Overview – Processes Overview Purpose Roles & Responsibilities Policies and processes often need to be updated when there is internal change. A process is a set of activities that has an initial trigger event and an end outcome. The Processes component designs and documents a process from beginning to end as a result of change. The tools used in the Processes component are a process flow and a process table. A process flow documents the process in a step by step diagram. It identifies roles, activities, and interactions between roles. A process table describes the activity in detail, identifies the specific inputs and outputs of each step and identifies the person accountable. The process table references the process flow and should be used together. Purpose The Processes component is conducted to ensure policy and procedure reflect future needs. The benefits of include the following: Translates the policy documentation into a user-friendly quick reference guide Standardizes the process across the CO Segregates tasks by roles Clearly identifies accountability Creates material for training and knowledge sharing Decreases reliance on individual knowledge of process Creates process and criteria transparency Provides a tool to support metrics and identify performance issues Roles & Responsibilities A Process Owner is identified to own the process flow and table. One person should be assigned this role per function (ie. Procurement, Inventory, Recruitment, etc). Typically, the Process Owner is the person who has accountability over the process. The Process Owner is responsible for collaborating with other Process Owners of other functions. Other impacted roles should be involved in developing the process as well. The CD and/or SMT is responsible for approving the final process flow and table. CARE Resources CARE Admin Coordinators – Karine Lopez (Honduras / Central America), Kenny Ihanjika (Angola) Inputs Policy and procedure Program requirements Organization structure Benchmarks (Coming in FY07) Templates Process Flow Process Table Samples CARE Angola Process_Procurement v1.ppt Timeframe & Dependencies Processes should be reviewed under the following conditions: The process is not currently documented The policy is updated The CO requires re-structuring A new system is being implemented At a minimum, processes should be reviewed on a semi-annual basis to ensure accurate and relevant documentation. Updating processes is dependent on policies and systems required by CARE USA. If changes to processes are made that impact roles or responsibilities, ensure the corresponding changes are made to the ‘Organization Structure’ component. © 2006 Accenture. All rights reserved.

Guide – Processes High-Level Process Flow: Step Description 1 Getting started 2 Document the current process 3 Determine support requirements 4 Identify improvements and determine a plan 5 Develop and document the future process 6 Monitor and maintain the process Step Description How do I do it? 1 Getting started Before starting, the scope of the processes needs to be identified. Not all processes can be done at the same time. Prioritize and develop a plan for addressing all necessary CO processes. Then identify individuals for the key roles and the participatory roles. Guidelines for the CD and / or the SMT: - Identify the CO processes - Prioritize the CO processes and develop a plan - Identify process owners and participatory roles 2 Document the current process Before you can develop a future state process or identify improvements, you need to understand how the process works currently. If the current process has not already been documented, then this step needs to be completed. Guidelines for the Process Owner: - Draft the CURRENT process in the process flow and process table templates (Timeframe: 2 hours) - Conduct a workshop to validate/update the draft process flow with sub-office representatives and, if necessary, other key impacted parties. (Timeframe: 2 hours) Objective: Document CURRENT process Tip: Do not have too many people. A good guideline is 5 or less people. It becomes hard to facilitate with more than 5. Additional input can be provided by other individuals outside the workshop. - Update the process flow based on workshop comments (Timeframe: 2 hours) © 2006 Accenture. All rights reserved.

Guide – Processes Step Description How do I do it? 3 Determine support requirements Based on programs beginning and ending, determine how much program support is needed. Some functions to consider: HR – Recruiting, payroll, training, orientation IT – HW/SW maintenance, computer installations Finance – Donor reports/requirements Procurement General Services – Logistics Determine support requirements from program to understand: (a) necessary functions, (b) volume of need for functions, and (c) approximate timeframe. By function, identify the services needed, the frequency of the services (High/Med/Low), the complexity of the services (High/Med/Low), and the timing based on quarter (Q1-4). Define the range for High/Med/Low. Be sure to also include the support requirements to operate the office. 4 Identify improvements and determine a plan Once the current process has been documented, it becomes clearer where improvements can be made. Improvements can be identified through audit findings, monitoring/evaluation, and best practices (benchmarks). Not all improvements can be made at the same time. A plan must be developed to determine the timeline for process improvement implementation. Guidelines for the Process Owner: Conduct a follow-up workshop to confirm updates and identify improvements (Timeframe: 2 hours) Update the current process flow based on follow-up workshop comments (Timeframe: 1 hour) Develop a plan for implementing efficiency improvements. Determine priority, urgency, short/long term change, timeframe for changes. For example, changes A and C will be implemented by the end of the fiscal year, but change B will need to wait until the middle of the next fiscal year. (Timeframe: 2 hours) Objective: Confirm CURRENT process. Identify improvements. Develop plan for implementing improvements. © 2006 Accenture. All rights reserved.

