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Initial Successes _ Challenges of Implementing Lean Thinking at

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									             Initial Successes & Challenges
       of Implementing Lean Thinking at the NPA
                            Karen van Rensburg
                               Anton Grütter




Lean Summit 2008
NATIONAL PROSECUTING AUTHORITY   justice • freedom • security
       Organisational Units in the NPA
   • National Prosecuting Authority (NPA)
       − The NPA is a national organisational with regional
         offices in each of the provinces.
       − The core function is prosecution performed by the
         National Prosecutions Services.
       − Other business units are:
           • Priority Crimes Litigation Unit
           • Special Commercial Crimes Unit
           • Sexual Offences & Community Affairs
           • Office for Witness Protection
           • Directorate Special Operations
           • Assets Forfeiture Unit
           • Corporate Services

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                    Organisation Scope
   • 5 Levels of courts
       − District    Regional   High   Appeal    Constitutional
   • More than 500 court centres around the country
       − Major urban court centres relatively well resourced
       − Some rural courts are very poorly resourced
   • ± 2800 Prosecutors
       − Prosecutors do substantial back-office work in addition
         to appearance in court
       − Many levels of prosecutor seniority which impacts on
         legal decision-making authority


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          The Criminal Justice System

                          Traditional Justice




         Alleged
                   Investigation Prosecution    Trial
         Crime




                         Restorative Justice




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         Primary Role Players at Court
   • Magistrate/Judge
   • Accused
   • Prosecutor
   • Legal Representative of Accused
       − Private Representation or Legal Aid Board
   • SAPS
       − Investigating officer, Court orderly, Liaison officer
   • Witnesses & Experts
   • Dept of Justice
       − Court manager, Interpreter, Stenographer, Clerk of the court
   • Dept of Social Development
   • Dept of Correctional Services

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                   Complexity at the NPA
 • Large organisation spread over entire country
 • CJS Delivery processes operationally dependent on
   organisations that are autonomous
 • Many decision points in legal process characterised by:
     − Flexibility:   Many possible process routings
     − Uncertainty:   Proceedings can change or stop at any time
     − Variability:   Same step can differ significantly in duration
 • Intangible service process!
     − Information processing mostly on paper
 • Limited ability to match capacity with fluctuating demand



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            Challenges facing the NPA
   • Low staff morale
   • Competitive salaries (magistrate)
   • Magistrates independence-no targets
   • Acting Hollywood (New acting CEO, New Acting
     NDPP, Acting head of NPS, etc.)
   • RED TAPE!!!
   • NPA no control over role players



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         NPA Operations Management
  • Processes mapping
     − Never done before, every lawyer did their own thing
     − Generic mapping of primary legal processes
  • Raising operations management awareness
     − Ops mgt course for prosecutors in management positions
     − Attend Lean Summit 2007 & workshop with Ian Glenday
     − Presentations on Lean Thinking to senior management




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   Three Legs of Lean Initiative in NPA
   • Pilot project to improve administration
      − Undertaken in HR recruitment directorate, because:
          • Dept critical to alleviating shortage of prosecutors
          • Dept not coping with workload

   • Pilot project to improve prosecution
      − Undertaken at Pinetown magistrates court, because:
          • Fairly typical medium sized court centre
          • Initial investigation indicated role players are willing

   • Design lean programme for the NPA
      − Unique circumstances of NPA requires appropriate
        approach

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 Pilot Project at Recruitment Directorate
   • NPA determined it required two prosecutors per
     court and an intensive recruitment drive followed
   • However the recruitment directorate could not
     cope:
      − Takes 8 to 12 months from advertisement to appointment
      − First month’s salary often not paid on time
      − Appointments made where posts do not exist or available
   • Wasted work displaced value-adding work
      − Customer queries increased
      − Reports required by senior management increased
   • Management & staff started resigning
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         Performance Before Changes
   • Highly variable performance before changes




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        Before 5S & Red Tag Exercise
   • Files & equipment piled up in the office




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        During 5S & Red Tag Exercise
   • Rubbish & obsolete computer cleared out




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        During 5S & Red Tag Exercise

                               Red Tags on Items to be Fixed




    Cupboard
     Full of
    Obsolete
      Files




                       Discovery of Important Missing Files


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          After 5S & Red Tag Exercise
   • Over 500 non-active files audited and taken to
     Document Centre




                               More than 10%
                                of NPA Staff



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                   Key Process Activities

     Advertise    Selection     Make      Appoint-   Assump-     Capture      Pay 1st
     & get Re-   Panel write   Appoint-   ment Ac-    tion of   on Persal     Month’s
     sponses       Report       ment      ceptance     Duty      System       Salary


                 6-12 Months                  6-8 Weeks          7 Days


 Major problems:
    − Very long lead time to make appointment, because
      business units take long to send selection report
    − First month’s payment often not made on time, because
      candidate info needed to capture on PERSAL not available


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 Root Cause Elimination of Service Failures

   • Checklist of documents required to capture new
     appointment on PERSAL now sent to appointee




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           File “Flow” before Changes




Lean Summit 2008                        justice • freedom • security
       File Movement before Changes
   • Spaghetti Diagram shows waste of movement




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            File Flow after First Changes
   • Applied Glenday Sieve Principle to create Fast Lane
       Work Rule: Work on green files only in the morning




                                                       Red: Big Problems
    Warehouse of                                   Yellow: Small Problems
   files waiting for
                                                    Green: No Problems
      documents




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         Conversion to Cellular Layout
   • Flexible File Flow to desk with least work




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        Introduction of “Pending Slips”
   • Enables tracking of outstanding documents & info




           Resolved b4    Resolved on    Resolved after
           Pending Date   Pending Date   Pending Date

