1. 1 Process Mapping Office of Quality Management Office of Research Services National Institutes of Health 24 April 2002

2. 2 Acknowledgments Process Mapping training was jointly developed by: Office of Quality Management (OQM) –Antonio Rodriguez, Amy Culbertson, Carmen Kaplan, and Gay Presbury OQM Consultants –Kate Fenton (Atlantic Rim Group), Phil Nathanson (McManis Associates), Janice Rouiller (SAIC)

3. 3 Training Objectives Understand the importance of business processes Become familiar with a few types of process maps Describe how to create a deployment flowchart Discuss process measurement and process improvement

4. 4 Why is it important to understand processes?

5. 5 Internal Business Process Perspective Common Objectives and Measures Common objective: Increase understanding of processes. Common measure: Complete process maps.

6. 6 Why do we care about processes? Processes are the basis of organizational performance Processes are how we get work done Processes are the key to improving performance

7. 7 What is a process? A process is a series of steps that transforms inputs to outputs –Inputs are often thought about in terms of materials, methods, people, equipment, the environment –Outputs are often described in terms of products and services Everything you do in the workplace is part of a process

8. 8 Overview of a Process SUPPLIERINPUTSVALUE ADDED ACTIVITIESOUTPUTS CUSTOMER People Machinery Material Methods Environment Products Services

9. 9 What are process maps? Visual picture of the flow or sequence of events that results in a product or service Can be applied to anything –Ordering slides and posters –Call for police assistance –Space planning –Research collaboration Process maps are also known as flowcharts

10. 10 What do process maps do? Allow a team to come to agreement on the steps needed to get work done Assist in examining which activities may impact process performance Show unexpected complexity, problem areas, redundancy, unnecessary loops Identify where data can be collected and analyzed Serve as a training aid to understand the complete process Help to examine the actual process compared to an ideal process Adapted from Brassard & Ritter, 1994.

11. 11 What do process maps do? (cont.) Promote understanding of the relationship of a process to a larger system –Input of materials or services from suppliers –Internal steps that make up the process –Delivery of the output to customers Help to identify boundaries processes cross –Processes usually cut across organizational units –People rarely see/understand the entire process –Help people to see the whole process

12. 12 Types of Process Maps

13. 13 Block Diagrams Depicts the process with the fewest details Provide a picture of overall flow of a process Shows key action steps but no decision diamonds

14. 14 Example Block Diagram Recruit Hiring a New Employee HireOrientTrain

15. 15 Basic Process Map Symbols Ovals mark the beginning and the end of the process Squares/rectangles represent a particular step or activity in the process Diamonds show “yes-no” decision points Circles specify subroutines or connecting points Arrows show the flow, or movement, of the process from one step to the next Process Start/End Process Step Decision A

16. 16 Linear Flowchart Are a simple form of a process map Create a foundation for other types of flowcharts Can be completed at different levels of detail –Macro-level flowchart »Provide a picture of overall flow of a process »30,000 ft view of the process –More detailed flowchart »Show more specifics of the process flow »Can have many steps and decision points

17. 17 Example Linear Flowchart Receive payment Process order Receive order Prepare materials Assemble order Deliver order Ordering an ORS Service

18. 18 Example Linear Flowchart New employee arrives Deliver forms to HR for processing Tour office New Employee Processing Review policies and procedures Questions? Answer questions Fill out new employee forms Yes No

19. 19 Deployment Flowcharts Communicate the interrelationships and sequence of operations and decisions required to transform inputs into outputs Map what happens in a process and who is responsible for each step Useful to: –Indicate dependencies in the sequence of events –Clarify roles and hand-offs –Track accountability Provide the most information about processes

20. 20 ORS Example (HR) Deployment Flowchart--Staffing Process

21. 21 Advantages of Deployment Flowcharts Processes usually extend beyond the borders of a single work unit Work groups usually only see the steps in their organizational unit People working on one part of the process often don’t communicate with those in other parts Deployment flowcharts are the best way to remove the mystery See The Memory Jogger II (Brassard & Ritter, 1994) for more information about flowcharts.

22. 22 Creating Your Deployment Flowchart

23. 23 Tips for Flowcharts Assemble the right people –Those who work in the process –Those who supply inputs to you (suppliers) –Those who you hand off work to (customers) Don’t get bogged down in too much detail –Start with the big picture (macro-level) –Maintain a consistent level of detail throughout There may be no ONE right process map –Processes may operate in different ways –People have different perspectives on how it works –Have a way to handle different views –See The Team Memory Jogger (Brassard, 1995) for ideas on effective teams

24. 24 Tips for Flowcharts (cont.) Keep your arrows straight –Usually a process map is easier to read if curved arrows are avoided Strive to have symbols with one arrow going in and one arrow coming out –Rule doesn’t apply to decision diamonds »Two arrows going out One for “yes” One for “no”

25. 25 Step 1: Label the Process Map Process mapping can be valuable at any level –Service Group level –Discrete Service level –Work unit’s activities –Individual worker tasks Agree on what you will be mapping Determine what level of detail you wish to capture –Will help if you begin at the macro-level –Proceed to more detailed charts as needed Label the process map with: –Title of the process –Date –Names of people who contributed to map Steps adapted from Brassard & Ritter, 1994.

