1. RESPONSIBILITY CHARTING

2. Topics to Cover What Is Responsibility Charting
When To Use Responsibility Charting
Key Definitions
An Example
The Five Step Process for Responsibility Charting
Another Example
Tips for Analyzing a Responsibility Chart

3. What Is Responsibility Charting
Responsibility Charting is a technique for identifying key activities and decision points where ambiguities exist, bringing the differences into the open, and resolving them through team effort.
This approach enables both management and their employees to participate together in the process of describing the activities and decisions that have to be accomplished, and clarifying the degree of participation and responsibility of each individual in relation to those activities and decisions.

4. Decisions and Activities
The Output Document Is...
A Matrix
Roles / People
Decisions and Activities
Responsibility Level / Degree of Participation

5. When To Use Responsibility Charting
To improve understanding of the roles and responsibilities around work processes
“As Is”
“To Be”
To improve understanding of roles and responsibilities within a department
Define the roles and responsibilities of team members

6. Types of Participation:
Responsibility “The Doer”
Accountability “The Buck Stops Here”
Contribute “In the Loop”
Informed “Keep in the Picture”

7. Responsibility Charting Definitions
Responsibility • Individual(s) who perform a task
“R” • R’s can be shared
Accountability • The individual who has yes/no authority and power of veto
“A” • Includes the responsibility of ensuring the work is done, and done correctly
• Only one “A” can be assigned per decision or activity
• Individual with the “A” can also have an “R”

8. Responsibility Charting Definitions (Continued)
Contribute • The individual(s) to be consulted prior to a final decision or before action is taken
• Two way communication
Informed • The individual(s) who need to be informed after a decision is made or action is taken
• May be required to take action as a result of the outcome
• One way communication
“C”
“I”

9. Responsibility Charting Definitions: Key Considerations
Accountability
• Most time consuming role
• Responsibility implies ownership of outcome
• Must have authority to approve decisions or actions
• Plays a key role in getting buy-in to a decision or action plan
• The direct contact for leaders in organization who need more information
• Only one “A” per decision or activity

10. Responsibility Charting Definitions: Key Considerations (Continued)
Contribute • Input must be given serious consideration by those with “P”
• Best done one-on-one
• More appropriate for one-time decisions or activities vs. on-going tasks
Informed • Most effective when those only to be informed know in advance

11. An Example A C R I I A R R A/R C C A/R R C A/R R C A/R C A R
Maintaining the
Family Dog
Mother
Father
John
Sally
Mark
Kids* A C R
Feed the dog
Play with dog
Take dog to vet
Morning walk
Evening walk
Wash dog
Clean up mess I I A R R
A/R C C
A/R R C
A/R R C
A/R C A R
*Kids = John, Sally and Mark

12. Responsibility Charting: The 5-Step Process
1. Identify work process to chart
2. Determine the decisions and activities to chart
3. Prepare a list of roles or people involved in those tasks
4. Develop the Responsibility Chart
5. Get feedback and buy-in

13. Step 1: Identify Work Process to Chart
Start with high impact areas first
Don’t chart process that will change in the near future
Work process must be well defined
Fewer than ten activities implies the definition is too narrow
Greater than 25 activities implies definition is too broad

14. Step 2: Determine the Decisions and Activities to Chart
• Avoid obvious, generic or ambiguous activities, such as
“Attend meetings”
“Prepare reports”
• Each activity or decision should begin with a good action verb
evaluate schedule write record determine
operate monitor prepare update collect
approve conduct develop inspect train
publish report review authorize decide

15. Step 3: Prepare A List Of Roles Or People
• Roles can be individuals, groups or entire departments
• Can include people outside your department or outside the company
Customers, suppliers, etc.
• Roles are better than individual names
The Responsibility Chart should be independent of personal relationships so that the chart would still be valid if all new people filled the roles tomorrow

16. Step 4: Develop the Responsibility Chart
• As a general rule, first assign R’s, then determine who has the A, then complete C’s and I’s
• For larger groups or more complex issues, an independent facilitator is required
• Meeting time can be significantly reduced if a “strawmodel” list of decisions and activities is completed prior to meeting
The ideal group size is four to ten people

