# Presentation: 514542

## Process Mapping

- Office of Quality Management
- Office of Research Services
- National Institutes of Health
**September 2005**

## Acknowledgments

- Process Mapping training was jointly developed by:
- Office of Quality Management (OQM)
- Antonio Rodriguez, Carmen Kaplan, and Gay Presbury
- OQM Consultants
- Kate Fenton (Atlantic Coast Consulting Group), Janice Rouiller (SAIC)

## Training Objectives

- Understand the importance of business processes
- Become familiar with different types of process maps
- Describe how to create a deployment flowchart
- Discuss how flowcharts can help with process measures and process improvement

## Why Is It Important to Understand Processes?

## What is a process?

- A process is a series of steps that transform inputs to outputs
- Inputs to a process include materials, methods, information, people, equipment, the work environment
- Outputs of a process are products and services
- Everything you do in the workplace is part of a process

## Why do we care about processes?

- Processes are the way in which we get work done
- Processes are the basis of organizational performance
- Improving work processes are the key to improving organizational performance

## Overview of a Process

## What are process maps?

- Visual pictures of the flow or sequence of activities that result in a product or service
- Can be applied to any set of activities
- Ordering slides and posters
- Calling for police assistance
- Space planning
- Research collaboration
- Process maps are also known as flowcharts

## What do process maps do?

- Allow a team to form a common understanding of the steps needed to get work done
- Assist in examining which activities have the greatest impact on process performance and output quality
- Reveal non-value-added activities, such as 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.**

## 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
- Hand-offs between different work units
- 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
- Process maps help people see the whole process

## Basic Process Map Symbols

- Ovals mark the first step and the final step of the process
- Squares/rectangles represent a particular step or activity in the process
- Diamonds show “yes-no” decision points
- Circles with letters or symbols specify subroutines or connecting points; empty circles show cooperation points
- Arrows show the flow, or movement, of the process from one step to the next

## Types of Process Maps

## Block Diagrams

- Depict the process with the fewest details
- Provide a picture of high-level flow of a process
- Show key action steps but no decision diamonds
- Generally have only four or five steps
- Offer a “10,000 foot” view of the process

## ExampleBlock Diagram

**Recruit**

**Hiring a New Employee**

**Hire**

**Orient**

**Train**

## Linear Flowcharts

- Constitute a simple form of a process map
- Provide an overall picture of activities required
- Can 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
- Generally have eight to perhaps twelve steps
- Offer a “5,000 foot” view of the process

## ExampleLinear Flowchart

**Ordering an ORS Service**

## ExampleLinear Flowchart

**New Employee Processing**

**Yes**

**No**

## Deployment Flowcharts

- Provide the most information about processes
- Map what happens in a process and who is responsible for each step
- Communicate the interrelationships, sequence of operations, decisions required, to transform inputs into products and services
- Useful to:
- Indicate dependencies in the sequence of events
- Clarify roles and hand-offs
- Track accountability
- Compare workloads within a process

## ORS Example (HR)Deployment Flowchart--Staffing Process

## 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
- They provide the most amount of detail – a “100 foot” view of the process

**See *****The Memory Jogger II***** (Brassard & Ritter, 1994) for more information about flowcharts.  **

## Additional Types of Flowcharts

- Input/Output Flowcharts
- Value-Add /Non-Value-Add Flowcharts

**See *****The Memory Jogger II***** (Brassard & Ritter, 1994) for more information about flowcharts.  **

## Creating A Deployment Flowchart

## Tips for Developing 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 the process flows
- Have a way to handle the differing views of team members

## Tips for Developing 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 going out
- Rule doesn’t apply to decision diamonds
- One arrow going in, but –
- Two arrows going out
- One for “yes”
- One for “no”

## 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’s 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 the map is being created
- Names of those who are contributing to the map

**Steps adapted from Brassard & Ritter, 1994.**

## 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 does 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?

## Step 3:  Identify the 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
- Include people who handle steps prior to you – these are your internal suppliers
- Include 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, using the order in which each player becomes active in the process

## Step 4:  Determine the Steps in the Process

- Describe the activities that transform inputs into outputs
- Map the ACTUAL process the way it occurs now
- Not the ideal process (the way it should occur)
- Not the formally documented process (the way the SOP says it happens)
- Consider the following:
- What major activities occur in this process?
- Where do decisions need to be made or approvals occur before the next step?
- 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 step on its own Post-It® and place vertically

## Step 5:  Sequence the Steps and Show Responsibility

- Arrange the steps in the order in which 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 as needed, until they accurately show how the process flows

## Step 6:  Draw the Process Map 

- Assign the correct flowchart symbols to each step
- Review the process flow
- -  Add steps if missing
- -  Reorder steps if needed
- Show the flow of activity between steps with arrows
- Show shared responsibility for a step with circles and lines
- Provide a symbol key at the bottom (or on the last page) of the flowchart

## Step 6:  Draw the Process Map (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**

## Step 6:  Draw the Process Map (cont.) Process Steps

- Rectangles or squares show a step, activity, or task in the process
- When several steps feed into one,  join the activity lines so that only one arrow goes into the next box
- Where you have more than one arrow coming out, substitute one or more decision points

