1. Course: Government Process Re-engineering Day 2 Session 1: Understanding of Process Maps

2. Agenda  High Level Process mapping  Flowcharting / activity level process mapping  Identifying problem / improvement areas

3. Slide 3 3 What is Governance ? Process of Decision Making Process by which decisions are implemented Process of Review & Monitor Control

4. Slide 4 What is Governance? Governance comprises  Traditions  Institutions  and processes that determine how power is exercised, how citizens are given a voice and how decisions are made on issues of public concern

5. Slide 5 5 Objective of Government A systematic effort to focus on the commitment of the Government towards its Citizens in respects of Standard of Services −Information −Choice and Consultation −Non-discrimination and Accessibility −Grievance Redressal −Courtesy −and Value for Time & Money

6. Slide 6 Business system – A collection of processes Business system is a collection of processes that take one or more inputs and create output that is of value to all stakeholders Processes, not functions, drive a company…. Processes are the key to satisfying customers and stakeholders Business processes move information and / or materials across several units and functions, to accomplish a specific end result

7. Slide 7 Government Processes – Unique Attributes Processes are usually derived from the underlying set of laws and regulations Compliance and control requirements are higher than in business processes, due to increased levels of accountability and need for transparency Changing processes radically might take longer timeframe than in business processed, as it may require legal & regulatory changes

8. Slide 8 Process Mapping – Understanding how things happen “actually” Why processes mapping? Government service delivery evolves over time First a good process is established for a small set-up; it is usually efficient and responsive As the demand for the service grows, more people, functions and hierarchies are involved in a process Government needs from time to time gradually change the process Some changes are not always for the better Everyone tries to do their best but the process evolves over a period of time to the current state (in some cases these are person-specific) Rich experiences of people are lost when they leave the organization / function

9. Slide 9 Process Mapping – Understanding how things happen “actually” Objectives of Process Mapping To understand “how do we actually work” as opposed to “how are we supposed to work” To understand the four attributes of process: −Players −Process flow −Policies, Standards and Responsibilities −Phases with clear start & end-points and process time-lines To identify the Critical to Process metrics To identify “Quick Wins” in the process To understand response time & cycle time To determine process efficiency −Value-added activities −Non value-added activities To estimate the cost of the process −The concept of waste

10. Slide 10 Types of Process Mapping Process mapping can be done at various levels of detail Value Stream Mapping −Mapping the entire value stream of the process on a single page SIPOC Map −Mapping the key constituents of the process and their interactions Flowcharting −Detailed activity / task level graphical representation of the process

11. Slide 11 Sample Value Stream Map: Typical Bank’s A/c Opening Unit Cust Doc @ Br. Mail RoomDoc VerifyData EntrySig Scan HoT: 10 Min TAT: 3 days HoT: 5 Min TAT: 4 Hrs HoT: 10 Min TAT: 1 day HoT: 20 Min TAT: 1 day HoT: 10 Min TAT: 1 day QC 10 Min 3 days 5 Min 4 Hrs 10 Min 1 day 20 Min 1 day 10 Min 1 day 10 Min HoT: 10 Min TAT: 1 day DC Cheques Branch 60% 40% MGMT SP: 70% SP: 95%SP: 65%SP: 95%SP: 99% SP: 80% Approx 45000 apps/month 60% SB 30% FD 10% CA 30% FD 10% CA MIS Value Added time Wait time

12. Slide 12 Value Stream Mapping – Where is it used? Used to analyze the flow of materials and information required to bring a product or service to a consumer Represents the entire process flow in one page Documents Hands on Time (HoT) and Turn Around Time (TAT – total time taken for the activity) Separates value adding and non value adding steps (wait time), and presents opportunities for reducing total process time But the Value Stream Map does not delve into the steps within the sub processes..

13. Slide 13 Supplier – Input – Process – Output – Customer (SIPOC) Map Why we need SIPOC? −A SIPOC map helps in creating common understanding of the scope of the focused improvement project from an end to end perspective What does a SIPOC map do? −It provides a visual depiction of how we work & all players & processes involved A SIPOC map lists: −All the customers −The outputs provided to them −The processes that deliver these outputs −The inputs required to these processes −The suppliers of these inputs

14. Slide 14 Steps in preparing the SIPOC Map Agree on the Name for the Process −Use a verb + noun format (e.g. making a photocopy) Define Outputs of the process – tangible things that the process produces −e.g. a document, a railway ticket Define the Customers of the process – people who receive outputs Define the Inputs of the process – things that trigger the process and goes into making the output −e.g. filled application form, pre-printed stationery Define the Suppliers of the process – people who supply the various inputs Define the sub processes that make up the process – activities that are carried out in converting the inputs to outputs

15. Slide 15 Illustrative SIPOC Map - Photocopying process

16. Slide 16 A typical list of details that will go into each of the elements Savings Bank Account Opening process CUSTOMER Individuals Non-individuals OUTPUT Welcome letter Cheque book Account number card ATM cum Debit card TPIN/ IPIN INPUT Customer information Product preference Regulatory/ KYC Norms AML / Black lists SUPPLIER Vendor for card production Stationery suppliers DSAs PROCESS Customer sourcing Form Filling Scrutiny Account Opening Deliverables Handover

