Visualizing Visualizing InformationInformation

Institute of Internal AuditorsInstitute of Internal Auditors

Calibration QuestionsCalibration Questions(Show of Hands)(Show of Hands)

Who currently does process mapping or Who currently does process mapping or flow charting? flow charting?

How many use process mapping software?How many use process mapping software?

How many have the M/S Office suite?How many have the M/S Office suite?

Processes Defined “Simply”Processes Defined “Simply”

“ “It’s simple, you just take something and do It’s simple, you just take something and do something to it, and then do something something to it, and then do something else to it. Keep doing this, and pretty soon else to it. Keep doing this, and pretty soon you’ve got something.”you’ve got something.”

-- Jasper Johns-- Jasper Johns

Our RoadmapOur Roadmap

Process Mapping OverviewProcess Mapping Overview

Choosing the Tool to UseChoosing the Tool to Use

Reviewing ProcessesReviewing Processes–ConsiderationsConsiderations

–BOLO’sBOLO’s

Why Diagram Processes?Why Diagram Processes?

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

Paul Batalden quoting W. E. DemingPaul Batalden quoting W. E. Deming

Two More ViewsTwo More Views

“ “Any problem can be solved as long as it Any problem can be solved as long as it is stated properly.”is stated properly.”

-- Dr. Edwin Land-- Dr. Edwin Land

““A problem well-stated is a problem A problem well-stated is a problem

half-solved.”half-solved.”

-- John Dewey -- John Dewey

Ways and Why We Ways and Why We Visualize InformationVisualize Information

PartialPartial List of Ways List of WaysAAffinity ffinity DDiagrams (iagrams (FFishbone)ishbone)The The 4 M’s4 M’s: (Methods, Machines, : (Methods, Machines,

Materials, Manpower)Materials, Manpower)The The 4 P’s4 P’s: (Place, Procedure, : (Place, Procedure,

People, Policies) People, Policies) The The 4 S’s4 S’s: (Surroundings, : (Surroundings,

Suppliers, Systems, Skills)Suppliers, Systems, Skills)

CCause & ause & EEffectffectCControl ontrol CChartsharts FForce orce FField ield AAnalysisnalysis Graphs/ChartsGraphs/ChartsPParetoaretoPProcess rocess MMapsaps

WhyWhy

Array information to Array information to enhance knowledge enhance knowledge and understanding and understanding

for action. for action.

Process Maps Can HelpProcess Maps Can Help

Make the Make the invisible invisible — — visible!visible!– See Relationships – Builds ConsensusSee Relationships – Builds Consensus– Compare & ContrastCompare & Contrast

Perception/Reality/IdealPerception/Reality/Ideal

Improve ProcessesImprove Processes““As Is” “To Be” As Is” “To Be”

TrainingTraining

Inspections - AuditsInspections - Audits

YES Step IStop

Step I Step 2

NO Step 1

Step 3

Decision?NO Step 2

Process Map/Flowchart

NO

YES

Shapes Have MeaningShapes Have MeaningOn Process MapsOn Process Maps

Ellipses/Ovals (Terminators)Ellipses/Ovals (Terminators)

Rectangles (Steps/Activities)Rectangles (Steps/Activities)

Diamonds (Decisions)Diamonds (Decisions)

Torn sheets (Documents)Torn sheets (Documents)

Large D (Delay)Large D (Delay)

Arrows show direction/flowArrows show direction/flow

YES Step IStop

Step I Step 2

NO Step 1

Step 3

Decision?NO Step 2

Process Flowchart

NO

YES

Color CodesValue added – GreenRework, repair, wait – RedInspection – YellowTransport -- Blue

Types of Process FlowchartsTypes of Process Flowcharts

Top-downTop-down– Major StepsMajor Steps– Inspections, REwork, Other Quality IssuesInspections, REwork, Other Quality Issues

