1. Compliance and Enforcement Transformation
C&E staff meeting – Trenton campus and Toms River
Feb 16th, 2011
Public Hearing room
NJDEP Headquarters 401 E. State St.

2. Communicating change vs. executing change
1. I believe this organization needs to change. (burning)
2. I understand where this change effort will take us. (paradise)
3. I believe this effort will make us more successful.
4. I am confident we can accomplish this.

3. Our target for all questions is 70% rating 4 or 5. (32% currently)

4. 22%
23%
24%

5. From Oct-Dec 2010

6. Any other reasons to change?
Practical
We cannot describe or show success
Our success may in fact be diminishing
Motivational
We are “middling” like ¾ of the rest of the world
We do a job when we might fulfill an inspiring mission

7. From Oct-Dec 2010

8. New Platform? Paradise? Margaritaville?…
Can’t wait to get to work
Delivering valued and obvious results
Recognized as world leader
Immune to purely political swings
Empowered, responsible and respected
Living and advancing a public service ethic

9. From Oct-Dec 2010

10. Reasons for Hope “Transformation” is not new, circumstances are new
Economy (biggest decline since 1945)
Tools and information advancing exponentially
New players, lots of turnover
Leaders have empowered us to make the changes
No top-down solutions
Big ideas welcome! New players welcome!
We have Amazing people!
We need both a culture change and a culture release
Many were already burning inside - forget the platform
We have enough people (if we do this right)
True empowerment multiplies capacity

11. In Over Our Heads? 70% of large scale change initiatives fail
What is different from our own past?
(Have we really “been there, done that”?)
What are we doing differently than the 70%?
How would we know?
Change efforts have a rich history
People are key, but so is process
Help exists

12. What Help Did C&E Find? Ken Miller
Veteran Change Agent
Governing Magazine contributor
Over 100 large scale government initiatives
Concrete results
Conceptual framework for change in government
Detailed Practical guidance (a “How To”)
Draws on the best of many other “business” frameworks
Statistical process control
Six Sigma
LEAN manufacturing
Illuminates when to use each specific tool or approach

13. Ken Miller http://www.wedontmakewidgets.com/
videos at:

14. Change Concepts We only get change in three ways:
Improve a widget
Improve a process
Create a new process or widget
All change is affected by teams working on discrete projects, with deliverables and deadlines.

15. Widget:
Something created by work, which can be given to someone else to achieve a desired outcome.
Widgets must meet the following four rules:
Widgets are things – cars, permits, contracts, licenses, NOVs
Widgets are deliverables – rules, regulations, articles, pamphlets
Widgets can be counted – invoices, permits, vendor lists, meetings
Widgets are specific – inspection reports, training classes
Widgets come in two types: those you can see such as reports, permits, licenses; and those that are invisible such as answers, meetings, assessments.
Widgets are the link between our “factory” and our customers.

16. Systems:
Processes (including the inputs, suppliers, and employees who work in the processes) that produce widgets for customers in order to achieve some desired result or outcome.

17. Customers: End users of our widgets
The people we had in mind when we designed the widget.
They will personally use the widget to achieve a desired outcome.
There could be multiple customers who have competing interests.
The customer is the link between our widgets and our outcomes.
Note that “the public” or taxpayers are only our customers when they use our widgets. More often our customers are those we regulate.

18. Investors or Shareholders:
The public, taxpayers
Stakeholders:
All those with an interest in our actions and especially our success.
These will include customers, employees and investors/shareholders/taxpayers.

19. C&E’s Approach Stakeholder sessions B. Steering group C. Teams
authority to change
results/measures
B. Steering group
Key systems
C. Teams
analysis, project priorities
customer focus
implementation
Transparent
EVERYTHING is shared

20. A. Stakeholder (shareholder) sessions mid-Dec 2010
Obtain useful feedback on possible changes to, and expansion of our role
Develop measures or results that we are empowered to seek and capable of delivering

21. A.1. Authority to Change or Expand Our Role?
more resources aimed at finding and resolving environmental problems directly
more resources devoted to collaboration with others both in and beyond the Department
saving resources through shifts away from lower risk sites (potential, history, performance, etc.)
saving resources by moving away from regulatory minutiae toward greatest environmental concern and benefit

22. A.2. Results C&E is expected to deliver and “authorized” to achieve
High but meaningful compliance
Better behavior from others resulting in better environmental protection or outcomes (whether mandated or not)
Finding, clarifying and fixing environmental problems as directly as possible.

