Process Mapping
An overview
Martyn Slingsby
5 Minute Management Briefing
Process Maps
Part of the 5 Minute Management Briefing Series of quick-read pamphlets produced by
The Management Support Partnership this document has been written for practitioners
who have busy schedules. It is intended as a quick reference tool and one you can pick-up
and put-down as needed. It’s also intended as an essential keepsake for the top drawer of
your desk, your tablet or your Library folder on your Laptop.
Check The Management Support Partnerships website at www.mspuk.co where more
documents in the series are available for download. Become the in-house expert on all
aspects of Change and Project Management by downloading other in the series.
Introduction
A process is a structured set of activities that transforms inputs into outputs. The way in
which we describe a process varies dramatically and ranges from a text-based approach or a
flow diagram to different forms of process map.
Process maps are used for various purposes, including, but not limited to:
•
•
•
•
Developing process understanding;
Process improvement and discussion;
Documenting a process;
Training and communication.
A process map highlights actual and potential problems – bottlenecks, backflows, delays,
waste and process gaps. Process maps clarify process boundaries, ownership,
responsibilities and effectiveness measures or metrics.
This document details the following approaches to Process Mapping:
•
•
•
•
•
•
•
•
High-Level;
Detail-Level;
Cross Functional or “Swim Lane”;
Document or SIPOC;
Activity or Value Stream;
Workflow;
Turtle Diagrams;
Rendered.
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1.
High-Level Process Map
A High-Level Process Map describes all of the core processes within an organisation. For
example: ISO 9001 compliance requires that the sequence and interaction of a managed
system or processes are determined. A high-level process map demonstrates compliance
with this procedure.
Figure 1 - A High-level process maps showing all the core processes within an organisation is
a High-Level Process Map which shows an order-to-payment cycle and the associated nine
core processes, their sequence and interaction; such a diagram fulfils basic ISO 9001
requirements.
Quotes
Company
PO
Purchasing
Sales
Cycle
Cycle
Quotes &
Pricing
Quotes
Specs
& Req
Company
PO
Supplier
Raw
Materials
Receiving
Inspection
Production
Scheduling
Specs
& Req
Raw
Materials
Production
Inventory
Inventory
Invoices
Quotes &
Order
Processing
Quotes
Customer
PO
Customer PO
Picking List
Production
Orders
Company PO
Manifest
Inspection
Payment
Quotes
Finished
Goods
Order
Fulfilment
Distribution &
Shipping
Finished
Goods
Customer
Company PO
Manifest
Quality Control
Accounts
Payable
Inventory &
Warehousing
Customer
Billing, Credit
& Collections
Payables
Inventory
Accounts
Receivables
Cycle
Cycle
Collections
Payment
Cycle
Figure 1 - A High-level process maps showing all the core processes within an organisation
The colour coded boxes show the three main process flows or cycles in the business:
•
•
•
Amber is the Order Cycle (Purchasing, Production & Sales);
Yellow is the Just-In-Time (JIT) Production Process (Shipping, Receiving &
Production);
Green is the Payment Cycle (Inventory, Accounts & Invoicing).
All these, taken together, make up the order-to-payment cycle.
Inputs and outputs are labelled, information flows are indicated with a dotted line and the
material flow are solid lines (black for inventory; red and green for the primary materials
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flow). The “process map” focuses on the activity flow and order, particularly the sequencing
and interaction.
If more detail is required each of the nine processes can be further explained separately in a
lower-level detailed process map.
2.
Detail-Level Process Map
The main difference between a high-level and detail-level process map is one of scope. The
process flow has not changed, just the scope of what is represented.
The order-to-payment cycle has nine processes identified and each process can be further
divided into sub-processes. Each sub-process makes up a detail-level process map or process
flowchart. A detail-level process map is an area of a high-level process map that has been
zoomed into for more detail.
The Accounts Receivable Cycle comprises customer billing, credit and collections. Figure 2
examines just the credit approval element of the whole Accounts Receivables Cycle. It
shows that there are five main steps:
-
Sales call,
Order entry,
Credit check,
Review account balance,
Calculate credit terms.
