Keywords

Introduction and Overview

Process management is not rocket science and does not need to be complicated. Human resource process management is about developing, installing, and training repeatable, sustainable, and scalable processes within the organization which align with the needs of the business. These documented processes should be observable, measurable, and auditable. The process documentation should lay out the objective of the process, any specialized definitions associated with it, the process or procedure owner, required forms and resources, the revision number, and a process map which provides a step-by-step pictorial of the required steps with any required clarifications or notes.

This chapter defines why process management is important to human resources in everything from training to employee relations and defending against a legal claim. One can see how this sometimes overlooked area can and should be the cornerstone for any successful HR practice.

Identifying key HR systems and processes first requires a look at the employee life cycle. The employee life cycle is defined as the life of the employee with the organization and goes from recruitment to eventual termination from the organization. Most employees go through this life cycle.

Exhibit 1

Recruitment

Onboarding

Evaluation (may or may not be tied to pay increases)

Training/development

Movement: lateral/promotion/leave (vacation, sick, etc.)

Termination (which may include an exit interview or feedback loop on the employment experience with the organization)

Every employee goes through predictable steps at some point in their career, and having well-defined policies, practices, and procedures is very important to ensuring smooth transitions between each phase. Having repeatability and consistency in each of the aforementioned work practices helps to reduce the perception of discrimination. Communicating to governmental agencies and employees that the organization has consistent work practices can help reduce the probability that the business practice is discriminatory and unfair.

Repeatability and Sustainability

A repeatable and sustainable process, also known as a “standardized process,” is a process which is now seen as “business as usual” for the organization.

  • Standardized process is the phrase given to ensure solutions have been embedded into the organization’s methods and procedures. A “standardized process” provides more consistent results since ensuring a task is always done the same way as reducing variation.

  • Six Sigma and Minitab: A Complete Toolbox Guide for All Six Sigma Practitioners, Brook, Quentin, QSB Consulting Ltd., 2006–2009.

Documenting and establishing HR work practices can be time-consuming; however, once established these documents lay a strong foundation for consistency and continuous improvement. Typically, more mature organizations have well-developed and maintained work practices, while less mature organizations tend to deploy resources in other areas as opposed to process documentation.

Dos and Don’ts

Once the decision is made to develop a standardized process, it is important to verify that it is (1) repeatable and can be done the same way over and over again and (2) sustainable which means it requires little or no intervention to ensure it continues.

To verify that the process/procedure meets the requirements for both 1 and 2, it is important to verify if both criteria have been met. The best way to do this is to ask someone from outside of the department or unrelated to the task to perform the action only using the process or procedure which was developed. If they can successfully perform the actions with little or minor assistance, the goal to develop a repeatable and sustainable process has been achieved.

It is important to not just rely on the producer of the procedure or process and trust its accuracy. When individuals are very close to the process, they tend to mentally add steps or assume the user will intuitively know how to move from one step to the next.

Process Mapping

One way to describe HR process mapping is it is the process by which all human resource business processes are documented. These sessions are either conduced by HR. The advantage of HR process mapping is that it sets a professional standard, which:

  • Serves as a training aide for new joiners within the human resource function. The document also serves as a reference when learning their jobs.

  • Allows documentation of all HR compliance requirements and ISO requirements.

  • Clarifies roles and responsibilities/avoids repeated territorial discussions.

  • Shows non-HR people interfacing with HR what they can expect (and what not to expect) and how their interaction with HR should be.

Process mapping accomplishes the following:

  • Visually documents a process

  • Provides a fact-based process description as basis for understanding current problems and opportunities

  • Enables teams to quickly see improvement opportunities within the process and begin defining critical X’s (underlying causes)

  • Helps to communicate inside and outside the organization

People Perspective

In most cases, the development and documentation of standardized process will be done by those who also perform those processes in reality. This will ensure realistic contents and accurate documentation. Developing and documenting processes, however, mean a heavy additional workload for these employees. Ongoing duties as HR employees and HR managers will be in conflict with the time requirements of the HR process management.

