consistent. (SI improvement projects aim to meet the standards set by the
school or make improvements from the current state)
b. The solution was unsuccessful. The team was not able to reach the standard
set by the school. (The team was not able to meet the performance standard
set by the school or even improve their current situation)
c. The solution was unsuccessful; the team should blame the teachers for the
failure of the solution. (Yes the solution was unsuccessful but the team should
not blame people, instead look back to the analysis to find out why it failed)
d. It’s hard to say whether the solution was successful or not, additional data
should be gathered. (the data shows that the solution is unsuccessful, the
team was not able to meet the target performance or even improve the
current performance)
e. None of the choices.

8 A SI Team has finished their implementation of their solution to speed up the

Feeding Program process. They gathered ‘before’ and ‘after’ data and are ready
to analyze the results. What should the SI Team evaluate?
i. The difference between the desired and actual performance.
(this is correct because it shows whether the solution is
effective) a. i, ii, and iii
ii. Adherence to the implementation plan. (this is correct b. i only
because it shows whether the plan was followed)
c. i and iv
iii. Unintended benefits of the implementation.
(this is correct because it shows benefits that were d. All of the
not initially planned but are still important) choices
iv. Effectiveness of the solution to target the causes e. None of the
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identified. (this is correct because it shows whether the choices

solution was able to address the causes identified)

230
9
A SI Team has implemented a solution to improve the English proficiency of
Grade IV learners. Before the implementation there were 50% of students who
were non-readers. After the implementation of the solution, they gathered
data on the reading proficiency in grade IV and found that there were still 50%
of learners who were non-readers. The school standard is that at most 10% of
learners being non-readers is acceptable. What should the SI team do after
getting this result?
i. The team should re-evaluate the analysis that they did and
look into the reasons of why they were not able to bring Which
down the number of learners who are non-readers. (this is action/s
correct because the team looks back into their analysis to
determine why their implementation failed) should the SI
team do?
ii. The team should investigate who is the reason for the a. i only
failure of the solution so they have someone to blame. (this
is wrong, the team should not blame people for failure, b. ii only
instead evaluate the process that they followed and their
analysis) c. ii and iii

iii. The team should accept the failure of the solution and move d. i and iv
on to the next project. (this is wrong, the team should not e. None of
give up whenever they experience failure, they should look the choices
into the reasons why it failed and improve)
iv. The team should look into the actual implementation and
compare it with the plan to see if there are deviations to
the plan that caused the failure. (this is correct because the
team looks into the implementation to see if deviations from
the plan happened which might have caused the failure.)

10
A SI team has finished the implementation and roll out of their solution to
improve the proficiency of learners in Science. They have also monitored the
solution for a certain time to ensure that it continuous to perform according to
what is expected. They are now ready to close the project. What activities should
they undertake for the closure?
i. Recognize the time and effort that the team has given
into the project (this is correct, the team should be Which
recognized so that they will be motivated to do more action/s
projects) should the SI
ii. Capture the learning from the initiative (this is
team do for
correct because the learning will help future project the project
implementations) closure?
a. i only
iii. Develop managerial systems to monitor the
implementation (this is correct because the monitoring b. i, ii and iii
should be handed over to the process owner, and a
system will make it easy for them) c. ii and iii
iv. Celebrate and be content with the improvement that d. i and iv
they have done (celebration is correct, the team should
e. None of the
celebrate their achievements but they should not be
choices
content with the improvements made, we want to instill
a culture of continuous improvement)
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 Project Forms

project title

Name of the School and Project

Team Members
stage 1: assess

background
School Profile
School Measures
VOC
Project Scoping (SIPOC)

current state

Process Map +
Data Gathering and Presentation

Problem statement

problem analysis
stage 2: analyze

Root Cause Analysis

Validation of Causes

Prioritization of Valid Causes

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232
 future state
Objective
Statement
stage 2: analyze

Solution Generation
Value Analysis
Improved Process Diagram

implementation plan
Tasks and Timeline
Budget and Resource
Stakeholder Analysis

Evaluation of Implementation Risks

TEST RESULTS

Piloting

Rollout

Before and After

stage 3: act

Cost Benefit Analysis

KEY LEARNING

Project Closure

Project Sharing
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Resources

SI RISK TEMPLATE
Step 3: Response Step 4 : Risk Response
Step 1: Risk Identification Step 2: Risk Assessment Strategy Planning

Assigned to
Risk Score
Likelihood

( 1 - 25 )
Risk Management

Severity
(1-5)

(1-5)
Risk Description of Risk Event Potential Impact
ID Strategy Action
Category Risk Event Trigger if Risk Event Occurs
Plan/Contingency Plan