DeploymentDeployment– Clarify Roles/AccountabilityClarify Roles/Accountability

WorkflowWorkflow– People, materials, paperworkPeople, materials, paperwork

System MapsSystem Maps

Step I Step 2 Step 3

Top-Down Flowchart

Step 4

I b

I a

I c

2 b

2 a

2 c

3 b

3 a

3 c

4 b

4 a

4 c

2 d

DeploymentDeployment FlowchartFlowchart(Cross-Functional Flowchart)(Cross-Functional Flowchart)

AA

BB

CC

What it Looks LikeWhat it Looks Like

Define Framework or Define Framework or Boundaries of ProcessBoundaries of Process

What level of detailWhat level of detailBalanceBalance

Macro firstMacro firstConceptsConcepts

Get It DownGet It Down

Right peopleRight people

Brainstorm all major activitiesBrainstorm all major activities– Determine shapesDetermine shapes

Describe process stepsDescribe process steps– Verb - NounVerb - Noun

Get It RightGet It Right

Sequence the stepsSequence the steps

TerminologyTerminology– Revise and EditRevise and Edit– VariationsVariations

Acknowledge them all—Resolve what you canAcknowledge them all—Resolve what you can

Standardize—Note exceptionsStandardize—Note exceptions

Document “Rules”—Who authorizes deviations?Document “Rules”—Who authorizes deviations?

Identify “pre-defined” stepsIdentify “pre-defined” steps

TestTest

ValidateValidate– Use people who were not part of initial teamUse people who were not part of initial team

Seek out harshest critics Seek out harshest critics – Capture their variationsCapture their variations– Review, then appropriately incorporateReview, then appropriately incorporate

Ensure correct use of symbolsEnsure correct use of symbols– Decisions may not be obviousDecisions may not be obvious

All paths should close (loop) or terminateAll paths should close (loop) or terminate

A Most Common GizmoA Most Common Gizmo

Microsoft’s Drawing Tools Microsoft’s Drawing Tools

Drawing ToolsDrawing Tools((WordWord, , Power PointPower Point, , ExcelExcel))

Cost Most already have M/S Office Suite

Training Minimal; Tool within an Application

Capability All Basic (28) Flow Charting Shapes

Standardization Unified Approach

PortabilityDoc ControlCollaboration

Interface with Other Office Applications

A Most Common GizmoA Most Common Gizmo

Microsoft’s Drawing Tools Microsoft’s Drawing Tools

But But whichwhich application? application?

Excel vs WordExcel vs Word

Attribute Excel Word AdvantageDrawing 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 AutoshapesM/S Autoshapes

28 Shapes available28 Shapes available– Hover to see meaningsHover to see meanings

Set DefaultsSet Defaults– Center JustifyCenter Justify– Font Size 10Font Size 10

**ToTo change AutoShapes change AutoShapes – 2003 Use Draw Menu 2003 Use Draw Menu – 2007 App Specific - Excel - Edit Shape2007 App Specific - Excel - Edit Shape

ToolbarsToolbars

How to createHow to create– ViewView– ToolbarsToolbars– CustomizeCustomize– New (Give it a name)New (Give it a name)– ““Click and Drag” Click and Drag”

desired iconsdesired icons

Can modify for Can modify for specific tasks (if specific tasks (if needed) needed)

Office 2003

Office 2003

Office 2007

Helpful HintsHelpful HintsSwim LanesSwim Lanes– Column or RowColumn or Row– Wide border by skinnyWide border by skinny– Place shapes in wide Place shapes in wide

spacesspaces– Move text vertically in Move text vertically in

a cell (Alt + Enter)a cell (Alt + Enter)

Can Copy ShapesCan Copy Shapes– Cntrl C (Cut)Cntrl C (Cut)– Cntrl V (Paste)Cntrl V (Paste)

Link to Relevant MetricsLink to Relevant Metrics– Hyperlink to worksheetHyperlink to worksheet– Done via cells (not shapes)Done via cells (not shapes)– Remember to create a Remember to create a

return path to process mapreturn path to process map

As Of: Author:

Similar Processes?Similar Processes?

