SPALTEN

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Decision Making in Project Management with the SPALTEN Problem-Solving Methodology

Developed by Felix Dressel

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This article describes the approach of the problem-solving methodology SPALTEN in a Project Management context.

The SPALTEN problem-solving process was initially published in 2002 by Albers et al. as a method which is universally applicable to any sort of problem in product development and project management.^[1] SPALTEN can be adapted in condition and complexity to any problem. Its strength is to gather and analyze the given situation as well as to create, rate and select possible solutions. The method also enables the user to divide one big problem into smaller ones. Consequently, it is easier to manage the problem and work out a solution.^[2] It is confirmed, that due to its flexibility, engineers are able to apply SPALTEN throughout the entire product development process as well as across multiple other activities in project management.^[3]

The term SPALTEN was designed as an acronym representing its different steps (in German). The method is structured by seven working steps, each of which can be carried out with different subordinate methods.^[4] The seven steps are:

(S) Situation Analysis

(P) Problem Containment

(A) Alternative Solutions

(L) Selection of Solutions

(T) Consequences Analysis

(E) Make Decision and Realization

(N) Recapitulate and Learn

The following chapters of this article will elaborate how the SPALTEN problem-solving process is implemented, how the different steps are carried out in practice (course of action, examples, etc.) and what its limitations are. Additionally, other influencing factors like the problem-solving team, a regular check of information and a continuous idea storage will be introduced together with their relevance and application in this method. Depending on the length of the topics mentioned before, also a gamified approach (The SPALTEN Expedition) can be presented.

Overview

Problem Solving and Decision Making in Project Management

In the process of project management, the successful realization of the projects often depends on the ability to solve problems when encountered. As Burke and Barron state: “A project is often just a big problem that needs to be solved.”^[5] While such a problem might often be seen as an obstacle, it also provides an opportunity through which the current situation can be improved. To address the problems the project manager needs a problem-solving system to identify the problem as concrete as possible but also needs to come up with creative solutions.^[5]

Figure 1: The processes of Problem Solving and Decision Making in Project Management (inspired by ^[5] and ^[6])

The processes of the identification of problems and the decision making of different solution possibilities are often connected. While the problem-solving process focuses on concretely defining the problem and coming up with different solutions (divergent), the decision-making process has to consider all the different solution possibilities by taking into account the surrounding situation and has to ensure that the selected solution solves the problem as comprehensive as possible (convergent). These two sides are visualized in Figure 1.^[5]

During the whole process, actions have to be carried out which build upon each other. During the problem-solving process, the actions are:^[5]

• 1. Define Objectives: The starting point of the problem-solving process: Define the goals and objectives of the project against which the problems and opportunities have to be evaluated.
• 2. Identify Problems and Opportunities: Identify and define the problems and opportunities encountered during the project.
• 3. Gather Information: Gather all relevant data and information to create an overview of the current situation.
• 4. Solve Problem: Create a list of possible solution which have to be evaluated and weighted in further steps.

The decision making starts where the problem-solving ends. After identifying multiple solutions, the following actions are:^[6]

• 5. Identify Need for a Decision: What decisions have to be made? Who has the authority to make them?
• 6. Gather Information: Gather all data and information which are relevant for the decision.
• 7. Make Decision: Decide on the best possible solution.
• 8. Implement Decision: This includes the presentation of the decision, its justification, and further steps for the implementation.

To ensure, that the solution was implemented successfully a feedback tool has to be installed. If the problem is not resolved, further measures and actions might be required by the project manager.^[6]

The SPALTEN Problem-Solving Methodology

Figure 2: The SPALTEN problem-solving process (inspired by ^[7] and ^[8])

The SPALTEN problem-solving methodology was first published in 2002 by Albers et al.^[7] The methodology is not limited to a certain topic or area of expertise but can be adapted in condition and complexity to any problem, which allows to approach a problem universally. The term SPALTEN (spalten (German) = to split) was designed and structured as an acronym representing its different steps. As presented in Figure 2, the steps are:^[8]

1. Situation Analysis (Situationsanalyse)
2. Problem Containment (Problemeingrenzung)
3. Alternative Solutions (Alternative Lösungen)
4. Selection of Solutions (Lösungsauswahl)
5. Consequences Analysis (Tragweitenanalyse)
6. Make Decision and Realization (Entscheiden und Umsetzen)
7. Recapitulate and Learn (Nachbereiten und Lernen)

Each of the seven working steps can be conducted and supported by a set of suitable methods. This process helps the user to gather and analyze the given situation as well as to create, rate and select possible solutions. SPALTEN also enables to divide complex problems into smaller ones, which makes it easier to manage one big problem and work out a solution for this. For this, each of the working steps can be carried out as a separate SPALTEN process.^[8]

