PROCESS FLOWCHARTING

A POWERFUL TOOL FOR CONTINUOUS IMPROVEMENT
PROCESS FLOWCHARTING GUIDE - 2-

OFFICE OF QUALITY IMPROVEMENT

Process Flowcharting
A Powerful Tool for Continuous Improvement

Version 2.0, Revised March, 2007

Copyright © 2007 University of Wisconsin System Board of Regents

For additional information contact:

Office of Quality Improvement

Room 199 Bascom Hall, 500 Lincoln Drive
Madison, WI 53706-1380
608-262-6843 FAX: 608-262-9330
[email protected]
www.quality.wisc.edu
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Introduction
In higher education, almost everything we do is part of a process. If a process
is a series of steps aimed at accomplishing something, it is clear that
processes abound in teaching, research and service.

Our ability to do our work depends on how well these many processes are
designed and carried out. We can often function surprisingly well with clunky,
inefficient processes. But what could we accomplish with processes that
worked quickly, smoothly and in which errors were a rare exception? An
ocean liner could sail from New York to South Hampton dragging her anchor
behind. However, the trip would be a ponderous experience compared to a
journey in which the anchor is properly stowed.

No one purposely designs dysfunctional processes. Processes get that way

through lack of understanding of the larger system during the design phase.
Additionally, over time, processes in large organizations tend to become more
complex and less efficient as expedient adaptations are made without a view
to the purpose or big picture. Processes degrade all by themselves if they are
not tended to.

A powerful tool for improving our processes is the flowchart.

Definition
Literally a picture of the steps in a process, a flowchart represents the order
and interaction of activities and decisions. The sequence, or flow, of the
process is shown with arrows, while a variety of shapes or symbols can be
used to depict the steps and decisions. Commonly-used flowchart symbols
are shown in Figure 1.

Figure 1. Common flowcharting symbols

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How Flowcharts Can Help

A flowchart provides excellent documentation of a process and can be a useful
tool to analyze how various steps in a process are related to each other,
revealing redundancies, delays, dead ends, and “black holes”. Flowcharting is
also helpful in designing or revising a process, providing a common language
for envisioning how the process could ideally function that makes it easier to
discuss options from multiple perspectives.

A flowchart can be used to:

ƒ Document an existing process
ƒ Design an “ideal” process
ƒ Determine whether the steps in a process are logical
ƒ Identify bottlenecks and unnecessary complexity
ƒ Uncover duplication of effort
ƒ Identify opportunities to improve the process

Creating a Flowchart
Flowcharting software options abound1, but here’s a simple approach that
works well when a group is flowcharting a process together.

1. Gather the people who are involved in the process you want to flowchart.
2. Put large sheets of paper on the wall.
3. Agree on the purpose of the flowchart and which format is most
appropriate (see “Flowchart Types” below).
4. Identify the beginning and end points of the process (What are the inputs
that signal the beginning of the process? What is the product or outcome
produced by the process?).
5. Use square or rectangular self stick notes to label the various steps in the
process. Use square self stick notes placed on the diagonal to label
decisions.
Note: You will quickly discover why it is helpful to use self stick notes, as
you remember steps and have to go back and insert them!
6. Begin by writing one step or decision at a time and placing it on the wall.
Keep going until you have completed the steps in the process.
7. Use a marker or arrow flags to indicate the direction the process flows.
8. Discuss the process:
ƒ Has the process of flowcharting helped us clarify steps and roles?
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ƒ Are there steps/roles we would like to change?

ƒ Are there bottlenecks or problem points we would like to consider
improving?
ƒ Are there other processes we want to flowchart?
9. Validate the completed flowchart with the user(s).
10. Draw a final, polished version of your flowchart, either by hand or using
available software drawing tools. Here are some hints:
ƒ Keep symbols the same distance from each other.
ƒ Make notations simple, concise and clear.
ƒ Avoid crossing flow lines whenever possible.
ƒ Have two flow lines coming out of decision symbols (one for yes, one
for no).

Flowchart Types
Sequential Flowchart
The most commonly-used type of flowchart identifies steps or activities and
decision points along with the important inputs and outputs of the process,
and arranges them in the order in which they are completed. A sequential
flowchart is particularly helpful in highlighting process complexity and
identifying problem areas and opportunities for improving efficiency. A
sample sequential flowchart is shown in Figure 2.
Mail Sorting Process

Mail opened, All Mail distributed to

stamped, clerical staff by their Is folder in
Look for folder in Is there a
separated and assigned alpha once the File No No Create folder
the file room file?
sorted by alpha a day room?
Students Students

Yes Yes

Locate folder Enter in ISIS by

Put mail in folder through file locating info on 1
location system screen and target
key info for
admissions (by
search)

Put mail in folder

Is this mail needed to
Enter information
Yes complete/change an
in ISIS
applicant record?