Customer
Billing, Credit
& Collections
Accounts
Receivables
Cycle
Buy
Product
Credit
Criteria
Yes
Sales Call
Credit Form
Order Entry
Bed Credit Score
Order Form
Credit
Check
Review
A/R
Balance
OK
High
Balance
OK
Credit
Issued
Report
Calculate
Credit
Terms
Terms
Approved
Figure 2 – Credit Approval Process Flow Chart
Three symbols are used from the Unified Modelling Language (UML) set. These are a square
for process steps, a diamond for decisions and a square with a curved bottom representing
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paper or data. Decision diamonds produce flow alternatives. The main two decision points
represent either an “OK” or “Bad Credit” decision, which in-turn require a new sales call to
resolve.
Detail-level process maps provide a lot of information which can be analysed further or used
in place of textual procedures for simple processes. If you want to simplify organisational
documentation for ISO 9001 Certifications then flowcharts reduce unnecessary paperwork.
Organisations with highly trained employees can benefit by using simple process maps in
place of written instructions or training.
One problem with detail-level process maps is that sometimes it is hard to determine who is
responsible for which activity. Another is that they may not conform very well to the
“SIPOC” format (Supplier, Inputs, Processes, Outputs and Customers). In this case a Cross
Functional or “Swim Lanes” Map can be used to convey individual responsibilities or
departmental roles within an organisation.
3.
Cross Functional or “Swim Lanes” Map
Cross Functional Process Maps use the same flowchart symbols as the detail-level process
map example. In this approach lanes representing different functions or responsibilities is
overlaid.
In the Credit Approval Process four functional swim lanes have been used to identify who is
responsible for each element, decision or data. Process maps can be produced with any
number of swim lanes, although as a practical limit it is best to have less than ten for clarity.
Figure 3 details that, in the first place, the customer is clearly responsible for making a
“buying” decision and must complete a credit form. The Sales Department are the second
band and must respond to sales call, receive the credit information and form, enter the
order and produce an order form. The order form is sent to the Credit Department who
compare the data to the credit criteria issued by Management. If everything is “OK” the
Credit Department review the customer’s existing balances for credit capacity and then
calculates the credit terms. Management are responsible for preparing a “credit issued”
report and overseeing the credit approval process.
Swim lanes are really good at depicting responsibilities with no loss in the detailed process
flowchart information. Suppliers and customers are obvious and it conforms to the “SIPOC”
format.
The “bad credit” decision represents a backflow and the problem with alternative flows is
that they can make it hard to follow the process. A better method would be to use a “singlepiece” flow which shows the path a single product takes without alternative flows.
Document and Value Stream Maps can do this and these are outlined below.
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Customer
Billing, Credit
& Collections
Accounts
Receivables
Cycle
Decision
To
Purchase
Buy
Product
Yes
Sales Call
Credit Dept.
Credit Form
Order Entry
Management
Sales
Customer
Credit Approval
Order Form
Credit
Issued
Report
Credit
Criteria
Credit
Check
Bad Credit Score
OK
Review
A/R
Balance
OK
Calculate
Credit
Terms
Terms
Approved
High Balance
Figure 3 – Credit Approval Swim Lanes Map
4.
Document Map
A Document Map is an expanded “SIPOC” format. Each row is an individual SIPOC flow
representing the:
• Supplier;
• Inputs;
• Process Step;
• Outputs;
• Customer.
Effectiveness criteria and performance objectives would be listed at the bottom
representing the Key Performance Indicators (KPI), metrics or measures for the process. If
continuous improvement is the goal, including conformity to ISO 9001, then the
identification of metrics and performance objectives is essential.
This approach also introduces the PDCA cycle:
•
•
Planning,
Occurs as part of the preparatory step where
credit criteria are determined.
Doing,
Occurs when the sales person gets the order
and starts entering it in the system, credit
checks are performed and terms calculated.
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•
•
Checking,
Occurs when the credit issued is reviewed along with the credit criteria.
