3. by managers was the end game goal and the reason for developing this philosophy and
process. Efficiency was something we felt were strong points of ours and it was only
natural that as “newbies” to an industry which still has some paleo-lithic tendencies that
we felt a fresh perspective, a new look, a game-changer was necessary.
We’d like to give thanks first and foremost to our wives, who thought at times the
whole drive to create this process was “dumb,” “silly,” “already done,” and ultimately
dubbed (what we found to be the highest form of spousal approval conferred)
‘interesting…”. In addition, many thanks goes out to our workplace sponsors and
mentors; my (Dan’s) father Gene Barno (General Mine Foreman at Cumberland Mine)
and Mr. Duane Looman (Assistant Mine Foreman at Cumberland Mine), Brent Smith
(Consol Energy Shoemaker Mine). We’d also like to thank Mr. Larry Hunchuk, Mr. Bob
Lowery and Dr. Richard Begley for patience during our mentoring sessions, where we
offered very little substance with a whole lot of snakeoil, to give you some re-assurance,
that we’d have something to pitch at our big capstone seminar. Sincere thanks to you
three. We hope you can see the relevance in our work and are able to find the value from
the perspective as we industry “outsiders” see it. For all readers of this paper, remember
that “Rome was not built in a day” and as my (Dan’s) dad always says “one sunny day
does not make a summer.” Please have patience in reading through the theoretical stuff
and all critiques are welcome, as S.W.A.R.M is in the infancy stages of creation. The
demonstrations and references herein this presentation are molded to concentrate on
(Coal) Mine outby management, chiefly. Despite focusing for time’s sake and for
demonstration’s sake, remember that S.W.A.R.M. ~thinkflow~ was created as a plyable
and formable solution to many different industries and scenarios. We hope to offer 2nd
4. generation versions and incorporate different components as we may see fit down the
road. Ok you ask, what the hell is S.W.A.R.M. ~thinkflow~? With all that feel good stuff
said, enjoy…
5. “They say the world has become too complex for simple answers. They are wrong.”
-Ronald Reagan
PART 1:
SUCCESSFUL WORKPLACE
ACTION-REFLECTIVE MANAGER
(S.W.A.R.M.)
6. Introduction:
In many regards, the coal industry is changing. The technology is changing. These
changes, or as one might consider; evolutions, are evident in something as simple as
Longwall face length/width, extraction machinery, computer ran belt drive systems, etc…
And as a result of these evolutions, the 24-hour running complexity of a modern-day
mining operation is increasing exponentially. Thankfully, coal mining does retain some
of the inherent benefits from producing the same old (no pun intended) simple product
that has always been offered. This nature made, old, dirty and sometimes persnickety
fossil fuel is used to produce 41% of the world’s energy demand (measured in 2006) or
6,647,551,377.2 Metric Tons consumed per year, as measured in 2009. These big
demands on increased production make for complex mine operations that are ever
growing, resulting in larger workforces, heavier production, larger equipment, convoluted
mining cycles and complicated overall operations. With all of the changes in technology,
equipment and methods, why has modernization of mine management philosophy been
sluggish at best?
Increasing efficiency within the localized mining operations that produce the coal
is paramount to turning a greater profit. Increased efficiency can also be seen as a
contributor towards larger paydays for employees, safer working conditions, and the
buffer offered by a nice plump layer of insulation during fluctuating thermal and
metallurgical coal markets. Rightfully so, Coal has a big interest in growing profits,
minimizing capital expenditures/costs, and improving employee safety statistics. These
are all noble ventures, all a worthwhile goal, but trying to focus on these goals with a
7. shoot-from-the-hip and antiquated management style, tends to lend credence to the age-
old definition of insanity -- “doing the same thing over and over and expecting different
results”.
Fact 1.) An employee armed with as much information, instruction, proper
equipment and knowledge as possible going into a job is more likely to complete the job
within the desired timeframe and with a much greater degree of safety, as opposed to
going into a work task uninformed and unequipped (with both tools and pre-requisite
knowledge).
Fact 2.) Employees who can rely on their manager to have a consistent style of
management tend to see their jobs in a more professional light, contribute less to
workplace drama and carry themselves in a similar professional fashion during daily
work tasks. Employee professional behavior and expedience in executing tasks is evident
during the issuance of direct work orders ('Coal Mine Lingo’) when compared between
steadfast and methodical frontline supervisors and “wing-it” as we go supervisors.
