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

2. 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

3. Our Current 462 Collection Process

4. 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
Measure
Analyze
Improve
Control
Statement of the Problem

5. 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

6. 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 s 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

7. 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 s 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

8. 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

9. ANALYZE

10. 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

11. 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

12. 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

13. 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

14. 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 s reminding Directors to certify
The number of s sent from stakeholders requesting
additional guidance for access and/or submitting Form 462.
CONTROL

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

16. 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