... 160) 找出违背了哪些原则。找出适合手头案例的原则，回顾一遍，看看这些原则是否有帮助。自己想想哪些原则对处理这种案子最有帮助。这样做可以帮你解决当前的问题以及类似的其它问题。
... 161) Remember that if you have the same people doing the same things, you should expect the same results.
... 161) 要记得如果你让同样的人做同样的事，那么得到的也是同样的结果。
... 162) Use the following “drilldown” technique to gain an 80/20 understanding of a department or sub-department that is having problems. A drilldown is the process by which someone who wants to do so can gain a deep enough understanding of the problems in an area as well as the root causes, so that they can then go on to design a plan to make the department or sub-department excellent. It is not a “diagnosis,” which is done for each problem. A manager doing ongoing diagnosis will naturally understand his areas well and won’t have to do a drilldown. Drilling down is a form of probing, though it is broader and deeper. Done well, it should get you almost all the information needed to turn a department around in about five hours of effort.
... 162) 运用下述的“钻取”方法，重点理解部门或分部面临的问题。钻取的过程能让人更深入地了解一个领域存在的问题及其根本原因，从而设定计划，确保部门或分部运行良好。钻取不是“诊断”，诊断分析需针对每个问题进行。通过持续性的诊断分析，管理者就自然而然地了解了自己的工作领域，也就没有必要再深究问题了。钻取是探究的一种形式，但其所指范围更广更深。做好钻取可以让你获取几乎所有必要的信息，只需约5个小时的时间就可以让部门情况迅速好转。
A drilldown takes place in two distinct steps: 1) listing problems and 2) listing causes/diagnosing. It is followed by 3) designing a plan. If done well, getting informed via the first two steps typically takes about four hours (give or take an hour) , with the first step of listing the problems typically taking one to two hours and the second step of diagnosing them typically taking two to four hours, if done efficiently.
钻取分两步：1）列举问题；2）列举原因、诊断分析。钻取之后是紧跟着的第三步，即设定计划。顺利的话，通过前两个步骤获取信息通常需要4个小时左右的时间（可能有一个小时的误差），其中第一步列举问题花费1-2个小时，第二步诊断分析花费2-4个小时。
It’s very important that these steps are done separately and independently. That’s because going into two or three directions at the same time causes confusion and doesn’t allow adequate discussion of each of the possible causes and solutions.
谨记这些步骤需要分别独立进行。因为同时进行两个或三个步骤容易导致混淆，而且也不能充分讨论每一个可能的原因和解决方案。
Having the people from the area under scrutiny actively participate in all three steps is critical. You need to hear their descriptions and allow them to argue with you when they think you are wrong. This way you are much more likely to come up with an accurate diagnosis and a good plan.
要让来自于受审查领域的人积极参与到这三个步骤当中。你需要倾听他们的说法，如果他们认为你做错了，要允许他们与你争辩。这样你能更容易做出准确的诊断分析，提出完善的计划。
After the drilldown, you will create the plan or design, which typically takes two to three hours. So the whole process, from asking the first question to coming up with the detailed plan, typically takes about five to eight hours spread over three or four meetings. Then there is step four—the executing, monitoring, and modifying of the plan—which typically takes six to 12 months.
钻取之后，就需要拟出计划或设定方案，这通常需要2-3个小时的时间。所以整个流程，从提问第一个问题，到提出详细的计划，通常需要3-4次会议，共5-8个小时左右。这之后是第四步是执行、监督、改进计划，通常需要6-12个月。
Here is more detail on each of the steps:
下面是每个步骤的细节：
Step 1—List the problems. Don’t confuse problems with possible solutions. Sometimes problems occur for rare or insignificant reasons because nothing is perfect. Don’t pay much attention to those. But more often than not, they are symptomatic of something malfunctioning in your machine, so it pays to investigate what that is. For example, not having enough capacity is not a “problem”; it might cause problems, but it’s not a problem. Having people work so late that they might quit, getting out reports too late, etc., might be problems that are caused by a lack of capacity. But the lack of capacity itself is not a problem. To fix problems, you need to start with the specific problems and address them one by one and come up with very specific solutions. That’s because there are lots of ways to solve problems. The problem of people working late at night might be solved by gaining capacity, or it might be solved by shifting work to another department, or by doing less, etc. To assume that lack of capacity is the problem could lead to inferior problem -solving. So unless you keep in mind the very specific problems, you will not be effective at solving them. In the process of solving problems, you will often see that several problems are due to the same cause (e.g., lack of capacity, a shortage of tech resources, bad management, etc.) , but that is not the same thing as starting at the more general level (like saying that bad management or lack of capacity, etc., are problems) , which is why I am saying you must start with very specific problems before making generalizations. For example, when you have a “people problem,” be specific. Specify which people you are having what problems with and avoid the tendency of saying things like, “People in operations aren’t…” Avoid the tendency not to name names for fear of offending.