No Is file Keep folder in

No
complete? folder room
Keep folder in the Is file
No
file room complete
Put mail back in
Yes
current folder

Yes Give
folder to
counselor
Give
folder to
counselor

Figure 2. Sequential flowchart

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Top-Down Flowchart
In a top-down flowchart, the major steps in a process are arranged
sequentially across the top and the detailed steps are listed under each major
step. So, for instance if the process is to get a new course approved in the
major, the first step might be a proposal to the departmental curriculum
committee. The last major step in the approval process might be, “Inform

s te p 1 s te p 2 s te p 3 s te p 4

1a 2a 3a 4a

1b 2b 3b 4b

1c 2c 3c 4c

2d

Figure 3. Template for top-down flowcharts

all faculty and staff of new course approval.” Detailed steps and decisions
can be added as necessary to understand the process and achieve the group’s
goals. In some cases it will be helpful to develop a separate sequential
flowchart for each major step, and the top-down flowchart can be used as a
cover page to show how all the parts of the process fit together. Figure 3 is a
template for a top-down flowchart.
Deployment Flowchart
A deployment flowchart helps identify how a process moves across people
and units and also helps clarify roles and responsibilities. It also indicates
dependencies in the process. The deployment design shown in Figure 4
shows the key players across the top as column headers (A-E). Key players
can be functional units or individuals. Example: business services, dean’s
office, executive committee, chair, department administrator, student. In the
column underneath each key player are shown the steps the person/unit
carries out or is responsible for. The process flows from left to right.
To create a deployment flowchart such as the one shown in Figure 4, use self
stick notes to label columns across the top for the various people/units
involved in the process. Begin by writing one step at a time and placing it in
the column for who does it. Keep going until you have completed all the
steps in the process. Who?

What A B C D E

Step 1

Step 2

Step 3

Figure 4. A deployment flowchart template

PROCESS FLOWCHARTING GUIDE - 7-

“Hybrid” Flowchart

An alternative has emerged in practice which is a combination of the classic

top-down and deployment models. This hybrid includes all the steps plus
people’s names. So a “box” in this kind of flowchart might read, “Department
chair forwards request…” These flowcharts tend to be arrayed from the top of
the page to the bottom rather than left to right. Figure 5 is a sample of this
kind of flowchart.

Capturing New Employee E-mail Addresses

New employee receives "E-mail

Request" form along with usual
New Employee materials.

Vickie sends IAD to L&S or GS for

approval of appointment.

Following approval, new employee

obtains UW ID card.

Employee completes "E-mail

Request" form, including UW ID #.
Gives form to Elaine.

Elaine secures E-mail address

Elaine distributes copies of "E-mail

Request" form w/new address to
employee, Ruth and Vickie.

Vickie forwards to Ruth adds address to

EC&B appropriate listing(s)

END

Figure 5. A “hybrid” of top-down and deployment flowcharts designed by the School

of Social Work to ensure that new employees obtain e-mail addresses and are
quickly added to communication lists.
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Sample Flowcharts
Figures 6 through 8 are UW-Madison examples of flowcharts created to
understand and improve key processes. Regardless of the design, the
flowchart helps people understand how a given process works now or might
ideally work in the future. This understanding is the first step to improving a
process.

The Hiring Process

The flowchart in Figure 6 identifies the different processes involved in hiring
classified staff and academic staff at UW-Madison. It demonstrates the flow of
information and paperwork necessary to complete a hire by delineating each of the
two personnel system processes in one diagram. Any questions regarding this
flowchart can be directed to Don Schutt, Office of Human Resource Development.

