d5a-workforce transition analysis...florida department of agriculture and consumer services – rlms...

FLORIDA DEPARTMENT OF AGRICULTURE

AND CONSUMER SERVICES

REGULATORY LIFECYCLE MANAGEMENT

SYSTEM (RLMS) PRE-DDI PROJECT

D5A-Workforce Transition Analysis (WTA)

Date: 12/15/2015

Version: 100

Florida Department Of Agriculture And Consumer Services – Regulatory Lifecycle Management System (RLMS) Pre-DDI Project

D5A-Workforce Transition Analysis Page i

TABLE OF CONTENTS

SECTION 1 INTRODUCTION .............................................................................................. 1

1.1 Purpose ...................................................................................................................... 2

1.2 Description .................................................................................................................. 3

1.3 Scope ......................................................................................................................... 4

SECTION 2 NORTH HIGHLAND APPROACH / ASSUMPTIONS ........................................ 5

2.1 Approach .................................................................................................................... 5

2.2 Assumptions ............................................................................................................... 6

SECTION 3 FUTURE OPERATING MODEL AND WORKFORCE VISION.......................... 8

3.1 RLMS Strategy Articulation Map ................................................................................. 8

3.2 RLMS Future Operating Model ................................................................................... 9

3.2.1 The Regulatory Lifecycle ..................................................................................... 9

3.2.2 The RLMS Enterprise Functional Capabilities Model ........................................ 10

3.2.3 RLMS EFCM Elements Descriptions ................................................................. 12

3.3 Workforce Vision and Guiding Principles .................................................................. 14

SECTION 4 REVIEW OF THE CURRENT OPERATING MODEL ..................................... 18

4.1 Regulatory Organizational Context ........................................................................... 18

4.2 RLMS Impacted Position Analysis ............................................................................ 18

4.3 Key Impacted Divisions – Context and Operating Models ......................................... 21

4.3.1 Current State IT Operating Model For Regulatory Systems ............................... 30

4.3.2 Current State Operating Model for Revenue Collection and Processing ............ 31

4.4 Position Description Analysis ................................................................................... 32

4.4.1 Approach ........................................................................................................... 32

4.4.2 Position Descriptions: Activity Alignment ............................................................ 34

4.4.3 Position Descriptions: Workload Distribution ..................................................... 35

4.4.4 Position Descriptions Analysis: Three Hypotheses ........................................... 42

SECTION 5 CAPABILITY CHANGES ................................................................................ 46

5.1 Transition From Current To Future Operating Model ................................................. 46

5.2 Approach to Establishing Required Future State Capabilities ................................... 49

5.3 Assessing Changing Capabilities Needs ................................................................... 49

5.3.1 Increasing and / or New Capabilities Needs ....................................................... 49

5.3.2 Decreasing Capabilities Needs .......................................................................... 51

SECTION 6 FINDINGS AND RECOMMENDATIONS ........................................................ 53

Florida Department of Agriculture and Consumer Services – RLMS Pre-Implementation Project

D5A-Workforce Transition Analysis Page ii

SECTION 7 ATTACHMENTS ............................................................................................ 57

7.1 Attachment I: RLMS Strategy Articulation Map Presentation .................................... 57

7.2 Attachment II: FDACS Organization Chart ............................................................... 57

7.3 Attachment III: FDACS Impacted Position Analysis .................................................. 57

7.4 Attachment IV: RLMS Position Descriptions Analysis .............................................. 57


D5A-Workforce Transition Analysis Page iii

Revision History

DATE AUTHOR VERSION CHANGE REFERENCE

10/08/2015 North Highland 001 Initial draft

10/22/2015 North Highland 002-005 Ongoing Edits

11/16/2015 North Highland 006 Draft for Internal QA

11/20/2015 North Highland 007 Draft for FDACS Review

12/08/2015 North Highland 008 Edits following FDACS Review

12/10/2015 North Highland 100 Final revisions following Deliverable Review Meeting with FDACS