17. Step 5: Get Feedback and Buy-In
• Distribute the Responsibility Chart to everyone represented on the chart but not present in the development meeting
• Capture their builds and revise chart as appropriate
• Reissue revised Responsibility Chart
• Update as necessary on a on-going basis
A follow-up meeting may be necessary if significant builds are made

18. Another Example A R C I I A/R C A/R C A/R R C C A/R C C A/R I I I A/R
Develop Training for
New Equipment
Mary
Pat
Mike
Team
(Mary, Pat,
and Mike)
Doug
(Engineering)
Greg
(Area Mgr) HR
Develop training outline
Approve training outline
Determine attendee send
agenda to attendees A R C I I
A/R C
A/R C
A/R R C C
Activities, etc. 
A/R C C
A/R I I I
A/R R I I I I

19. Responsibility Chart Review: Vertical Analysis
Roles / People
Decisions / Activities A C I
Finding Possible Interpretation
Lots of R's Can this individual stay on top of so much?
No empty spaces Does the individual need to be involved in so many activities?
Too many A's Can some of the accountability be “pushed down” in the organization? R C I C C I R A R A I A C A I R C A C R I

20. Responsibility Chart Review: Horizontal Analysis
Roles / People
Decisions / Activities C A C I
Finding Possible Interpretation
Lots of R's Will task get done? Can activity or decision be broken into more specific tasks?
Lots of C's Do all these individuals really need to be consulted? Do the benefits of added input justify the time lost in consulting all these individuals?
Lots of I’s Do all these individuals really need to be routinely informed, or could they be informed only in exceptional circumstances? A R C I C C I R A R A I A C A I R C A C R I

21. Closing Guidelines
1. Remember new culture philosophy when defining roles and responsibilities:
Eliminate “checkers checking checkers”
Encourage teamwork
Place Accountability (A) and Responsibility (R) at the lowest feasible level
2. There can be only one accountable individual per activity
3. Authority must accompany accountability
4. Minimize the number of Consults (C) and Informs (I)
5. All roles and responsibilities must be documented and communicated

22. ROLES & RESPONSIBILITIES

23. Objectives
To understand the need for and ultimately the benefits of having clearly defined roles and responsibilities
To be able to analyze and develop an effective RACI chart

24. So What is RACI Charting?
A systematic and participative technique to:
• Identify all functions (activities, tasks, and decisions) that have to be accomplished for effective operation
• Clarify roles and individual levels of participation in relation to each of these functions
• Develop best methods for individuals to fill these roles

25. Therefore, with Clear Roles and Responsibilities, We Should Expect to See...
• Increased productivity through well defined accountability
• Increased capacity by eliminating overlaps and redundancies
• Eliminate misunderstandings; teamwork encouraged
• Streamlined work process by elimination of unneeded interfaces and placement of accountability where it belongs
• Improved organization effectiveness results from allowing disciplines to cooperate and share responsibility
• Improved planning process and more participation of team members as a result of building in communication interfaces
Clear roles and responsibilities can be identified through RACI charting

26. Unclear Roles and Responsibilities Result in Comments Like These...
• “My boss always overrules my decisions whenever s/he wants”
• “The approval process for even the simplest item takes so long today”
• “It seems every department has someone putting together a spreadsheet on the same data”
• “Things are always slipping through the cracks”
• “I have the responsibility, but not the authority, to get the job done”

27. ACCOUNTABLE: Make the Decision Take Ultimate Ownership
A: Accountable:
R: Responsible
C: Consult
I: Inform
This is the individual who carries the “yes” or “no” authority and has full veto power for an activity. It is important to clarify the levels of accountability and to distinguish between management accountability and operational accountability. Only one “A” can be assigned to a task or activity and authority must accompany accountability.

