Rimas Liogys Business Process Reengineering by NMF


									      Grants Business Process
   Re-Engineering (BPR) Overview

Rimas T. Liogys
Policy, Planning, and Systems
• Vision for                • Grants Operating
  Strengthening Financial     Model
  and Administrative        • FY06 Performance
  Services                    Metrics
• Grants Vision and         • Expected BPR
  Strategic Goals             Implementation
• BPR Recommendations         Results
• BPR Implementation
     Vision for Strengthening Financial
     and Administrative Services
    “[W]e are working to improve the management and delivery of financial and
    administrative services. Numerous studies… documented opportunities for
    improvements in financial and administrative service areas and recommended
    changes to both our organizational structure and business processes.”
                                - Memorandum from Conrad C. Lautenbacher, Jr.,
                                  Vice Admiral, U.S. Navy (Ret.), September 9, 2004

•    Clear, consistent policies and procedures
•    Properly resourced workforce with appropriate competencies and skills
•    Value-added business processes with maximum use of automation for improved
     timeliness and quality of service delivery
•    Performance metrics that enable program assessments, diagnostics, and customer
•    Assurance that processes are aligned with NOAA goals, properly governed, and
     effectively managed
•    Increased organizational capabilities in new processes and improved performance in
     current processes
Grants Vision and Strategic Goals

Grants Vision Statement:
  Enable achievement of NOAA's mission through
  effective and efficient grant program partnerships

Grants Strategic Goals:
• Increase [internal and external] customer outreach,
  service and understanding of grant programs
• Strengthen Grants Management coordination,
  planning, execution and monitoring
• Measure Grant results against NOAA's mission
     BPR Approach
Phases I                         II                        III                         IV

  Business Process          Assessment of                                   Implementation
                                                    Design of “To-
  Reengineering             “As-Is”                                         of BPR
                                                    Be” Processes
  Training                  Environment                                     Transformation

   Participate in         Perform a 90-day      Participate in “To-Be”       • Execute the plan to
     tailored training in   end-to-end             design effort with trained     implement new
     BPR tools and          assessment of 8        NOAA and Department            organization and
     techniques – to        administrative         staff                          business processes
     include                business areas                                        changes
     approximately 60       across NOAA with      Focus areas:
     NOAA and 40 other      trained NOAA staff        Budget Formulation
     Department of                                     and Execution      • Evaluate, measure,
     Commerce staff                                   Grants               and adjust the new
                           Identify areas of                               business processes
                            duplication and            Administration
   Complete an Action
                            redundancy as well        Workforce
     Learning Module
                            as opportunities           Management
     that prepares
                            and                   Analyze current
     participants for
                            recommendations        business processes,
     next phase
                            for improvement        develop new business
                                                   processes, and develop
                                                   implementation plan
Grants Operating Model
                                                           Collaborative, “One-NOAA ” Grants Administration Operating Model
                                                                                             Management Operating Model

                                                        Customer Service             Operating Enablers                    Grant Services
                                                                 NMFS*                                          Outreach & Advisory Services
             Grants Online Grants.gov– Grants Website
             Grants Online Grants.gov– Grants Website

                                                             GMD Reps
                                                               GMD Reps
                                                              LO Reps                                           • Stakeholder Relationship Management
                                                                LO Reps
                                                                                              •Clear Roles      • Grants-Budget Planning and Review
                                                                 NOS*                                           • Proactive Site Visits
                                                               GMD Reps
                                                             GMD Reps                      •Accountability
                                                              LO Reps
                                                                LO Reps                                         • Progress Reviews

                                                                                                                • Education and Outreach
                                                         NMFS/MSI/NESDIS*                     Certification     • Performance Measurement against

                                                              GMD Reps
                                                            GMD Reps                                              Mission Goals
                                                               LO Reps
                                                             LO Reps
                                                                                                   Metrics      Operational Services
                                                            GMD Reps
                                                              GMD Reps                                          • Federal Funding Opportunities
                                                               LO Reps
                                                             LO Reps                        •Efficient and
                                                                                     Effective Processes        • Merit Reviews
                                                                                                                • Minimum Requirements
                                                                                              Management        • NEPA Reviews
                                                             FALD Attorneys
                                                           FALD Attorneys
                                                                                                                • Award, Post -Award, and
                                                                                                                  Close-out Processing
                                                           NEPA Coordinators
                                                         NEPA Coordinators

                                                        *GMD Reps = Grants Officers, Policy Advisors, Audit Specialist, Team Leads, Specialists, and Technicians
                                                        LO Reps = Grants Coordinator, Program Managers, Federal Program Officers, and Program Assistants
BPR Recommendations Overview
Summary of Grants BPR

• Increase emphasis on grants planning
• Reduce transaction processing; Redistribute
  workload throughout the fiscal year
• Realign roles and responsibilities to improve
  efficiency; Enhance NOAA-wide communication,
  collaboration, and outreach
• Develop standard operating procedures,
  policies, and consistent processes across
• Increase skill levels of Grants personnel
         BPR Implementation Approach

                                                       January                                                                                                              June
                                                        2006                                                                                                                2007
                                                                 Feb      Mar      Apr     May   Jun   Jul   Aug   Sep    Oct     Nov   Dec   Jan   Feb   Mar   Apr   May

Project Management
                                                          Kickoff Project / Project Plan                            Phase IV Closeout

Process Transformation
 BPR Recommendations

Performance Management
Implement New Performance Metrics

Change Management /
Communication                                                 Change Management /
                                                              Communication Plan