第一步：列举问题。不要把问题和可能的解决方案搞混了。有些时候，出现问题是因为很罕见或很无足轻重的因素，没有什么是完美的，所以不需要太在意这些问题。但是更多时候，出现问题表明你的机制运行不良，这时就值得深入探究原因了。例如，没有足够的才能不是“问题”；它可能带来问题，但本身不是问题。让员工加班太晚员工可能辞职，报告发布太晚等等，都可能是能力不足引起的问题。但是能力不足本身不是问题。要解决问题，你需要找到具体的问题，一个个应对，并提出具体的解决方案。因为解决问题有不同的方法。人员加班到很晚可以通过提高能力来解决，或者把他调到其它部门，或者让他少干点活，等等。如果把缺乏能力视作问题的话，会让解决问题变得更加困难。只有考虑到非常具体的问题，才能有效解决它们。在解决问题的过程中，你经常会发现，几个问题都由一个原因造成（缺乏才能，缺少科技，管理不良等），这不同于从更普遍的层面理解问题（比如把管理不良或缺乏才能等看做是问题）。这也是为什么我特别强调，在下结论之前，你一定要先分析非常具体的问题。比如说，如果你面临一个“人员问题”，那就再具体点，指明你和谁之间存在什么问题。而不要说类似于“作业人员没有……”的话，不要怕得罪人而就不敢说出名字。
Step 2—Identify root causes. Root causes are the deep-seated reasons behind the actions that caused the problems. It is important to distinguish between proximate causes, which are superficial reasons for what happened (e.g., “I missed the train because I didn’t check the train schedule”) , and root causes (e.g., “I didn’t check the schedule because I am forgetful”) . Typically a proximate cause is the action that led to the problem while a root cause is the fundamental reason that action occurred. So, when diagnosing, if you are describing what happened or didn’t happen to cause the problem, you are probably describing proximate causes. When you start describing the qualities that were behind these actions, you are probably getting at the root causes. To get at the root cause, keep asking why. For example, if the problem is that people are working late and the direct cause was that there wasn’t enough capacity, then ask why there wasn’t enough capacity. Then you will get closer to the root cause.
第二步：找出根本原因。根本原因是隐藏在引起问题的行为背后的深层次原因。有必要区别直接原因，即事情的表面原因（比如，“我没赶上车因为我没看列车时刻表。”）和根本原因（比如，“我没看列车时刻表因为我健忘。”）通常来讲，直接原因是导致问题的行为，而根本原因是行为产生的本质原因。所以在诊断分析时，如果你描述的是发生了或未发生什么导致了问题，那你很可能在讲直接原因。如果你开始描述这些行为背后的特质时，你可能就在靠近根本原因了。要找到根本原因，记得问为什么。例如，如果问题是员工加班到很晚，直接原因就是才能不足，然后你要问，为什么才能不足，这样你就更接近根本原因了。
If your machine is producing outcomes that you don’t want, either the design is flawed or the parts/people that you dropped into the design are malfunctioning. Most, but not all, problems happen because 1) it isn’t clear who the “responsible party” is for making sure things go well or 2) the responsible party isn’t handling his or her responsibilities well (in other words, isn’t operating according to the principles to eliminate the problem) . So first ask, “Is it clear who the responsible party is?” If not, specify that. If it is clear, then ask, “Why isn’t he or she doing a good job?” There are two possible reasons for someone doing a poor job: insufficient training or insufficient ability.
如果机制的产出不如你所愿，要么设定出错，要么这个设定的构成部分/人员表现不佳。大多数问题发生是因为1）“负责人”不明确，不知道谁来确保机制运行良好；2）负责人未尽到职责（换句话说，负责人未遵循原则解决问题）。所以首先要问，“负责人明确么？”如果答案是“否”，那尽快明确负责人。如果答案是“是”，那要再问，“为什么他或她没做好本职工作？”人员表现不佳可能有两个原因：培训不足或才能不够。
Which would be because the manager—the responsible party for making it clear who is responsible for what—is failing to do that well.