Actions (or Acts),
Occurs when new credit criteria are issued.
Customer
Billing, Credit
& Collections
Accounts
Receivables
Cycle
Credit Approval Document Map
Input
Document
Process
Output
Document
Credit
Information
Sales Call
Order Form
Credit Form
Sales
Enter Order
Electronic
Order
Credit
Request
Credit
A/R Balance
Check
Credit
Credit
Analysis
Management
Management
Credit Criteria
Calculate
Terms
Terms Granted
or Rejected
Sales
-Customer
Credit
Credit Aging &
Balances
Review
Credit
Issued
Credit Review
Report
Management
Credit Lines
Review
Credit
Criteria
Credit Criteria
Management
-Credit / Sales
Supplier
Customer
Purchase
Information
Sales
Credit
Finance
Background
Review
Balance Sheet
Customer
Figure 4 – Credit Approval SIPOC or Document Map
Inputs are Yellow, Process Steps are Green and Outputs are Amber.
Document Maps provide a lot of detail but can be short on activity information.
5.
Activity Map or Value Stream Map
Activity Maps or Value Stream Maps are used in lean implementations to depict process
tasks as single-piece flows with as much detail as can be captured. The purpose of an
Activity Map is to capture information so that it is possible to identify the tasks that are
clearly adding value and those that are of questionable value. Activity maps are helpful for
architecting and organising text before writing a new procedure.
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Figure 5 shows each of the five activities in the credit approval process as column headers.
Activities are then totalised and categorised with the first number represents the task total
and the second number the number of “lean” value-added tasks; these are highlighted
yellow. The next row shows the person or department responsible for the activity,
departmental colour codes being used. Finally, the detailed tasks are shown, one per box.
Value-added tasks are highlighted yellow, wasteful or task that duplicate effort are
highlighted grey and the remaining white boxes represent possible waste or steps that can
be eliminated through lean process improvement.
Customer
Billing, Credit
& Collections
Accounts
Receivables
Cycle
Send Credit Form
Receive Credit
Form
Check Credit
Create Bad Debt
Report
Review Credit
Criteria
4/1
10/3
7/2
5/1
6
Sales
Sales
Credit
Credit
Management
Customer calls to
order
Receive Credit
Form via email
Enter customer
into Credit System
Create Accounts
Receivable Aging
Report
Review Credit
Worthiness Report
Send credit Form
via Email
Review credit form
for completeness
Review Credit
Report
Review Accounts
Receivable Aging
Report
Review Balance
Sheet
Enter order into
system
File order & credit
form electronically
Enter Customer
into Accounts
Receivable System
Review Customers
Bad Debt
Review Credit Lines
WAIT for
completed form
Email credit form to
Credit Control
Review customers
Accounts
Receivable balance
Produce Credit
Worthiness Report
Review Credit
Criteria
Wait for Credit
Approval
Review Credit
Criteria
Email Credit
Worthiness Report
to Management
Amend Credit
Criteria (as needed)
Calculate Terms
END
Publish new Credit
Criteria (as needed)
Issue Terms
END
END
Figure 5 – Credit Approval Value Stream / Activity Map
Activity maps provide sufficient detail for process improvement and can also be augmented
with task timing information. This can be used to quantify time and cost wastage and hence
savings. A spreadsheet is often the best medium with which to document an activity maps.
Unfortunately, activity maps are limited in their use. They are difficult to interpret and can
rely on the reader having a base knowledge of the organisation or function; they are
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therefore best suited to communicating how a process works. Workflow Diagrams are much
better for training workers and communicating whole processes.
6.
Workflow Diagram
Workflow Diagrams translate abstract Unified Modelling Language symbols into graphical
images depicting a more complete story of the process. Analysts and consultants are used
to thinking conceptually and using symbols, practitioners often need something less
abstract and more concrete. Task-level communication requires more clarity and works
much better using Workflow Diagrams.
Drawing the credit approval process in a workflow diagram format, as shown in Figure 6,
brings the process to life. Practitioner might see themselves in the work flow and may see
how the process works. Microsoft Visio contains various workflow diagram images that can
be used for drawing more than just process maps.
