Define Mode - Part 1
5 Whys Root Cause Analysis
I’ve decided to focus my problem of practice solely on the recent rise in HelpSU tickets related to our student form processing. In my previous submissions, I’ve touched on this area heavily but also mentioned errors in our AP processing/reports as well. I’ve realized that both areas cannot be tackled within this project, and the AP structure will need our Systems team help to update the query and code within our Student Information System (SIS). With that being said, on to the 5+ Whys of the recent rise in HelpSU tickets related to student form processing. Note: I did look into the SIS with Systems to make sure the form processing wasn’t also a systems issue ; the conclusion: the main cause of these issues has been data entry related.
Why are departments submitting tickets for corrections to forms we have recently processed?
Because we are not correctly processing student forms when originally entered into the system.
Why?
Because steps are being omitted from the process, or steps processed out of order.
Why?
Because documentation is either not easily accessible or the information is conflicting amongst documentation versions.
Why?
Because our FileShare (server) folders are nestled within one another, making it hard to find the processing steps, and when arriving at the steps, there are often multiple versions.
Why?
Because the file folder was originally set up in this convoluted manner and no one decided to archive old documentation.
Why?
Because the staff (at the time) likely both already knew the material and did not need to reference this documentation on a normal basis, or the time and energy to clean up the folder structure was lower on the list of tasks with conflicting responsibilities.
Why?
Because there are only three full time staff members (one rotating temporary worker) reviewing thousands of forms.
Why?
Because the budget simply doesn’t allow for more staff within our unit.
Why?
Because the Registrar’s Office is a non-revenue generating office.
Why?
Because we have no external funding and are funded centrally by the Provost.
One area that the ‘5+ Whys’ process helped me figure out, is that it is not solely the content on the documentation that is confusing, but the access point to the data. Perhaps I could design a more useful entry point (portal) to find this data, in an organized manner that is then easy to update/maintain.
I also have questions regarding our staff’s processing, and if they have too much on their plate or are not paying as much attention to the steps. This could also be reinforcement for why a proper documentation portal/design could be beneficial to verify steps.
Why are departments submitting tickets for corrections to forms we have recently processed?
Because we are not correctly processing student forms when originally entered into the system.
Why?
Because steps are being omitted from the process, or steps processed out of order.
Why?
Because documentation is either not easily accessible or the information is conflicting amongst documentation versions.
Why?
Because our FileShare (server) folders are nestled within one another, making it hard to find the processing steps, and when arriving at the steps, there are often multiple versions.
Why?
Because the file folder was originally set up in this convoluted manner and no one decided to archive old documentation.
Why?
Because the staff (at the time) likely both already knew the material and did not need to reference this documentation on a normal basis, or the time and energy to clean up the folder structure was lower on the list of tasks with conflicting responsibilities.
Why?
Because there are only three full time staff members (one rotating temporary worker) reviewing thousands of forms.
Why?
Because the budget simply doesn’t allow for more staff within our unit.
Why?
Because the Registrar’s Office is a non-revenue generating office.
Why?
Because we have no external funding and are funded centrally by the Provost.
One area that the ‘5+ Whys’ process helped me figure out, is that it is not solely the content on the documentation that is confusing, but the access point to the data. Perhaps I could design a more useful entry point (portal) to find this data, in an organized manner that is then easy to update/maintain.
I also have questions regarding our staff’s processing, and if they have too much on their plate or are not paying as much attention to the steps. This could also be reinforcement for why a proper documentation portal/design could be beneficial to verify steps.
Why-How Ladder
I found the Why-How map exercise slightly confusing and not as beneficial as I would have hoped. The process didn't necessarily make sense to me personally, and I don't think I normally outline issues this way, so it was more of a hurdle than a help to complete this exercise. I'm including it here for reference, but personally would use other approaches to define my issue. I believe I'm better at flaring than focusing on the issue, so perhaps in the next module I'll be able to really explore my problem in many different angles.
Point-of-View Madlib & a Point-of-View analogy
Point-of-View Madlib
A new degree progress staff member with minimal prior knowledge of university policies needs to clearly understand all of the operational procedures because he/she will be an integral partner in processing student form requests.
Point-of-View Analogy
Documentation needs to act as a bridge to assist learning rather than a maze that prevents a clear direction.
A new degree progress staff member with minimal prior knowledge of university policies needs to clearly understand all of the operational procedures because he/she will be an integral partner in processing student form requests.
Point-of-View Analogy
Documentation needs to act as a bridge to assist learning rather than a maze that prevents a clear direction.
Define Mode - Part 2
Problem Definition
Please reference my previous post on Empathy Research for a more detailed background on the issue.
Problem: In performing the 5 Whys and Why/How ladder, in combination with my previous empathizing work (interview, observation, immersion), I believe the issue relates to two key concepts: accessibility and clarity. The issue at hand is that we are receiving a large volume of HelpSU tickets related to student forms that have already been processed. From my review, I was able to identify the inability to access proper form documentation and the outdated content of the documentation to be a contributing factor to our HelpSU ticket issue.
Audience/users: Currently the users are internal Registrar’s Office staff, both full-time and temporary staff, who would be reviewing and processing student forms. This group is currently fairly small currently, but if an improved solution is found, we can expand form processing to include the Student Services Center (SSC) staff to assist with form review.