Describe how the
design or process
Categorize functions (or items)
the risk can fail. The
1 according to question being asked
its here is “How could it
234
Describe the
consequences of each
failure mode. It is
Provide
extremely important to
reasons why
capture the experiences of
the failure
the customer. Thus, we
mode can or
Assess the
Assess how often
severity based on
a failure mode or Risk Score = Provide actions to
how bad the
its cause happens. Severity x eliminate the cause of
effects of the
Rated on a scale Likelihood the risk. The strategy
failure mode is. A Assign a person to be
of 1 to 10, where Highest Risk should lower the impact
rating of 10 responsible for tracking and
10 means that Score of the risk by reducing
means that an managing each identified risk

must put ourselves in the failure is certain warrants first the likelihood of
consequence fail” not “If it will fail”. will occur. effect is so severe,
shoes of the customer and to occur and 1 consideration occurrence, reducing the
it threatens the
know these effects means extremely for analysis. consequence, or both
safety of the
through their perspective. remote.
customer.

Step 2: Risk Step 4 : Risk Response

Step 1: Risk Identification Step 3: Response Strategy
Assessment Planning

Assigned to
Risk Score
Likelihood

( 1 - 25 )
Risk Management
Severity
(1-5)

(1-5)
Risk Description of Risk Event Potential Impact
ID Strategy Action
Category Risk Event Trigger if Risk Event Occurs
Plan/Contingency Plan

Principal, Head
Create Anti-littering Committee Teachers, Guidance
counselor, Student
Government, Class
Advisers, Class
Students will Include effects of global warming and President
The student will
not support No strict waste management topics in science
still throw their
1 Moderate the campaign implementation 3 3 9 subjects
trash
 failure mode. It is its cause happens. Severity x eliminate the cause of
Categorize functions (or items) Provide effects of the
extremely important to Rated on a scale Likelihood the risk. The strategy
the risk can fail. The reasons why failure mode is. A Assign a person to be
capture the experiences of of 1 to 10, where Highest Risk should lower the impact
1 according to question being asked the failure rating of 10 responsible for tracking and
the customer. Thus, we 10 means that Score of the risk by reducing
its here is “How could it mode can or means that an managing each identified risk
must put ourselves in the failure is certain warrants first the likelihood of
consequence fail” not “If it will fail”. will occur. effect is so severe,
shoes of the customer and to occur and 1 consideration occurrence, reducing the
it threatens the
know these effects means extremely for analysis. consequence, or both
safety of the
through their perspective. remote.
customer.

EXAMPLE SI RISK TEMPLATE

 

Step 2: Risk Step 4 : Risk Response

Step 1: Risk Identification Step 3: Response Strategy
Assessment Planning

Assigned to
Risk Score
Likelihood

( 1 - 25 )
Risk Management

Severity
(1-5)

(1-5)
Risk Description of Risk Event Potential Impact
ID Strategy Action
Category Risk Event Trigger if Risk Event Occurs
Plan/Contingency Plan

Principal, Head
Create Anti-littering Committee Teachers, Guidance
counselor, Student
Government, Class
Advisers, Class
Students will Include effects of global warming and President
235
235

The student will

not support No strict waste management topics in science
still throw their
1 Moderate the campaign implementation 3 3 9 subjects
trash
for “Zero of rules;
everywhere
Litter” Science Teachers
Project
Award Most Clean Room of the
Week

Resources
Resources

SIPOC TEMPLATE
Supplier Inputs Process Output Customer
236

Process Steps
 SAMPLE DATA COLLECTION PLAN 1
(THIS IS ONLY A SAMPLE DATA COLLECTION PLAN, TEMPLATE CAN BE
CHANGED DEPENDING ON THE DATA NEEDED)
Data Collection Plan Project ________________________
What questions do you want to answer?
237
237

Data Operational Definition and Procedures

What Measure How measured Related conditions Sampling How/where
type/ Data 1 to record 2 notes recorded (attach
type form)

Resources
Resources

SAMPLE DATA COLLECTION PLAN 2

(THIS IS ONLY A SAMPLE DATA COLLECTION PLAN, TEMPLATE CAN BE CHANGED DEPENDING ON THE DATA NEEDED)

Process Step Time Start Time End Cumulative Time Notes

238
 School Improvement Story

Schooll lmprove1
m ent Story of Mari'lkina High School
Rea.ding I nte ruention Pr-ogr-am

ODUCTIO

Status of Read·ng Leve[ls of Students

At the star oif SY 2013 to 2014, the school sti I. ad a num er
of s ude ts w it · lo,w reading abmties, despite t ei
impleme atio of a reading imp oveme t prograrm
ariki1na HS
Dis1 ibut on ,of Students Wi'th , ead i ng Dli IC 11.1 11 ,es
I
1

Ga e7

2nd r

To address th Js issue, Marikina

T e sc: ool de ined e~r
HS dedded to try o e
improve · e ta ea as,
Contini ous mprovemen
,.' To im r ove the Grade 4
methodollogy. They selected
eading abili y o the 14
the st de ts with Grade 4
fo rth year .st1 dents at t e
reading [levels, t e lowest
e d of Decembe 2013.N'
e
rating amo t ose w ith
reading ifficu lt ies, as the
I Se ptem ber 2013, t ey
1

target for their Conti 0 1 s

initiated the C~ process.
Improve ent mterve t io .
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239
239
 1. Get Organized

The school established t heir SI team to im plement

t he improvement process.

