A JOINT INITIATIVE OF P E L -0 83

THE HARVARD GRADUATE SCHOOL OF EDUCATION APRIL 24, 2017

AND HARVARD BUSINESS SCHOOL

STACEY CHILDRESS

GEOFF MARIETTA

A Problem-Solving Approach to Designing and

Implementing a Strategy to Improve Performance

Figure A Problem-Solving Approach to Strategy Design and Implementation

The problem-solving approach to designing and implementing a strategy includes eight steps (see
Figure A):

1. Identify the Problem

2. Analyze the Problem and Diagnose Its Causes
3. Develop a Theory of Action
4. Design the Strategy
5. Plan for Implementation
6. Implement the Strategy
7. Assess Progress
8. Adapt and Modify for Continuous Improvement
________________________________________________________________________________________________________________

Professor Stacey Childress and Research Associate Geoff Marietta prepared the original version of this note, PEL-056: A Problem-Solving
Approach to Designing and Implementing a Strategy to Improve Performance. This version was modified by Professor of Practice Andrés
Alonso and Senior Project Manager Matthew Tallon as active members of the Public Education Leadership Project.

Copyright © 2017 President and Fellows of Harvard College. To order copies or request permission to reproduce materials, call 1-800-545-7685,
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PEL-083 A PELP Problem-Solving Approach

Teams rarely move through each step sequentially, and might get stuck and revisit earlier steps
throughout the process. However, each step is critical to improving system-wide performance.

Steps
Identify the Problem. The first and most critical step of solving a performance problem is to
accurately identify it. The performance problem your team selects should be grounded in the
instructional core. Often teams try to address an unsatisfactory outcome—such as low student
achievement—without identifying a serious problem that contributes to it. If a team does not take
this step seriously, a lack of rigor will likely result in a weak theory of action. Problem definitions
that focus on blaming others such as “there isn’t enough money” or “the union is against it” are
tempting because they absolve us of responsibility for taking action. As Rick DuFour (2004) puts it,
rather than focusing outward on forces over which you have little control, your team should identify
a problem that is within its sphere of influence. DuFour calls this looking “in the mirror” instead of
“out the window.”

Analyze the Problem and Diagnose Its Causes. Once your team has identified the problem, you
must figure out what is really going on. We challenge you to look internally at your district’s
practices and results, and be ready to recognize what role the district office might play in the
problem. It is important to consider the problem from the perspectives of teachers and administrators
in the schools or parents. Understanding the root causes of the problem you identify will prepare
your team to address it.

Develop a Theory of Action. The next step is to formulate a theory of action for how to solve the
problem you identified by attacking its root causes. A district’s theory of action is a statement about
cause and effect. Typically, it takes the form: “If we do X. . . .then Y will occur.” In other words, which
actions does your team think will lead to your desired results?

Design the Strategy. Your strategy is simply the set of coherent actions you will take to put your
theory into practice and solve the problem you have identified. It should include the target of the
intervention (particular student groups, grade levels, content areas, or employee groups), the specific
actions that will be taken, and the timetable for implementation and results. In addition to identifying
the activities of your strategy in this step, you must diagnose the level of coherence in your
organization with your new strategy.

Plan for Implementation. Preparing to implement the strategy is as important as implementing

it. In this step, your team should identify the resources needed to successfully execute the strategy.
These might include financial resources, people, and/or technology. Pay particular attention to the
people aspects of the implementation plan. A strategy’s success or failure is largely dependent on the
ability of the relevant staff members to perform the tasks that make the strategy come to life, and it is
important to identify knowledge or skill gaps in the planning phase. Don’t overlook the political
support that you might need, both within the system and outside it. Your team should also anticipate
challenges that are likely to come up during implementation and find ways to address them in
advance.

Implement the Strategy. During this step, people must have the resources, knowledge, skills and
support they need in order to implement the strategy with fidelity. District leaders need to take the
time to ensure that everyone understands the strategy, how his or her particular job or task
contributes to the overall effort, and why it is important. District leaders must also solicit feedback

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and suggestions from those who are implementing the strategy—typically teachers and principals. In
addition to the necessary skills, employees must have the will to implement.