How to use SPALTEN

The SPALTEN problem-solving methodology is separated into seven working steps. Additionally, between every two steps, the problem-solving team can be adapted to the respective demands, and an information check has to be carried out. The problem-solving team can be adapted to fit the skills of the team members to the demands of the tasks. One way to acquire new competences for a certain step is to consult additional experts for specific tasks. However, the team can also be reformed completely if necessary, to ensure that the required skills for the different steps are covered. Similar to the problem-solving team, also the present information has to be reconsidered continuously. Each step builds upon the one which came before, and therefore, all necessary information must be available before moving forward in the process. Throughout the whole problem-solving methodology, a continuous idea pool guarantees that no information is lost. This pool can be accessed any time by the team members to add new ideas or adapt and regroup existing ones.^{[8] [9]}

Situation Analysis

The basis of SPALTEN is the Situation Analysis. The process starts with the detailed collection of all information regarding the current situation. This high amount collected information must also be structured and documented in the same step. The goal is to completely assess the situation and decide on a problem-solving approach.^[8]

To analyze the current situation and collect a high variety of problems, classical techniques such as Brainstorming or Brainwriting can be used. The benefit of Brainwriting in the case of SPALTEN is, that all the ideas are written down during the process already. This simplifies the documentation and also takes into account the opinion of others involved. However, in both techniques it is important, that no ideas are judged to get the widest possible range of problems. In that way, an optimal basis for the next step, the problem containment, can be provided.

Problem Containment

The Problem Containment aims to describe the problem based on the collected information of the previous step. The previous structure is narrowed down by e.g., grouping the relevant information by common attributes or connections. The problem containment aims to identify the cause(s) for the deviation between the targeted and the actual state. Both states are to be described as concrete and precise as possible. The result of this step is a prioritized list of root problems. Ideally, only the most important problem is addressed in the following steps.^[9]

An example for a hands-on approach is the Affinity Diagram To organize a high amount of information, the steps of the diagram gather and sort them into logical groups before headers for each of them are created. This process is repeated to create groups and subgroups including all the available information. Also Multi-Voting can be used to structure and prioritize the high amount of information. The project manager decides on the number of votes and iterations before the voting. This can be combined with the Affinity Diagram to first group and then prioritize all the available problem information.

Alternative Solutions

After the core problem has been defined, possible solutions are generated in the step of Alternative Solutions. The result is a high variety of possible solutions. While the solutions aim to cover the problem as comprehensive as possible, they also have to be formulated as concrete as possible to fit to the defined problem. Again, the amount of information increases. Usually, a high creativity is required for this step, which can be supported by specific creativity methods.^[8]

The Impulse Image Technique is a simple method to support creative thinking and the generation of creative ideas. With a randomly chosen image, the team has to combine the defined problem with what is shown on the picture. A direct relation between the image and the problem is not required. For example, a bridge can be applied to a solution which connects two areas of expertise.^[10] A more unusual but creative approach is the Headstand Method. It is conducted by reformulating the goals of the project by turning them into the exact opposite. The team collects activities which would prevent the project from being successful and how not to achieve the goal. After sorting and grouping the negative ideas, they are turned back into positive ones which describe how to successfully complete the project. ^[11]

Selection of Solutions

The Selection of Solutions builds upon the high variety of solutions from the previous step. First of all, decision criteria have to be defined and weighted, on which the possible solutions can be compared. The definition of selection criteria must be based on the specific problem situation which was defined in the step of problem containment. The amount of information decreases by focusing one most promising solution.^[9]

With the Six Thinking Hats Method a team can objectively select from a high variety of possibilities. Thereby, the different solutions are evaluated from the point of view of six different roles which each inherit a different set of characteristics and values. During the discussion, the challenge is to only argue from the point of view of the role without including personal opinions. The characteristics and values of the roles can differ on the area of application. Different variations exist where e.g., the roles are defined by characters of the Star-Trek universe in the Star-Trek-Evaluation.^[12]

Consequences Analysis

With the previous steps a root problem has been defined and the most promising solution has been selected. Now, the Consequences Analysis allows to evaluate the risks and chances of the solution before it is carried out. With the help of methods, predictions can be made which reveal critical consequences whose cause can be determined before they occur. Based on this, actions can be defined to prevent risks and guarantee opportunities.^{[8] [9]}

The introduction to a Risk Analysis can be another iteration of Brainstorming. Especially uncertain future risks can be uncovered while at the same time, the whole team can relate to the ideas of the others. A more structured overview can be provided by a Cause-and-Effect Analysis in the form of a Fishbone Diagram. Here, causes can be sorted and grouped by the identified effect, especially if the outcome is very likely or even known beforehand.