2. Tal k with Sta keholders

The SI Team conducted home

visitation to orient t he parents
about the project, get their
approval, and study the
students' background. Aside
from parents, students and
teachers were also interviewed.

The team prepared

survey forms for
parents and students.
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240
 3. Walk the Process

The current reading intervention process was mapped out. The in-class remedial
reading was implemented in all year levels (Grade 7 - 4 th year) using McCall Crabbs
Test and t he Comprehensive Assessment of Reading St rategies (CARS). It did not
address the individual learning needs of students in reading and comprehension.

A.dm lnlstcr Conduct teacher- lmpl emenit the 1Condwct t eacher- Adm lnJstcr
McCal l
designed In-class designed McCal I Crabbs
Crabbs
diagnostic test ..-eadi_ng diagnostk post p0S1-tcs1 a.nd
prc-t:cs1 and
anaJyzc and anaJyze intervention test .and .analyze analyze
results results using CARS results rnuns

4. Identify Prior ity !I mprovement Area

Based on t he McCall Crabbs Pre-test resu lts (2'":i Qtr. SY 2012-2013), 862 third
year HS students have reading abilities ranging from Grade 4 to 2 tid Year.
In the Post-test (4 th Qtr. SY 2012-2013) 14 t hird year HS students have a
reading ability of Grade 4 level. These students are now in t heir fourth year.

PROBLEM STATEMENT
14 Fourth Year HS student s
have a rea ding ability of
Grade 4

No. of St riv ing Adolescents N0 . 0F STRIVING ADOLESCENT

1

READERS
Gr.:ri:ie 4 . READING GRADE
14
LEVEL POST-TEST
4 14
5 110
6 252
7 187
2 nd Year 70
TOTAL 633
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241
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 S. Do Root Cause Analysis
Among th e root ca uses identified by the SI Team w ere: poo r reil ding co mprehension due
t o poor vocabulary. poo r study habit s because t here is no one to gujde them. v.aried
applicatj ons and differentiated strategies of CARS among English teachers; and in-class
implementati on of CARS does not address development of individual reading skills.
I MAIN I
MATER~AlS
r~~ "-'..,..,,,..onti. 1,,..,."
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• 2: C t .

6. Develop Sollution
The SI Team form ulated sol utions t o address th e root ca uses to ensur e that the t arget specified
in the objective wo uld be ach ieved w ithin t hr ee mont hs. These were main ly cond ucting
remedial reading/tutorial in school and devel oping custo mi:z:ed materi als to suppJement CARS.
lm11l i>mtrr! ~hit
Condu:t W11duir· fn -Cl1j S \!'.',:;n:l,.ct IJt~'"'!•·
dcsljtr~ d l.J,p111s-1lc ~ 11rl i<!I
:lfsqn t(! <:l~r,Q,Ot <c
test ,and ;:m;il~ e tile ~r;t ~< i,;,,:;<He,t ,.. ,1
To improve the IAPHrlir;t l,µ111/)
rcs1.Jt .an >l,pl'.' 1"4! •!'Wit
Adrnlnlw .ir CAR:S A rtmlnh;t~
Grade 4 read ing tllll .\'le,Clllll the M c;Cnrt
ab ilit y of the 14 C r!I'~$ ~ st CI.obbs test
~ P-1"¢ifl~ M m lr. l&'cr ttltl .is 1PQ5t-tc51
4 1 ~ yea r stu dents tCll-eh!flr-oosJsmud t_ondun th.c
.;m i, !lnAil yzo Ar.minis.,er !!>IHI ;in[llyl'Q
at t he end of tlirc l'(),wlt prot o s1 o n 51dll& Rcrr..edlal
I l'"rh e r<1e s i11nji(! t ho re5 1,11t
m ~ 1Sl lr'4!d by Rc;idln;;;
December Scsslo,ns pOU•!l'1,t .i nd ~ I!
PIJl::Clill C r.i~b5
I he IC1im An .• ly~i i
!1'$t 11n,;J do tlirl.l
l~em Am11y$ll;.

7. Finalize Improvement Plan

An improvement plan was draw n up detamng th e act iviti es t o be undert aken,
target outputs, tim elines, roles a.nd responsibilities. and required resources.
o 1m1:11w ,\?O'lc rtt Pl;in
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. ...... , .... k ,, . ,,,. fl,o1-C1-.a f' ~-,1 ,<;,-.- "•d lb ••-,.." II.I t•l,...~tl,. '\

242
 10. Check Progress

BEFORE AFTER
Grade 6 level = a
Grade 5 level = 6
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