Course: Government Process Re-engineering Day 3

1. Course: • Government Process Re-engineering • Day 3 Session 1: Identifying solutions for the challenges in Government Process Environment and Optimization of the Processes

2. Agenda Recap of the previous GPR stages Understand common techniques of Group Thinking Understand the importance of best practices Introduction to drivers of process design Process redesign considerations Examples of process re-design

3. Recap of previous sessions We are here D2 Session 1 D 2 Session 2 D1 Session 5 In this stage, we use the inputs from the previous stages, and re-engineering principles to come up with the “To-be” processes

4. First steps of process re-engineering • Focused stakeholder discussions using group thinking techniques facilitate identification of solutions and alternate ideas • Best practices studies from similar environments provide inputs to possible solutions • Solutions may be based on any of the following process design drivers: • Redesigning existing processes • Fundamentally reworking the way a process is executed • Replacing processes completely • Removing the process or • Outsourcing the process • Automation of process

5. Facilitating Group Thinking Convergent Thinking Divergent Thinking Spontaneous, free-flowing generation of many ideas in a random, unorganized fashion Techniques include: Exploration Brainstorming Out-of-the-Box thinking The ideas generated by divergent thinking are organized and structured using divergent thinking • Follows a particular set of logical steps to arrive at one "correct" solution • Techniques include: • Prioritization • Assessment & evaluation • Multi-voting • PICK charts • PUGH matrix • 6 Thinking Hats

6. Divergent Thinking - Brainstorming Brain-storming is a group exercise to generate, clarify and evaluate a large number of creative ideas & solutions Phase I – Idea generation phase • No criticism • No constraint (allow wild ideas) • Build on others ideas • Encourage participation Phase II – Understanding phase • Idea originator to describe the idea in detail to develop common understanding Phase III – Grouping phase • Seek clarification on points, if needed • Group similar ideas & short-list IV – Evaluation phase • Discuss merits of each idea Do not forget to appoint a facilitator for the session Plan sufficient time for the session

7. Using brainstorming…. The Brainstorming technique was developed in 1941 by an advertising executive called Alex Osborn in the US. He originally used the term “think up” which was later modified to “brainstorming”. Brainstorming is defined as “a conference technique by which a group attempts to find a solution for a specific problem by amassing all the ideas spontaneously by its members". Brainstorm means using the brain to storm a creative problem and to do so in commando fashion, each stormer audaciously attacking the same objective. Brainstorming is a tool for generating as many ideas or solutions as possible to a problem or issue Creativity is encouraged by not allowing ideas to be evaluated or discussed until everyone has run dry. Any and all ideas are considered legitimate and often the most far-fetched are the most fertile.

8. Doing a brainstorming session Step 1: Prepare for the session Step 2: Agree on ground-rules Step 3: Conduct the brainstorming session Step 4: Decide criteria for evaluation of ideas generated Step 5: Evaluate all ideas generated against criteria Step 6: Select the best ideas for implementation

9. Step 1: Preparing for a brainstorming session • Who will lead or facilitate the brainstorming session? • Who will participate in the brainstorming session? • Who can write very quickly to record the brainstormed ideas without slowing down the group? • Where will the brainstorming session be held? • What materials are needed for brainstorming (easel, paper, white board, pens, etc.)? • What is the brainstorming session’s desired outcome?

10. Step 2: Agreeing on ground-rules • Ground-rules are a code of conduct to be followed during a brainstorming session. • Before beginning a brainstorming session, ground-rules must be set. Ensure that boundaries are not set so tightly that you can't have fun or be creative. • Have the team create their ground-rules. Try performing a mini-brainstorming session around creating brainstorming ground-rules. This allows the team to take ownership of acceptable and unacceptable behaviors • Once the ground-rules list is generated, gain consensus that the session will be conducted according to them • Post them in a highly visible location in the room.

11. Step 2: Some ground rules for a brainstorming session • There are no dumb ideas. Period. It's a brainstorming session, not a serious matter that requires only serious solutions. Remember, this is one of the more fun tools of quality, so keep the entire team involved! • Don't criticize other people's ideas. This isn't a debate, discussion or forum for one person to display superiority over another. • Build on other people's ideas. Often an idea suggested by one person can trigger a bigger and/or better idea or a variation of an idea by another person. It is this building of ideas that leads to out of the box thinking and fantastic ideas. • Reverse the thought of 'quality over quantity.' Here we want quantity; the more creative ideas the better.