Assess Progress. While implementation is underway, you should be collecting, analyzing, and
making decisions based on data about three dimensions: 1) the progress of the implementation; 2) the
effectiveness of the strategy; and 3) the validity of the theory of action.

Adapt and Modify for Continuous Improvement. Throughout the implementation of the
strategy, you might discover new problems or miss original targets. By adapting and modifying the
implementation plan, the strategy and the theory of action as more information becomes available,
leadership teams can accelerate their progress. Modifications could be as simple as addressing an
unforeseen skill gap in key personnel or as complicated as adapting to changes in state regulations.

Problem-Solving Approach to Strategy: Guiding Questions for Each Step

Step #1: Identify the Problem

• What is the performance problem we are trying to solve? What are three or four observable
symptoms of the overall problem we identified? Be sure that it is linked to activities and
outcomes related to the instructional core (students, teachers, academic content)

• How can we describe the problem in simple terms with no jargon (no more than a sentence or
two)?

• What evidence do we have that this is a problem in our organization? Will this evidence
enable us to better communicate the nature and importance of the problem to staff and
stakeholders?

When working through problem identification, the PELP coherence framework can be a useful
diagnostic tool in scanning the organization looking for performance gaps or incoherence. The
Coherence Framework is explained in detail in PEL-010, but it is reproduced here for a quick
reference in the problem solving process.

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Components of the PELP Coherence Framework

• Instructional core: The core includes three interdependent components: teachers' knowledge
and skill, students' engagement in their own learning, and academically challenging content.

• Theory of Change (Action): The organization's belief about the relationships between certain
actions and desired outcomes, often phrased as an "if… then…" statement. This theory links
the mission of increased performance for all students to the strategy the organization will use
to achieve that goal.

• Strategy: A coherent set of actions a district deliberately undertakes to strengthen the

instructional core with the objective of raising student performance district-wide. Gaining
coherence among actions at the district, school, and classroom levels will make a district's
chosen strategy more scalable and sustainable.

• Stakeholders: The people and groups inside and outside of the district - district and school
staff, governing bodies, unions and associations, parents and parent organizations, civic and
community leaders and organizations.

• Culture: The predominant norms, values, and attitudes that define and drive behavior in the
district.

• Structure: Structures help define how the work of the district gets done. It includes how
people are organized, who has responsibility and accountability for results, and who makes or
influences decisions. Structures can be both formal (deliberately established organizational
forms) and informal (the way decisions get made or the way people work and interact outside
of formal channels).

• Systems: School districts manage themselves through a variety of systems, which are the
processes and procedures through which work gets done. Systems are built around such
important functions as career development and promotion, compensation, student
assignment, resource allocation, organizational learning, and measurement and
accountability. Most practically, systems help people feel like they do not have to "reinvent
the wheel" when they need to get an important, and often multi-step, task done.

• Resources: Managing the flow of financial resources throughout the organization is

important, but resources also include people and physical assets such as technology and data.
When school districts carefully manage their most valuable resource--people--and understand
what investments in technology and data systems are necessary to better support teaching
and learning, the entire organization is brought closer to coherence.

• Environment: A district's environment includes all the external factors that can have an
impact on strategy, operations, and performance (i.e. regulations and statutes, contracts,
funding and politics).

Step #2: Analyze the Problem and Diagnose Its Causes

• Often it is not possible to identify a single root cause of a problem. Therefore, the team will
need to spend time examining possible causes for the problem and deciding which best
explains why the problem occurs and persists. Often it is not possible to do everything at
once, and your team should develop a common point of view about where to start.

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• What are the consequences of not solving the problem? Be specific. How will a failure to act
affect students over the long-term? How will it impact district-wide performance in the
medium term?

Table 1 provides an example of a root cause analysis technique called the “5 Whys.” The method
is widely-used in various continuous improvement processes. Your team should use your answers to
the earlier questions about the problem and its symptoms as a way to get started. For each symptom,
you should ask the question, “Why?” a number of times until you reach an actionable root cause.
Experts say this usually takes five “whys”, hence the name of the method.

