Process Mapping

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Institute of Internal Auditors
      Calibration Questions
        (Show of Hands)

Who currently does process mapping or
flow charting?
How many use process mapping software?
How many have the M/S Office suite?
  Processes Defined ―Simply‖

―It’s simple, you just take something and do
 something to it, and then do something
 else to it. Keep doing this, and pretty soon
 you’ve got something.‖
                     -- Jasper Johns
      Our Roadmap
Process Mapping Overview
Choosing the Tool to Use
Reviewing Processes
   Why Diagram Processes?

"The first step in any organization is to draw
a flow diagram to show how each
component depends on others. Then
everyone may understand what his/her job
is. If people do not see the process, they
cannot improve it."
     Paul Batalden quoting W. E. Deming
         Two More Views

 ―Any problem can be solved as long as it
  is stated properly.‖
                 -- Dr. Edwin Land

―A problem well-stated is a problem
                  -- John Dewey
            Ways and Why We
           Visualize Information
Partial List of Ways               Why
  Affinity Diagrams (Fishbone)
  The 4 M’s: (Methods, Machines,
    Materials, Manpower)           Array information to
  The 4 P’s: (Place, Procedure,     enhance knowledge
    People, Policies)
  The 4 S’s: (Surroundings,         and understanding
    Suppliers, Systems, Skills)          for action.
  Cause & Effect
  Control Charts
  Force Field Analysis
  Process Maps
   Process Maps Can Help
Make the invisible — visible!
– See Relationships – Builds Consensus
– Compare & Contrast
Improve Processes
  ―As Is‖    ―To Be‖
Inspections - Audits
            Process Map/Flowchart

Step I               Step 2           Step 3

NO Step 2          NO Step 1        Decision?


  Stop                              YES Step I
    Shapes Have Meaning
      On Process Maps
Ellipses/Ovals (Terminators)
Rectangles (Steps/Activities)
Diamonds (Decisions)
Torn sheets (Documents)
Large D (Delay)
Arrows show direction/flow
            Process Flowchart

Step I                   Step 2                  Step 3

NO Step 2              NO Step 1               Decision?


  Stop                                         YES Step I

             Color Codes
             Value added – Green
             Rework, repair, wait – Red
             Inspection – Yellow
             Transport -- Blue
Types of Process Flowcharts
– Major Steps
– Inspections, REwork, Other Quality Issues
– Clarify Roles/Accountability
– People, materials, paperwork
System Maps
         Top-Down Flowchart

Step I     Step 2   Step 3    Step 4

 Ia          2a      3a        4a

 Ib          2b      3b        4b

 Ic          2c      3c         4c

       Deployment Flowchart
    (Cross-Functional Flowchart)



What it Looks Like
      Define Framework or
     Boundaries of Process
What level of detail
Macro first
            Get It Down
Right people
Brainstorm all major activities
– Determine shapes
Describe process steps
– Verb - Noun
             Get It Right
Sequence the steps
– Revise and Edit
– Variations
    Acknowledge them all—Resolve what you can
    Standardize—Note exceptions
    Document ―Rules‖—Who authorizes deviations?
Identify ―pre-defined‖ steps
– Use people who were not part of initial team
    Seek out harshest critics
     – Capture their variations
     – Review, then appropriately incorporate

Ensure correct use of symbols
– Decisions may not be obvious
All paths should close (loop) or terminate
A Most Common Gizmo

 Microsoft’s Drawing Tools
          Drawing Tools
     (Word, Power Point, Excel)

Cost              Most already have M/S Office Suite
Training          Minimal; Tool within an Application
Capability        All Basic (28) Flow Charting Shapes
Standardization   Unified Approach
Portability       Interface with Other Office Applications
Doc Control
A Most Common Gizmo

 Microsoft’s Drawing Tools

  But which application?
                   Excel vs Word
Attribute                Excel                 Word         Advantage
Drawing Canvas Unlimited                   Page               Excel
Adding Text      Click onShape             Multiple Steps     Excel
Editing Shapes   Universal                 EachShape          Excel
Text Alignment   Vertical Centering        User defines       Excel
Shape Size       Width Varies              Fixed              Word
Hyper linking    Cells                     Shapes             Word
Tool “Bugs”      Intuitive; Fewer Quirks   Shapes Shift       Excel
Analysis         Data Dynamic              Static             Excel
         M/S Autoshapes
28 Shapes available
– Hover to see meanings
Set Defaults
– Center Justify
– Font Size 10

