oas-06-020-(2w)

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Project Title : To improve the disposal process of confidential documents in an efficient and effective manner

Champion : Ken CheeTeam Leader : Sunil Mitra

Asst. TL : Manny MabalotMembers : Nestor Martin Cindy Bernal

Lito Baldisimo

OAS-06-020-(2W)

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Project Charter

Business CaseTo achieve efficiency in administrative services, OAS is constantly reviewingand streamlining its procedures and processes. In so doing, we would like to introduce new methods to ensure that confidential documents are properlycollected and shredded.

A sampling done in May 2006 of recycled paper showed that there were 45 confidential documents from 22 unit/section/dept.

Data analysis using the pareto chart shows that significant part of therecovered confidential documents came from CTL & TD, the two financialdepartments of ADB.

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DEFINE

Problem Statement:

Some confidential documents are inadvertently improperly discarded, which may lead to potential damages to the Bank.

Project Goal:

To improve the disposal of confidential documents in ADB and reduce the number of incidents to 0%.

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High Level Process MapHigh Level Process MapDEFINE

Handling of discarded confidential documents

Start

Dept/Offices discard confidentialADB documents through-Black waste bin-Sealed envelope, labeled confidential-Copy Centers

Receives/collects paper for disposal

Send for shredding

End

Sorts documents

Confidential? orwith back to back

printing?Store for reuse/recycling

Yes

No

5

DEFINEDetailed as-is Process

Map

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Confidential Document Handling OperationsDEFINEDEFINE

S CI P OSupplier Input Process Output Customer CTQs

ADB Staff

Contractor(HMR)

EGSI staff

Used Paper

(confidential&

non-confidential)

Discards Documents

Collects Paper

Sorts/Classifies

Shreds

Store forrecycling

No-leakageof ADB

confidentialdocuments

ISO targetsfor paperrecycling

Management

ADB wide

ISOSecretariat

Maintainconfidentiality

of ADBdocuments

ISOCompliant

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DEFINECTQCTQ

Output Unit Discard confidential documents1 effectively

Output -Disposal of confidential documents in an efficient and

Characteristic effective manner.

(Big Y) -Miminize/Eliminate leakage of confidential

documents to be shredded.

Operation Definition

Project Y Process starts from discarding of paper for

(Little Y) disposal until shredding .

Measure How process will be measured?

No.of confidential documents leaked.

Specification USL - .003

Limits LSL - 0

1/Public communication Policy- Target 0 leakage

"confidential business infor-

mation" means information

covered by a confidentiality Defect Above LSL

agreement or a nondis-

closure agreement that No. of Defect

ADB enters into with Opportunities 1

client, advisors, consultants Per Unit

and other related parties

C

T

Q

High-Level Need

Improve efficiency of

business process on the

disposal of ADB documents.

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MEASURE Recovered Confidential ADB Documents, May 2006

Date

Recovered Document Date Office

1 10-May Business Travel request & authorization of VP K.Pholsena 16-Jun-05 OAIS-TR

2 10-May Business Travel request & authorization of G.London 03-Jun-05 OAIS-TR

3 10-May Mission Authorization Request w/budget details 25-May-05 SPRU

4 10-May Cash Flow Projection Report (Asian Tsunami Fund) 02-Jun-05 TD

5 10-May Cash Flow Projection Report (Asian Dev. Fund)) 02-Feb-05 TD

6 10-May Preliminary Payment Register (payment to supplier) 17-Aug-05 TD

7 10-May Payment transmittal advice w/payment details TD

8 10-May Request for payment to Individual Consultant/Non-ADB Staff 14-Jun-05 others

9 11-May Management Review Meeting-Yinchang-Wanzhoung Railway Project (Confidential) in sets 19-May-03 ECRD

10 11-May PRC: Proposed Guanxi Roads Development II Project- Management Review Meeting in sets 19-May-04 ECTC

11 11-May Third Road rehabilitation Project, Kyrgyz Republic - CONFIDENTIAL 24-Jul-01 OSEC

12 11-May Nepal:recent Political & Economic Developments & country Operation -Board Information Paper 25-Nov-05 SARD

13 12-May Payment advice by Ministry of Finance,Republic of Maldives 01-Feb-06 CTL

14 12-May Pay slip - Valerie Reppelin-Hill 15-Feb-06 Mngt Sup. Div.