**Process Step**

**Process Step**

## Step 6:  Draw the Process Map (cont.) Process Decision

- All decision questions are indicated by a diamond
- All decision diamond questions are answered yes or no, and are followed by yes-no arrows
- You may need a series of activities and decisions to show complex decision points 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**
**?**

## Step 6:  Draw the Process Map (cont.) Multiple Players

- Use a 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)

## Step 6:  Draw the Process Map (cont.) Process Continuations

- Use letters or numbers in a circle to indicate a break in the flowchart
- Provide the continuation or more detailed information on another page or where appropriate
- Label the continuation page, or page with more detailed information, using the same symbol used on the original flowchart

**A**

## Step 7:  Check the Process Map

- Are symbols used correctly?
- Are process steps clearly described?
- 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 and provided a key?

## Step 8:  Prepare the 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
- Best if not too detailed
- One page easier to print, review, discuss with others
- Can have more detailed flowchart as back-up if desired
- But don’t sacrifice sense or understanding in favor of saving space/paper

## Step 9:  Review and Revise the Process Map

- Provide team with print-out of the process map and discuss
- Is this process operating the way it should be?
- Does everyone really complete the activities as shown here?
- Are there obvious places where the process could be simplified?
- How different is the current process from the ideal process?
- What can this process be improved?
- Show the process map to others and get their feedback
- Internal suppliers
- Internal customers
- Management staff

##  Process Mapping Exercise

## Process Mapping Exercise  Directions

- You will have 30-45 minutes
- Do activity as a team if possible – otherwise do your own Discrete Service
- Write Service Group or Discrete Service (or other work process) on Post-Its®   and place on wall
- List players
- Record on Post-Its®
- List process start, end, and activity steps/decisions
- Record on Post-Its®
- Arrange players horizontally and place steps vertically
- Draw arrows
- Check process map to ensure you have not missed any steps
- Remember to depict the process as it occurs now

## Process Mapping Exercise (cont.)  Feedback

- How did it go?
- What were your biggest challenges?
- What did you learn?
- Do you have any questions?

## Process Measures and Process Improvement

## What are process measures?

- Upstream indicators that give insight into how effectively the process is working
- Highlight elements of the process that, if done consistently and effectively, should ensure high-quality results
- May be difficult to identify at beginning
- Once the process is mapped, it will be clear where process measures are needed

## Why do we need process measures?

- Serve as the basis to understand the performance of the process
- Show the occurrence and extent of problems in the process
- Assist in diagnosing process inefficiencies
- Help to determine why problems occur
- Help in identifying how to make process improvements
- Allow for the study of the interrelationships between events and among players in the process
- Gauge the results of changes made to the process

## How can process measures lead to performance improvement?

- Process measures are a key component of the process improvement cycle
- Cycle created by a statistician from Western Electric (now Bell Labs), Dr. Walter Shewhart
- Plan-Do-Check-Act (PDCA) cycle, now generally referred to as Plan-Do-Study-Act (PDSA) cycle
- Application of the scientific method to management
- Process measures are the 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.**

## 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

## 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

## The PDSA Cycle

**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

## Process Maps Help Identify Measures of Performance

- Process mapping is one basic method to identify where and what to measure
- 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

## Using Process Maps to Identify Measures

- Review process map and look for:
- Bottlenecks (backlogs) in the process
- Endless “do-loops” where rework is common
- Activity flows that go back and forth repeatedly between players
- Redundant activities
- Unnecessary process steps
- Role or responsibility ambiguity
- Activity time (lapse of time to complete a given step)
- Cycle time (total time elapsed from first to last step)
- Delays between steps
- Segment and group the steps of the process map 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

## 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**

## ORS ExampleProcess Measures from Performance Management Plans

- Cycle time from customer request to providing service
- 	(e.g., Locksmith)
- Time between customer order and delivery of product
- Number of unscheduled repairs
- Percent of billing transactions processed with errors
- Percent of notification memos sent out within 1 week
- Problem resolution time of help desk requests
- Number of facility deficiencies
- Percent “errors” found in radioactive materials inventory
- Type and location of occurrence of security violations

## Evaluating Process Measures

- What data could be used as a process measure?
- Is this data currently being gathered?  If not, would it be difficult to collect?
- What would the data gathered with this process measure tell us?  Why is what it tells us important?
- How strong is the correlation between the process measure and the results we are trying to achieve?
- How could the process measure be influenced?
- Who will use this data, and how?

## 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
- Key business processes within Discrete Services
- Prepare maps in Visio
- Analyze maps and identify:
- Process measures
- Low-hanging fruit (i.e., quick fixes)
- Other, longer-term improvements
- Complete a process improvement plan
- Gather process measures data
- Analyze process and other performance data
- Attend Data Analysis and Graphing Training
- Attend Process Behavior Charts Training

## Conclusions

- Process mapping is a basic but powerful tool
- Provides the basis for performance improvement
- Helps identify process measures
- Reveals some process problems right away (e.g., complexity, redundancy, rework, gaps, too many approvals/inspections)
- Encourages teamwork
- Need others to accurately 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

## 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.