                                                                 Feb      Mar      Apr     May   Jun   Jul   Aug   Sep    Oct     Nov   Dec   Jan   Feb   Mar   Apr   May
                                                       January                                                                                                              June
 * Pre-work activities began prior to Dec 2005          2006                                                                                                                2007

Legend:                                          Indicates Estimated                                   Indicates Estimated Timeframe Needed                Indicates Phase IV
                                                 Implementation Timeframe                              to Realize All Recommendation Benefits              Milestones
  Initial BPR Recommendation
• Updated FY06 Grants Performance Metrics
  – Increased focus on measuring Grant results in
    helping achieve NOAA’s mission goals
  – Balanced focus on critical metrics in addition to
    timeliness in processing grants, including:
     • Customer satisfaction
     • Employee skill proficiency
• NMFS Grants Planning Pilot
• Developing Broad Area Announcement
    FY06 Performance Metrics

          FY06 Metrics
                                                Year 1 Year 2     Year 3 Long Term
% of GMS and FPO certified          24%          35%    50%       100%     100%
% of grants awarded 30 days prior
                                    TBD          55%    70%        85%     100%
to the start/effective date
% of multi-year grant awards        36%          40%    45%        50%     50%
% of non-competitive grants         19%          15%    10%        5%       5%
% of grantee satisfaction
(unsuccessful grant applicants      ~70%         75%    85%        95%     95%
and grant recipients)
% of internal grant community       TBD          75%    85%        95%     95%
% of grants awarded enhancing       TBD          TBD    TBD        TBD     100%
NOAA’s Mission Goals
Expected BPR Benefits
• Reduce cost to process a grant
• Increase grant processing capacity
• Decrease cycle time to process a grant
• Shift focus of grants personnel from low
  value added to high-value added activities
• Improve grant workload distribution
• Increase ability to award grants 30-days
  prior to their start date, leading to increased
  customer satisfaction
Backup Slides
 BPR Recommendations Overview
19 Grants BPR recommendations help achieve several
desired outcomes:

Increase emphasis on grants planning
  – Award existing multi-year grants/non-competitive continuations in
    first quarter
  – Formalize process for identifying Grant-related earmark recipients in
    a timely manner
  – Provide grants mission-related data to LO’s to assist with future
    funding decisions

Reduce transaction processing; Redistribute workload
throughout the fiscal year
  – Create an exception to the requirement to publish
    solicitations in the Federal Register
  – Increase the number of new multi-year Grant awards
  – Reduce the number of non-competitive Grants
  BPR Recommendations Overview
Realign roles and responsibilities to improve efficiency;
Enhance NOAA-wide communication, collaboration, and
   – Establish GMD prioritization criteria for processing awards
   – Build collaboration between GMD and LO staff into the end-to-
     end Grants process
   – Conduct proactive site visits
   – Design and implement a comprehensive knowledge
     management website
   – Realign GMD and FALD responsibilities
   BPR Recommendations Overview
Develop standard operating procedures, policies, and
consistent processes across NOAA
   –   Standardize electronic Grant package submissions
   –   Develop consistent approach to the pre-application process
   –   Develop consistent approach to conducting merit reviews
   –   Implement enhanced NEPA grant requirements
   –   Develop Construction Grants policies and SOP’s
   –   Formalize/Publicize process for Grantee compliance

Increase skill levels of Grants personnel
   – Develop a NOAA-wide Federal Program Officer certification
   – Develop a GMD Grants Specialist certification program
   BPR Implementation Approach
                                                               January                                                                                                                    June
Process Transformation                                          2006                                                                                                                      2007
                                                                         Feb        Mar        Apr    May     Jun   Jul       Aug   Sep   Oct   Nov   Dec   Jan   Feb   Mar   Apr   May
 BPR Recommendations
 A. Standardize Electronic Grants Package Submission          11
 B. Reduce the Number of Non-Competitive Grants
    Issued by NOAA                                           17 17
 C. Implement Enhanced NEPA Grant Requirements*                                                       10 10
 D. Enhance Grants Fiscal Year Budget Planning*
 E. Establish a GMD Prioritization Criteria for Processing
    Grant Awards                                                               4
 F. Create an Exception to the Legal Requirements to
    Publish Competitive Grant Solicitations in the Fed Reg                     8               8
 G. Enhance Knowledge Management within the NOAA
   Grants Community                                                                            7
 H. Develop Construction Grants Policies and Standard
    Operating Procedures                                             2
 I. Publicize a Consistent Approach to Conduct
     Competitive Merit Reviews                                                 12              12
 J. Develop a Consistent Approach that can be used when
    conducting a Letter of Intent (LOI) / Pre-application process                         9
 K. Increase the Number of Multi-Year Awards                                              15
 L. Develop a Federal Program Officer Certification Program
    Develop a Grants Specialist Certification Program                                                  18/19
 M. Formalize and Publicize the Process to Initiate and
   Inquire into Grantee Compliance                                             5
 N. Improve Federal Program Officer and Grants
    Specialist Communication and Coordination                                                                 6
 O. Ensure Grant Awards are able to Meet NOAA’s
   Mission Goals                                                                                              16
 P. Ensure Grantee Compliance with NOAA’s Grant Award
    Terms and Conditions through Proactive Site Visits
 Q. Clarify GMD and FALD Roles and Responsibilities                                                                       14
 R. Identify Grant-related Earmark Recipients in a Timely
    Manner                                                                                                                3

                                     #             Indicates Recommendation                                         Indicates Estimated Timeframe Needed                 Indicates Phase IV
Legend:                                            Number and Estimated                                             to Realize All Recommendation Benefits               Milestones
                                                   Implementation Timeframe

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