15 12-May Photocopy of Passport -Richard Vokes SARD

16 12-May Summary evaluation sheet for simplified Technical Proposal - CONFIDENTIAL others

17 15-May Bhutan - Country Strategy & Program Update,Chairman's summary -for official use only 27-Aug-01 BOD

18 15-May Mission Authorization Request w/budget details 27-Mar-06 ECOD

19 15-May Asian Development Carbon Fund - Confidential Draft 01-Feb-06 others

20 16-May Business Travel utilization report by Activity 21-Dec-05 MKID

RECOVERED ADB CONFIDENTIAL DOCUMENTS

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MEASURE Recovered Confidential ADB Documents, May 2006

21 16-May Change of Alternate Governor for Thailand from Minister of Finance, Thailand 19-Nov-04 MKRD

22 16-May Monthly Statement of Unchecked SOE Disbursement by Country, in boxes 31-Mar-05 OIST

23 17-May 2001 Performance Evaluation Ratings - IEFI staff - CONFIDENTIAL 18-Jan-02 ECGF

24 17-May Performanace Evaluation Report - IED Professional Staff 2002 IED

25 17-May SERD Meeting on 2002 Performance Evaluation Exercise - STRICTLY CONFIDENTIAL 13-Jan-03 SERD

26 17-May Performanace Evaluation Report - Muhammad Mannan 2002 SERD

27 17-May Guidelines for SERD 2002 Perforance Evaluation Exercise - STRICTLY CONFIDENTIAL 11-Dec-02 SERD

28 18-May Revised Amortization Schedule,Loan 0823-PHI: 3rd Power systemDev. (Apr2004 - Oct 2006) 19-Mar-04 CTL

29 18-May Amortization Schedule-Loan No 985-PHI 15th Power Sector (1994-2009) 19-Mar-04 CTL

30 18-May Fact Sheet-National Power Corp. -PHI loan no. 0823, 0914, 0985 & 1042 19-Mar-04 CTL

31 18-May Request for reimbursement-Business Travel, Initial Itinerary - M. Gupta 10-Apr-06 SATC

32 18-May Request for reimbursement-Business Travel, Actual Itinerary - M. Gupta 11-Apr-06 SATC

33 19-May Payslip - Gregory London 2005 COSO

34 19-May Staff Account receivable and Loan Statement - Gregory London 2005 COSO

35 19-May Manila International Airport-ID Application Form 2006 - Ms.Cecile Gregory 2006 OAIS

36 22-May Guangxi Roads Development II Project - Confidential 09-Jul-04 ECRD

37 25-May White Paper Involuntary Resettlement - Confidential Dec-01 OGC

38 29-May Outstanding Account - Udo Witulski 22-Oct-04 CTL

39 29-May Outstanding Account - Jeong Yeon Lee 19-Oct-04 CTL

40 29-May Notice of Meeting - Borad of Director (for official only) 27-Feb-06 OSEC

41 30-May Recuperation of Ineligible Insurance Benefits - Cynthia Cruz 26-Feb-06 BPCB

42 30-May Requesf for Visa addressed to Ministry of Foreign Affair,Kabul Afghnistan for G.Ganaba 26-Aug-03 SAOC