In order to still create motivation for this endeavor, the initiation of a systematic HR process management has to be put in a bigger context of HR professionalization and strengthening the role of HR within the company.

As long as processes are not standardized and documented, there is a tendency for business management to demand “special solutions,” e.g., in order to speed up a hiring process or to obtain any other kind of HR-related approval. Especially, less experienced HR staff and HR managers within an environment lacking documented HR processes tend to fulfill the wishes for exceptions without looking at the long-term implications of such decisions.

For example, allowing a salary above the upper limit of the salary range for a new hire will in the long run create discussions about fairness and hence higher demands for salary increases in that particular department.

In the end, such inconsistent decisions cause criticism on the HR department as it does not fulfill its role as internal safeguard of fairness. In extreme cases, such inconsistencies might even lead to legal problems, e.g., that the company might get sued for unequal treatment (see section “Risk Perspective”).

A well-designed HR process management creates a backbone for HR practices in the company and hence strengthens the role of HR as a whole and of each member of the HR department. This argument should be used in communicating the necessity of an HR process management and the temporarily increased workload of the HR staff involved in creating this.

The stricter HR executes HR processes – once these are implemented – the more HR develops a “police”-type role in the company, which endangers the role as accepted business partner. On the other hand, an HR that allows multiple kinds of deviations will also not be accepted because it lacks “backbone.” It is up to the social skills and mature decision-making skills of each HR decision maker to balance both aspects.

Risk Perspective

As already mentioned, inconsistent execution of HR processes can lead to legal risks. As many HR decisions have an impact on important aspects of employees’ lives, e.g., selection for a job, salaries, benefits, or promotions, the way how the decisions were made is under permanent observation of people within the organization and sometimes even by people outside of the company. If, for example, within the selection process for a certain type of position the usage of selection tools is inconsistent, people who get refused could claim that the selection process was unfair.

Hence, introducing and documenting HR processes reduce the legal risk of cases regarding unfair treatment.

On the other hand, there is also a downside to HR process management from a risk perspective: if HR departments fail to follow the processes they previously documented, the legal claim against the company is even stronger! In this case, the violation of a rule is clear because those who file the claim can refer to a written document.

Because of this, the lesson for designing an HR process management from a risk perspective is to only document processes that realistically also can be complied with! If, for example, the workload in complying with a rule is exceeding the delivery capability of the HR team, then this process should not be designed and documented this way.

As always, it helps to talk to the people who finally will have to execute a process prior to implementing it.

Economic Perspective

As long as the HR process analysis and documentation are done in-house with traditional documentation tools, there are no external costs for doing so. The internal effort, however, can be large depending on both the:

  • Coverage

  • Depth of the process analysis

Coverage: It should be decided at the beginning of the project whether all HR processes or only critical ones should be documented. A reason to cover all processes is that the process documentation can also be used for certification and for training any new HR person. If the coverage is limited only to critical HR processes, the effort will be reduced but still have a meaningful result.

Depth: If a process documentation is only used for driving an understanding and pointing out major decisions within a process, then the documentation does not have to go in all details. If, however, the documentation shall be used as an operative tool that includes even form sheets, checklists, and links to actually perform the respective activity, then the effort for creating a process documentation will be very high.

Operational Perspective

The traditional way to create process descriptions is by documenting the results of discussions with subject matter experts by computer-based graphics tools. There is, however, also specialized software that includes process management-specific tools such as:

  • Different types of responsibility (e.g., RACI, responsible/accountable/to be consulted with/to be informed)

  • Embedding of documents such as policies, form sheets, etc.

  • Different level views

  • Other filtered views

  • Linking in-between processes

As opposed to using office standard software, such specialized tools demand an additional investment and additional training.

If subject matter experts allow this, audio recording of the interviews with them will reduce multiple cycles of questions afterward. Even better is the co-creation of the process documentation together with the subject matter experts (similar to prototyping in software development). This, however, will demand significantly more time allocation of the subject matter experts.

The last part of this chapter provides an example to illustrate the major statements in practice.