Work most complex (or Vanilla) firstWork most complex (or Vanilla) first

Copy worksheet Copy worksheet

““Boil off" excess (or add variations)Boil off" excess (or add variations)

Make other revisionsMake other revisions Deal with those “what if” situationsDeal with those “what if” situations

Improving ProcessesImproving Processes

Basic StepsBasic Steps

Visualize the ProcessVisualize the Process

Identify Types, Numbers, & Identify Types, Numbers, & Impacts of ProblemsImpacts of Problems

Identify Causes for EachIdentify Causes for Each

Develop & Evaluate SolutionsDevelop & Evaluate Solutions

Look for Opportunities toLook for Opportunities to

Measure**Measure**What indicates the process is effective or efficient?What indicates the process is effective or efficient?Should some parts of the process be examined with a Talley Sheet? Should some parts of the process be examined with a Talley Sheet? Pareto Chart?  A Run Chart? Use sample or All?Pareto Chart?  A Run Chart? Use sample or All?

EliminateEliminateDoes each step add value? Is there duplication?Does each step add value? Is there duplication?Can you eliminate or minimize delays? Inspections? Filing steps?Can you eliminate or minimize delays? Inspections? Filing steps?Are some operations rework?Are some operations rework?

ChangeChangeHow can the operation be changed? Different methods? Technology?  How can the operation be changed? Different methods? Technology?  Equipment?Equipment?Less costly material or service?Less costly material or service?Reduce the frequency or the number of people receiving the service?Reduce the frequency or the number of people receiving the service?Reduce the time it takes?Reduce the time it takes?

RearrangeRearrangeIs the layout or sequence the most efficient?Is the layout or sequence the most efficient?Can you eliminate transport steps? Or method being used – electronic Can you eliminate transport steps? Or method being used – electronic vs. physical?vs. physical?

CombineCombineCan any operations be combined? With a supplier's operation?  With a Can any operations be combined? With a supplier's operation?  With a customer's?customer's?

SimplifySimplifyWhat is the simplest way to achieve the objective(s) of the process?What is the simplest way to achieve the objective(s) of the process?Are the instructions easy to understand?Are the instructions easy to understand?

ImagineImagineWhat would be the perfect process? Can you flowchart it?What would be the perfect process? Can you flowchart it?How much time would it take?How much time would it take?A sub-process flow chart?A sub-process flow chart?

Look for Opportunities toLook for Opportunities to

BOLOsBOLOs1.  1.   AssumptionsAssumptions Challenge all assumptions: It's easy to forget Challenge all assumptions: It's easy to forget

that a process step was based on one or more that a process step was based on one or more assumptions and not fact.assumptions and not fact.

2. 2. ChangesChanges Idiosyncratic change (or) changes made to be Idiosyncratic change (or) changes made to be creative or for some other reason that are NOT creative or for some other reason that are NOT linked to the business plan or a business need.  linked to the business plan or a business need.  

3.3. DuplicationDuplication Duplicate data entry. Duplicate data entry. 

4.4. Duplication Duplication  Duplicate work steps in another group. Duplicate work steps in another group. 

5. 5. FlexibilityFlexibility Can the process respond to changes in Can the process respond to changes in customer/technology requirements? customer/technology requirements?

6.6. Forgot how, or Forgot how, or too complextoo complex

Mistakes because of a complex-clerical Mistakes because of a complex-clerical procedure or mistakes because people forgot procedure or mistakes because people forgot what to do: Consider job aids: list, checksheet, what to do: Consider job aids: list, checksheet, flowchart, picture, etc. flowchart, picture, etc. 

7.7. IntermediariesIntermediaries When you hear words like "coordinate," "pass it When you hear words like "coordinate," "pass it by me first," "expedite" and "liaison," question by me first," "expedite" and "liaison," question whether the intermediary step is value added.  whether the intermediary step is value added.  