43 31-May Proposed Peso Swap and Financing Project - Confidential 11-Dec-03 BOD

44 31-May Outstanding Account - Ms. Christine Wallich 25-Oct-04 CTL

45 31-May Photocopy of Passport -Hong Wang ECTC

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MEASUREPareto Chart of

Recovered confidential documents per Dept

Count

Perc

ent

Department

Count 2 2 2 2 1 1 1 1 1 17 1 1 1 1 1 1Percent 16 9 7

47 4 4 4 4 4 4 4 4 2

32 2 2 2 2 2 2 2 2 2

32

Cum % 16 24 31 38 42 47 51 56

2

60 64 69 73 76 78 80 82 84 87

2

89 91 93 96 98 100

2 2

50

40

30

20

10

0

100

80

60

40

20

0

Pareto Chart of Department

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Count

Perc

ent

CategoryCount

24.4 15.6 13.3 6.7 4.4Cum % 35.6 60.0 75.6 88.9

16

95.6 100.0

11 7 6 3 2Percent 35.6

adminotherspersonalpersonnelprojectsfinancial

50

40

30

20

10

0

100

80

60

40

20

0

Pareto Chart of Category

MEASUREPareto Chart of

Recovered confidential documents as per type

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ANALYZEDetailed as-is Process

Map

Handling of discarded documents

Contractor (EGSI) Contractor (HMR)Dept/Offices

Start

Staff discardsdocuments

via:

With print onboth sides?

Stores for reuse

Issue to staff

End

Sorts(White / Colored)

White?

Segregate

Shred

Yes

No

End

Collects discardeddocuments

From Wooden box or in sealed envelope marked confidential

Sorts discardeddocuments

Receives/Collectsdiscarded documents

Sorts documentsgathered from black bin

Yes

No

Yes

No

As-is Detailed upstream process

Black Bin(Confidential/

non-confidential)

Wooden Shredding Box(Copy Center)

Sealed Envelope

Portable ShreddingMachine

tear

End

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Total no. of documents (300 kgs x 50 docs/kilo) = 15,000Total recovered confidential documents = 45

DPMO = Total recovered documents / Total no. of documents x 1,000,000

= 45 /15,000 x 1,000,000

= 3,000

Compute Z score: by interpolation

4 - 6,210

X - 3,000

5 - 233

X = 4.25

ANALYZEANALYZEProcess Sigma

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ANALYZEANALYZE Cause and effect diagram – Discarding ADB

documents (initial)

Process

People/DeptEquipment/Facility

Policies/Procedures

Unescorted hauling& shredding of confidential documents

Improper sorting of collected paper

Erroneous turnover /disposal of confidential documents

Unclear guidelines on disposalof confidential ADB documents

ISO’s EHSMP

Big waste bins that have no locks

Unavailability of big waste bins in some areas

Unlabelled waste bin

Ineffective disposal ofADB docs

EGSI staff (limited scope)

ADB staff (awareness)

Contractor, HMR (limited scope)

ISO Secretariat (informationdissemination)

Misleading labels of waste bin

Improper useof waste bin

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ANALYZEANALYZE

Process

People/DeptEquipment/Facility

Policies/Procedures

Unescorted hauling& shredding of confidential documents

Improper sorting of collected paper

Improper use of waste bin

Incorrect discarding of

ADB documents

Unclear guidelines on disposalof confidential ADB documents

ISO’s EHSMP

Big waste bins that have no locks

Unavailability of big waste bins in some areas

Unlabelled waste bin

Ineffective disposal ofADB docs

EGSI staff (limited scope)

ADB staff (awareness)

Contractor, HMR (limited scope)

ISO Secretariat (informationDissemination)

Misleading labels of waste bin

N

C

N

N

C

C

N

N

N

C

N

C

N

C

Cause and effect diagram – Discarding ADB documents (with Noise and Control Factors)

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6. Are you aware that ADB operates an in-house industrial shredder?

YES 21 67.74

NO 10 32.26

7. Are you aware of ADB’s initiative to segregate papers for shredding (printed on both sides)

YES 19 61.29

NO 11 35.48

7A. and for reuse (printed on one side)?

YES 23 74.19

NO 8 25.81

8. Are you aware that confidential documents are supposed to be placed in envelopes and labeled “Confidential” or “For Shredding” before being placed in the black bin?

YES 13 41.94

NO 18 58.06

9. Are you aware that janitors sort the used papers from your black bin as papers for shredding (printed on both sides and marked “confidential”)?

