1 FY02 ASA Presentation Provide Administrative Support (2) Presented by: Genia Bohrer Office of Research Services National Institutes of Health 18 November

1

FY02 ASA Presentation

Provide Administrative Support (2)

Presented by: Genia Bohrer

Office of Research ServicesNational Institutes of Health

18 November 2002

2

Table of Contents

Main PresentationASA Template ……………………………….………………………………..4Customer Perspective……………………….………………………………..5

Customer Segmentation …………………….……………………………………..7Customer Satisfaction……………………….…………………………………….13Unique Customer Measures………………….…………………………………..16

Internal Business Process Perspective…………………………………….21Service Group Block Diagram…………………………………………………….22Process Measures…………………………………………………………………24

Learning and Growth Perspective…………………………………………..32Conclusions from Turnover, Sick Leave, Awards, EEO/ER/ADR Data………33Analysis of Readiness Conclusions……………………………………………...34

Financial Perspective………………………………………………………...35Unit Cost…………………………………………………………………………….36Asset Utilization…………………………………………………………………….37

Conclusions and Recommendations……………………………………….38Recommendations…………………………………………………………………41

3

Table of Contents

AppendicesPage 2 of your ASA Template

Customer segments graphs

Customer satisfaction graphs

Block diagram

Process maps

Learning and Growth graphs

Analysis of Readiness Information

Asset Utilization Graphs

Unique Measures

4

ASA Template - 2002Service Group Provide Administrative SupportDiscrete ServicesDS1: Develop ORS policies and proceduresDS2: Handle ethics issuesDS5: Conduct and coordinate administrative reviews

Customer Value PropositionServe as the ORS single source to provide sound timely advice and guidance to effectively and efficiently ensure consistency and to comply with applicable laws and regulations to protect employees, ORS, and NIH from administrative sanctions or criminal penalties, loss of credibility, and possible loss of funding.

DS7: Respond to FOIA and Privacy Act Requests

Service Strategy Operational Excellence Growth Customer Intimacy Sustain

Chanta Gilliam, Irene Hangemanole, and Kimberly Pastora

Product Leadership HarvestTeam Leader Genia Bohrer Team Members

X

X

5

Customer Perspective

6


Customer Objective & Measures

Objectives: Measures:

Increase Understanding of Customer Base

Customer Segmentation of the Discrete Services (DS): 1, 2, 5, & 7

Increase Customer Satisfaction

Ratings from the ORSCustomer Scorecard for DS 2

Increase Compliance with Ethics Regulations/Policies

Small Group Training & Computer-based Training for

DS 2

Serve as the Single Source of Contact on ORS-wide Administrative Processes

Sample Survey of Divisions/Offices Rating us as a Single Source

7





Customer Segmentation of DS: 1, 2, 5, & 7




Small Group Training & Computer-based Training for DS 2



8

Customer Perspective DS 1: Develop ORS Policies and Procedures

Objective: Increase Understanding of Customer

Base

46%

38%

13%3%

OD DIRS DES DBEPS

Presentations

Measure: Customer Segmentation

Manuscripts

44%

27%

15%

12% 2%

OD DIRS DS DBEPS DES

9

Customer Perspective DS # 2: Handle Ethic Issues

Objective: Increase Understanding of Customer Base

41%

28%

15%

7%

2%

5%

2%

OD DIRS DES DS DPS DSS DBEPS

Ethics Issues by Offices/Divisions


43%

18%

12%

10%

8%

7% 2%

DES DIRS OD DS DPS DSS DBEPS

OGE 450 Filers

10

Customer Perspective DS # 5: Conduct and Coordinate Administrative Reviews



ORS OMA IG

Management Control Reviews

1/3 1/3

1/3

11

Customer Perspective DS # 7: Respond to FOIA and Privacy Act Requests


44%

32%

24%

Corporations Law Firms Individuals


FOIA Requestors

100%

0%

0%

Individual Corporations Law Firms

Privacy Act Requestors

12

Customer Perspective DS # 7: Respond to FOIA and Privacy Act Requests


29%

25%13%

13%

10%

10%

OAS DPS OD DS DES DIRS


FOIA by Offices/Divisions

100%

DPS

Privacy Act by Offices/Divisions

13


Customer Objective & MeasuresObjectives: Measures:


Customer Segmentations of DS: 1, 2, 5, & 7







14


Objective: Increase Customer Satisfaction

6.00

6.20

6.40

6.60

6.80

7.00

7.20

7.40

7.60

7.80

8.00

8.20

8.40

8.60

8.80

9.00

9.20

9.40

9.60

9.80

10.00

6.00 6.20 6.40 6.60 6.80 7.00 7.20 7.40 7.60 7.80 8.00 8.20 8.40 8.60 8.80 9.00 9.20 9.40 9.60 9.80 10.00

Satisfaction

Imp

ort

an

ce

SATISFIED,IMPORTANT

Cost

Convenience

Responsiveness

Availability

Handling of ProblemsCompetence

Quality

Timeliness

Reliability

Data based on 12 respondents

Measure: Ratings from the ORS Customer Scorecard

15


Objective: Increase Customer Satisfaction

1.00

2.00

3.00

4.00

5.00

6.00

7.00

8.00

9.00

10.00

1.00 2.00 3.00 4.00 5.00 6.00 7.00 8.00 9.00 10.00

Satisfaction

Impo

rtan

ce NOT SATISFIED, IMPORTANT

NOT SATISIFIED, NOT IMPORTANT

SATISFIED,IMPORTANT

SATISFIED, NOT IMPORTANT


Competence

Measure: Ratings from the ORS Customer Scorecard

16







Ratings from the ORS Customer Scorecard for DS 2





17


Objective: Increase Compliance with EthicsRegulations/Policies

New Employee (EOD) Training by Offices/Divisions Target for FY03

Measure: Small Group Training

159

84

27

16

13

11

6

1

1

0 50 100 150 200

Total

DPS

DIRS

DES

OD

DS

DBEPS

DSS

OAS

167

159

155 160 165 170

Target forFY03

Total for FY02

18


Objective: Increase Compliance with Ethics

Regulations/Policies *321 OGE 450 filers: Computer-based Training by Module (See Appendices for Definition of Modules)

Measure: Computer-based Training

311

120

85

59

48

31

28

76

0 50 100 150 200 250 300 350

Module 7

Module 1

Module 5

Module 4

Module 2

Module 3

Module 6

Module 8

*The 321 OGE 450 Filers are able to take more than one Module

Target for FY03

Increase computer-based Training by 5% of non OGE 450 Filers

19







Ratings from the ORS Customer Scorecard for DS 2





20


Objective: Serve as a Single Source Contact for our Discrete Services

175

37

32

25

23

23

12

10

10

3

0 50 100 150 200

Total

DIRS

OD

OAS

DES

DS

DSS

DBEPS

DPS

OMA

175

77

70

22

6

0 50 100 150 200

Total

Ethics

Policies

FOIA

AdministrativeReviews

Measure: Sample Survey of Offices/Divisions Using our Services (Presumably as a Single Source)

Inquiries Received by Offices/Divisions for a 2 Month Period

Inquiries Received by Topic for a 2 Month Period

21

Internal Business Process Perspective

• Increase Understanding of Processes

• Identify Methods to Measure Processes

22

Service Group Block Diagram: Provides Administrative Support

DISCRETESERVICES

RECEIVEREQUEST

OR INQUIRY

RESPONDTO REQUESTOR INQUIRY

FOLLOW-UPAS NECESSARY

SUBMIT FORAPPROPRIATE

APPROVALS/SIGNATURES


23


Performance Objective and Measure for the Discrete Service

DS: Objective: Measure:

DS 1 Improve Revision Process for NIH/ORS Policies

Track Number of Revisions Before Policy is Submitted in Final Format to OMA

DS 2 Increase Employee Knowledge and Awareness of Ethic Issues

Track Number of Employees Trained in Ethics Awareness and Measure Retention

DS 5 Develop Baseline Data on Management Controls

Track Number of Policies Up-to-Date

DS 7 Increase FOIA Awareness Track Response Time to Measure Adherence to FOIA Regulation

24










DS 7 Increase FOIA Awareness

Track Response Time to Measure Adherence to FOIA Regulation

25


Objective: Improve Revision Process for NIH/ORS Policies

• FY03 New Measure: Track Number of Revisions Before Policy is Submitted in Final Format to OMA