BOLOsBOLOs8.8. Lack of Lack of

consequencesconsequencesStandards not followed and there is no Standards not followed and there is no consequence or negative feedback. consequence or negative feedback. 

9. 9. Old waysOld ways Tools/software available that is not used because Tools/software available that is not used because people have not taken time to get trained or do people have not taken time to get trained or do not want to.  not want to.  

10.10. Old ways with Old ways with new tools new tools 

Lots of steps in software that are just replicating Lots of steps in software that are just replicating the old by-hand process. the old by-hand process. 

  11. 11.   

Paper recordsPaper records Is the process adding, maintaining or eliminating Is the process adding, maintaining or eliminating paper records?paper records?

12.12. Quality ControlQuality Control QC of work when the "supplier" could have QC of work when the "supplier" could have checked and sent 100% ok input to you.  checked and sent 100% ok input to you. 

13.13. Quality ControlQuality Control QC is when someone else checks work not when QC is when someone else checks work not when someone checks their own work. someone checks their own work. 

14.14. Quality ControlQuality Control When talking about QC consider Poka Yoke – When talking about QC consider Poka Yoke – Can the work be mistake proofed to make it Can the work be mistake proofed to make it impossible for the defect to be passed on? impossible for the defect to be passed on? 

15.15. Quality controlQuality control Is the QC really needed? Prevention Is the QC really needed? Prevention instead of detection is the desired process. instead of detection is the desired process. 

16.16. RepetitionRepetition Can repetitive work be automated? Can repetitive work be automated? 

17.17. ResistanceResistance Do people make changes rather than "stick Do people make changes rather than "stick with the standard" or do they do what they with the standard" or do they do what they want to do?want to do?

18.18. ResistanceResistance Someone continually saying this won't Someone continually saying this won't work, can't make any changes. work, can't make any changes. 

19.19. ScalabilityScalability Is the process limited to the current Is the process limited to the current workload? Is it scalable to handle a larger workload? Is it scalable to handle a larger volume of work? volume of work? 

20.20. Specifications/Specifications/

every time like every time like first first 

Developing specifications each time Developing specifications each time something is done instead of the first time something is done instead of the first time as a standard or templateas a standard or template

21.21. Supplier inputSupplier input Input supplier sends inaccurate/incorrect Input supplier sends inaccurate/incorrect input. input.

BOLOsBOLOs

Bonus Round…Bonus Round…

Inputs

Output(s)MemberMember

Feed Forward from Supplier

Feed Forward to Member

Feed Back to Supplier Feed Back from Member

SupplierSupplier

Supplier Gap AnalysisSupplier Gap Analysis Process Gap AnalysisProcess Gap Analysis Member Gap AnalysisMember Gap Analysis

Supplier Specs: Process Specs:We Get: We Get:

A System ViewA System View

•They Get:Member Expects:

Status:

Shapes for Audit ProcessesShapes for Audit Processes

Which Aisle?Which Aisle?

Candy or Produce?Candy or Produce?

5151

5757

4444

Closing ThoughtsClosing Thoughts

Accuracy is importantAccuracy is importantAre you looking at symptoms or root causes?Are you looking at symptoms or root causes?Consider other situationsConsider other situations

– Out of the ordinaryOut of the ordinary– EmergenciesEmergencies

Measures should be meaningful to usersMeasures should be meaningful to users– Get a feel for best / worst cases and what is the Get a feel for best / worst cases and what is the

average. How many of each?average. How many of each?– Leading indicators are better than lagging onesLeading indicators are better than lagging ones

Final Wrap-upFinal Wrap-up

Introduction to Process MappingIntroduction to Process Mapping

Use M/S Draw Tools within Excel AppUse M/S Draw Tools within Excel App

Maps to Help Identify Improvement AreasMaps to Help Identify Improvement Areas

www.visual-literacy.org/periodic_table/periodic_table.htmlwww.visual-literacy.org/periodic_table/periodic_table.html

CollectionCollection

DistillationDistillation

ApplicationApplication

IncorporationIncorporation