YES 14 45.16

NO 17 54.84

9A. and papers for reuse/recycling (printed on one side only)?

YES 13 41.94

NO 18 58.06

10. Are you aware that there is a big wooden bin located at each Copy Center designated solely for confidential papers intended for shredding?

YES 20 64.52

NO 11 35.48

10A. if yes, do you use it?

YES 4 12.90

NO 21 67.74

11.How often do you bring confidential papers for shredding in the Copy Centers?

1/WEEK 6 19.35

2/WEEK 0.00

3/WEEK 0.00

DAILY 2 6.45

ANALYZESurvey results on discarding

ADB documents

C ADB staff awareness

C Incorrect discarding of ADB documents

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ANALYZEInspection and Survey

of Black Waste Bin

Inspection and Survey of black waste bin

no label for recycling for shredding total

no. of black waste bin 25 5 30 60

% 41.66 8.34 50 100

LABEL OF BLACK WASTE BIN

C Misleading labels of waste bin

C Unlabelled waste bin

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no. confidential no. of documents with Draft paperNo. of documents inspected documents recorvered back to back printing for reuse

15,000 45 250 14,705

Random check of draft paper collected and sorted by EGSI personnel

ANALYZEDraft paper collected and sorted

by EGSI staff

C Improper sorting of collected paper

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5.4 Waste segregation at the Work station

Put paper for shredding, re-use and recycling in the black bin.

Fully used paper, folders, old or draft reports, old newspaper, coated or laminated paper, carbon paper and other paper products.

Note: Waste segregation strategies under the paper for shredding category are as follows:Paper marked confidential shall go directly to shreddingPapers not marked confidential but with both sided print shall go directly to shredding.Papers not marked confidential but other side can still be re-used/re-issued to staff as draft paper. This is part of paper conservation program.

ANALYZEISO guidelines on discarding documents, extracted from Guidelines for Housekeeping and Safety at workstation

C Unclear guidelines on disposal of confidential documents

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Extracted from EHS Guidelines – Guidelines on conservation and usage of Electricity, water, paper and other office supplies.

5.3 – Paper and other office supplies

Paper for shredding are collected by the janitors and sorted according to type, shred and sold to accredited paper recyclers.

Guidelines on paper conservationIMPROVEIMPROVE

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MONITORING OF DRAFT PAPER(One side could still be used)

For the month: JUNE 1 - 30,2006 Page 1-1

DateNo. of boxes

Name of Staff Location Kgs. DateNo. of boxes

Kgs. Name of Requestor Department

June 2'06 1 R. Romasanta Level-4 10 June 6 '06 6 60 A.Flores OAFA-FMJune 9'06 1 T. Agaceta Level 5 10 June 5 '06 3 30 E. Escalante Security DetachmentJune 13'06 1 A. Consular Level-8 10 3 30 T. Chin OAIS-TRJune 20'06 1 A. Gargar Level-4 10 June 6 '06 3 30 I. Pampusti Level-3June 21'06 1 A. Capili Level-2A 10 June 9'06 2 20 F. Felizardo OAFM-FAJune 22'06 3 E. Mission Level -6 30 2 20 G.G. Graceda CommissaryJune 26'06 3 E. Mission Level-6 30 3 30 T. Chin OAIS-TRJune 27'06 3 E. Mission Level-6 30 June 15'06 10 100 E. Pregillano OAIS-LM

June 20'06 3 30 T. Chin OAIS-TR2 20 N. Martin MMU5 50 T. Chin OAIS - TR3 30 A. Flores OAFA-FM

14 140 45 450

Prepared by: Noted by:

Melanie R. Tenorio Pamela AquinoEGSI Asst. Supervisor Asset. Management OfficerHousekeeping Dept. OAFA-AP

RECOVERED DISTRIBUTED

Sample data – collected draft paperIMPROVEIMPROVE

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Proposed solutionsIMPROVEIMPROVE

