Improving Form 462 Collection Process Reports and Evaluation Division Project Initiation Date: 2/28/18 Phase 1 Project End Date: 9/30/18

Form 462 Overview Pre-complaint and formal-complaint data collected annually from federal agencies Collects data across on the following data: Counselings and Investigations Formal Complaints, Settlements, and Findings EEO Staff Training Agency ADR activity for both informal and formal complaints Complaint closures Consists of over 4,000 pieces of agency level data

Our Current 462 Collection Process

Statement of the Problem Problem/Goal Statement Financial Impact Problem: RED staff and agency stakeholders are burdened with rework during the Form 462 data collection process. Rework suggests high errors in the collection process and threatens timeliness. Goals: Eliminate unnecessary steps Identify and address bottlenecks Reduce errors in reporting Form 462 is Federally mandated: Current Process Burden 30 Business days to finalize all Form 462 submissions Target Process Burden 20 Business days to finalize all Form 462 submissions Team Tollgate Review Schedule Mxolisi Siwatu, Project Lead Morgan Walls-Dines, Project Lead Karen Brummond, Analyst Romella El-Kharzazi, Analyst Dianese Glover, Team Member Mildred Rivera, Team Member Kenneth Ringlein, Team Member Rodney Yelder, Team Member OIT, Staff, Database Architect Tollgate Scheduled Revised Completed Define 02-28-18 3-15-18 3-15-18 Measure 03-28-18 4-20-18 5-23-18 Analyze 05-02-18 7-25-18 7-25-18 Improve 06-27-18 7-30-18 8-20-18 Control 07-18-18 Statement of the Problem

Our Improvement Process Overview Define=Mapped out our Form 462 data collection process and identified potential inefficiencies Measure=Collected data on key aspects of our process that we felt contributed to the inefficiencies Analyze=Analyzed the data collected with the goal of identifying the root causes of our process inefficiencies Improve=Developed and implemented techniques for improving our process based on the results of our analyses Control=Developed and implemented techniques for monitoring the impact of our intended process improvements

Identifying Inefficiencies We identified inefficiencies in our process using the following methods: Brainstorming sessions among OFO staff to discuss time spent collecting Form 462 Focus group data collected from agency stakeholders regarding their reporting needs and practices Analyzed our rate of rejections among FY2017 Form 462 submissions Review of agency stakeholder emails requesting assistance during the collection process Review of our Form 462 data collection tools and aides including the Form 462 template, the FedSEP portal, and the Form 462 data-check list MEASURE

What are our inefficiencies? During FY 2017 we experienced the following primary inefficiencies: Form 462 underwent 8 revisions. The Form 462 data check list changed as often as the Form itself changed, for a total of 8 revisions to the check-list. There were a total of 96 emails in which stakeholders needed assistance with either accessing or submitting their completed forms. Of the 273 reporting agencies, a little less than half (140 agencies) required a repeated submission before being finalized/approved by OFO. We relied heavily on AOD staff for advisement during the review process. RED staff spent, on average, 41 minutes reviewing a form and 36 minutes drafting feedback letters for each of the 273 submitted reports. MEASURE

Identifying the root causes of our inefficiencies Brainstorming sessions among RED staff Development of a fishbone diagram Use of the “5-Why’s” in which we identify each bottleneck then ask ourselves why does this bottleneck exist? ANALYZE

ANALYZE

Bottlenecks and Root Causes Issues Root Causes 48 hours to produce check-list 8 versions of check-list Poor internal data documentation 96 instances of access issues Lack of understanding of log-in and submission procedures Director’s failing to certify Training buried in FedSEP 21 hours to dispatch all incoming messages Inconsistent agency acronyms Use of non-RED staff Poorly data definitions 77 minutes to review form lack of agency training on use of "other" option Volume of data points 273 failed submissions Wordy user manual ANALYZE

IMPROVE Improvements, FY2018 48 hours to produce checklist Issues Root Causes Improvements 48 hours to produce checklist 8 versions of check-list Poor internal data documentation Create a codebook as a quick reference for RED staff. 96 instances of access issues Lack of understanding of log-in and submission procedures Conduct a webinar prior to the launch of Form 462 to educated stakeholders on the submission process. Director’s failing to certify Training buried in FedSEP Improve the visibility of Form 462 and associated training material on FedSEP. 21 hours to dispatch all incoming messages Inconsistent agency acronyms Use full agency names for agency folders Use of non-RED staff Poorly data definitions Create a FAQ of questions asked of AOD staff during the previous FY. IMPROVE

IMPROVE Improvements, FY2019 Issues Root Causes Improvements 77 minutes to review form Volume of data points Reduce the volume of data points on Form 462. 273 failed submissions Wordy user manual Revise the user manual with more succinct language. IMPROVE

Projected Cost-Savings FY 2017 Costs Projected FY 2018 Costs 30 Business days to finalize all Form 462 submissions 20 Business days to finalize all Form 462 submissions CONTROL

Benchmarks for Improvement (1/2) We will attempt to outperform our FY2017 performance on each of the following measures: The number of revisions made to Form 462 The number of revisions made to the data check list The number of emails reminding Directors to certify The number of emails sent from stakeholders requesting additional guidance for access and/or submitting Form 462. CONTROL

Benchmarks for Improvement (2/2) The number of rejected submissions The average number of minutes spent reviewing Forms The total time spend dispatching emails and assigning submissions to reviewers CONTROL

Next Steps Develop SOPs, training, and process controls Implement solutions and on-going process measurements Confirm attainment of project goals Identify project replication opportunities Control tollgate Transition project to process owner