Guide – Processes Step Description How do I do it? 5 Develop and document the future process Now that improvements have been identified, determine what changes to the process need to be made to implement the improvements. Conduct a workshop to develop the FUTURE process (Timeframe: 2 hours) Document the FUTURE process in the process flow and process table template Tip: Test a few scenarios through the process to ensure that it works. Obtain approval from assigned approver Determine difference between CURRENT and FUTURE processes to identify any training necessary to use the FUTURE process. Refer to ‘Staff Development’ component. - Distribute to participants - Present to other impacted parties 6 Monitor and maintain the process A process flow and process table will only be useful if they remain relevant and are utilized as tools. A regular maintenance schedule must be put in place to ensure that the process is up to date and that staff utilize the process. - Process owner updates the process as necessary and at least on a semi-annual basis. Tip: Some triggers that indicate process update include (a) revised policy, (b) restructure, (c) identification of inaccurate process, and/or (d) dependencies change. - Participatory roles provide feedback to process owner and educate people in their respective offices on the process. © 2006 Accenture. All rights reserved.

Guide – Processes Hints & Tips Challenge Action The FUTURE process flow and table should reflect the way the process SHOULD be today. Not all improvements and efficiencies can be achieved in the first version of the process flow and table. Prioritize and identify which improvements can be made now and which improvements will need to wait until a further version. Processes for one function often are dependent upon processes for another function. Ensure updates to one process take into account dependent processes. There will ALWAYS be exceptions. Document the process so that it is relevant for MOST situations. Make note of the exceptions. Depending on the complexity of the process, the number of workshops can vary as long as all necessary participants are present and the steps remain consistent : identify current process, identify improvements, develop future process. Communication campaigns to inform staff of new processes should be coordinated for different functions. Challenge Action Process does not accurately reflect what is happening in the CO. There is a gap between the documentation and the actual actions of staff. Identify the reason for the gap. Potential factors: Process documentation is correct, but staff need to be trained to utilize the process correctly. ACTION: Identify specific training needs and conduct training sessions. Refer to ‘Staff Development’ component. Process documentation is correct, but staff lack the capacity to comply with the process. ACTION: Re-assess organization structure and workload allocation. Determine if additional resources are necessary. Refer to ‘Organization Structure’ component. Process documentation is correct, but staff do not know documentation exists. ACTION: Ensure staff are properly informed of process documentation and any updates to the process. Conduct a communication campaign to inform users. After initial introduction of the process, ensure periodic sessions/communications occur to refresh staff on the process. Refer to ‘Change Management’ component. Process documentation is incorrect. ACTION: Return to step 2 of the Processes component guide. Re-enforce maintenance activities for the process. © 2006 Accenture. All rights reserved.

Process Flow: <Enter process name> Owner: <Enter process owner name> Revised: <Enter last revision date> <Role 1> <Role 2> <Role 3> <Role 4> <Role 5> <Role 6> <Role 7>

Key Use this box for the START and END points of the process. Copy and paste the symbols from this key into the Process template. Template Example Use this box for the START and END points of the process. Use this box for normal process steps Use this box for steps only required if a certain criteria was met. Use the arrow to connect one process step box to the next process step box in the flow. Use this text to indicate a specific frequency If the process requires more than one page, use this circle to show where the process ends on page one and begins on page two. START / END <Step number> <Step description> START 1 Complete request form <Step number> <Step description> 8 Approve purchase order <Step number> <Step description> (<criteria>) 9 Fund release approved (over $500) <Frequency> 21st of every month X A

Process Table: <Enter process name> Owner: <Enter process owner name> Revised: <Enter last revision date> # Description Responsible Accountable Input Output Method Timing

Sample Agenda – Procurement Process Workshop WORKSHOP – Current process Objective: Document standard process Procurement High-level process flow Validate current state process Walk through each step Confirm every step, role, accountability, input, output, method Confirm that objective has been met Next steps Update process according to workshop comments Obtain feedback from other parties as necessary Conduct follow-up workshop with the same participants WORKSHOP – Follow-up Objective: Confirm standard process, identify improvements, and plan implementation Validate current state process and highlight updates from first workshop Determine and document variations to the standard process Identify areas for improvement and efficiency Prioritize and plan improvements (Not all improvements will likely be able to be made today) Conduct second workshop with the same participants WORKSHOP – Future process Objective: Document future process Determine what changes to the process need to be made to address the identified improvements Test different scenarios in the new process to ensure it works Determine the difference between the current process and the future process to identify any training needs Conduct training for impacted parties Conduct communication campaign to inform all impacted parties © 2006 Accenture. All rights reserved.

Sample Process Flow

Sample Process Table (page 1 of 2)

Sample Process Table (page 2 of 2)