Practice Example: Conducting a Successful Process Mapping Session

This section outlines the stakeholders who are required to help ensure the success of a process mapping session. Without the buy-in and support of these critical stakeholders, the probability of a successful activity is greatly reduced.

The Sponsor

The session sponsor is the business leader or executive that identifies the need for the action to take place. The sponsor defines the required output for the session and defines the expectations. The sponsor also identifies with the facilitator the required stakeholders including the departments and names where required. The sponsor also develops the timeline for the session to take place and typically prepares a letter to the participants inviting them to participate in the session. He or she will also kick off the session with an opening and provide context for the invitees within the session. The sponsor typically does not participate in the session due to the bias it may cause; however, they do play a very active role in launching the session and communicating the expectations. Without a sponsor helping to set the expectations, the actions from the session typically suffer and may not get the necessary traction to be effective and achieve the goals identified early on in the process.

The Participants

Once the support and input from the sponsor is in place, rallying the other stakeholders involved in executing the particular process is necessary. When it comes to conducting a process mapping session, having the key stakeholders involved in the process present and engaged is integral to ensuring the success of the session. The core team is made up of subject matter experts who understand their piece of the process intimately. As long as the participant is willing to share it, this knowledge provides the facilitator and participants, which can be used to draw inferences and understand linkages and connections.

The Agenda

In addition to ensuring that the appropriate stakeholders have been invited to the mapping session, having a thorough agenda to set the expectations for the participants is important as well. The agenda should be sent at least three (3) days prior to the session. Sending the agenda in advance allows the participants to prepare for what will be expected of them in addition to getting a good understanding of the expected outcomes for each individual. In Exhibit 2, there is a sample agenda. The agenda is split into three (3) main parts.

The first part of the workshop or session agenda is the workshop objectives. The workshop objectives communicate to the participants what the expected outcomes of the session will be at a high level. The objectives clarify for the participants what will not be covered in the session.

Process Mapping Workshop at XYZ Corporation

Participant’s Handout

Workshop Objectives

  • Develop final report criteria.

  • Develop final report template.

  • Identify the problems/shortcomings of the current processes.

  • List recommendations/requirements for the process.

  • Develop action plan.

Workshop Agenda

The workshop has been scheduled on March 4, 2004, in the University Relations Conference Room, from 2:00 PM until 4:30 PM.

What

Who

When

Kickoff (purpose of the workshop)

Charles/Julie

2:00 PM

Administration/workshop methodology

Charles

2:10 PM

Brainstorm (final report) criteria

Group

2:15 PM

Identify the problems/shortcomings of the current process

Group

2:45 PM

Develop (final report) format

Group

3:15 PM

List recommendation/requirements

Group

3:30 PM

Develop action plan/next steps/new process

Group

3:45 PM

Wrap-up

Charles

4:00 PM

Preparation Guidelines

To assist the group during the workshop, the following ideas will be helpful:

  • Jot notes of ideas you have regarding this process before the workshop.

  • Bring any forms or reports, which you feel will help you define a process or defend a proposal.

As participants, you will not be challenging each other, rather allowing creative ideas to surface and be explored. Listen to the ideas of others and question to understand and explore to validate.

You are experts in your area and will use your expertise in developing a sound consensus that will enable increases in efficiencies within the annual giving processes. Our challenge is to design a common process that will benefit all of Oakland University.

Roles and Responsibilities

Core team

A group of individuals with subject matter knowledge who are dedicated to the project and responsible for the outcome

Group leader

An individual who manages a project, is responsible for planning, and participates as a “core team” member

Documenter

An individual responsible for documenting the group’s ideas in an organized consistent manner

Facilitator

An individual who brings groups of people together, builds them into a team to accomplish a goal, structures the process they follow, and drives them toward achieving that goal

Dos and Don’ts

When mapping a process, it is important to have all of the critical stakeholders involved in the process. These stakeholders know the in’s and out’s of the process and can ensure the accuracy and detail needed to ensure its effectiveness and accuracy.