28. RESPONSIBLE: Do The Job. Execute
A: Accountable
R: Responsible
C: Consult
I: Inform
These are the individuals who actually complete the task or activity and are responsible for action and/or implementation. Responsibility is often shared, with each individual’s degree of responsibility determined by the individual with the “A”

29. CONSULT: Communication before. In the Loop
A: Accountable
R: Responsible
C: Consult
I: Inform
These are the individuals who must be consulted prior to a final decision or action. “Consult” implies two-way communication.

30. INFORM: Need to Know – Do Not Change the Decision
A: Accountable
R: Responsible
C: Consult
I: Inform
These are the individuals who need to be informed after a decision or action is taken because they, in turn, may take action or make a decision based on the output. “Inform is FYI and implies only one-way communication.

31. The Output RACI Matrix Can Initially Look Quite Complex
Roles of Participants
Decisions or Activities
RACI’s provide lots of information in a very simple format

32. The 4–Step Process 1 Determine the activities
Prepare a list of functional roles
Develop the RACI chart
Get feedback and buy-in (validate) 2 3 4

33. Step 1: Determine the Activities
There are several sources of activities:
"As Is" or "To Be" brown papers
Best Practices Review
Functional Decomposition
Interviews
Problem Solving Process

34. Guidelines for Developing the Activity or Decision List
1. Avoid obvious or generic activities, e.g., “attending meetings”
2. Each activity or decision should begin with a good action verb. Examples:
Evaluate Schedule Write Monitor
Record Determine Operate Prepare
Update Collect Approve Conduct
Develop Inspect Train Publish
Report Review Authorize Decide
3. When the action verb implies a judgment or decision (e.g., evaluate, monitor, inspect, review) add a phrase to indicate the primary outcome.
Examples:
- “Monitor phone service handling of customer requests to identify training needs”
- “Analyze data to locate source of delay”
4. Activities or decisions should be short, concise, and apply to a role or need, not to a specific person

35. Step 2: Prepare List of Functional Roles
Roles can be individuals, groups, or entire departments
Can include people outside the department or even outside the company if appropriate
- Suppliers
- Customers
May be based on the "as is" organization or the "to be" organization depending on your purpose

36. Step 3: Develop the RACI Chart
ACTIVITIES
(or Tasks)/
DECISIONS
FUNCTIONAL ROLES

37. Chart Analysis and Review
Vertical Analysis
Many R's
No empty spaces
No R's Or A's
Too many A's
Qualifications
Too many "R's" could signal a work over-load situation.

38. Vertical Analysis: Chart Analysis and Review
If You Find: Then Ask:
Lots of R's Can or need the functional role stay on top of so much? Can the decision / activity be broken into smaller, more manageable functions?
No Empty Spaces Does the individual(s) need to be involved in so many activities? Could management by exception principles be used, perhaps reducing C's to I's
No R's or A's Should this functional role be eliminated? Have processes changed to a point where resources should be reutilized?
Too many A's Does a proper "segregation of duties” exist? Should other groups be accountable for some of these activities to ensure checks and balances and accurate decision making throughout the process? Is this a “bottleneck” in the process-is everyone waiting for decisions or direction?
Qualifications Does the type or degree of participation fit the qualifications of the functional role?

39. Chart Analysis and Review
Horizontal Analysis
FUNCTIONAL ROLES
ACTIVITIES C A I R
Many R's
Too many A's
Many C's
Many I's
Too many "R's" could signal "over the wall" activities: "Just get it off my desk ASAP!"

40. Horizontal Analysis If You Find: Then Ask:
No R's Is job getting done? Some roles may be waiting to approve, be consulted, or informed. No one sees their role to take the initiative.
Too many R’s Is this a sign of “over the wall” activities? “Just get it off my desk ASAP!”
No A's Why not? There must be an 'A'. Accountability should be pushed down to the most appropriate level.
Too many A’s Is there confusion? “I thought you had it!” It also creates confusion because every person with an “A” has a different view of how it is or should be done.
Too few A’s and R’s The process must slow down while the activity is performed on an “ad hoc” basis. Or the procedure may be outdated or it can be streamlined if not needed.
Lots of C's Do all the functional roles really need to be consulted? Are there justifiable benefits in consulting all the functional roles?
Lots of I's Do all the functional roles need to be routinely informed or
only in exceptional circumstances?