可能是因为管理者--来明确谁负责什么工作的负责人--未能做好该项工作
Though it is essential to connect problems to the responsible parties, this can be difficult if the responsible parties don’t acknowledge their mistakes and fail to diagnose why they made the mistakes. Still, clarity about responsibility and the problems’ root causes must be achieved because otherwise there is no hope for improvement. If the responsible parties do not explicitly take responsibility for ensuring that their areas operate smoothly, their areas will not operate smoothly. An important first step toward achieving clarity is to remove the mentality of blame and credit, because it stands in the way of accurately understanding problems, and that’s a prerequisite for producing improvements. Also, it is important not to judge too quickly what the root causes are. Instead, you should observe the patterns of problems using the issues log as a tool and discuss with the responsible parties what the root causes might be each time a problem arises. You probably won’t initially be able to come to conclusions with a high degree of confidence, because there are many possible reasons for any one problem. But over time, the problems’ patterns and causes will become clear to everyone.
把问题归结到负责人身上固然重要，但如果负责人认识不到自己的错误，或者不愿去诊断分析自己犯错的原因，那这个过程就很难进行。仍要强调的是，明确责任和问题的根本原因至关重要，如果做不到这一点是不可能进步的。如果负责人为确保其分管部门运行顺利而不明不白地负起责任，那么该部门也不可能顺利运行。明确责任的第一步就是摒弃功与过的概念，因为这种思路不利于我们准确理解问题，而后者又是进步的先决条件。此外，对于问题的根本原因，不要过快下结论。而要利用问题日志，观察问题的规律，每次出现问题时，都和负责人讨论可能的根本原因。一开始你可能不确信自己的结论，因为任意一个问题都有很多可能的原因。但是慢慢地，所有人会越来越清楚问题的规律和原因。
As mentioned, there are two possible reasons why the responsible party handled something badly: 1) the responsible party didn’t encounter this problem enough times previously to learn from it and prevent it in the future (by using the principles) or 2) the responsible party is unsuited for that job. And there are also two possible reasons the person is not suited for that job: 1) not enough experience or training and 2) lack of values and/or abilities required to do the job well. So getting at the root causes is largely a matter of figuring out:
如上所述，负责人办事不力有两个可能的原因：1）负责人之前对此类问题没有足够的经验，尚未能从中学习应对之策，不能（根据原则指导）阻止问题再次发生，或2）负责人不适合这份工作。人员不适合这份工作也有两种可能的原因：1）经验不足或缺乏培训；2）缺乏能够做好这份工作的价值和/或能力。所以找寻根本原因基本上就是要弄清楚：
Who is the responsible party for what went wrong?
该问题的负责人是谁？
Did that person encounter the problem enough times that he or she should have either learned how not to repeat it or elevated it to someone who could have helped learn how to solve it? The conclusions could be the following: 1) If the person did encounter the problem enough times to have resolved or elevated it, then the person is not suitable for the job;2) if the person did not encounter the problems enough times to resolve or elevate it, what are the probable root causes? The most common root causes are: 1) the person is not suitable for the job in some way (doesn’t learn from mistakes, doesn’t have a high sense of responsibility, is lazy, etc.) ; 2) the design of the process is flawed (e.g., the person is doing things in a way that can be improved) ; or 3) there is no possible solution. If it’s the first root cause, the person should have their job changed; if it’s the second, you and the person need to properly diagnose the problem and come up with a different process that will work; and if it’s the third, you won’t know that until you have thoroughly explored whether the process can be remediated.
