FY 02 ASA Presentation Provide Administrative Support 2

FY 02 ASA Presentation Provide Administrative Support (2) Presented by: Genia Bohrer Office of Research Services National Institutes of Health 18 November 2002 1

Table of Contents Main Presentation ASA Template ………………………………. . 4 Customer Perspective………………. . 5 Customer Segmentation …………………. . 7 Customer Satisfaction…………………. 13 Unique Customer Measures…………………. . 16 Internal Business Process Perspective…………………. 21 Service Group Block Diagram…………………………. 22 Process Measures………………………………… 24 Learning and Growth Perspective……………………. . 32 Conclusions from Turnover, Sick Leave, Awards, EEO/ER/ADR Data……… 33 Analysis of Readiness Conclusions………………………. . . 34 Financial Perspective……………………………. . . 35 Unit Cost………………………………………. 36 Asset Utilization…………………………………. 37 Conclusions and Recommendations……………………. 38 Recommendations………………………………… 41 2

Table of Contents Appendices 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 3

4

Customer Perspective 5

Customer Perspective 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 ORS Customer 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 6

Customer Perspective Customer Objective & Measures Objectives: Measures: Increase Understanding of Customer Base Customer Segmentation of DS: 1, 2, 5, & 7 Increase Customer Satisfaction Ratings from the ORS Customer 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 Perspective DS 1: Develop ORS Policies and Procedures Objective: Increase Understanding of Customer Base Presentations Manuscripts Measure: Customer Segmentation 8

Customer Perspective DS # 2: Handle Ethic Issues Objective: Increase Understanding of Customer Base Ethics Issues by Offices/Divisions OGE 450 Filers Measure: Customer Segmentation 9

Customer Perspective DS # 5: Conduct and Coordinate Administrative Reviews Objective: Increase Understanding of Customer Base Management Control Reviews 1/3 1/3 Measure: Customer Segmentation 10

Customer Perspective DS # 7: Respond to FOIA and Privacy Act Requests Objective: Increase Understanding of Customer Base FOIA Requestors Privacy Act Requestors Measure: Customer Segmentation 11

Customer Perspective DS # 7: Respond to FOIA and Privacy Act Requests Objective: Increase Understanding of Customer Base FOIA by Offices/Divisions Privacy Act by Offices/Divisions Measure: Customer Segmentation 12

Customer Perspective Customer Objective & Measures Objectives: Measures: Increase Understanding of Customer Base Customer Segmentations of DS: 1, 2, 5, & 7 Increase Customer Satisfaction Ratings from the ORS Customer 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 Sample Survey of Contact on ORS-wide Divisions/Offices Rating us as Administrative Processes a Single Source 13

Customer Perspective DS # 2: Handle Ethic Issues Objective: Increase Customer Satisfaction Measure: Ratings from the ORS Customer Scorecard 14

Customer Perspective DS # 2: Handle Ethic Issues Objective: Increase Customer Satisfaction Competence Measure: Ratings from the ORS Customer Scorecard 15

Customer Perspective Customer Objective & Measures Objectives: Measures: Increase Understanding of Customer Base Customer Segmentations of DS: 1, 2, 5, & 7 Increase Customer Satisfaction Ratings from the ORS Customer 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 16

Customer Perspective DS # 2: Handle Ethic Issues Objective: Increase Compliance with Ethics Regulations/Policies New Employee (EOD) Training by Offices/Divisions Target for FY 03 Measure: Small Group Training 17

Customer Perspective DS # 2: Handle Ethic Issues Objective: Increase Compliance with Ethics Regulations/Policies *321 OGE 450 filers: Computer-based Training by Module (See Appendices for Definition of Modules) Target for FY 03 Increase computer-based Training by 5% of non OGE 450 Filers *The 321 OGE 450 Filers are able to take more than one Module Measure: Computer-based Training 18

Customer Perspective Customer Objective & Measures Objectives: Measures: Increase Understanding of Customer Base Customer Segmentations of DS: 1, 2, 5, & 7 Increase Customer Satisfaction Ratings from the ORS Customer 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 19

Customer Perspective Objective: Serve as a Single Source Contact for our Discrete Services Inquiries Received by Offices/Divisions for a 2 Month Period Inquiries Received by Topic for a 2 Month Period Measure: Sample Survey of Offices/Divisions Using our Services (Presumably as a Single Source) 20

Internal Business Process Perspective • Increase Understanding of Processes • Identify Methods to Measure Processes 21

Internal Business Process Perspective Service Group Block Diagram: Provides Administrative Support 22

Internal Business Process Perspective Performance Objective and Measure for the Discrete Service DS: Objective: Measure: DS 1 Improve Revision Process Track Number of Revisions for NIH/ORS Policies DS 2 Increase Employee Knowledge and Awareness of Ethic Issues Before Policy is Submitted in Final Format to OMA Track Number of Employees Trained in Ethics Awareness and Measure Retention DS 5 Develop Baseline Data on Track Number of Policies Management Controls Up-to-Date DS 7 Increase FOIA Awareness Track Response Time to Measure Adherence to FOIA Regulation 23

Internal Business Process Perspective Performance Objective and Measure for the Discrete Service DS: Objective: Measure: DS 1 Improve Revision Track Number of Revisions Before Policy is Submitted in Final Format to OMA DS 2 Increase Employee Track Number of Employees Trained in Ethics Awareness and Measure Retention DS 5 Develop Baseline Data Track Number of Policies Upto-Date DS 7 Increase FOIA Track Response Time to Measure Adherence to FOIA Regulation Process for NIH/ORS Policies Knowledge and Awareness of Ethic Issues on Management Controls Awareness 24