Employees don’t need to be told who’s going to lead them to exceptional results, they
know by the way their manager conducts himself/herself.
Fact 3.) Expecting performance at or above a predetermined standard, on a
consistent basis, helps to increase efficiency and overall workplace results. “Expecting
things from people might not always be healthy, but when it comes to the workplace, it
looks like expectation really does the trick.” (Hindustan Times, 2008). An important
point to make here is that despite expecting certain standards within employee work, it’s
important to find a balance with motivation and encouragement, not fear mongering, as
“A number of diverse empirical studies conducted over several decades have
8. demonstrated that a supportive climate in the workplace has a definite impact on
employee performance and motivation.” (Hunt, 2007)
Fact 3.) Accepting the fact that change is necessary to actually change, and
accepting that certain inefficient operations will always exist is paramount to improving
process efficiency. “In today’s business climate, only the agile survive. Adaptability to
change remains a significant concern…” (Moritz, 2011).
And,
Fact 4.) If management is not willing to accept or implement a new strategy in
terms of managing its workforce, employees, or work planning, then the whole purpose
of trying to improve is all for naught, and should be disregarded as nothing more than the
sound of a gentle spring breeze.
Analysis & Lead-Up:
By understanding and ultimately accepting these basic facts that hold true in the
majority body of organizational and management studies, one may discern that it’s quite
possible to find change in any work environment and create improvement. The key then,
to workplace improvement, is not found in (although valuable) the urgency of execution
or experience of the employees, but in the realm of planning, dissemination of
information to others (employees, fellow key parties), methodical “day-in & day-out”
consistent management and post-work analysis and discussion on breakdowns that
occurred or impeded a process.
9. Defining S.W.A.R.M:
S.W.A.R.M is not a technique or problem-solving process, but more of the
foundation leading up to the thinkflow. S.W.A.R.M was designed as the basic building
blocks to everything the manager needs in order to be successful within any short-term
work objective or the large, long-term organizational objectives.
Short-Term Long-Term
Weeklong/Annual/ or
Corporate Objective1-Day/Shift/Small Task
The backbone of the Successful Workplace Action-Reflective Manager
(S.W.A.R.M) is not a convoluted procedure, but more of a philosophy based on key
points of prior subject matter study. While it might seem obvious that the idea of
leadership and holding yourself and others to a set standard is key to success within any
workplace framework, there is more to it than that.
S.W.A.R.M. – (The Concept):
Have you ever asked the question as to why a particular day or a single shift has
the uncanny ability to produce big and safe results, with other days or shifts generating
sub-standard outcomes? More than likely, the results generated from these differing
groups has a lot to do with the way management was performed rather than any number
11. iii. Objective – An explanation of what a finished project, in the short or long-term,
should look like.
iv. S.W.A.R.M. – The entire theory herein contained in this presentation. Within the
realm of S.W.A.R.M. is contained all set of rules, material and the thinkflow
process.
v. ~thinkflow~ -- The technique of solving problems, planning work, reporting and
creating improvement ideas for processes.
vi. Bank – The pool of ideas for areas on which to improve, with improvement being
done first on ideas ranked highest in prioritization, determined by the Impact
Factor.
vii. Impact Factor – Determined through a set of set metrics: based on manager
input, capital loss cost (monetary impact), infectious factor, fixability and special
circumstances.
viii. Capital Loss Cost – The monetary impact of leaving a process, that has
been placed in the improvement pool, unresolved. Compared to the cost of
actually improving the process.
ix. Infectious Factor – Based on manager input: it’s the impact an unresolved
process has on the following three factors: Employees, Safety and Other
processes.
x. Fixability – Based on the consensus of all management parties involved: It’s the
ease, difficulty or impact of improving the particular flawed process.
xi. Special Circumstances – Based on input of all management parties involved: It
takes into account the unknowns and unspoken variables in tackling the
12. improvement implementation.
xii. Backdoor-Solution – A solution developed in the planning stages, which may be
used as an out, or a tool, in the event a manager must change direction quickly or
within a short-term objective.
xiii. Critical (Determining) Criteria: The criteria used in determining the
priority of an idea for the improvement bank. The Critical Criteria is
interchangeable from industry to industry and can be molded to what executive
management deems as most important.