26. 26 Step 2: Determine the Frame or Boundaries of the Process The purpose of this step is to identify how broad or narrow the process analysis effort will be Where the group decides the process begins and ends determines the focus for studying and measuring the process Define where the process starts –How did this process begin? –What happens to initiate or kick off the activities in this process? Define where the process ends –How does this process end? –What is the final step or activity required to deliver the product or service?

27. 27 Step 3: Determine the Steps in the Process Describe the activities that transform the inputs into outputs Map the ACTUAL process the way it occurs –Not the ideal process (the way is should occur) –Not the formally documented process (the way the SOP says it happens) Consider the following: –What steps are used to transform inputs to outputs? –What major activities occur in this process –What decision points occur in the process? –What causes extra work or rework in this process? –Are there places where more than one method is occurring? –What factors inhibit process members from performing well? List each on its own Post-It ® and place vertically

28. 28 Step 4: Identify Players in the Process Identify all key “players” in the process –Use Division/Office/Branch designations and/or position titles if possible rather than people’s names –People who handle steps prior to you - these are your internal suppliers –People who handle steps after you - these are your internal customers List each “player” on its own Post-It ® and place horizontally across the top of the flowchart

29. 29 Step 5: Sequence the Steps and Players Arrange the steps in the order they occur Place each step under the name of the office or position with primary responsibility for accomplishing it Where more than one player is required to participate in a step, indicate this with a blank circle placed in the appropriate column Rearrange steps and players until they accurately show how to the process flows

30. 30 Step 6: Draw the Flowchart Assign flowchart symbols to each step Add steps if necessary Reorder steps as needed Show relationships among steps with arrows Show multiple players with circles and lines

31. 31 Step 6: Draw the Flowchart (cont.) Process Start-End Ovals (or round corner rectangles) show the process start Ovals (or round corner rectangles) show the process end Process Start Process End

32. 32 Step 6: Draw the Flowchart (cont.) Process Steps Rectangles or squares show a set, activity, or task in the process While multiple arrows can come into a box, usually only one output or arrow leaves a box If you have more than one arrow, you may need a decision diamond Process Step

33. 33 Step 6: Draw the Flowchart (cont.) Process Decision All decisions are indicated by a diamond All decision diamonds are followed by Yes-No arrows You may need a series of activities and decisions to show complex decisions as Yes-No choices Try to show all “yes” arrows going downward from each decision point Try to show all “no” arrows going either out from the left or out from the right of each decision point Decision

34. 34 Step 6: Draw the Flowchart (cont.) Multiple Players Use blank circle to show steps where coordination, cooperation, or communication is required among several players Connect blank circles to their steps with straight lines (no arrow head)

35. 35 Step 6: Draw the Flowchart (cont.) Process Continuations Use letters or numbers in a circle to indicate a break in the flowchart Provide the more detailed information on another page or where appropriate Label the continuation page with the same symbol used on the original flowchart A

36. 36 Step 7: Check Your Process Map Are symbols used correctly? Are process steps clearly identified? Does every path take you either back to or ahead to another step? Does the chart accurately depict what really happens? Have you labeled your flowchart?

37. 37 Process Mapping Exercise

38. 38 Process Mapping Exercise Directions Have 30 minutes Do activity as a team if possible -- otherwise do your own Discrete Service Write Service Group or Discrete Service on Post-Its ® and place on wall List process start, end, and steps –Record on Post-Its ® List players –Record on Post-Its ® Arrange steps and players Draw arrows Check process map to ensure you have not missed any steps The process map should show the process as it occurs now

39. 39 Process Mapping Exercise (cont.) Feedback How did it go? What were your biggest challenges? What did you learn? Do you have any questions?

40. 40 Step 8: Prepare your Process Map in Visio ORS has site license –Check with your AO to confirm license availability in your Branch –Contact ITB for installation on your desktop Prepare your flowchart in Visio –Limit map to one page if possible »Ensure not too detailed »Easier to print, review, discuss with others »Can have more detailed flowchart as back-up if desired –Working to get Visio training sessions for those interested

41. 41 Step 9: Review and Revise Process Map Provide team with printout of process map and discuss –Is this process being run the way it should be? –Does everyone really do the process as shown here? –Are there obvious places where the process could be simplified? –How different is the current process from the ideal process? –What would have to happen to improve the process? Show the process map to others and get their feedback –Internal suppliers –Internal customers –Management staff

42. 42 Process Measurement and Improvement

43. 43 Internal Business Process Perspective Common Objectives and Measures Common objective: Identify methods to measure processes. Common measure: Identify and report on process measures for Discrete Services.