Make Decision and Realization

After the optimal solution(s) has been identified and possible risks have been taken into account, the step of Make Decision and Realization aims realize the selected solution. For this, realistic tasks have to be formulated and assigned to the corresponding team members. The result is a well-structured plan which includes e.g., To-Dos, Due Dates, Responsibilities, etc., all based on minimizing the identified risks and increasing possible opportunities.^{[8] [9]}

As described in the overview of this article, the decision-making process directly links to the preceding problem solving. This is based on all the available information regarding the identified problem and the developed solution(s). When deciding, it is especially important, that the decision is supported by the necessary power in the organization and that a plan for the implementation is already defined.

Recapitulate and Learn

The final step is Recapitulate and Learn. Based on the continuous improvement process, the total knowledge (especially the identified problems and developed solution possibilities) is documented and stored for future reference. This gives the team and other members of the organization the chance to keep track of the results. It also provides the possibility to reflect upon the performance throughout the whole problem-solving process.^[9]

To ensure a lasting benefit of the whole process, the documentation has to include the results of the different steps, which are: All the identified problems, the core problem, all the developed solution possibilities, the most promising solution and the implementation plan. An additional Feedback Capture Grid can be used to collect the feedback of everyone involved and organize it by the categories of positive feedback, improvement potential, open questions and new / left-over ideas.^[13]

Decision Making with the SPALTEN Methodology

Figure 3: The SPALTEN methodology in the framework of Problem Solving and Decision Making in Project Management (inspired by ^[5], ^[6], ^[7] and ^[8])

The Limitations of SPALTEN

References

1. ↑ Albers, A., M. Saak, N. Burkhardt, and D. Schweinberger (Eds.). 2002. Gezielte Problemlösung bei der Produktentwicklung mit Hilfe der SPALTEN-Methode
2. ↑ Albers, Albert, Nicolas Reiß, Nicola Bursac, and Jan Breitschuh (Eds.). 2016. 15 Years of SPALTEN Problem Solving Methodology in Product Development
3. ↑ Saak, Marcus. 2006. Development of a concept and of a prototype for a computer-aided tool for the efficient employment of the problem solving methodology "SPALTEN"
4. ↑ Albers, Albert, Nicolas Reiß, Nicola Bursac, and Jan Breitschuh (Eds.). 2016. 15 Years of SPALTEN Problem Solving Methodology in Product Development
5. ↑ ^{5.0 5.1 5.2 5.3 5.4 5.5} Burke, Rory, and Steve Barron. 2014a. "Problem Solving". In Project Management Leadership: Building Creative Teams, Second Edition, Eds. Rory Burke, and Steve Barron, 317–336Hoboken, NJ, USA: John Wiley & Sons, Ltd.
6. ↑ ^{6.0 6.1 6.2 6.3} Burke, Rory, and Steve Barron. 2014b. "Decision Making". In Project Management Leadership: Building Creative Teams, Second Edition, Eds. Rory Burke, and Steve Barron, 337-349Hoboken, NJ, USA: John Wiley & Sons, Ltd.
7. ↑ ^{7.0 7.1 7.2} Albers, A., M. Saak, N. Burkhardt, and D. Schweinberger (Eds.). 2002. "Gezielte Problemlösung bei der Produktentwicklung mit Hilfe der SPALTEN-Methode."
8. ↑ ^{8.0 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8} Albers, Albert, Nicolas Reiß, Nicola Bursac, and Jan Breitschuh (Eds.). 2016. "15 Years of SPALTEN Problem Solving Methodology in Product Development."
9. ↑ ^{9.0 9.1 9.2 9.3 9.4 9.5} Albers, A., M. Saak, N. Burkhardt, and M. Meboldt (Eds.). 2005. "SPALTEN PROBLEM SOLVING METHODOLOGY IN THE PRODUCT DEVELOPMENT."
10. ↑ Aerssen, Benno van, and Christian Buchholz. 2021a. "Impulse Image Technique." https://www.ask-flip.com/method/10. Accessed: 20 February 2020.
11. ↑ Aerssen, Benno van, and Christian Buchholz. 2021b. "Headstand Method." https://www.ask-flip.com/method/9. Accessed: 20 February 2020.
12. ↑ Dirlewanger, Arno, Monika Heimann, Horst Geschka, Carsten Deckert, Klaus Stanke, Joachim H. Böttcher, Manfred Damsch, Eduard Hauser, and Hans-Rüdiger Munzke. 2016. "Jahrbuch der Kreativität 2014." Norderstedt: Books on Demand.
13. ↑ Aerssen, Benno van, and Christian Buchholz. 2021a. "Feedback Capture Grid." https://www.ask-flip.com/method/351. Accessed: 20 February 2020.

Annotated bibliography