In the table below, we articulated a problem that many urban districts share and identified three
common, observable symptoms. We then answered a series of “whys” for each symptom by moving
down the columns of the table. Your team might only need four “whys” to uncover a root cause, as in
symptom 3 in the table, or you might need six. The number is not as important as finding an
actionable root cause. Most problems have more than three symptoms, and some symptoms have
more than one root cause. In order to keep the illustration as simple as possible, we chose only three
symptoms and followed the root cause process once for each. Clearly, additional or alternative paths
exist for each symptom and it is important for your team to explore multiple options in your analysis.
Also, remember to look in the mirror rather than out the window as you go through the process.

Table 1: “5 Whys” Root Cause Analysis Guide (With Example)

Problem: In our district, there are significant differences in academic outcomes between subgroups of students K-12, predictable
largely by the race and ethnicity of the students.

Symptom 1: By 3rd grade, gaps are present Symptom 2: Our high school A/P and Symptom 3: 95% of White students
on state reading exams. Honors courses are disproportionally graduate from our high schools, but only
enrolled by White and Asian students. 73% of African-American and 70% of
Hispanic students graduate

Why? African-American and Hispanic Why? African-American and Hispanic Why? Beginning in 9th grade, these
students on average score 20 points lower students enroll in A/P and Honors students begin dropping out at faster
than White and Asian students. courses at much lower rates than their rates, and it accelerates every year of high
overall % of the student body school.

Why? We have anecdotal evidence that Why? Fewer students in these sub-groups Why? They do not see the relevance of
students come to K with different levels of have the prerequisites, especially in high school courses today or in the future.
pre-literacy skills, but no hard data about mathematics.
the nature and scale of the differences for
individual students, or how they progress.

Why? We don’t perform diagnostic Why? Very low numbers of African- Why? To prepare them for the HS exit
assessments of students in grades K - 2. American and Hispanic students have exam, their coursework is focused on basic
completed Algebra by the 8th grade. skills and not connected to later
opportunities.

Why? We don’t have valid tools to Why? When we begin sorting students Why? These students come into HS
diagnose or respond to the different into different math ability levels in fourth multiple grade levels behind and must
learning needs of students in these early grade, these students are take double blocks of reading and math,
grades. disproportionately assigned to the limiting their opportunities to take courses
“regular” math track. that might interest them.

Why? We have not invested in the tools Why? Many students are not getting what Why?
our teachers need for diagnosis or the they need for success in K-3 math, and the
skills or curriculum they need to others are often placed in courses below
effectively differentiate. their ability levels.

Source: Example created by the authors based on actual situations in urban districts.

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Table 2 provides an example of a second root cause analysis technique called the “Fishbone
Diagram”. The technique is a popular one for teams to unearth root causes during collective
brainstorming. It’s a visual representation of the conversation. The major bones represent key
contributing factors to poor outcomes, and five to six of these key factors are typical. The smaller
secondary bones are the root causes that emerge from the conversation. These causes can be
myriad and are diagramed on the five or six major bones. In his book Learning to Improve: How
America’s Schools Can Get Better at Getting Better, Anthony Bryk and colleagues endorse the
fishbone technique and present the following example of a fishbone diagram for low success rates
in developmental mathematics.

Table 2: The Fishbone Diagram Analysis Guide (With Example for “Low Success Rates in
Developmental Mathematics”):

Source: Fishbone diagram for low success rates in developmental mathematics published in Learning to Improve: How
America’s Schools Can Get Better at Getting Better by A. S. Bryk et al., Harvard Education Press, Cambridge, Mass., 2015.