41. Step 4: Obtain Feedback and “Buy–In”
The RACI chart is shown to people that represent the functional roles on the chart
These individuals are asked for their input, and the RACI chart is revised as appropriate
The RACI chart may be validated in conjunction with the other products of the Co-Venture Teams

42. Guidelines for Developing an RACI Chart (To-Be)
Remember new culture philosophy when defining roles and responsibilities:
Eliminate “checkers checking checkers”
Encourage teamwork
100% accuracy not always required
Place accountability (A) and responsibility (R) at the lowest feasible level
There can be only one accountability per activity
* Authority must accompany accountability
* Minimize the number of consults (C) and informs (I)
All roles and responsibilities must be documented and communicated

43. NOT Common Errors PEOPLE SEE IT IN TRAINING AND THINK THEY CAN DO IT …
THEY RACI EVERYTHING (vs. VALUE-ADDED)
TRY TO MAKE SOMEONE’S "R" TO AN INDIVIDUAL INTO A PERSONAL "A"
KEEP THINKING "ULTIMATE ACCOUNTABILITY"
DO NOT UNDERSTAND WHEN PEOPLE ARE TRYING TO JUSTIFY THEIR JOBS
• THEY DON'T ELIMINATE THE "COORDINATORS & CONSOLIDATORS"
• THEY FORGET ABOUT USING VERBS
DO NOT UNDERSTAND IT WILL CHANGE
DO NOT CONSIDER "INTERFACE" ISSUES

44. Employee Expense Statement Processing
ACTIVITIES
FUNCTIONAL ROLES AR R C A I 1.
DOCUMENT EXPENSES 2.
COMPLETE EXPENSE
ACCT. FORM 3.
FORWARD TO
SUPERVISOR 4.
REVIEW 5.
APPROVE 6.
REGION ACCOUNTING 7.
CLASSIFY EXPENSES 8.
AUDIT 9.
DETERMINE PAYMENT
TYPE
EMPLOYEE
SECRETARY
REGION
ACCOUNTING
GENERAL

45. What Is Wrong with this Picture?
FUNCTIONAL ROLES
ACTIVITIES
1. Value Added Task #1
2. Value Added Task #2
3. Value Added Task #3
4. Value Added Task #4
5. Value Added Task #5
C I A I I I R A A/R C/I
C/I C/ I I C A I R R R C
I I A/R I A C R C C I
C/I C I I I A/R I I I I
C/I C/I C/I C/I C/I C/I A/R C/I R C/I

46. How about this Picture? 1. Value Added Task #1 2. Value Added Task #2
FUNCTIONAL ROLES
ACTIVITIES
1. Value Added Task #1
2. Value Added Task #2
3. Value Added Task #3
4. Value Added Task #4
5. Value Added Task #5
A C C C I R
A C C C I R C
A C C C I R C I: Purch.
Supt.
A C C C I I R C I: Engin.

47. And this Picture? 1. Conducting Customer Visits C R I A/R R: QC Rep
FUNCTIONAL ROLES
ACTIVITIES
1. Conducting Customer Visits
2. Scheduling Customer Visits
3. Arranging Logistics for Customer Visits
4. Picking up customer at the airport
5. Showing the customer the coffee machine
C R I A/R R: QC Rep
I I I C A: QC Rep
R:Secret'y
I I I C A/R:QCRep

48. Let's See What We Do Know
1. If you have an "R" (to someone else's "A") it becomes your "A"in most cases.
2. If you have the "A" that means you have no constraints or limits in your decisions…for that task.
3. To ensure good communication in an organization, we should encourage many "consults" and "informs" on a task.
4. It is quite common to see the VP in an area have the "Accountability" for a task, and an Operator to have the "R," so we should be OK with that.
5. The structure of RACI allows even the most recent of Co-Venture team members to successfully complete it.
6. RACI is interesting as an exercise, but it doesn't help to eliminate the "non value-added" work/functions.
7. When in doubt, give the "A" to the highest ranking individual in the room.
True False