In many cases, it may seem easier to map the process and then request feedback and input from the stakeholders later or not involve them at all. Many times this results in rework, inaccurate process maps, and a general waste of time. The best approach is to involve the stakeholders early and not to make any assumptions.

Building a Repeatable and Sustainable Process

As new employees come and go through the department, it is imperative that the new employee is able to quickly pick up from where the incumbent left off. Building repeatable and sustainable processes in the form of work instructions will enable the department to accomplish this goal. Work instructions reduce ambiguity and give clarity and meaning to each routine and give the new employee the basis on how to accomplish his or her task and allow them to be able to identify if they are successfully meeting the objectives for the individual task.

Accelerating an employee’s ability to contribute and be more effective from day one allows or helps improve engagement for the employee and sustain continuity for the department and ultimately allows the organization to move forward faster without “missing a beat” due to the loss of the incumbent because of attrition. A documented process which is repeatable and sustainable can also be improved. By pulling together the stakeholders in the process and asking them to identify gaps and opportunities to streamline the process, one can continue to improve the output and flow of the activity.

Perspectives

Manager: As a manager, having the ability to train and get new employees up to speed quickly in the shortest amount of time possible is the desired state. Unfortunately, the manager has a regular job to perform in addition to attempting to successfully onboard a new employee. In addition to ensuring a successful landing for the new employee, one of the manager’s top priorities is to ensure there is continuity within the function and the department.

The manager needs to make sure that he or she is able to get new employees up to speed fast without compromising quality and efficiency. A manager’s duty is to ensure that the new employee integrates well and all projects are completed on time. A manager may use a score card or other measurement tools to ensure the effectiveness of the employee and the function is on track and meeting targets.

Using a detailed work instruction or process map helps to speed up the training process. When a manager is able to utilize these training tools, they are able to accelerate a new employee’s integration and measure their effectiveness against a standard or benchmark.

Process Owner

The process owner is the individual responsible for executing, maintaining, and monitoring the specified process. The process owner’s role is to ensure the process is functioning as required and is meeting the goals for which it was intended. The process owner will also meet regularly with the stakeholders to identify and update any changes as required and pull the team together to review and streamline the process periodically.

Dos and Don’ts

As with developing a process map, involving the key stakeholders is critical in building a repeatable and sustainable process. However, when beginning with the end in mind, it is important to consider how to best communicate and share these processes and share appropriate updates over time. Using a web-based or shared system which stakeholders have access to will help to share and communicate current processes, capture historical information, and change history while also providing a database which to house the information.

Relying on e-mail communication only to share updates of the processes can be effective in smaller organizations with few processes or procedures; however, as the need to have additional processes and procedures grows, having a database to hold and share the documents can be invaluable.

The Work Instruction

A work instruction clearly defines a procedure or work practice and communicates to the stakeholder why the process is necessary, why the scope is necessary, and what is designed to accomplish, clarifies definitions, highlights documents and forms important to the process, communicates what and who is involved in the process, and shows the basic flow of the process. If a work instruction is well written and prepared, it can also be used as a tool to help improve the process and identify and remove gaps and be used as a guide to help automate certain steps of the process. The work instruction is also an important tool for training new employees and ensuring that he/she can pick up from where the previous employee left off and the work continuously gets done consistently.

The work instruction has nine basic elements:

  1. 1.

    The purpose statement may share a bit of the background on the process, what the process is intended for, and what it hopes to accomplish.

    Purpose

    • The purpose of the electronic requisition process is to automate and streamline the requisition process with the utilization of online technologies which will speed up the workflow and make the process more efficient and effective while building the required accountability as a tracking tool and database.

  2. 2.

    The scope statement communicates to the stakeholder what is being covered in the work instruction and what the process begins and ends with.

    Scope

    • The process begins when an opening occurs in a department at which point the manager contacts human resources and requests that a requisition be produced and sent out for approvals. The e-requisition e-mail also includes the job description, which is sent through the routing process.

    • The process ends when all e-approvals have been received and logged in the MS Outlook tracking tool and human resources posts the job either internally or externally.