Internal Business Process Perspective Objective: Improve Revision Process for NIH/ORS Policies • FY 03 New Measure: Track Number of Revisions Before Policy is Submitted in Final Format to OMA 25

Internal Business Process Perspective Performance Objective and Measure for the Discrete Service DS: Objective: Measure: DS 1 Improve Revision Track Number of Revisions Before Policy is Submitted in Final Format to OMA DS 2 Increase Employee Track Number of Employees Trained in Ethics Awareness and Measure Retention DS 5 Develop Baseline Data Track Number of Policies Upto-Date DS 7 Increase FOIA Track Response Time to Measure Adherence to FOIA Regulation Process for NIH/ORS Policies Knowledge and Awareness of Ethic Issues on Management Controls Awareness 26

Internal Business Process Perspective Objective: Increase Employee Knowledge and Awareness of Ethic Issues New Employees (EOD) Training: Target for FY 03 Computer-based Training: Target for FY 03 Increase computer-based Training by 5% of non OGE 450 Filers Measure: Track Number of Employees Trained in Ethics Awareness and Measure Retention 27

Internal Business Process Perspective Performance Objective and Measure for the Discrete Service DS: Objective: Measure: DS 1 Improve Revision Track Number of Revisions Before Policy is Submitted in Final Format to OMA DS 2 Increase Employee Track Number of Employees Trained in Ethics Awareness and Measure Retention DS 5 Develop Baseline Data Track Number of Policies Upto-Date DS 7 Increase FOIA Track Response Time to Measure Adherence to FOIA Regulation 28 Process for NIH/ORS Policies Knowledge and Awareness of Ethic Issues on Management Controls Awareness

Internal Business Process Perspective Objective: Develop Baseline Data on Management Controls • FY 03 New Measure: Track Number of Policies Up-to-Date and Analyze Effectiveness of Management Controls Associated with them 29

Internal Business Process Perspective Performance Objective and Measure for the Discrete Service DS: Objective: DS 1 Improve Revision Measure: DS 2 Increase Employee Track Number of Employees Trained in Ethics Awareness and Measure Retention DS 5 Develop Baseline Data Track Number of Policies Upto-Date DS 7 Increase FOIA Track Response Time to Measure Adherence to FOIA Regulation 30 Process for NIH/ORS Policies Knowledge and Awareness of Ethic Issues on Management Controls Awareness Track Number of Revisions Before Policy is Submitted in Final Format to OMA

Internal Business Process Perspective DS 7: Respond to FOIA Requests Objective: Increase FOIA Awareness Response Time to FOIA’s Each Color Represents a Single FOIA 27 < 50 Days 10 > 50 Days 2 > 100 Days There a Total of 39 FOIA’s for FY 02 Response Time in Days Measure: Track Response Time to Measure Adherence to FOIA Regulation 31

Learning and Growth Perspective • Enhance Quality of Work Life for Employees in ORS • Maintain and Enhance Competencies for the Future Organization 32

Learning and Growth Perspective • Zero Turnover • Appropriate Amount of Sick Leave Used • Every Employee Received an Award • No EEO Complaints, ER Cases, or ADR Cases 33

Learning and Growth Perspective Analysis of Readiness Conclusions • 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 34

Financial Perspective 35

Financial Perspective Unit Cost Measures • 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 36

Financial Perspective Asset Utilization Measures Discrete Service: DS 1: Develop ORS Policies & Procedures Utilization Rate: 98% DS 2: Handle Ethics Issues 117% DS 5: Conduct and Coordinate Administrative Reviews 151% DS 7: Respond to FOIA & Privacy Act Requests 115% 37

Conclusions and Recommendations 38

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 39

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 40

Conclusions and Recommendations 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 41

Conclusions and 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 42

Appendices 43

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 44

Appendices Page 2 of ASA Template 45

Appendices Customer Segments Graphs Presentations Ethics Manuscripts FY 02 450 Filers 46

Appendices Customer Segments Graphs Management Control Reviews 1/3 FOIA Requestors 1/3 Privacy Act Requestors FOIA by Division 47

Appendices Customer Segments Graphs Privacy Act by Division Small Group Training 48

Appendices Customer Segments Graphs Computer Base Training Inquiries by Division Inquiries by Topic 49

Appendices Customer Satisfaction Graph Competence 50

Appendices Block Diagram 51

Appendices Process Maps 52

Appendices Process Maps 53

Appendices Process Maps 54

Appendices Process Maps 55

Appendices Learning and Growth Graphs 56

Appendices Learning and Growth Graphs Service Group Turnover Rate (Oct 2001 - June 2002) 57

Appendices Learning and Growth Graphs Service Group Sick Leave Used (Oct 2001 - June 2002) 58

Appendices Learning and Growth Graphs Service Group Awards (Oct 2001 - June 2002) 59

Appendices Learning and Growth Graphs Service Group EEO Complaints (Oct 2001 - June 2002) 60

Appendices Learning and Growth Graphs Service Group ER Cases (Oct 2001 - June 2002) 61

Appendices Learning and Growth Graphs Service Group ADR Cases (Oct 2001 - June 2002) 62

Appendices Asset Utilization Graphs 63

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 64