RESPONSIBILITY CHARTING

RESPONSIBILITY CHARTING

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

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.

The Output Document Is...

A Matrix

Responsibility Level / Degree of Participation

Decisions and

Activities

Roles / People

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

Types of Participation:

Responsibility “The Doer”

Accountability “The Buck Stops Here”

Contribute “In the Loop”

Informed “Keep in the Picture”

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”

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”

Responsibility Charting Definitions: Key Considerations

• 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

Responsibility

Accountability

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

An Example

RCA

RA

C

I

R A/R

R

C A/R R

C A/R

C A

I

C

Mother Father John

Feed the dog

Play with dog

Take dog to vet

Morning walk

Evening walk

Wash dog

Clean up mess

Kids*MarkSallyMaintaining the

Family Dog

R

*Kids = John, Sally and Mark

A/R

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

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

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 writerecord determine

operate monitor prepare update collect

approve conduct develop inspect train

publish report review authorize decide

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

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

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

Another Example

RA

R

A/R

A/R

A/R

A/R

Mary Pat Mike

Develop training outline

Approve training outline

Determine attendee sendagenda to attendees

Greg(Area Mgr)

Doug(Engineering)

Team(Mary, Pat, and Mike)

Develop Training for New Equipment HR

I

C

C

C

I

I

C

I

C

I

A/R

C

I

I

A/R

C

I

IR

Activities, etc.

Responsibility Chart Review:Vertical Analysis

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?

Roles / PeopleDecisions / Activities

CA IR C

IC

CR A

I CAR CA IRCA I

IR A

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?

Responsibility Chart Review:Horizontal Analysis

Roles / PeopleDecisions / Activities

CA IR C

IC

CR A

I CAR CA IRCA I

IR A

CA

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

ROLES& RESPONSIBILITIES

ROLES& RESPONSIBILITIES

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

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

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

Unclear Roles and Responsibilities Resultin 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”

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.

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”

RESPONSIBLE: Do The Job. Execute

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.

CONSULT: Communication before. In the Loop

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.

INFORM: Need to Know – Do Not Change the Decision

The Output RACI Matrix Can Initially Look Quite Complex

R CA I

R CA

I

C

CI

R A

IR CA

R CA I

RCA I

I

R

C

A

•Roles of Participants

Decisions or Activities

RACI’s provide lots of information in a very simple format

The 4–Step Process

Determine the activities

Prepare a list of functional roles

Develop the RACI chart

Get feedback and buy-in (validate)

1

2

3

4

Step 1: Determine the Activities

• "As Is" or "To Be" brown papers

• Best Practices Review

• Functional Decomposition

• Interviews

• Problem Solving Process

There are several sources of activities:

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 MonitorRecord Determine Operate PrepareUpdate Collect Approve ConductDevelop Inspect Train PublishReport 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

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

Step 3: Develop the RACI Chart

AI

A

A

A

R

R

R

RR

R C

C

C

I

I

IR RACTIVITIES(or Tasks)/

DECISIONS

FUNCTIONAL ROLES

A

Chart Analysis and Review

FUNCTIONAL ROLES

ACTIVITIES

CA IR C

IC

CR A

I CAR CA IRCA I

IR A

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.Too many "R's" could signal a work over-load situation.

Vertical AnalysisVertical Analysis

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?

Vertical Analysis: Chart Analysis and Review

Chart Analysis and Review

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!"Too many "R's" could signal "over the wall" activities: "Just get it off my desk ASAP!"

Horizontal AnalysisHorizontal AnalysisFUNCTIONAL ROLES

ACTIVITIES

CA IR C

IC

CR A

I CAR CA IRCA I

IR A

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?

Horizontal Analysis

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

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

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

NOT

Employee Expense Statement Processing

ACTIVITIES

FUNCTIONAL ROLES

AR

R

C

A

C

I

AR

C

1. DOCUMENT EXPENSES

2. COMPLETE EXPENSE ACCT. FORM

3. FORWARD TO SUPERVISOR

4. REVIEW

5. APPROVE

6. FORWARD TO REGION ACCOUNTING

7. CLASSIFY EXPENSES

8. AUDIT

9. DETERMINE PAYMENTTYPE

AR

AR

AR

AR

AR

AR

EMPLOYEE SECRETARY SUPERVISORREGION

ACCOUNTINGGENERAL

ACCOUNTING

I

I

What Is Wrong with this Picture?

Other

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

ACTIVITIES

FUNCTIONAL ROLES

How about this Picture?

VP M

anuf

actu

ring

Man

ufac

turin

g Su

pt.

Superv

isor

Mai

ntena

nce

Supt.

VP Qua

li ty

HR M

anage

r

Engine

er fo

r Unit

Opera

tor

Mec

hanic

Sales

& Mar

ketin

g

Man

ager

Other

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 R C

A C C C I I R C I: Engin.

Supt.

ACTIVITIES

FUNCTIONAL ROLES

And this Picture?

Other

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: QC Rep R:Secret'y

I I I C A/R:QCRep

I I I C A: QC Rep R:Secret'y

ACTIVITIES

FUNCTIONAL ROLES

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

True False

True False

True False

True False

True False

True False