From Position Description to Appointment: An Overview of the Hiring Processes at UW-Madison

Create Job/Position Description

Identify Employment System

Classified
Complete Recruitment Activity Plan (RAP) (which is reviewed Unclassified
and approved by Equity & Diversity Resource Center )

Limited Permanent
Term Student Student Employee- Limited Academic Faculty
Project
Employment Hourly Assistant In-Training Appointment Staff (See Note 1)
(LTE) Certification
Form/ Position
Description
LTE Request Certification
Form Form/ Position Complete Position Vacancy Listing Packet
Contract Search
Description
Transfer
(If Represented Position Position Position Position Position
Employees) Vacancy Vacancy Vacancy Vacancy Vacancy
Listing Listing Listing Listing Listing
(See Notes Waiver (See Notes (See Waiver
2 & 3 below) 2 & 3) Note 3)
If Not Filled, go to:
Layoff Search
Restoration Committee
(AS8 and No
Search Above) Search Search
Search
Committee Committee
If Not Filled, go to: Committee

Layoff Referral
System

Search Search
If Not Filled, go to the following:

Examination Permissive
Existing
Process 1. Transfer
Register of
(Rep. & Non) 2. Reinstate
Candidates
(See Note 4 (Rep. & Non)
below)

Interview then Appoint/Hire

NOTES:
1. All faculty hires require that a Recruitment Efforts Plan (REP) be completed. The Plans are reviewed and approved by Equity & Diversity Resource Center (EDRC).
2. If salary is at Academic Staff range 8 or above, REP is required. Also, if new Category A position, New Academic Staff Position Form is required. If new Program Manager, Unspecified Director, or
Administrative Officer, PQ is required.
3. If non-instructional academic staff or faculty position and salary above Executive Salary Group 6 ($106,064 in 98-99), a Request for Authorization to Recruit (RAR) is required. Schutt, HRD, 12/2/98
4. Examination process includes the following steps: (a) test development, (b) recruitment, (c) testing/screening applicants, and (d) certify registry.

Figure 6. An overview of UW-Madison’s hiring process

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Office of Admissions Mail Processing Process

The Office of Undergraduate Admissions used the flowchart in Figure 7 to
document the ideal process for the flow of applicant-related mail in their
office. This flowchart was then used to help identify solutions to improving the
mail process in the office.

Office of Admissions- Mail Processing Process (IDEAL)

Mail opened, All Mail distributed to

stamped, clerical staff by their Is folder in
Mail delivered Look for folder in Is there a
separated and assigned alpha once the File No No Create folder
Students the file room file?
sorted by alpha a day room?
Students Students

Yes
Yes

Locate folder Enter in ISIS by

through file locating info on 1
location system screen and target
Put mail in folder
key info for
admissions (by
search)

Put mail in folder

Is this mail needed to

Enter information
Yes complete/change an Is this mail needed
in ISIS Put back
applicant record? to complete/
back in No
change an
current folder
applicant record?

No
Yes

Keep folder in the Is file Enter in

No
file room complete Put mail back in ISIS
current folder

Yes
Is file Keep folder in
No
complete? folder room

Give
folder to
Yes
counselor

Give
August 2, 1999 folder to
counselor

Figure 7. Office of Admissions mail processing flowchart

Research Grant Proposal Flowchart Process

The Department of Civil & Environmental Engineering used the flowchart in
Figure 8 to document the roles, responsibilities and decision points of the
faculty, Dean’s Office and the Department in the research grant proposal
process. This flowchart helped the department and the faculty understand
their roles in the process and when and by whom decisions are made.
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CIVIL & ENVIRONMENTAL ENGINEERING

Research Grant Proposal Flowchart Process
Dean's
Faculty Dept. Office
Office

Receive notice
of opportunity
for funding

Reviewed and
Generate Receive Award
signed by
proposal Number
Dept. Chair

Copy budget Copy control

Submit T-form
Review T-form and cover of sheets - retain
to Dean
form originals

Send copy to
Send T-form to File copy in
faculty and
Receive and Dept. office Dept. office
some staff
retain copy of
prop. #

Review Monitor
Send to Deans account
proposal and
office Yes
send to RSP (ongoing
process)
Received
proposal # -
Receive 2
retain 1 copy;
copies of Receive notice
forward 2
Proposal # of closing
copies to Dept.
office
Send 1 copy of
Proposal # to
PI
Zero-out the account

Funded?

No

End process
(~50% of proposals)

NOTES:
*Italicized steps are those which could be explored for potential change/improvement
*Are any steps missing? Can any steps be eliminated?
*Is the decision in the correct location?
*Who looks at files? Why keep them at end of process? Do we need a copy of the
h:\civileng0\propflow.vsd proposal if it's kept in the Deans office?
Updated: 4/22/97 *VISIO Software: rectangles=processes; diamonds=decisions; ovals=terminations.

Figure 8. Research grant proposal flowchart

1
Microsoft Office Visio is one popular flowcharting software that is supported on the
UW-Madison campus. See: http://office.microsoft.com/en-us/visio/default.aspx.
Other options can be found by doing a web search on “flowcharting software”.