Step #3: Develop a Theory of Action

The next step is to articulate a theory of action for how to solve the problem you identified by
attacking its root causes. As with any theory, a district’s theory of action is a statement about cause
and effect. In other words, which actions does your team think will lead to your desired results? You
should be able to map the elements of your theory back to the root causes you uncovered in your
problem analysis. Using “if…then…” statements to articulate the theory of action can help ensure

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that your team is focused on testable predictions about cause and effect rather than ideology or
personal philosophy. Below is an example of a theory of action that might flow from the root cause
analysis in Table 1:

All students should have access to rigorous academic content, which they can master if they are
adequately prepared beginning in kindergarten. We also believe that our teachers are committed to their
students’ learning, but might not have the skills or curriculum they need. We acknowledge that our
entire system currently has institutional barriers that a) sort children away from our most rigorous
courses, and b) thereby reinforce widely-held but inaccurate assumptions about the ability of all children
to master rigorous content if given the right supports. Therefore:

If we:

1. invest heavily in diagnostic assessment, differentiated instruction, and effective literacy

curriculum beginning in kindergarten,

2. remove the institutional barriers and sorting mechanisms that begin as early as fourth
grade,

3. open up access to rigorous high school courses rather than viewing them as appropriate for
only a few, and

4. give our principals and teachers all of the support they need to change their practice and
their beliefs in order to meet the new expectations,

Then, over time, not only will we eliminate achievement gaps that are predictable by race and ethnicity,
we will also raise the bar for all of our students because of our focus on rigorous course work for every
child.

Below is a set of questions to answer as your team works out its own theory of action.

• What specific actions do we think will reduce or eliminate the effects of one or more of the
root causes we identified in the previous step?

• Why do we think these actions will lead to the results we desire? In other words, what
assumptions are we making about how kids learn? How adults learn? How our team
operates? About our context or environment? About our students and their families? Stating
these assumptions upfront can help everyone understand what beliefs underpin your theory
of action.

• From the above analysis, construct an “if…then…” statement that communicates the theory of
action.

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Table 3: Theory of Action Template

Introductory Statement of Belief:

If we:

[1]*

[2]*

[3]*

[4]*

Then…

* Component numbers will vary.

Step #4: Design the Strategy

Your strategy is simply the set of coherent actions you will take to put your theory into
practice and solve the problem you have identified. It should include the target of the
intervention (particular student groups, grade levels, content areas, or employee groups), the
specific actions that will be taken, and the timetable for implementation and results. In
addition to identifying the activities of your strategy in this step, you must diagnose the level
of coherence in your organization with your new strategy.

Characteristics of a Well-Crafted Strategy:

Although some differences exist, effective strategy has a number of characteristics in

organizations across the business, nonprofit, and education sectors. Evaluating an existing or
emerging strategy based on these characteristics can be a useful exercise. A well-crafted
strategy:

• Connects to Purpose – people responsible for executing the actions chosen by the
organization can readily see a link to the mission and objectives in their work

• Provides Focus – people at all levels understand who their “customers” are, what service they
are providing to them, and why

• Guides Choices – people throughout the organization can make better choices between
possible activities, projects, and programs by assessing their fit with the strategy

• Illuminates Relationships – people understand how their actions are related to the actions of
others in the organization, and are able to recognize and take advantage of linkages and
interdependencies to accomplish objectives

• Defines Measurement Parameters – people can work together to identify measures that are
focused on the organizational learning necessary for continuous improvement of activities

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related to the strategy, and create and track indicators of performance relevant to successful
execution of the strategy.

• Addresses the External Environment – people are focused on the work of the organization,
but understand how it links to the external context and the expectations of stakeholders

• Allows for Adaptation – leaders in the organization are able to adapt the strategy as the
organization learns about the effectiveness of activities through implementation and
monitoring, and/or in response to changes in the external environment

Guiding Questions for Strategy Development:

• What set of actions will we take to put our theory of action into practice? How do the specific
actions map back to the assumptions about cause and effect that underpin our theory of
action?

• Who will be affected by our actions (students, stakeholders, employees)?

• What is a reasonable timeframe over which the actions have to be consistently implemented to
achieve results? (Build this directly into your strategy statement.)

• Are the relevant systems, structures, resources and culture of our organization likely to make
it easier or harder to effectively implement the strategy? If they make it harder, what changes
are needed in order to increase the likelihood that we can implement the strategy well? (If you
have significant diagnostic work to perform in this area, consult the Note on the PELP
Coherence Framework for guiding questions about each piece of your organization.)

• What are the specific short, medium and long term targets we will hit if our strategy is
successful?