12. Step 3: Conduct the brainstorming session • Define the problem/phenomenon/issue concisely and make sure that everyone understands the problem and is in agreement with the way it is worded. There is no need to put a lot of restrictions on the problem at this time • Give everyone a few seconds to jot down a few ideas before getting started • Begin by going around the table or room, giving everyone a chance to voice their ideas or pass. After a few rounds, open the floor • Note down all ideas exactly as they are being said • Don't stop until ideas become sparse. Allow for late-coming ideas. • Remove duplicate ideas

13. Step 4: Decide criteria for evaluation of ideas • Criteria should start with the word "should“, for example, • "it should be cost effective", • "it should be legal", • "it should be possible to finish before March 31", etc. • Criteria can be qualitative as well as quantitative • Choose the top 9 criteria for evaluation of various ideas

14. Step 5: Evaluate the ideas and prioritize for execution • Each idea can be prioritize based on criteria on varied scales • High – 9 • Medium – 3 • Low – 1

15. Convergent thinking technique – PICK Chart HIGH POSSIBLE IMPLEMENT • PICK charts • A PICK chart helps a team to organize & prioritize its ideas & solutions by separating them into four categories in 2 x 2 matrix on the basis of expected benefits and ease of implementation • The ideas can be categorized into Implement, Challenge, Possible & Kill KILL CHALLENGE EASE OF IMPLEMENTATION LOW EXPECTED BENEFITS

16. Convergent thinking technique – PUGH Matrix • PUGH matrix • The PUGH matrix is a technique to select an appropriate solution from a set of ideas or solutions based on given criteria • Each potential idea or solution is given “+”, “-” or “S” depending on whether it is better, worse or same as the base-line situation... the solution having the highest net Score is selected

17. The PUGH Matrix is a technique to select a candidate solution from a set of solutions based on a given criteria Each candidate is given +, - or S depending on whether it is better, worse or same as the base line solution. The solution having the highest Net Score is selected

18. Convergent Thinking Technique – 6 Thinking Hats • 6 Thinking Hats • This technique promotes parallel thinking to assess each alternative from various dimensions • White Hat • Yellow Hat • Black Hat • Red Hat • Green Hat • Blue Hat

19. White Hat — search for information related to the subject. Yellow Hat — search for benefits, values, and reasons to be optimistic about the subject. Black Hat — search for faults, problems, and dangers related to the subject. Red Hat — signify feelings, hunches, and intuitions about the subject. Green Hat — search for creative alternatives and solutions related to the subject. Blue Hat — organize and summarize. Parallel thinking is often superior than spaghetti thinking….

20. Importance of Best Practices • A best practice is a technique, method, process, activity or any other process attribute that is believed to be more effective at delivering a particular outcome than any other technique, method, process, etc. when applied to a particular condition or circumstance • Best practices from similar environments are a major source for solution ideas during process re-engineering… • The steps involved in identifying best practices include the following: • Identify globally and nationally accepted systems in the domain under consideration • Identify the key factors contributing to the success of those initiatives • Identify potential opportunities and generate ideas based on them • Shortlist the best practices that are applicable in the current context, directly or after appropriate modifications

21. Best Practices Illustrative Example • In case of Land Records Management, the best practice systems included: • New Zealand - Land Information Online • Canada - Land Title & Survey Authority • Singapore - Singapore Land Authority • Australia - Land Victoria • All these systems are similar environments, as they are all governed by the underlying commonwealth land management laws… • The best practices identified included: • Single authority for delivering all land record related services • Central data repository and direct updating of database • Interlinking of Title information with Survey maps and geodetic control data • Addition of new delivery channels to provide hassle free service to citizens

22. Process design can be carried out through… • Redesign existing processes - combine activities, remove redundancies, duplications, obsolescence, disconnects, inappropriate timing, costs… • Rework the way (how and where) that the process is executed • e.g. co-locating all of the functions in one area or tasks that were formerly divided between 6 people are now undertaken by 1 person • Remove the process or sub-processes • e.g. police verification process completely waived off for certain cases in passport process, based on certain business rules • Replace processes / sub processes completely either by automation or by alternate processes • e.g. a manual system replaced by a computer system • Outsourcethe process or components of the process