44. 44 Identify Methods to Measure Processes Process mapping is one basic method –Depicts how process currently works –Helps to figure out where to set up measures –Tool to begin studying the process Other methods to study and measure processes include: –Cause and effect diagrams –Pareto charts –Process modeling and simulation –Process behavior charts

45. 45 What are process measures? Upstream measures that give insight into how effectively the process is working Indicate elements of the process which, if done consistently and effectively, should ensure good results May be difficult to identify at beginning Once the process is mapped, it will be clear where process measures are needed

46. 46 Why do we need process measures? Serve as the basis to understand the performance of the current process Identify where the causes of problems occur Assist in diagnosing process inefficiencies Help in identifying how to make process improvements Help to determine why problems occur Allow for the study of the interrelationships between events in the process Gauge the results of changes made to the process

47. 47 Process Measures and Process Improvement Process measures are a key component of the process improvement cycle –Created by a statistician from Western Electric (now Bell Labs), Dr. Walter Shewhart –Plan-Do-Check-Act (PDCA) cycle –Referred to as Plan-Do-Study-Act (PDSA) cycle –Application of the scientific method to management Basis for engaging in continuous improvement –Customer needs and expectations always change –Need systematic way to measure and make improvements –PDSA cycle guides this process See The Team Handbook (Sholtes, 1988) and Building Continuous Improvement (Wheeler & Poling, 1998) for more information about process improvement.

48. 48 The PDSA Cycle Plan –Describe the improvement you seek, how you will make the changes in your processes to bring about the improvement, and how you will measure the improvement Do –Implement your improvement plan, preferably testing it on a trial basis first

49. 49 The PDSA Cycle Study –Collect data on your improvement effort and study the results of your improvement actions. What occurred? Why? Act –Take action on what you learned in the previous stage: »Adopt the improvement for broader implementation »Adjust your improvement plan and try again »Abandon the effort because the benefits do not outweigh the cost of improvement

50. 50 The PDSA Cycle AP SD Act Adopt on a large scale Adapt Abandon Study Collect data to verify improvement Plan Set hypothesis Validate causes Plan a test Do Test on small scale

51. 51 Step 10: Identify Process Measures Review process map and look for: –Bottlenecks (backlogs) in the process –Endless “do-loops” where rework is common –Points where the activity flows repeatedly back and forth between players –Redundant activities –Unnecessary process steps Segment the process map into logical sub-groupings of steps and select an appropriate measure for each segment Look at decision diamonds and measure the reasons that take the process through the “no” arrow Complete a causal analysis on the inputs to your process –Determine whether one input or another is generating problems

52. 52 Example Identifying Process Measures Prepare Report Acceptable? Yes No Compile Information Distribute Report Prepare Final Report Proportion Rejected Cost of Activity Duration of Activity Elapsed Time Reasons of Rejection Quality of Output Activity

53. 53 ORS Example Process Measures from 2001 ASAs Cycle time from customer request to providing service (e.g., Locksmith) Time between customer order and delivery of product (e.g., MAPB) Number of unscheduled repairs (PWB) Number of billing transactions processed with errors (VRP) Percent of notification memos sent out within 1 week (OFP) Problem resolution time of help desk requests (ITB) Number of facility deficiencies (VRP) Percent “errors” found in radioactive materials inventory (DS)

54. 54 Evaluating Process Measures What data could be used as a process measure and would it be difficult to collect? What would the data gathered with this process measure tell us? How strong is the correlation of the process measure with the results we are trying to achieve? How could the process measure be influenced?

55. 55 What do we do with process measure data? Many ways to analyze process measures –Will cover details in: »Process Behavior Chart (control chart) training »Data Analysis and Graphing training Often graphically analyzed using: –Pareto charts –Process behavior charts (control charts) –Histograms –Bar charts –Pie charts See The Memory Jogger II (Brassard & Ritter, 1994) and Building Continuous Improvement (Wheeler & Poling, 1998) for more information about analyzing process measures.

56. 56 Next Steps Identify appropriate people to attend your process mapping working session –Make sure all key players are represented –Include those who are closest to the actual work if possible –Invite others (manager, supervisor, customer) who may wish to learn about the process flow Complete process maps of: –Your Service Group –Each Discrete Service Prepare maps in Visio Analyze maps and identify: –Process measures –Low hanging fruit (i.e., quick fixes) Complete Implementation Plan Gather process measures data Analyze process and other performance data –Attend Data Analysis and Graphing Training –Attend Process Behavior Charts Training

57. 57 Conclusions Process mapping is a basic but powerful tool Provides the basis for further improvement –Helps identify process measures –Shows relationship between customers and suppliers Encourages teamwork –You need others to help depict the process –Helps identify hand-offs between people or organizations –Clarifies roles and responsibilities –Builds a sense of working together towards a common goal Foundation for product and service improvement

58. 58 Resources Brassard. M. (1995). The team memory jogger. Methuen, MA: GOAL/QPC. Brassard, M., & Ritter, D. (1994). The memory jogger II. Methuen, MA: GOAL/QPC. Scholtes, P. (1988). The team handbook. Madison, WI: Joiner Associates Inc. Rodriguez, A., R., Landau, S. B., & Konoske, P. J. (1993). Systems approach to process improvement. San Diego, CA: Navy Personnel Research and Development Center. Wheeler, D. J., & Poling, S. R. (1998). Building continual improvement. Knoxville, TN: SPC Press, Inc.