S.W.A.R.M. and the thinkflow from high altitude looks like this (labeled as something
managers need to learn and adopt as their own and what’s a workable and situational
tool:
- S.W.A.R.M
14. may go without saying, any successful manager always has a means of
recording the information below in the form of notes as they begin to
familiarize themselves with their environment on a daily basis. It is
paramount for a manager to get a grasp on the following items upon
arriving at his/her place of employment. If a manager is unable to know,
understand or discover the tangible and intangible items possible for
impacting the entire the planning and execution of plans process then
everything may very well lead to a dead-end. The successful manager will
have the ability to gather a good ground-work of information for
everything that is to follow in the process.
a. Unknowns: It contains arising or immediate items in the realm of
emergencies, work-site conditions, legalities, supplies, cost items,
etc… that have developed since last leaving a job.
b. Employee issues: Personnel to performing short-term work
objectives
c. Objective re-hash: It is an important component for managers to
re-evaluate their long-term objectives on a daily basis (even if it is
a cursory glance) and to start loosely forming the framework for
short-term objectives to be accomplished within a single day (or
shift).
d. Know the Players: Start to identify (if only in the manager’s head)
the parties who will be key points of contact in the execution of the
short-term work objectives within the immediate scope. It’s
15. essential to know the most effective mode on how to communicate
with the key “players”.
- Planning/Prioritize/Develop:
1. Planning: It goes without saying that no form of work should be
accomplished without even the most rudimentary plan. It’s critical to
“Analyze situations and develop scenarios.” (Moritz, 2011). It’s important
that at the beginning of determining work assignments for employees a
clear concise plan is created in order to help explain exactly what needs to
be done. Along with the planning, transparent metrics must be determined
as to:
a. Desired end results: What the short-term or long-term objective
should look like when finished. These understandings should be
communicated clearly to employees as part of the plan.
b. Standard of work: This may already be a topic of understanding
between manager and employees, but it is necessary that a set
standard is in place, known and seen as expected.
c. Estimated Completion Time: Anticipate, or at least estimate, the
time in which a short-term or long-term work assignment will be
accomplished.
d. Modes of Communication: Employees should understand the
method in which the manager needs to receive feedback,
communication, and information. It’s important for employees to
be told how to communicate with the manager in the event of an
16. emergency event.
e. Confirmation of Comprehension: The manager or sub-manager
should ensure that whomever was transmitted the plans should
clearly understand them. Asking for a read-back or verbal
validation might be necessary.
2. Prioritize: Work plans and assignments should be clearly prioritized via
the basic numbering system and should be known to sub-managers and
pertinent employees. The prioritization of jobs, tasks and work is critical
for both short-term and long-term objectives.
3. Develop: Have rough draft solutions to possible scenarios or detrimental
events which may work to derail your carefully laid plans. In developing
your plans thoroughly, have a backdoor solution to be able to shift gears in
the event something arises. A manager must always leave one’s-self an
out.
- Feedback / Reactions & Decisions:
1. Feedback: The Successful Workplace Reflective Manager must in turn
get frontline information on the way plans are being executed. What is
working and what is not working is critical so that changes may be
17. implemented on the plan.
2. Reactions: If changes are necessary, it is a possibility that it may be based
around one of the scenarios previously developed in the initial planning
stages so that a “snap-decision” may be made and minimal time is wasted.
3. Decisions: If the issues upon which a change must be implemented are not
a part of the scenarios developed, the manager will need to problem solve
& refer to the ~thinkflow~ process chart. By referring to the chart, a
manager will then be rehashing all pertinent data, which was gathered
throughout the entire process, and therefore will have the greatest ability
moving forward to make a logical decision.