Control Factors Issues/Concerns Proposed Solutions (OAFA-AP to coordinate with ISO Secretariat)

Estimated completion

date

Policies/Procedures- unclear guidelines on disposal of confidential ADB documents

Confusing ISO guidelines on discarding ADB documents

Streamline ISO guidelines on discarding ADB documents

September 2006

People/Department- ADB staff- ISO Secretariat

Staff awareness on disposal of confidential documents and ISO’s paper conservation programInformation dissemination

Increase staff awareness through ISO’s program. To enhance ISO’s promotional campaign through ADB today, regular meeting with Department’s ISO Coordinators and posting of attractive promotional materials.Discontinue issuance of portable shredding machine

September2006

Process Incorrect discarding of ADB confidential documents

Some staff are not aware of proper discarding of confidential documents.

Increase staff awareness through ISO’s program.

September 2006

Equipment/Facility- misleading labels of waste bins-unlabelled waste bin

Paper for shredding and paper for reuse are mixed in Black Bin.Defaced waste bins labels

Re-label waste bins. September2006

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Handling of discarded documents

Contractor (EGSI) Contractor (HMR)Dept/Offices

Start

Staff discardsADB documents

With print onboth sides?

Stores for reuse

Issue to staff

End

Sorts(White / Colored)

White?

Segregate

Shred

End

Collects discardeddocuments

From Wooden shredding box or in sealed envelope marked

confidential orfrom portable shredding

machine

Sorts discardeddocuments

Receives/Collectsdiscarded documents

Sorts documentsgathered from black bin

As-is Detailed upstream process

ConfidentialDocuments?

Black Bin(for recycling)

YES

NO

a) Wooden Shredding box stationed at Copy Center:

b) Place in sealed envelope and mark ‘CONFIDENTIAL”before being placed in the black waste bin

c) Use the portable shredding machine

d) Tear the confidential documents

YES

NO

YES

NO

YES

NO

To coordinate the following actions with the ISO Secretariat:A) Streamline ISO guidelines on discarding ADB documents.B) Enhance staff awareness on discarding ADB documents through ISO programs.C) Enhance ISO promotional campaign through ADB today and regular meeting with department’s ISO representative.D) Re-label waste bins

Detailed Process Map – Should beIMPROVEIMPROVE

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Risk Item Probability Impact Risk Level Abatement

Negative reaction of ADB staff to the proposed enhancement of staff awareness on discarding of confidential documents

L M 2 N. A.

ISO Secretariat does not appreciate the idea of streamlining the ISO guidelines on housekeeping and safety at workstation

L M 2 N. A.

No manpower and budget allocation for re-labeling the black waste bins

L M 2 N. A.

ISO Secretariat rejected the idea of enhancing staff awareness on discarding confidential documents and the proposed enhancing of promotional campaign through ADB Today and the regular meeting with Department’s ISO representatives.

L M 2 N. A.

Risk Assessment for improvedDiscarding of confidential documents

IMPROVEIMPROVE

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Level of Commitment OAFA-AP(Process Owner)

ADB Staff EGSI ISO Secretariat

Enthusiastic Support X O X

Help it work O X

Compliant X

Hesitant

Indifferent

Uncooperative

Opposed

Hostile

Stakeholders Analysis forImproved discarding of confidential

documentsIMPROVEIMPROVE

X-current level of commitmentO-level of commitment needed

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CONTROLCONTROL Control and Monitoring –Discarding of confidential documents

Estimated no.of No.of confidential Type of Inspected Date documents inspected documents recovered Documents Dept. Remarks by:

RANDOM SAMPLING

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Random check of Draft paperCONTROLCONTROL

CONFIDENTIAL DOCUMENTS RECOVERED - 1 September - 19 October 2006

Est. # of docs # of confidential

Date inspected docs recovered Documents Dept.