Customer
Billing, Credit
& Collections
Accounts
Receivables
Cycle
Figure 6 – Credit Approval Process – Workflow Diagram
Workflow diagrams are great as a basis for developing MS-PowerPoint’s for meetings,
workshops and briefings. They can also be used in training material for workers and in
combination with other process map types to provide process information from different
perspectives. Figure 6 could be drawn using swim lanes to communicate responsibilities
more clearly.
Workflow diagrams are more realistic than process flowcharts.
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7.
Turtle Diagrams
Turtle Process Diagrams are another tool which fits with the ISO 9001 approach to Quality
Management. They are a form of enhanced Process Map and their strength is that the
business process is shown along with the following enablers:
•
•
•
•
People & Competency;
Tools, Equipment, Technology & Estate;
Approach, Methods and Controls;
Measurement & Audit.
Figure 7 shows that a Turtle Diagram also defines input and outputs to the process. As a
result a Turtle Diagram displays a more holistic, and some would say realistic, view of
Business Operations.
Figure 7 – Turtle Process Diagram – Component Parts
The Turtle Diagram helps identify impacting factors to efficiency which are more than
systemic, for example poor IT systems or unqualified staff. The Diagram can also combine
elements from a Process Map, Document Map and Activity Map in that the activities either
utilise or are undertaken to service the elements which form the limbs of the Turtle. As a
result using this approach allows the analysis of a business process to be taken to a whole
new level.
Turtle Diagrams can contain a lot of information and can therefore become very
complicated to read and interpret. If possible colour coding should be used to signify the
different impacting factors as detailed in Figure 8.
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Customer
Billing, Credit
& Collections
Accounts
Receivables
Cycle
Management
Authority
Office
Credit Form
Sales Call
Credit
Policy &
Procedure
Credit
Criteria
Order
Processing
Quality
Yes
Customer
Service
Training
Business
Acumen
Order Entry
ACD
Telephone
System
Order Form
Company
Profitability
Credit
Check
Customer
Care
Email
Template
Contact
Management
Guidance
Email
System
Competence
Email
System
Credit
Controller
Document
Management
System
Order
Processing
Target
Email
Experience
Staff
Order
Processing
System
Order
Processing
Training
Tools
Credit
Check
System
Finance
System
Training
Credit
Worthiness
Training
Internet
Access
Secure
IT Server
Room
Equipment
Review
A/R
Balance
OK
Account
Receivables
Training
OK
High
Balance
Bed Credit Score
Call
Handling
Target
Customer
Retention
Quota
Credit
Control
Training
Buy
Product
Desk,
Chair &
Computer
Sales
Desk
Staff
Manager
Calculate
Credit
Terms
Credit
Issued
Report
Financial
Control
System
Credit
Calculation
Training
Approved
Terms
Credit
Report
Template
Email
System
Document
Management
System
Security
Policy
Technology
Estate
Measures & Audit
Controls
Figure 8 – Credit Approval Process - Turtle Process Diagram
The benefits of using Turtle Diagrams are that business improvements that are more than
systemic can often be identified, such as combining IT systems, rationalising roles &
responsibilities or reconfiguring estate. The solutions proposed from such an approach
often win approval from business practitioners because they get to the “heart of the
problem” from their perspective. Problems being experienced with clunky IT lacking
integration, staff empowerment or training and diverse geographical location become
apparent quickly using this approach.
8.
Rendered Process Map
A rendered process map, as shown in Figure 9, is similar to a workflow diagram. It uses many
of the same symbols to communicate process flows and activities, but it is not limited to just
those symbols. Graphics, colours and images are combined to produce a more detailed and
realistic map that everyone can relate to.
The “material order request & receiving” process depicts a warehouse that is not physically
at or near the point of sale. Activities are labelled “A” through “I” and are described at the
top of the map. Different process flows are colour coded: green for customer approval
within the purchasing sub-process, purple for distribution, grey for order processing and
orange for inventory picking. The orange triangles symbolise time wasted.