- Communication:
1. Quite possibly the most neglected area when trying to create an improved
work place: the process of communicating with fellow employees during
the act of work or post work. Communication is broken down into three
categories: Pre-Implementation, Mid-Stride and Post-Communication, all
of which are thrice critical.
a. Pre-implementation: The act or failure of coherently passing
along plans; work standards, time expectations, etc… are directly
correlated to the accurate and successful execution of work
assignments. Complex tasks may require a written instruction on
how to accomplish, with included pertinent data on supplies,
locations etc… Short or simple tasks only may require verbal
dissemination and acknowledgement of understanding. Nonethe-
18. less, all communication of plans (be it Written or Verbal) on how
to accomplish a task should be delivered via human voice (not
strictly by email) for the sake of esprit de corps. The conveyance
of work assignment by voice or in person is not simply a
superstitious form of micro-management, but a more effective
form of conveying a message as proven by numerous studies,
recently discussed by author A. Pentland in Harvard Business
Review (2011)“…we’ve found patterns of communication to be
the most important predictor of a team’s success. Not only that,
but they are as significant as all the other factors— individual
intelligence, personality, skill, and the substance of discussions—
combined.”
b. Mid-Stride Communication: The Successful manager should
unequivocally have a grasp on the workings of plans, possible
issues arising, the rough idea of where employees or sub-managers
are at in the process, and have a direct line should any changes be
made.
c. Post-Communication: Quite possibly one of the most critical
items for a complex operation (as demonstrated by Mines
operating on a 24hr schedule), all managers should have accurate
reports containing work that was accomplished, employees
assigned to the tasks, all changes that had to be made (with written
descriptions and explanations) and items to follow up on. By
19. creating an accurate report a manager sets the point of continuation
and gains much of the necessary information upon arriving the
next day on where to begin the short-term planning process. The
post-communication should also include (if being utilized) the
~thinkflow~ chart on his/her decision process for all applicable
managers should understand better.
The Work System (Creation & Process):
Giving employees the ability to develop an organic system for execution is a
critical key towards enhancing productivity, saving time, cutting costs, and increasing
safety statistics. Lieutenant General William G. Pagonis from the Gulf War is quoted in
The Harvard Business review, when discussing his theory on creating a working system
(1992) that: "It is said that once a basketball player practices his shots enough times, he
develops 'muscle memory' of how to sink those shots. Only then is he truly free to
improvise those shots." The benefits of developing an organic system within which a
manager’s employees work are great however are sometimes beneficial and sometimes
not. It’s important to understand how and when to cultivate this critical concept for plan
execution and allow the growth of an organic work system in which employees will
operate. Despite being numerous benefits to creating a system upon which employees
harmoniously perform familiar work tasks, there are drawbacks in certain instances.
In terms of drawbacks, in roughly 50% of the cases keeping the same group of
employees together and for an extended period of time will encourage workplace drama
in terms of cliques, argumentative behavior and ostracizing of outside employees. In
20. addition, creating an organic work system will stifle the training of other employees on
similar tasks. With this in mind, it’s also important to note that employees operating
together consistently will create greater results in terms of production, safety, efficiency
and limit the number of instances in which a manager must scramble to resolve an issue
outside of his/her already pre-designed scenarios (developed in the planning stage).
-When and how to cultivate the organic working system-
There are three key factors, which should be taken into account, when
determining whether a work system should be developed. Initially, the successful
manager must ask him/herself whether the work at hand is a long-term objective or short-
term objective. If the work assignment being analyzed is short-term and will not be
revisited ever or for quite some time, it is roughly 95% more feasible to assign an
employee or employees according to your plan, and move on to more demanding matters.
Next page:
The decision process on determining when to form a work system below:
Short-Term
Objective
Long-Term
Objective
No-Go
Safety/Liabilities
are an issue?
Develop a
System with the
Same Employees
Is it a fast moving /
complex objective?
Is the Objective
ignored or changed
continuously?Yes NoNo-Go NoYes
Develop a
System with the
Same Employees Yes
Consistent/Same
employees?
Yes
No
No-Go
Is the work high
priority in
nature?Yes
Develop a
System with the
Same EmployeesNo NoNo-Go
23. implementing a plan, to communicating it to all the parties with whom he/she connects at
the workplace.
THINKFLOW is the actual tool, the chart, the process and direction in which a
manager should plan, analyze, determine and problem-solve any issue throughout the
course of their day. The THINKFLOW process is top-down and ultimately reversed post-
work to travel bottom-up, so that the manager (and eventually all connected management
parties) can succinctly determine via the Impact Criteria what goes into the Improvement
Bank and what priority it’s assigned. The greatest feature of THINKFLOW SWARM is
that the entire process can be modified and honed to any industry with interchangeable
“cogs” (or the Improvement Bank criteria) to the industry using it.