01-Sep-06 500 0

04-Sep-06 1000 0

05-Sep-06 1000 0

06-Sep-06 500 0

07-Sep-06 1000 0

08-Sep-06 500 0

11-Sep-06 1000 1 Personnel Evaluation Sheet COSO

12-Sep-06 500 1 Record of Discussion at Board Meeting - Confidential OSEC

13-Sep-06 500 0

14-Sep-06 1000 2 PER-Barbarra Ericsson SARD

PER-Xiaqin Fan ERMF

15-Sep-06 500 0

18-Sep-06 1000 2 PER-Bruno Carrasco SARD

PER- Jom Brommelhorster SARD

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19-Sep-06 500 1 Proposed Reopeining of ADB's A$500 Millon 6.25% Notes TD

20-Sep-06 1000 2 Performance -Based allocation of ADF Resources -Conf. POHQ

Analysis of Suspense Account -Staff Travel CTL

21-Sep-06 500 2 Loan No. 1738-PRC Chongqing_Guizhou- Amoritzation SccheduleCTL

Transaction Advice-OCR discretionary liquidity w/bank details TD

22-Sep-06 1000 3 Sale of Security -Citigroup Global Market to ADB (w/Security ID)TD

Purchase of Security -Citigroup Global Market to ADB (w/Security ID)TD

Trade Confirmation with trade details, amt in Dollar, security ID,etcTD

25-Sep-06 500 2 Daily Cash Flow TD

Trade confirmation - UBS Warburg,Singapore TD

26-Sep-06 500 1 Trust Funds/Grants Porfolio TD

27-Sep-06 1000 3 Unaudited report of MWSS conducted by SERD SERD


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Business travel Request & Authorization OAIS

Preparing the work program & Budget Framework 2006 -

2008 OPR

29-Sep-06 500 2 Withdrawal Application - Lao People Democratic Republic CTL

Statement of Expenditures - ADB Loan No. 1295/Lao CTL

02-Oct-06 500 0

03-Oct-06 500 2 List of Participants - Multi Country working Group OTHER

PER-End of Probation - Kaari Saari SERD

04-Oct-06 500 0

05-Oct-06 1000 1Revised amortization Schedule - Loan 1042PHI-16th

Power OTHER

06-Oct-06 500 1Development Status (Extension of deadline for voting of

Gov.) BOD

09-Oct-06 1000 0


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10-Oct-06 500 0

11-Oct-06 500 2 Business travel Request & Authorization - Limandibrata, Juan TDFD

Mission Authorization request - Shakeel Ahmad Khan SASS

12-Oct-06 500 0

13-Oct-06 1000 2 Travel information system, Travel Itenerary - Nimfa delos reyesECID

TDID Daily Cash Position - Port. Manager - Y. Nishimiya TD

16-Oct-06 500 1 Outstanding Consultant Performance SEGF

17-Oct-06 500 1 Buy & Sell back Transaction w/details (ADB & Deusche Bank) TD

18-Oct-06 500 0

19-Oct-06 500 0

Total 23000 32


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Disposal of confidential documents

To ensure confidentiality of documents, staff members are encouraged to tear or shred confidential papers. You may also put documents for shredding in a sealed envelope labeled "confidential" or "for shredding" and place in black trash bins or in wooden boxes marked 'for shredding' in copy centers near your offices. Nestor Martin, 4214

Thursday, 19 October 2006

ADB Today AnnouncementCONTROLCONTROL

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As-is Process Improved Process

Estimated no.of docs. Inspected 15000 23000

No.of Confidential documents recovered 45 32

Calculation results

DPMO (%) 3000 1391

Yield (%) 99.7 99.86

Process Sigma 4.25 4.49

PROCESS SIGMA

Process SigmaCONTROLCONTROL

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Financial Benefits

HARD and SOFT SAVINGS

Hard Savings – 20 units of Portable Shredding Machine @ US$190.00 = US$3,800.00 Soft Savings – discarding of confidential documents are handled correctly in view of the potential damage that it could cause in the wrong hands.

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Estimated Time line

D DEFINE - July

M MEASURE - August

A ANALYZE - September

I IMPROVE - September

C CONTROL - October