23. B. Steering Group Charter- Jan 7, 2011 :
To manage the large scale change initiative within C&E
Keep focus on measures and results
Understand systems of work
Define key systems that deliver results
Ensure a focus on the customer
Adjust for political and management demands
Prioritize projects for changes to deliver results
Possible oversight of specific projects
To formalize the group’s work into C&E’s continuous improvement system

24. Steering Group The group will be successful if…
selected projects address key systems; are supported by solid analysis, clearly showing why they are the priority; and especially how desired results are maximized.
selected projects are realistic and feasible

25. FTE Per Title V Air Permit for Each State
FTE Per Title V Air Permit for Each State. (Redline represents the average for the combined states)

26. 2009 Compliance Rates of Stewards vs
2009 Compliance Rates of Stewards vs. Non-stewards Using published, inspection-based, compliance rate report

29. Systems of Work, Widgets, Customers…

30. How to Prioritize Systems?
Criteria
To what degree can each system deliver results demanded by stakeholders?
To what degree can each system satisfy key stakeholders specifically?
Community and environmental interests
The customers (those we regulate)
Our leaders: Commissioner, Governor, Red Tape Commission
Our staff

31. Identify “drivers”: Result #3 - Find and Fix Problems

32. System Priority Matrix
Rank Key systems on all Criteria

33. Bulk Processing (licensing, fees, billing and collections)
Key Systems 1
Strategic Management system (targeting, ensuring deterrence, prioritization, workplans, consistency, measuring and communicating success) 2
Education system (training sessions, on-site assistance, guides and materials online) 3
DEP Strategic Management System (aligning all areas with mission, DEP-wide prioritization, re-allocating resources, ensuring communication and collaboration) 4
Investigation/Problem ID system (managing and responding to complaints and referrals, community input, observation, research & analysis, DEP science input) 5
Inspection system (prep, on-site, interview, compliance and stewardship, report, novs) 6
Information system for behavior change (devising collection or development of new information, building reports or materials for direct or third party influence) 7
Enforcement system (follow-ups, penalties, case management, settlement, ADR, "conversions" of bad guys to good guys, SEPs) 8
Self-reporting system (self-cert, disclosure, monitoring, audit schemes, etc.) 9
Bulk Processing (licensing, fees, billing and collections)

34. Key Systems Projects Strategic Management System1
Strategic Management system (targeting, ensuring deterrence, prioritization, workplans, consistency, measuring and communicating success) 2
Education system (training sessions, on-site assistance, guides and materials online) 7
Enforcement system (follow-ups, penalties, case management, settlement, ADR, "conversions" of bad guys to good guys, SEPs)
Projects
Strategic Management System
Major undertaking, brand new
requires team to devise projects or steps
Series of Seminars – all programs
Modeled on existing training
To be delivered soon
SEP rule/policy and process

35. Next for large scale change:
Communicate!
More stakeholder confirmation of priorities
Sharing progress and details with staff
new website, unprecedented transparency
meetings, messages, materials, audio and video
Step C: Form Teams (probably just one)
Deliberate team selection
Clarify each team charter and mission
Brainstorm but also consider wealth of existing ideas
Analyze systems, customer focus groups, etc.
Recommend discrete projects for maximum results
Execute/implement projects.
5.5 re-confirm with Stakeholders

36. How do I get involved? First- You don’t have to.
Not everyone can, not everyone must
Some will retire objecting to any change
We need MOST people to:
Understand
Agree
Hopefully support
At least consent
Ideally 70%

37. How do I get involved? Staff Suggestions (300+)
Some were already being worked on
Need better sharing /communication of these
Some were completed (“Recent Wins”)
Do not confuse with “Quick Wins”
Examples:
Laptop distribution 80% complete
Scanning process enabled
Many still to be evaluated
Tackled within projects prioritized by steering group
Many are partial ideas – need work or analysis
Some are simply gripes

38. How do I get involved? “Quick Wins” Low hanging fruit
Obvious decisions or policy changes
Easy to implement, no work, no project
VERY RARE, and not very impactful
Examples:
Require eDMR’s in all water settlements
Centralized entry of referrals into NJEMS
Money-saving change in exam sites
Tell us about them! Willy Davis

39. Transformation Teams (1 to start)
How do I get involved?
Transformation Teams (1 to start)
Not a lot of people - teams of 6 to 8 people
Steering team drives nominations
Need support of your peers and managers
Familiarity with system or project focus
Demonstrated ability to work well in teams
Positive about change, appreciation of change concepts
May involve an interview
Cyclical process (more future opportunities)
Projects completed
Re-evaluate priorities
Launch new projects
Steering team turnover likely as well

40. How do I get involved? General input
Follow steering and project team progress
Develop ideas, suggestions, raise concerns
MUST have done your homework
Current team effort must be understood
Input must be well supported
Ideas might be tested with others first
Work through managers or team members

41. “Independent” projects?
How do I get involved?
“Independent” projects?
Possibly with CAUTION
We do not want to stifle creativity and energy
Must ensure alignment and capacity
How to proceed- Do your homework:
Fits within transformation framework and goals?
Best thing you can do?
Have time, ability, desire?
Willing to learn and apply change processes?
Supported in your unit, and by others?
Supported by facts (data, strong logic, testable)?
Document and address steering team
Maintain coordination and sharing

42. Recap: C&E’s Transformation Framework
Need for change?
burning platform
staffing, remaining problems getting harder, etc.
desire to excel (Monitor article)
Miller’s notion of public service and giving
How to change?
focus on results (demanded by stakeholders)
understand widgets, systems and customers
prioritize systems based on results
form effective teams to test, refine and deliver projects
change must live within the bounds of stakeholder expectations, but focus on the customer
employ proper change process and team tools
Define results with Stakeholders
Steering Group
reconfirm with Stakeholders