The ~THINKFLOW~ Chart: (The Top-Down Process)
24. The ~THINKFLOW~ Chart: (The Bottom-Up Process)
Unknowns
Short/Long Term Obj. Employee issues
EnvironmentENVIRONMENT
Work Plans Desired ResultsPriorities
PLAN/PRIORITIZE / END RESULTS
Issues Arising Changes / Decisions Made
REACTION
COMMUNICATION
25. Analyzing the ~THINKFLOW~ chart:
Once a process (or a day’s work) is completed, the THINKFLOW chart is
reviewed and carefully given any last minute additions by the S.W.A.R.M. practicing
manager. The completion from the start of the day to post-work is herein referred to as
COMMUNICATION
Issues Arising -- Analysis Changes / Decisions Made -- Analysis
REACTION ANALYSIS
Work Plans -- Analysis Desired Results -- AnalysisRE-
Prioritized
PLAN/PRIORITIZE / END RESULTS -- ANALYSIS
Unknowns
Short/Long Term Obj. Employee issues
Environment
ENVIRONMENT -- ANALYSIS
IMPROVEMENT BANK
26. the Top-Down process. By filling out (as shown on the example THINKFLOW chart on
the following pages) all of the applicable sections, the manager eventually reaches the
“Communication & Comment” box. The pertinent information within the communication
box is filled out and then the reversed process begins (herein referred to as the Bottom-
Up) process. The bottom-up process is the heart of looking for areas to be placed into the
Improvement Bank. This chart is analyzed in reverse (starting at the “communication
box”) and any area deemed a hindrance to the box ‘Desired Results”, and/or raises a flag
via the critical criteria (industry specific), which as such will be considered for the
Improvement Bank. Once an area has been discovered as subject for the Improvement
Bank, the manager begins his/her evaluation process on what priority to assign the issue.
The process of assigning first-cut Impact Factor (priority) to the improvement
idea (based on the Critical Criteria) is determined by a customizable blend of criteria,
which may be in the realm of manager intuition, cold hard cost/monetary impact and
other items such as the infectious factor.
At this point, it is important to note that the Critical Criteria
used in this presentation are strictly generic in nature and
deemed sufficient for illustration purposes of S.W.A.R.M.
Thinkflow for Outby Mine Management.
Improvement Bank Ideas (An Illustration):
New terminology and rigidly structured concepts makes for a hard understanding
of when and where each piece fits together. In the illustration below, one can ascertain
exactly how the process works. The improvement and prioritization process begins after
27. the manager completes the ~THINKFLOW~ process and has generated improvement
ideas.
Next Page:
Improvement idea is selected as a candidate
for the Improvement Bank.
Empirical Criteria:
7.) Cost Loss
8.) Opp. Loss
9.) Etc…
Priority (Impact Factor) is assigned to each
Improvement Idea in the Improvement
Bank via Critical Criteria (below).
Inefficiency identified as possible
Improvement idea.
Next, the Manager will reverse the
~THINKFLOW~ process and begin the
(BOTTOM-UP) review.
Manager organizes, executes and
communicates via the ~THINKFLOW~
process. (TOP-DOWN)
Manager understands and practices the
management philosophy of S.W.A.R.M.
Manager Discretion:
4.) Infectious Fact.
5.) Other issues
6.) Etc…
Special Circumstances:
1.) Fixability
2.) Unknowns
3.) Etc…
28. Critical Criteria:
Critical Criteria are the areas upon which a value is placed, in order to ultimately
determine the impact factor of a particular improvement idea. For Example, we will
assume we pinpointed the issue of Haulage Supplies via Motormen with the Critical
29. Criteria: calculated into an impact factor via the example below:
• Capital Loss Cost: In reality, the average motormen will genuinely work
5.5 hrs per day (Per Studies conducted at Cumberland Mine) on a non-
longwall move weekday dayshift basis over a week meaning there are 2.5
hrs that translates into no output. That gives an efficiency rating on
manpower/work of 68.7%. In other words, the mine is losing in actuality
$39,063 on poor handling of motormen work assignments (daily $125 of
free money for the 2 motormen employees) Coincidentally, the company
cannot deduct these loses come tax time, which creates a double loss
effect. Thus, the rating here is calculated as follows: 25X80=2,000…
2.5X25=62.5X2=$125X5=$625 a week of inefficient wages for the 2
employees. $625/2000=31.25% = CAPITAL LOSS COST CRIT.