负责人是否之前对此类问题积累了足够经验，已经从中学习应对之策？或是将问题提交上级，并由上级帮助其掌握问题的解决方法？结论可能如下：1）如果该员工的确对此类问题有丰富经验，应该能解决或是呈报上级，那么该员工不适合这项工作；2）如果该员工对此类问题没有丰富经验，不能解决或是呈报上级，那么根本原因可能有哪些？最可能的根本原因是：1）该员工某方面不适合这项工作（不能从错误中学习，没有责任感，懒散，等等。）；2）流程设定有问题（例如：人员做事的方式可以改进）；或3）无法解决。如果是第一个原因，应该调动该人员的工作；如果是第二个原因，你和该员工需要仔细诊断分析问题，提出行之有效的改进方案；如果是第三个原因，那在你深入探究流程是否可以弥补之前，解决方案是未知的。
That doesn’t mean that all people have to solve and prevent all repeating problems or they shouldn’t be in their jobs. That might not be possible because smaller, repeating problems might be consciously accepted until they become high enough priorities to be fixed. However, it does mean that repeating problems should be recognized and, if not able to be resolved, they must be elevated.
这不意味着所有人员都要解决并避免所有重复发生的问题，如果真是这样，那这些人和岗位也就没有存在的必要了，并且要做到这样也不太可能，因为小的重复发生的问题可能为人们有意无意地接受了，直到小问题变成有待解决的大问题。但是，重复出现的问题应该引起注意，即使解决不了，也应该报告给上级。
That second alternative of trying to find a better process takes time and patience (involving you and the person properly diagnosing the problem and finding a different approach that works) . Normally, this is the point at which most companies and people fail. That is because people often take the identification of a “mistake” as the equivalent of an accusation that they are flawed (dumb, lazy, etc.) , so they become defensive. If instead they view the exercise as an investigation into how the process might be flawed, it’s easier to make progress. So when criticizing, it’s sometimes helpful to convey explicitly the point of the exercise: mutually diagnosing the problem and exploring the pros and cons of alternative approaches. You both need to be mindful that doing this well typically takes time and patience. One of the purposes of the brainstorming session is to do this, ideally with an agreed diagnosis resulting from it.
第二个方案试图寻找一个更好的工作流程，但需要大量时间和精力，因为你和该员工要仔细诊断分析分体，并且找到可行的替代方案。大多数公司和人都在这一环节失败了。因为人们总是把“错误”等同于对他们本身的指责，比如傻，懒，等等。这样一来，他们防御心就很强。如果他们把这种做法看做是对流程为什么出错的调查，就能更容易取得进展了。所以，在进行评价时，最好清晰地传达出这种做法的目的：互相诊断分析问题，探究替代方案的优缺点。双方都要记得，要做好这件事需要时间和耐心。头脑风暴的目的之一就是这个，当然最好头脑风暴过后能得出一个大家都同意的诊断结果。
Step 3—Create a plan (brief notes) :
第三步：做计划（简介）：
-Look at each root cause and ask yourself what should be done about it.
-思考每个根本原因，问自己应该对此做些什么。
-Creating a plan is like writing a movie script in that you visualize who will do what through time in order to achieve the goal.
-制定计划如同撰写电影剧本，随着时间的推进要设想好由谁来完成任务才能实现最终的目标。
-Step away from the group to reflect and work on the plan, then bring it back to the group to discuss and modify.
-做计划时，考虑不同的可能性并适时实施，从而做出最优选择。
-When developing the plan, iterate through multiple possibilities and play them out in time to help determine the best choice.
-当你做计划时，要考虑多种的可能性并及时从中确定最佳选项。
-Make sure to assign who is supposed to do what with rough target dates for achieving individual tasks of the plan. Once the plan design is complete, make sure the tasks, responsible parties, and timelines are reasonable and doable.
-要分配谁应该做什么事，明确完成个人计划任务的大概日期。一旦计划设定完成，要确保任务，负责人和时间线的合理性和可行性。
-While everyone does not need to agree with the plan, it is important that the key people agree that it will work.
-计划不必让所有人都满意，但关键人物要同意计划可行。
Step 4—Implement the plan (brief notes) :
第四步：执行计划（简介）：
-Give each person a monthly to-do list to provide clarity and transparency around responsibilities and expectations for that month. Then plot the progress in open, monthly meetings with all the relevant parties. Explicitly assess how the plan is working and deal with problems that aren’t being resolved.
- 给每名员工一份月任务清单，明确员工任务和目标。在同相关员工的月度会议上制定工作进度。评估计划运行状况，解决尚存问题。
-Make sure to hold responsible parties accountable for target dates and develop metrics around how they are meeting their commitments.
-要让负责人确保任务在目标日期前圆满完成，并制定绩效衡量标准。
-Regularly look at that list of assigned tasks to track progress and determine if any adjustments are needed.