26












27


Objective: Increase Employee Knowledge and Awareness of Ethic Issues

New Employees (EOD) Training: Target for FY03

Measure: Track Number of Employees Trained in Ethics Awareness and Measure Retention

167

159

155 160 165 170

Target for FY03

Total Trainedin FY 02

Computer-based Training: Target for FY03

Increase computer-based Training by 5% of non OGE 450 Filers

28












29


Objective: Develop Baseline Data on Management Controls

• FY03 New Measure: Track Number of Policies Up-to-Date and Analyze Effectiveness of Management Controls Associated with them

30












31

Internal Business Process PerspectiveDS 7: Respond to FOIA Requests

Objective: Increase FOIA Awareness

0 50 100 150

27 < 50 Days

10 > 50 Days

2 > 100 Days

Response Time to FOIA’s

Measure: Track Response Time to Measure Adherence to FOIA Regulation

Each Color Represents a Single FOIA

There are a Total of 39 FOIA’s for FY02

Response Time in Days

32

Learning and Growth Perspective

• Enhance Quality of Work Life for Employees in ORS

• Maintain and Enhance Competencies for the Future Organization

33


• Zero Turnover

• Appropriate Amount of Sick Leave Used

• Every Employee Received an Award

• No EEO Complaints, ER Cases, or ADR Cases

34

• Need to Increase Service Supply to Meet New Demand

• Introduce/Adopt New Workflow Technology Including Document Scanning and Image Management (to Improve Performance by Optimizing Individual Efforts)

• Assess Current Employee Skills Against Current and Future Office Needs, Prepare Gap Analysis and Develop Annual Training Plan

• Take Advantage of Free Government Training in Ethics and Other Areas

• Utilize Contracting Opportunities: Use Outside Contractors for Training Coordination Efforts and for Technology Improvements


Analysis of Readiness Conclusions

35

Financial Perspective

36

• DS 1: Develop ORS Policies and Procedures

Unit Cost: Approximately $297

• DS 2: Handle Ethics Issues

Unit Cost: Approximately $68 Per ORS Employee Per Year

• DS 5: Conduct and Coordinate Administrative Reviews

Unit Cost: Approximately $340 Per Review

• DS 7: Respond to FOIA and Privacy Act Requests

Unit Cost: Approximately $36 Per FOIA


Unit Cost Measures

37


Asset Utilization Measures

Discrete Service: Utilization Rate:

DS 1: Develop ORS Policies & Procedures 98%

DS 2: Handle Ethics Issues 117%

DS 5: Conduct and Coordinate Administrative Reviews

151%

DS 7: Respond to FOIA & Privacy Act Requests

115%

38

Conclusions and Recommendations

39

Conclusions and Recommendations Conclusions: Good News

We have Proven that we are Effective & Efficient:

• Our Customers Indicated on our Score Card for Discrete Service #2 (Ethic Issues) that our Services are Important to them and they are Satisfied. We had a Particularly High Vote of Confidence in our Competence.

• Our Employees have not Experienced any Administrative Sanctions or Criminal Penalties as a Result of Non Compliance to Applicable Laws and Regulations

• ORS has not Lost Credibility or Funding as a Result of Non Compliance to Applicable Laws and Regulations

40

Conclusions and Recommendations Opportunities for Improvement

• Increase Document Tracking Time to Measure Efficiency of Processes

• Utilize OQM Resources to Develop Performance Management Systems

• Ensure Complete Cooperation from Entire Team and Measure Performance

41

Team Plans to Implement Change:

• Documentation (Tracking Efforts)

• Update Discrete Services to Account for Other Functions in Addition to our Current Discrete Services:

• Reorganizations• Records Management• Other initiatives: Employee Suggestions, Telework and

Plain Language

Conclusions and Recommendations Recommendations

42

Conclusions and Recommendations

Recommendations

• Obtain Necessary Resources (Contractual Support, Technology, and/or FTE)

• One Consultant for the Entire ASA Process

• Raised the Bar on Staff Expectations and Improved Cohesive Relationships with our Customers

• Team Building

43

Appendices

44

Appendices

• Include the following:

• Page 2 of your ASA Template• Customer segments graphs • Customer satisfaction graphs• Block diagram• Process maps• Learning and Growth graphs• Analysis of Readiness Information • Asset utilization graphs• Unique measures graphs

45

Appendices

Page 2 of ASA Template

Actual assets utilized/planned asset utilization for each Discrete Service

Analysis of Readiness Index

Minimize effort of staff time in property mgmt. Staff time spent per accountable item.