100/31.25=3.2
In addition to the Capital Loss Cost, we’ve added additional
critical criteria of Opportunity Loss, which is calculated as shown below:
• Opportunity Loss Rating: 2.5 hours of misused time in a
day, on an average basis. This is 15 lost hours per week…
or 3-4 belt moves? Calculated as follows: 40 weekly work
hours / number of hours lost per employee per week (2.5 X
5= 12.5) so: 40/12.5=31.25% … 100/31.25= 3.2
30. Finally, in this particular scenario we have added additional critical
criteria (as adjustment criteria) to help adjust the Impact Factor to a level
that may better describe the urgency in which this inefficiency is
improved:
• Infectious Factor: (taking into account) Total rating: 3
o Employee mental impact: 4
o Reduces the ability to do other jobs, simultaneously: 4
o Safety: 1
• Fixability (in lieu of Special Circumstances) Total rating: 4
o 3 (medium to low difficulty in increasing the employees efficiency and solely
based on manager discretion).
Impact Factor:
The Impact Factor is determined on a scale of 1-10, 1=good 10=bad, with tenths
being acceptable. Take note, that in a large organization with multiple and equal
managers, the critical criteria should be averaged from all equally footed managers, and
then calculated to determine a consensus Impact Factor. It’s also important to note that
the organization which is utilizing this prioritizing criteria, must determine what hourly
work week will be used when calculating items such as lost wages (as seen below). For
purposes of the following calculations, we are using the concept of a 40-hour week. The
Impact factor is determined easily by taking the three Critical Criteria values
31. mathematically averaged (as shown in Diagram 1a).
Diagram 1a: i.e. (3.2+3.2+4+3)/4=…3.35 - Impact factor
Once the averaging process takes place, the manager has determined the Impact
Factor (priority) and hence the urgency (not taking into account any other non-empirical
criteria). This improvement idea is now placed into the improvement bank with the
associated Impact Factor.
Why Methodical Matters:
It’s never an easy task for a human to try and to keep a steady pace at a particular
task. Human beings are fickle creatures, mired in endless day-dreams, musings and
32. distractions. To keep a person focused on a singular task is nearly impossible. While a
manager might find him or herself wondering and off point on a particular day
(producing less than stellar results) it becomes a battle to find the recipe to help bring out
the best in a manager (and in turn the employees) day- in and day-out.
With this in mind, and to help battle the unknown mental obstacles encountered
throughout the course of the day, a manager must keep his or her mind engaged
continuously on any particular component of the day at hand. By working through the
THINKFLOW and knowing each of the key components to each particular problem or
day’s THINKFLOW helps to keep the manager’s mind on the relevant issue at hand.
Methodical processes, in all realms of daily management - coupled with an
effective form of improving and determining when to improve over an extended period of
time - is the most relevant way to increase efficiency.
REFERENCE(S):
EIA 2009, International Energy Statistics, 2009, Energy Information
Administration, Washington, DC, viewed 5th March, 2012,
<http://www.eia.doe.gov>.
(2008-04-30). 'Great Expectations' in the workplace boosts employees'
efficiency. The Hindustan times
Pagonis, W. G. (1992). The Work of the Leader. Harvard Business
Review, 70(6), 118-126.
33. Hunt, B. (2007-03-01). Organizational climate and workplace efficiency.
Public management review, 9(1), 27-47.doi:10.1080/14719030600853501
Shockley-Zalabak, P.S. (2006). Fundamentals of Organizational
Communication: Knowledge, Sensitivity, Skills, Values, 6th
ed.
Moritz, D. (2011). Achieving flexibility through strategic workplace
planning. Area Development Site and Facility Planning, 45(6), 36-36,38,40.
http://search.proquest.com/docview/881048330?accountid=13158
Pentland, A. (2012). The New Science of Building Great Teams. Harvard
Business Review, 90(4), 60-70.