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Purchasing
Cycle
Quotes
Company
PO
Quotes &
Pricing
Company
PO
Supplier
Raw
Materials
Receiving
Inspection
Figure 9 – Material Order Request & Receiving Rendered Process Map
This approach appeals to the widest possible audience. It brings all the approaches detailed
in this document together into a single picture.
They are, without doubt, the best way of evidencing what change is required to improve
business operations along with any associated impacting factors but come with
considerable professional overhead.
The production of such diagrams is time consuming and requires considerable expertise; a
certain artistic flair is also required. If not done to a high standard they can come across as
amateurish and lacking detail. Also, they should only be attempted if there is both the time
and capability to produce a comprehensive outcome and only started when all research
work is complete in that changes, post creation, can be difficult to affect successfully.
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What a Process Map Can Not Do?
Firstly, it cannot do the work for you. A process map helps you establish a shared
understanding of what a process is and how it cuts across or links business functions. The
practitioners must still do the work. However, process maps can be used for:
•
•
•
•
•
•
•
•
•
Designing processes,
Writing procedures,
Defining and achieving objectives,
Complying with quality standards like ISO 9001,
Building internal control
Identifying waste,
Testing new ways of working,
Detailing new or redesigning operating procedure,
Training.
Secondly, all process maps are not created equal and the table below gives a summary of
each type, its purpose, the positives and the negatives.
Process Map Type
Purpose
Positives
Negatives
High-Level
Perspective, bigpicture, Systems.
Management, Quality Manual,
good for adding metrics.
Not enough detail.
Low-Level
Sub-processes, smallpicture, micro
management.
Understanding flow,
procedures, details.
Unclear responsibilities, Not
SIPOC, alternative flows.
Cross Functional
“Swim Lanes”
Responsibilities &
Ownership.
HR, job descriptions, job
training, procedures.
Alternative flows create
complexity.
Document Map
SIPOC
Data Management.
Document and record control.
Lacks enough activity detail.
Activity Map
Value Stream
Process Improvement.
Granular, good for instructions
and procedure writing.
Lacking for training and
communications.
Turtle
Process Improvement
Understanding flow,
procedures, activities, details.
Complex, Information
overload.
Work Flow
Communications &
Training.
More realistic.
Simplistic
Rendered Process
Communications &
Training.
Most realistic and
understandable by a wide
audience. “Single Sheet”
presentation of often complex
information.
High level of competence
required to produce.
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About the Author
Martyn is Managing Director at The Management Support Partnership
Limited. He has worked in Business Change, Project and Programme
Management since the late 1990’s. In that time he has been involved in
the delivery of an array of projects at regional, organisational and
departmental level; with some individual projects involving £25 million
plus budgets and others organisation wide, business critical, IT system
rollouts.
He is a qualified DSDM Agile Project Manager and has been a PRINCE2 Practitioner Project
Manager since the early 2000’s. He’s also a Managing Successful Programmes (MSP)
Practitioner and qualified in the Management of Risk (M_O_R) with a variety of expertise in
both disciplines.
This background has led to him to develop a high level of expertise in multi-level Process
Mapping and Business Analysis from a variety of fields. As a consequence such work has also
provided him with experience in the identification, documentation, tracking and realisation
of Business Benefits.
To enable successful project delivery Martyn also became a qualified ISEB (BCS) Software
Tester with particular expertise in user requirement capture and supplier design liaison. His
experience includes the full project life-cycle through inception, scoping, design, delivery,
test and ultimately training and rollout. This has been gained from over a dozen years of
hands-on involvement in delivering an assortment of IT oriented Business Change Projects.
He is also a qualified European Quality Management Foundation (EFQM) Business Excellence
Assessor, experience he weave into both the Project, and more particularly, Programme
Management work undertaken.
Martyn has worked for a variety of organisation’s including the Public Sector, with extensive
experience of the Emergency Services; Multi-National organisations; National household
name retailers and small independent family run businesses. He is educated to Degree level
possessing a Bachelor of Arts Degree with Honours, specialising in Planning and Analytics.
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