23. What may drive process design • Processes are rarely derived “in a vacuum”. Some drivers affecting the process content, boundaries and structure may include: • Legal & Regulatory requirements that govern the process • Changing the way work is performed e.g.: Filling of the application form by citizen online, to prevent data entry at department • Possibility of outsourcing components of a process e.g.: Facilitation Centres for submission of passport application, 24x7 call centre • The use of specific technologies e.g., barcode readers, computer simulation, computer-aided design and manufacturing • The use of specific software packages with rich functionality enabling many alternative solutions Processes are not everything - remember Policies, Technology, Organisation and Facilities as well

24. Checklist for evaluating the process design.. • Check that the process design: • Resolves the business issues • Achieves performance targets • Meets relevant legal & policy legal requirements • Achieves planned benefits • Is cost-effective • Is capable of being implemented The different process design approaches will be discussed in the subsequent sessions The different process design approaches will be discussed in the subsequent sessions

25. Redesigning existing processes • The main objective of redesign is to improve performance measures – CTPs and CTQs identified during the process mapping phase • Redesign can be carried out by looking at the following items identified during process analysis: • Redundancies • Duplications • Inefficiencies • Bottlenecks • Unnecessary activities • Non value-adding activities • Redesign should take into account legal issues, IT / Technology opportunities and organizational constraints of the process

26. Some principles of process re-design • Eliminate waste or non-value added activities as much as possible • Organise around outcomes - treat geographically dispersed resources as though centrally located • Build quality in at the source - mistake proof the process, standardize on best practices, capture information in digital form at the source • Find opportunities to cross train and use multifunctional workers • Reduce preparation and waiting times • Use parallel processing • Apply automation and appropriate technologies • Use visual process control systems • Establish a continuous improvement capability and mindset

27. Customer Visits Bank Branch Customer fills up form & hands over all documents Form & documents are dispatched to centralized data entry team Centralized data entry team enters customer data in database Data is verified by Bank’s officers Data is uploaded in the Bank’s software Signatures of customers are scanned ATM Cards & Cheque Books are printed ATM Cards & Cheque books are dispatched by post Simple Process Redesign Example: Bank Account Opening Existing Process

28. Discuss opportunities to have the wastes eliminated

29. Identify broad functional definitions for groups of activities Cust Visits Bank Branch Cust fills up form & hands over all docs Form & docs are sent to central data entry team Central data entry team enters customer data in database Data is verified by Bank’s officers Data is uploaded in the Bank’s software Signatures of customers are scanned ATM Cards & Cheque Books are printed ATM Cards & Cheque books are sent by post Start: Customer enters bank branch with documents End: Customer receives cheque book & ATM card Transport paper Record data Make card & book Deliver card & book

30. The old process took ~ 8 days Transport paper Record data 20 min Make card & book 2days Deliver card & book 2days 4 days Start: Customer enters bank branch with documents End: Customer receives cheque book & ATM card ~ 8 days

31. Identify alternate ways of achieving each function Transport paper Record data 20 min Make card & book 2days • Pick up from home • Courier agency • Post • Drop box & pick up • … • Scan documents • Photograph documents • Data entry at branch • Audio tape • … Deliver card & book 2days 4 days • Pre-printing • Courier agency • Post • …

32. Look for options for waste elimination / parallel processing Transport paper Record data 20 min Make card & book 2 days Deliver card & book 2 days 4 days Data can be recorded post account opening, at the centralised data entry place Can pre-print card & book and make it available at the branch

33. Redesign the process (1/4) Transport paper Record data 20 min Make card & book 2days Deliver card & book 2days 4 days

34. Redesign the process (2/4) Transport paper Record data 20 min Make card & book 2days Deliver card & book 2days 4 days

35. Redesign the process (3/4) Transport paper Record data 20 min Make card & book 2days Deliver card & book 2days 4 days

36. Redesign the process (4/4) Transport paper Record data 20 min Make card & book 2days Deliver card & book 2days 5 min

37. Re-designed process Transport paper Record data 20 min Make card & book 2 days Deliver card & book 2days 5 min Start: Customer enters bank branch with documents End: Customer receives cheque book & ATM card ~ 25 min