Maximize utilization of assets.


Maintain & enhance competencies for the future organization.

Minimize unit cost at a defined service level.

Performance Objective

Change in Unit Cost for each Discrete Service

Serve as the single source of contact on ORS-wide administrative processes.

2 month sample survey of offices/divisions using our services (presumably as a single source)

Customer PerspectivePerformance Measure

Customer satisfaction ratings from the ORS Customer Scorecard for each Discrete Service

Increase compliance with ethics regulations/policies.


Service Group: Provide Administrative Support


Increase customer satisfaction.

Increase understanding of processes.

Identify methods to measure processes.

Customer segmentation of Discrete Services

Small group training & computer-based training

DS7: track response time to measure adherence to FOIA regulation

DS1: Track number of revisions before policy is submitted in final format to OMA

Performance MeasureInternal Business Process Perspective

Complete process maps of Service Group/Discrete Services

Identify and report on process measures for Discrete Services

Increase understanding of customer base.

DS1: Improve revision process for NIH/ORS policies.

Performance Measure

Contacts/Complaints with EEO/ER/ADR

Enhance quality of work life for employees in ORS.

Sick Leave Usage

Turnover

DS5: Track umber of policies up-to-date.


Awards/Recognition

DS7: Increase FOIA awareness

Learning and Growth PerspectivePerformance Measure

DS5: Develop baseline data on mgmt. controls.

DS2: Track no. of employees trained in ethics awareness and measure retention.DS2: Increasing employees knowledge and awareness of ethics issues.

46

Appendices

Customer Segments Graphs

46%

38%

13%3%

OD DIRS DES DBEPS

44%

27%

15%

12% 2%

OD DIRS DS DBEPS DES

Presentations

Manuscripts

41%

28%

15%

7%

2%

5%

2%

OD DIRS DES DS DPS DSS DBEPS

Ethics

43%

18%

12%

10%

8%7%2%

DES DIRS OD DS DPS DSS DBEPS

FY 02450 Filers

47

Appendices


44%

32%

24%

Corporations Law Firms Individuals

FOIA Requestors

100%

0%

0%

Individual Corporations Law Firms

Privacy Act Requestors

29%

25%13%

13%

10%

10%

OAS DPS OD DS DES DIRS

FOIA by Division

ORS OMA IG

Management ControlReviews

1/3 1/3

1/3

48

Appendices


100%

DPS

Privacy Act byDivision

159

84

27

16

13

11

6

1

1

0 50 100 150 200

Total

DPS

DIRS

DES

OD

DS

DBEPS

DSS

OASSmall Group Training

49

Appendices


311

120

85

59

48

31

28

76

0 100 200 300 400

Module 7

Module 1

Module 5

Module 4

Module 2

Module 3

Module 6

Module 8Computer Base Training

175

37

32

25

23

23

12

10

10

3

0 50 100 150 200

Total

DIRS

OD

OAS

DES

DS

DSS

DBEPS

DPS

OMA

175

77

70

22

6

0 50 100 150 200

Total

Ethics

Policies

FOIA

AdministrativeReviews

Inquiries by Division

Inquiries by Topic

50

Appendices

Customer Satisfaction Graph

1.00

2.00

3.00

4.00

5.00

6.00

7.00

8.00

9.00

10.00

1.00 2.00 3.00 4.00 5.00 6.00 7.00 8.00 9.00 10.00

Satisfaction

Impo

rtan

ce NOT SATISFIED, IMPORTANT

NOT SATISIFIED, NOT IMPORTANT

SATISFIED,IMPORTANT

SATISFIED, NOT IMPORTANT


Competence

51

Appendices

Block Diagram

DISCRETESERVICES

RECEIVEREQUEST

OR INQUIRY

RESPONDTO REQUESTOR INQUIRY

FOLLOW-UPAS NECESSARY

SUBMIT FORAPPROPRIATE

APPROVALS/SIGNATURES

52

Appendices

Process Maps

Employee Program AO MARBDivision AO Division Director Senior AO ADRS

ReceiveRequest

andReviews

ReceiveRequest

and Checks forAccuracy andCompleteness

Receive andReview Requestand Approves

Receive andReview Request

GeneratesEthics and

348 Requests

FinalApproval

InformationAppropriate?