17. Slide 17 SIPOC Map – Where is it used.. SIPOC Map is used for obtaining a high level understanding of the process Helps process owners and those working on the process to agree on the boundaries of the process Provides a structured way to discuss the process and get consensus on what it involves before rushing off and drawing process maps Next steps: −Add additional information to the SIPOC Map  Process Purpose statement – why the process exists  Process Owner – single individual with overall process responsibility  Start and end points of the process  Boundaries, Scope and Limitations −Prepare a list of activities from the SIPOC Map – this will form the basis of process mapping

18. Slide 18 A typical list of activities that will go into a SIPOC Map Savings Bank Account Opening process Branch Process Doc Checking Account Opening Generating Deliverables Dispatch of Deliverables Customer walks in for account opening Application checked at Branch Application received at RPU Indent by RPU Deliverables generated Customer receives deliverables Customer inquires for correct desk Customer collects form for application Branch explains product details Customer submits docs and application Branch receives docs / salesperson collects docs Branch deposits cheques Branch sends application form and docs to RPU RPU reviews application and scrutinizes documents RPU does data entry and opens account in system RPU indents deliverables Deliverables Team gets indent from system Deliverables team generates deliverables Deliverables sorted by location/courier Deliverables sent to Branch / Customer

19. Slide 19 Flow Diagrams " Draw a flowchart for whatever you do. Until you do, you do not know what you are doing, you just have a job.” -- Dr. W. Edwards Deming.

20. Slide 20 Flowcharting: Mapping the process at an activity level Document the processes in detail, based on process walkthrough For graphical process flow mapping common symbols used are as follows Terminator Process Decision box Off page Connector On page Documents Indicates the start or end of a process Used to specify any activity carried out Used to link from one page to another Indicates a decision (Yes/No) is being taken Used to link within the page Used to specify standards & policies

21. Slide 21 There are additional flowcharting elements that can also be used if required Input / Output Forms Manual Operation Manual Input Database Wait / Delay Storage Preparation Research

22. Slide 22 The Four Field mapping template (2) Standards / Policies / Templates (1) Phase (3) The players involved in the process (4) The actual process activity wise

23. Slide 23 The process of ‘Process Mapping’ Begin at the first step in the process Develop the remaining steps in the process  What happens next & why  What decision (Yes / No) is taken −Add any Standards, Policies or Templates that are used −Enter the process step in the row of the player responsible for it Flow to additional pages using the ‘Off Page’ connector if the entire process does not fit on the page Add the end point of the process

24. Slide 24 Building a process map contd. Get a cross-functional team of all front-line process players to participate Discuss & define the start and end-points accurately List all the players in field 1 Start mapping the process activities one after the other clearly marking the flow of the activities with arrows in field 2  What happens next?  Why?  Decisions (yes/ no, if possible)  Identify/ emphasize wait times Ground rule – The activity is not an exception & occurs at least in 20% cases

25. Slide 25 Building a process map… (contd.) Note down the relevant policies (rules governing the process activity), the standards (formats, templates used for the process activity) and any responsibility for the particular process activity in field 3 Keep building the time-line in field 4 and finish with end-point; mark completion of any phase with distinct end-points Allocate time for each process activity on the map  All team members must agree on time Total the time of each activity Do a reality check – does it make sense? At the end of each phase, discuss & affix the appropriate process mapping notation contd.

26. Slide 26 Building a process map… (contd.) Discuss & map process PIEs Locate process hand-offs & disconnects Review the process map with peers, management and other players involved  Is the map a true reflection of the As Is process?  Are there additional issues?

27. Slide 27 Sample process map – Railway Reservation Collect copies of all templates and standards for review Ticket Booking

28. Slide 28 Supplementary Information to the flow chart The following information should be documented along with the flow chart −Time taken for each step (including hands on time and wait time) −Process owner −Actors in the process, and their roles −Pre-conditions, if any (e.g. applicant should be an Indian, residing in the jurisdiction of the RPO etc) −Business Rules, if any (If a previous passport application was rejected, period of time for which the citizen has to wait till next application) −Alternate flows, if any

29. Slide 29 Concerns with Flowcharts Flowcharts don't work if they're not accurate or if the team is too far removed from the process itself. Team members should be true participants in the process and feel free to describe what really happens. A thorough flowchart should provide a clear view of how a process works. With a completed flowchart, you can: −Identify time lags and non-value-adding steps. −Identify responsibility for each step. −Brainstorm for problems in the process. −Determine major and minor inputs into the process with a cause & effect diagram. −Choose the most likely trouble spots with the consensus builder.

30. Slide 30 Once the Flowchart has been made, we need to define the Problems, Issues and Expectations (PIE) with the process Problems  Non-conformance to defined processes and procedures due to skill gaps, lack of common understanding, resource constraints, etc. E.g. documentation not completed as per checklist Issues  Systemic gaps where processes and procedures are not defined or are ill-defined E.g. giving a loan to 5 family members Expectations  Expectations that process owners, users and other stakeholders have from world- class best practices E.g. loan should be given in 2 days

31. Slide 31 What to do with PIEs? PIE Grouping PIEs ProcessPolicySkills Structure ITInfra. After generating the PIEs for the process, they are logically grouped The next step is to brain-storm ‘Quick Wins’ & change possibilities in the process Key PIEs, especially related to process, are analyzed for root causes Other PIEs are reviewed in the Improve phase to ensure that the new process addresses all or most of them

32. Slide 32 Sample Process Map with Problems, Issues & Expectations Process Policy Skills Structure IT Infrastructure Check done at final stage Manual data entry Absence of token system Physical presence required

33. Slide 33 End of Session