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              Challenges Experienced
 • Implementation, Implementation, Implementation!
     − It took several weeks & about 40 phone calls to approve
       new shelving
 • Management turnover
     − Loss of continuity & understanding of lean thinking
     − Acting managers issue conflicting instructions
 • Unexpected budget reduction
     − Sudden change in project leadership
 • Line Management pre-occupied with fire-fighting
 • Performance measures not yet in place
 • Low staff morale
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     More Corrective Actions to Follow
   • Replace numerous uncoordinated registers with
     consolidated work flow database to track progress of
     making an appointment
   • Align performance assessment with new work
     practices
   • Introduce visual performance management
   • Start daily team meetings to review performance
   • Make Kaizen projects a regular habit


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        Pilot Project at Pinetown Court
   • Initially spent lots of time securing the buy-in of main
     role players
   • People on the ground keen to participate, but some
     regional managers concerned about work overload
   • Need to inform many people about Lean Thinking
   • Need to introduce a process view of trial as an
     authority based management view dominates
   • Lean court project in early start-up phase


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              Weekly Demand Pattern




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 Circumstances on the Ground at Court
  Monday Morning in the Control Prosecutor’s Office




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   Lean Court Pilot Project at Pinetown
   • Spent lots of time securing the buy-in of main role
     players from SAPS, NPA, magistrates, LAB, etc

   • People on the ground keen to participate

   • Need to inform many people about lean thinking

   • Need to introduce a process view of CJS as an
     authority based management view dominates

   • Lean Court project in start-up phase


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         Process Flow of Criminal Trial
   • Complex process with many legal decision points
     and administrative flow paths




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       Outstanding District Court cases Doubled




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     82% of DC Cases finalised within 11 Weeks




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     80% of all Cases finalised within 13 Weeks




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   Cumulative DC & RC Case Duration is actually
                  much longer




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  Withdrawal is the Most Common Outcome
   • However Withdrawals include ADRs, Diversions, etc.




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     Pareto Analysis of Root Causes for
   Withdrawals in DC Channelization Court

                   Desirable Indeterminate
                                             ADR                               5
                                                                                    Total: 8
                                             Complainant withdraws             2
                                                                                    = 26%
                                             De Minimus                        1
                                             Blood report outstanding          2
                                             Complainant withdraws             1
                                                                                    Total: 6
                                             No return of service              1
                                                                                    = 19%
                                             Remand refused                    1
                                             Counter charges                   1
                                             Docket not at court                5
                                             Complainant could not be traced   3
                   Undesirable




                                             Remand refused                    3
                                                                                    Total: 17
                                             Complainant withdraws             2
                                                                                     = 55%
                                             Insufficient evidence              2
                                             Accused not brought to court      1
                                             Investigation incomplete          1
                                             Total                             31


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         Dockets not at Court on Time
   • SAPS liaison officer phoning to chase docket while
     court orderly is waiting




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           Role Players identified Problem
               Symptoms in Process




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   Many “Starbursts” identified on PFD




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     Identified Many Corrective Actions




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 A3 Projects on Top Five Corrective Actions

      Objectives for          Possible Recommended
      Performance Improvement Corrective Actions
      Improve quality of 1st statement New statement-taking forms with prompts
      taking                           for key elements of crime
      Reduce 1st appearance demand Prosecutor screening at police station on
      peak on Mondays              Sundays
      Reduce number of dockets not    Improve co-ordination & logistics to get
      available at court              dockets to court
      Reduce number of withdrawals    Improve quality of screening of new
      on first appearance             cases
      Reduce number of                Improve court roll scheduling to reduce
      postponements                   cases not ready for trial



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         1st Statement A3 Project Plan




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        New 1st Statement-taking Form for
        Assault GBH with Margin Prompts




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     Sunday Screening to Reduce Monday
               Demand Peak
   • Very positive initial results:
      − New cases to court earlier on Mondays and roll completed
        in channelization court much earlier
      − Several accused released from custody on Sunday where
        prosecutors declined to prosecute
      − Prosecutors & investigating officers discuss investigations
        of other cases because they have time together
      − Other police stations bring dockets to Pinetown for
        screening
   • However due to cap on overtime some prosecutors
     have discontinued participation

Lean Summit 2008                                     justice • freedom • security
             Dockets at Court on Time
   • Investigated process of collecting dockets for
     appearance in court and found:
      − I/Os rely on appearance date on docket, not court roll
      − Clerk of the court and SAPS do not use the same
        information source to compile court roll for appearances
      − Initial sample indicates at least 5% discrepancy between
        list of dockets for court and court roll
      − Inadequate early warning system for dockets late for court
   • Initial corrective actions:
      − Arranged for roll to be sent to SAPS 3 days in advance
      − Late dockets identified early enough to be followed up
   • Result: No late dockets since start of A3 project
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          Court Scheduling A3 Project
 • Magistrate of trial court now determines court date for
   cases transferred from channelization court
 • Postponements based on real investigation time
   requirement
 • Prosecutors trained to:
    − Apply screening criteria correctly
    − Transfer cases from DC to RC on same day
    − Control prosecutors do QC before transfer of case for trial
 • Initial results:
    − Only certified trial ready cases transferred
    − Same Day transfer accepted by Magistrates & Legal Aid
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       Initial Case Finalization Results




Lean Summit 2008                       justice • freedom • security
                   Challenges
   • Time consumed by consultation with role players
   • Resistance to new work practices by other role
     players not yet informed about lean approach
   • Court officials working under extreme pressure
   • Inadequate integration of information systems
   • Information overload, but data not useful for
     operation purposes



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               • Questions or Comments please…




Lean Summit 2008                            justice • freedom • security

								
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