*To change AutoShapes
– 2003 Use Draw Menu
– 2007 App Specific - Excel - Edit Shape
How to create                   Office 2003
–   View
–   Toolbars
–   Customize
–   New (Give it a name)
–   ―Click and Drag‖
    desired icons
Can modify for
specific tasks (if
Office 2003
Office 2007
                    Helpful Hints
Swim Lanes
                                    As Of:   Author:
    Column or Row
–   Wide border by skinny
–   Place shapes in wide spaces
–   Move text vertically in
    a cell (Alt + Enter)
Can Copy Shapes
– Cntrl C (Cut)
– Cntrl V (Paste)
Link to Relevant Metrics
– Hyperlink to worksheet
– Done via cells (not shapes)
– Remember to create a return
  path to process map
      Similar Processes?
Work most complex (or Vanilla) first
Copy worksheet
―Boil off" excess (or add variations)
Make other revisions
  Deal with those ―what if‖ situations
Improving Processes
        Basic Steps

Visualize the Process
Identify Types, Numbers, &
Impacts of Problems
Identify Causes for Each
Develop & Evaluate Solutions
          Look for Opportunities to
  What indicates the process is effective or efficient?
  Should some parts of the process be examined with a Talley Sheet?
  Pareto Chart? A Run Chart? Use sample or All?
  Does each step add value? Is there duplication?
  Can you eliminate or minimize delays? Inspections? Filing steps?
  Are some operations rework?
  How can the operation be changed? Different methods?
  Technology? Equipment?
  Less costly material or service?
  Reduce the frequency or the number of people receiving the service?
  Reduce the time it takes?
           Look for Opportunities to
  Is the layout or sequence the most efficient?
  Can you eliminate transport steps? Or method being used – electronic
  vs. physical?
  Can any operations be combined? With a supplier's operation? With a
  What is the simplest way to achieve the objective(s) of the process?
  Are the instructions easy to understand?
  What would be the perfect process?    Can you flowchart it?
  How much time would it take?
  A sub-process flow chart?
1.   Assumptions      Challenge all assumptions: It's easy to forget
                      that a process step was based on one or more
                      assumptions and not fact.
2.   Changes          Idiosyncratic change (or) changes made to be
                      creative or for some other reason that are NOT
                      linked to the business plan or a business need.
3.   Duplication      Duplicate data entry.
4.   Duplication      Duplicate work steps in another group.
5.   Flexibility      Can the process respond to changes in
                      customer/technology requirements?
6.   Forgot how, or   Mistakes because of a complex-clerical
     too complex      procedure or mistakes because people forgot
                      what to do: Consider job aids: list, checksheet,
                      flowchart, picture, etc.
7.   Intermediaries   When you hear words like "coordinate," "pass it
                      by me first," "expedite" and "liaison," question
                      whether the intermediary step is value added.
8.    Lack of           Standards not followed and there is no
      consequences      consequence or negative feedback.
9.    Old ways          Tools/software available that is not used because
                        people have not taken time to get trained or do
                        not want to.
10.   Old ways with     Lots of steps in software that are just replicating
      new tools         the old by-hand process.
11.   Paper records     Is the process adding, maintaining or eliminating
                        paper records?
12.   Quality Control   QC of work when the "supplier" could have
                        checked and sent 100% ok input to you.
13.   Quality Control   QC is when someone else checks work not when
                        someone checks their own work.
14.   Quality Control   When talking about QC consider Poka Yoke –
                        Can the work be mistake proofed to make it
                        impossible for the defect to be passed on?
15.   Quality control   Is the QC really needed? Prevention
                        instead of detection is the desired process.
16.   Repetition        Can repetitive work be automated?
17.   Resistance        Do people make changes rather than "stick
                        with the standard" or do they do what they
                        want to do?
18.   Resistance        Someone continually saying this won't
                        work, can't make any changes.
19.   Scalability       Is the process limited to the current
                        workload? Is it scalable to handle a larger
                        volume of work?
20.   Specifications/   Developing specifications each time
      every time like   something is done instead of the first time
      first             as a standard or template
21.   Supplier input    Input supplier sends inaccurate/incorrect
Bonus Round…
A System View
                                  Feed Forward from                             Feed Forward to Member


                                 Feed Back to Supplier                          Feed Back from Member

       Supplier Gap Analysis                             Process Gap Analysis                      Member Gap Analysis
     Supplier Specs:   We Get:                      Process Specs:   We Get:                 Member Expects:   •They Get:
Shapes for Audit Processes
     Which Aisle?

     Candy or Produce?

         Closing Thoughts
Accuracy is important
Are you looking at symptoms or root
Consider other situations
– Out of the ordinary
– Emergencies
Measures should be meaningful to users
– Get a feel for best / worst cases and what is
  the average. How many of each?
– Leading indicators are better than lagging ones
          Final Wrap-up
Introduction to Process Mapping
Use M/S Draw Tools within Excel App
Maps to Help Identify Improvement Areas




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