  3. 3.

    The Definitions section provides the reader with important definitions of unfamiliar terms within the work instruction.

    Definitions

    • E-requisition – A requisition form, which is electronically sent out through an electronic routing and tracking system, which requires an electronic approval, which should then be routed to the next e-approver

    • E-approver – An approver in the e-requisition process who is responsible for approving and routing the e-requisition through the routing approval stream

  4. 4.

    The process map: This workflow diagram documents step by step each required step in the process along with decision points, action steps, and handoffs.

    figure a
  5. 5.

    The Notes section supports the process map and gives additional detail which could not be covered in the process map.

    Notes

    • Note 1

      The HR representative begins gathering information on the opening including getting a copy of the job description, determining if this is a backfill or new position, and starting determining the compensation for the position.

    • Note 2

      The HR representative and hiring manager finalize the details of the position and program the routing in the e-mail system. Once the e-requisition, job description, and routing have been determined, the HR representative begins by routing the documents to himself/herself or the HR manager for e-approval and routing.

    • Note 3

      The documents are routed through the e-mail system, approved by the e-approvers, and routed to the next e-approver.

    • Note 4

      The HR representative reviews and monitors the requisition’s progress electronically through MS Outlook tracking system.

    • Note 5

      Once the HR representative receives all approvals, they proceed with recruiting to get the position posted internally and/or externally.

  6. 6.

    The References area highlights the important forms and documents related to the process the work instruction is covering.

  7. 7.

    The Safety Requirements: This section may or may not be included in the work instruction. However, if there are important safety considerations related to this work instruction, they should be documented here.

  8. 8.

    Similar to the Safety Requirements sections, the Quality Criteria section can look different across work instructions; this area should cover any important quality measures or documentation related to the broader process.

    References

    • Requisition form

    • Job description

    Safety Requirements

    • Any and all safety requirements should be followed.

    Quality Criteria

    • Open requisition matrix is completed by human resources and reported out appropriately.

      Standards (see “References”)

  9. 9.

    Change and Distribution section: This section documents what changes and updates took place to the work instruction and when. This section also communicates the revision number and date revision went into affect.

    figure b

    The work instruction is a useful tool to create repeatable and sustainable processes; it is also invaluable in helping to train new employees and continuously speed up and improve work practices. Developing work instructions as a training aide can help speed up performance and assist in continuous improvement activities related to the function. (A full example of a mapping session for new hire process can be found in the Appendix.)

Dos and Don’ts

A work instruction is a great way to capture and continuously improve a process or procedure. Housing the work instructions in a shared database is additionally a good way to ensure it’s repeatable and sustainable and can be continuously improved. To assist with continuous improvement activities, adding a “date to review” to the work instruction can help with scheduling reviews of the process. The “date to review” acts as a gentle reminder to the stakeholders that the work instruction will be reviewed and possibly modified in the future if required.

Each work instruction, process, or procedure should have a process owner. The process owner will help ensure the process is being reviewed as scheduled. They are also responsible for making any minor changes and modifications to the work instruction, which would not require broader input from the other stakeholders. The process owner is also responsible for pulling the stakeholders together to ensure the work instruction is up to date and relevant.

Final Comments and Outlook

HR process management though overlooked as a core HR business process can be critical to building a sustainable HR function. Ensuring that there are repeatable work practices that bring value to the business is critical and helps to assure the organization that human resources is relevant and critical to the success of the business. Having well-documented work practices in the form of work instructions helps as training aide for new employees and as a tool to help identify continuous improvement activities around the task.

When the organization has established work practices and can show and prove the effectiveness of those work practices, it allows the function to now become more consultative and truly act as a partner and thought leader for the business. When the basics of HR are in place, the HR leader is able to now focus on how the alignment of the workforce with the business strategy can help accelerate the achievement of the business objectives. Focusing on items such as talent management, employee engagement, and workforce alignment truly has broad implications for organizations globally. However, putting the basics in place first and setting the function up for success are critical in achieving that goal.