38. ATM Cards & Cheque books are pre-printed & kept at the branch Customer enters branch Customer fills up form & hands over documents Bank staff hand over the cheque book & ATM card to the customer across the counter Forms & documents & sent to central data entry department Information is entered in bank’s data base Data entry is verified by bank personnel Data is uploaded in the bank’s system Customers’ signatures are scanned The new process takes just a few minutes for the consumer

39. Completing a process in a continuous flow helps reduce turnaround time significantly

40. Process Redesign Example – Integrated Land Information System in AP • In Andhra Pradesh (as in most other states), the maintenance of records/information relating to land and property ownership is done under the auspices of four different departments: • Survey and Land Records Department, which conducts cadastral surveys and creates and maintains basic records for each village • The Revenue Department which administers Land Records by way of updating of titles • The Registration Department, which undertakes registration of deeds pertaining to transactions of land involving sale, purchase, gift etc • The Urban and Rural Local Bodies, which maintain ownership information necessary to collect property taxes, and undertake planning and developmental activities within Panchayat and municipal towns. • This situation led to a lot of hardships to citizens planning to get their property transactions legalized…

41. A case of non-continuous flow… • The complete process of property transaction involved visits to different departments… • Buyer obtains encumbrance certificate from Registration department to check previous transactions on property • Registration of property deed at the Registration department and obtaining proof of transaction • Changing of ownership at Land Title Office after buyer produces proof of transaction • Sub-division and boundary information recording by Land Surveyor • In many cases, one or more steps are not completed resulting in records being out of sync

42. Existing System – Land Transactions Cannot / need not verify ownership Registration of deeds Buyer & Seller Complete Documents Buyer gets proof of transaction Verify documents and register Buyer & Seller Submit Appln. Pay fees Land Title Office Buyer gets ownership records Submit Appln for Mutation. Verify and change records Buyer Complete application Buyer Land Surveyor Submit Appln for Sub-division Sub-divide the parcel and change records Buyer gets boundary info. Complete appl. Buyer Buyer

43. Issues with the current process • A large number of survey records (field maps) were missing and many were in poor condition rendering them unusable • Delays in updating of survey and ownership records, leading to records not in synchronization with the correct picture on ground • Resurveys not conducted for long periods (more than 40 years) rendering survey records obsolete • Registration process does not have legal obligation to check ownership resulting in fraud transactions • Property valuation process not scientific • Revenue department records relate only to agricultural land. Property tax registers used as proof of ownership in urban areas • Change of records in one entity not necessarily reflected in the other entities, resulting lack of a holistic view

44. Process Re-design objectives • To provide a single source of truth for land records which is secure & enjoys public confidence • Deliver all land related services through a dedicated agency which will also maintain the land records system • Maintain all records in integrated digital form in a central repository • Maintain and disseminate authentic and real-time land related information to assist in developmental planning, welfare activities and levy of land related taxation • Implement systems & processes for maintenance & auto-updating of data • Have a self sustaining operating model • Provide services in a cost effective manner with easy accessibility • Provide services to the customers through a unified interface, which requires only a single visit by the citizen • Provide a transparent property valuation system that will help in better property assessment

45. Creating a single source of truth for land records… Creating a single source of truth for all land related information (ownership, extent etc) is the first step in providing integrated service delivery…

46. ILIS – Re-engineered Scenario

47. Re-designed process for ILIS • Single visit by buyer and seller to the agency dedicated for property transactions • Conclusive and unambiguous ownership • Real time update of all information related to the transaction in the system • Provision of information services as self service to citizens: • Encumbrance search • Property value calculation from guidance rates • Better realization of taxes by government agencies, Urban Local Bodies • The process which took days previously, is completed in a single day… This is a perfect example for use of technology in process re-design (Arial photography, GPS based surveys, single shared database..)

48. Legal considerations for process re-engineering • As discussed in day 1, processes are usually derived from the underlying legislation • Changing processes will require change to the legal framework, to legalize the process changes.. • GPR may result in… • Organizational Structures change (4 departments handling Land Records to a dedicated agency..) • Jurisdictions change (anytime / anywhere services) • Statutory powers change (who is the authority on land title, authority on boundary info etc) All these changes should be provided sufficient legal backing by amending domain legislation

49. Hierarchy of Domain Legislation Laws are enacted by Central or State government depending on whether State / Central subject Ease of Modification Subordinate legislation enacted by authorities identified under the law Manuals, Guidelines etc (advisory status, based on Laws and subordinate legislation)

50. Incorporating legal changes