The situation/environment/variables: There are a few variables in place when you have an issue of incorrect data being entered into a database system. First, this issue is directly related to the individual who processed the student’s form. Are the steps taken a result of insufficient training or the lack of clear resources to process these forms? In considering our temporary staff members have been part of the team for five months, I don’t believe training is an issue now.
Another variable related to the problem, is the number of forms we receive and if each form is receiving proper review. Again, this is related to either a training issue or the availability to check documentation for certain steps. With 26 types of forms to review within a given quarter (from thousands of students), it is easy to get a step out of order or miss a step in processing. I believe documentation that is easy to reference would hopefully alleviate such issues.
The root cause: While my ‘5 Whys’ analysis led me to two possible conclusions (a training issue or a documentation issue), both lead back to a common theme that staff do not have the proper resources available when reviewing forms. Some forms are more common than others, and may become second nature. But some forms are unique and take further processing. Staff currently must trudge through a folder nightmare on our server to find documentation which is housed in multiple folders. Once staff find the documentation, there is often multiple versions with different initials or time stamps for when each document was last reviewed. Some of these documents have conflicting information, while others simply are not thorough. I believe this where the issue at hand gets back to accessibility – having a simple starting point to access key documentation and clarity – providing an updated version of the documentation with an ability to update/archive if(when) the process changes.
My point-of-view: Ideally, my intension for a simple user interface is to ensure my team has the resources available to process the large number of forms we receive (another issue we are also tackling, but larger than the CEP817 course timeframe). I would like to first build an interface that benefits my local team, and then also could include the SSC staff in form processing down the road to alleviate the data entry workload currently on our plate. I would also like to build this user interface into including additional staff responsibilities including report review/cleanup and degree clearance, so that we build a universal documentation hub for our team. And in a perfect world, the interface would be shared with other Registrar’s Office staff to develop their own documentation (or track key findings relevant to their positions).
The project direction: In focusing on my findings, I believe creating a simple user interface/portal to allow staff to cleanly view documentation which also allows for the ability to link to University policies will be the starting point. I’m not too sure on which tools I will use for this project, but I believe a wiki/confluence page or internal website would be the best approach currently. The ability to create screenshots in addition to outlining steps would make the process that much easier for staff upon review of the form (and also provide our team with opportunities to include the SSC in form processing, if documentation is readily available).
Problem: In performing the 5 Whys and Why/How ladder, in combination with my previous empathizing work (interview, observation, immersion), I believe the issue relates to two key concepts: accessibility and clarity. The issue at hand is that we are receiving a large volume of HelpSU tickets related to student forms that have already been processed. From my review, I was able to identify the inability to access proper form documentation and the outdated content of the documentation to be a contributing factor to our HelpSU ticket issue.
Audience/users: Currently the users are internal Registrar’s Office staff, both full-time and temporary staff, who would be reviewing and processing student forms. This group is currently fairly small currently, but if an improved solution is found, we can expand form processing to include the Student Services Center (SSC) staff to assist with form review.
The situation/environment/variables: There are a few variables in place when you have an issue of incorrect data being entered into a database system. First, this issue is directly related to the individual who processed the student’s form. Are the steps taken a result of insufficient training or the lack of clear resources to process these forms? In considering our temporary staff members have been part of the team for five months, I don’t believe training is an issue now.
Another variable related to the problem, is the number of forms we receive and if each form is receiving proper review. Again, this is related to either a training issue or the availability to check documentation for certain steps. With 26 types of forms to review within a given quarter (from thousands of students), it is easy to get a step out of order or miss a step in processing. I believe documentation that is easy to reference would hopefully alleviate such issues.
The root cause: While my ‘5 Whys’ analysis led me to two possible conclusions (a training issue or a documentation issue), both lead back to a common theme that staff do not have the proper resources available when reviewing forms. Some forms are more common than others, and may become second nature. But some forms are unique and take further processing. Staff currently must trudge through a folder nightmare on our server to find documentation which is housed in multiple folders. Once staff find the documentation, there is often multiple versions with different initials or time stamps for when each document was last reviewed. Some of these documents have conflicting information, while others simply are not thorough. I believe this where the issue at hand gets back to accessibility – having a simple starting point to access key documentation and clarity – providing an updated version of the documentation with an ability to update/archive if(when) the process changes.
My point-of-view: Ideally, my intension for a simple user interface is to ensure my team has the resources available to process the large number of forms we receive (another issue we are also tackling, but larger than the CEP817 course timeframe). I would like to first build an interface that benefits my local team, and then also could include the SSC staff in form processing down the road to alleviate the data entry workload currently on our plate. I would also like to build this user interface into including additional staff responsibilities including report review/cleanup and degree clearance, so that we build a universal documentation hub for our team. And in a perfect world, the interface would be shared with other Registrar’s Office staff to develop their own documentation (or track key findings relevant to their positions).
The project direction: In focusing on my findings, I believe creating a simple user interface/portal to allow staff to cleanly view documentation which also allows for the ability to link to University policies will be the starting point. I’m not too sure on which tools I will use for this project, but I believe a wiki/confluence page or internal website would be the best approach currently. The ability to create screenshots in addition to outlining steps would make the process that much easier for staff upon review of the form (and also provide our team with opportunities to include the SSC in form processing, if documentation is readily available).
Top photo credit: Stanford Design School via ot-lab.ch