Yes

No

Forwardsto DIRSAO for

Corrections

Return toEmployee

forCorrection

s

Reviewand Make

Corrections

Receives andEnsures Corrections

are Complete

Receives FinalApproval and

Sends to Employee

ReceivesResponse

ReceivesRequest and

Reviews Errors

ReviewsRequest

CorrectsRequest

Receives andReviews Requestfor Final Approval

If 348,Forward toSenior AO

Reviewsand

Forwards

Receives andReviewsRequest



Ethics and 348 Requests

Key

Start or End Step

Action Step

Decision Point

Communication, coordination,cooperation

53

Appendices

Process Maps

RequestorOffice of

General CounselNIH

FOIA Office MARB Division Directors Appropriate Division Staff

ReceiveRequestor Inquiry

Review/ReadFOIA

Request

No

Yes

Enter intoQ3270 Database

Enter MARB Log(Database)

Prepare andSend Interim

Letter toRequestor

Prepare andSend Division

Letter forFOIA Response

Receives FOIARequest andAssigns toAppropriate

Division Staff

Set up Tickler forFollow-up fromDivision - Due

Date

Gather Informationby Deadline or

Request anExtension

A

FOIA Request(Page 1 of 2)

GenerateRequest

GenerateRequest

FOIARequest?

Privacy ActImplications?

No Yes

54

Appendices

Process MapsORS Policy and Procedures

Determine Needto Establish an

ORS Policy

Research toSee if an ORSPolicy Exists

ORSPolicyExists?

DevelopStandardOperating

Procedures

No

YesAssist MARBin Developing

ORS Draft PolicyDevelop

ORSDraft Policy

ReceiveComments

Regarding ORSDraft Policy

Review andComment on

ORS DraftPolicy/SOP

Review andComment on

ORS DraftPolicy/SOP

IncorporateComments

for Finalization

ReviewFinalized

ORS Policy/SOP

Review andApprove FinalizedORS Policy/SOP

Distribution toDivisions andAdd to ORS

Policy Website

Receive NewORS Policy

Start or EndStep

ActionStep

Key

DecisionPoint

Communication,coordination,cooperation

ADRSDeputy DirectorMARBORS Divisions

55

Appendices

Process Maps

Initiating Office

ResponsibleManagement Reviewer(Functional Assurance) MARB ADRS

Conduct and Coordinate Administrative Reviews -- ORS Policies

Initiates Policy

Review Policyand Management

Controls forCompliance

Conduct Reviewand Prepare

Report

Compliance ?Reviews, Accepts,

Initials, andReturns for Filing

DevelopRecommendations

for Compliance

Yes

No

STOP

ReviewRecommendations

for Compliance

Send NewRecommendations(MCRS) to ADRS

Review andForward to MARB

for Follow-up

Final Approvalof Recommendations

STOP

KEY

Decision Point

Start and End Step

Communication, coordination,cooperation

Action Step

56

Appendices

Learning and Growth GraphsP

opul

atio

n E

stim

ate

No.

of S

epar

atio

ns

Turn

over

Rat

eTo

tal H

ours

of S

ick

Leav

e U

sed

Ave

rage

Hou

rs o

f

Sic

k Le

ave

Use

d

Num

ber o

f Aw

ards

Rec

eive

dA

vera

ge N

umbe

r of

Aw

ards

Rec

eive

d

Num

ber o

f EE

O

Com

plai

nts

Ave

rage

Num

ber o

f

EE

O C

ompl

aint

s

Num

ber o

f ER

Cas

es

Ave

rage

Num

ber o

f

ER

Cas

esN

umbe

r of A

DR

C

ases

Ave

rage

Num

ber o

f

AD

R C

ases

5121 5 1 0.21 117 25 8 1.71 0 0.00 0 0.00 0 0.0051214 2 0 0.00 73 37 1 0.50 0 0.00 0 0.00 0 0.00