Step #5: Plan for Implementation

Preparing to implement the strategy is as important as implementation. In this step, your team
should identify the resources needed to successfully execute the strategy. These might include
financial resources, people, and/or technology. Pay particular attention to the people aspects of the
implementation plan. A strategy’s success or failure is largely dependent on the ability of the relevant
staff members to perform the tasks that make the strategy come to life, and it is important to identify
knowledge or skill gaps in the planning phase. Don’t overlook the political support that you might
need, both within the system and outside it. Your team should also anticipate challenges that are
likely to come up during implementation and find ways to address them in advance.

• What steps will we take to implement our strategy? Who will do what by when?

• What material resources are required to implement the strategy? (Curricular materials,
technology, physical space, etc.)

• Is new training needed to ensure that the people asked to implement pieces of the strategy
have the skills they need to do their best work?

• How much will the implementation cost? How will we pay for it? Will there be savings in
other areas related to the new strategy?

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• What are the implications for teachers, principals, and central office staff if nothing changes?
This question helps uncover particular groups who might feel threatened by the changes you
propose.

• How will we build support for the strategy, especially among stakeholder groups who think
that they may lose out as a result of the change?

• What roadblocks (both internal and external) are we likely to encounter? What can we do to
prevent or quickly address them? Who will be accountable for managing the response to
roadblocks?

• Who – individual or group – will “own” the implementation? Who will ensure that people
and schools have what they need and are actually performing the work necessary for a
successful implementation?

• What are some specific benchmarks we will measure throughout the process to assess
whether or not the implementation is on track? What indicators will let us know if the
strategy is as effective as we imagine it will be? What measures should we put in place to
assess the validity of our theory of action and test the assumptions embedded in the theory?

• Are there systems in place to collect the data needed for the indicators developed above? If
not how will we create them? Who will be responsible for analyzing the data that is gathered?
Is there an existing team that is the logical group to make decisions based on the analysis? If
not, should we create an ad hoc team for this purpose? Who should be part of this team?

Step #6: Implement the Strategy

• Do people understand how their day-to-day actions are related to the strategy? Is the strategy
meaningful to them?

• Are we providing the supports people need to enable them to successfully perform the work
required of them during the implementation phase?

• Are people actually implementing the strategy as it was designed? If not, why not? Are there
consequences for failing to implement the strategy?

• What is the process for making sure that all participants provide regular feedback that will
allow us to continuously improve performance by adapting the strategy as we learn?

Step #7: Assess Progress

• What can we learn from the data we are gathering about the progress we are making in
solving the problem we identified? What do our interim results tell us about our predictions
about cause and effect?

• Are we achieving all of the milestones we set during the implementation planning step? Are
we on track in terms of timelines? Budget projections? Staff allocations?

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• If we are missing milestones, why is that happening? Was the initial schedule unrealistically
ambitious? Did we underestimate the time certain activities would take to accomplish? Did
our forecasts fail to account for important factors? Have barriers come up that were
unexpected? Should we adjust our expectations or accelerate our efforts in order to meet our
original targets?

• Are individuals and/or teams engaging productively in the activities that the strategy
requires? If not, why? Is it a problem of skill, which would call for us to provide more training
and development? Or, is it a problem of will? Are some people opting out of the whole
approach, believing that “this too shall pass”? If so, what steps will we take to help people
change their behavior? If this is ineffective, what will we do?

• If our implementation seems on track but we are missing our targets, should we reexamine
our strategy or our theory of action? Did we misdiagnose the causes of the problem?

• If not, what can we learn from our feedback loops that might help us revise the strategy to
make it more effective? Are there alternative activities that might be more powerful?

• Have we learned anything during implementation of our strategy that challenges any of the
assumptions embedded in our theory? About our diagnosis of root causes?

Step #8: Adapt and Modify for Continuous Improvement

• How should we respond to the information generated in the “assess” step?

• If we are making progress in solving the initial problem we identified, what adjustments do
we need to make to our approach now that one or more of the root causes might be
diminishing in importance?

• How can we create opportunities for the people involved in the work to celebrate progress
while maintaining a sense of urgency about solving difficult performance problems over the
long term?

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