Service Group 42

Total7 1 0.15 190 29 9 1.35 0 0.00 0 0.00 0 0.00

57

Appendices

Learning and Growth Graphs Service Group Turnover Rate (Oct 2001 - June 2002)

0.00

0.05

0.10

0.15

0.20

0.25

0.30

0.35

12 16 21 30 27 20 42 13 41 3 24 23 7 18 1 2 10 11 17 31 26 25 40 28 37 29 33 39 5 32 36 38 4 8 9 14 15 19 34 35 43

58

Appendices

Learning and Growth Graphs Service Group Sick Leave Used (Oct 2001 - June 2002)

0

10

20

30

40

50

60

70

80

14 3 9 31 8 17 43 38 36 33 41 12 30 32 28 18 29 21 39 20 16 24 27 40 35 5 23 42 19 4 34 15 37 25 26 1 2 10 11 13 7

59

Appendices

Learning and Growth Graphs Service Group Awards (Oct 2001 - June 2002)

0.00

0.50

1.00

1.50

2.00

2.50

3.00

3.50

4.00

4.50

9 43 1 2 10 11 40 42 7 41 12 4 5 28 39 35 32 33 8 15 36 38 34 37 29 17 14 31 16 30 19 18 13 20 21 3 24 26 25 23 27

60

Appendices

Learning and Growth Graphs Service Group EEO Complaints (Oct 2001 - June 2002)

0.00

0.01

0.02

0.03

0.04

0.05

0.06

0.07

20 7 26 38 36 1 2 3 4 5 8 9 10 11 12 13 14 15 16 17 18 19 21 23 25 27 28 29 30 31 32 33 34 35 37 39 40 41 42 43

61

Appendices

Learning and Growth Graphs Service Group ER Cases (Oct 2001 - June 2002)

0.00

0.01

0.02

0.03

0.04

0.05

0.06

0.07

20 8 33 34 7 31 26 25 38 36 32 5 1 2 3 4 9 10 11 12 13 14 15 16 17 18 19 21 23 24 27 28 29 30 35 37 39 40 41 42 43

62

Appendices

Learning and Growth Graphs Service Group ADR Cases (Oct 2001 - June 2002)

0.00

0.05

0.10

0.15

0.20

0.25

7 9 30 24 33 34 3 23 26 25 5 20 21 31 29 39 28 32 36 16 38 1 2 4 8 10 11 12 13 14 15 17 18 19 27 35 37 40 41 42 43

63

Appendices

Asset Utilization Graphs

Names Genia Kimberly Chanta Charles Total DS AvailableDifferentialUtilization UtilizationHours 2080 340 2080 2080 6580Available 1880 306 1880 1880 5946Non-Esse 150Net Before Ot 1730Net Avail 2928 306 1880 1880 6994Overtime 1198 0 0 0 1198Total WOT 8192Utilization 0.17 117%

Discrete Service Utilization RateDS1: Develop ORS Policies & Procedures173 470 643 658 (15) -0.02 98%DS2: Handle Ethics Issues1983 752 470 3205 2726 479 0.18 117%DS5: Conduct and Coordinate Admin Reviews386 470 856 564 292 0.52 151%DS7:Respond to FOIA & Privacy Act Requests386 306 1128 470 2290 1998 292 0.15 115%Total 2928 306 1880 1880 6994

64

Appendices

Unique Measure: Ethics – Computer-based Training

See Page 18

Definition of Modules:• Module 1: Official Duty Activities & Outside Activities• Module 2: Procurement Activity• Module 3: Seeking Other Employment & Post-employment

Restrictions• Module 4: Gifts from Outside Sources• Module 5: Misuse of Position• Module 6: Hatch Act Political Activity• Module 7: Gifts Between Employees• Module 8: Intramural/Extramural Collaboration

Documents

1 FY02 ASA Presentation Provide Administrative Support (2) Presented by: Genia Bohrer Office of Research Services National Institutes of Health 18 November