12/15/2015 North Highland 200 Minor edits for Final Signoff

Quality Review

NAME ROLE DATE

Tom Howard Peer Review 11/11/2015

Geir Kjellevold Internal QA 11/17/2015

Michael Stephens Internal QA 11/19/2015

Richard Cefola Internal QA 11/19/2015


D5A-Workforce Transition Analysis Page 1

SECTION 1 INTRODUCTION

North Highland has been asked to assess the Regulatory Lifecycle Management System (RLMS) Project Workforce Transition needs, and establish and create a communication strategy that facilitates change. The Workforce Transition Analysis (WTA), is the first of three deliverables that together will address the overall organization and workforce needs, strategies, and activities needed for the Florida Department of Agriculture and Consumer Services (FDACS) workforce to be willing, able, and capable of moving to the new environment and using the new system to deliver better outcomes for those regulated / served by the department.

Workforce Transition encompasses the set of activities necessary for employees to successfully master the new ways of working after the RLMS is in place, including the knowledge, skills and abilities required to operate in the new environment. The new ways of working may result in changing where and how activities get completed and by whom, including workflows, approvals, and handoffs.

The Exhibit below depicts North Highland’s Workforce Transition workstream and shows how related deliverables are driven by the findings of the WTA. Associated Deliverables that are part of the workstream include:

Role-Based Skills Assessment and Gap Analysis (Deliverable D5D)

Workforce Training Plan and Workforce Knowledge, Skills and Abilities (KSA) Transition Plan (Deliverable D5B-C)

Exhibit 1: Workforce Transition Workstream

Additionally, the Workforce Transition workstream analysis and deliverables are also used by the North Highland team to create the Organizational Change Management (OCM) activities; to assess how the needs of stakeholders can be addressed throughout the project; and to inform how the organization as a whole can respond to the changing environment of its workforce.

A stakeholder is a potentially affected specific audience; a grouping of people / roles with similar issues, needs, type and degree of impact who can affect the RLMS project or are affected by the project group (e.g., Division Director, Bureau Chief / Bureau Staff, External Entities, etc.). The Stakeholder Analysis in Deliverable D4A-B-C identifies the following set of stakeholders for the RLMS project:



Executive Leadership – The Commissioner, the Assistant Commissioner, the Deputy Commissioners, and other, non-project-related leadership.

Division Directors / Office Directors / Assistant Division Directors

Bureau / Section Chiefs

FDACS Staff (RLMS Users)

Other FDACS Staff (Non-RLMS Users) – Primarily FDACS employees who will not use RLMS, but may work with or know of others who do.

Tax Collectors – Tax Collectors' Office staff who currently use the CWIS system.

IT Support Staff – IT Support staff in the divisions and in OATS

FDACS Governance – This group oversees the RLMS Project and makes decisions that greatly impact the design and implementation of the RLMS.

External Stakeholders – Groups, organizations, advisory bodies, and entities external to FDACS that have influence over the project or can be vocal in support or opposition of the system implementation.

Information Sharing Partners – Entities with whom FDACS shares data on a daily or frequent basis. RLMS implementation may require coordination with Information Sharing. Partners.

As-Needed Information Sharing Partners – These are entities that receive data requests from FDACS or provide data on an ad hoc basis.

Governmental Stakeholders – The Legislature, the Governor’s Office, the Florida Cabinet, and regulating bodies.

Customers, Consumers, License and Permit Holders, Applicants, General Public – Any individual who is requesting or receiving a service from FDACS, or is impacted by the RLMS.

At times throughout the project, there will be personally identified and named Stakeholder individuals. These are individuals who, by their high degree of involvement in the project, may be fully aware of project activities and events and require frequent communication to keep them abreast of issues and decisions (currently no Individual Stakeholders are identified in the Stakeholder Analysis Matrix).

The OCM workstream covers the stakeholder and communications dimensions of the RLMS project and delivers a Change Readiness Plan and related Communication Plan to support the execution of the Findings and Recommendations in this document (as described in Section 6).

1.1 PURPOSE

The purpose of the WTA (Workforce Transition workstream – Deliverable D5A) is to establish the desired Future Operating Model for RLMS, as well as perform an initial assessment of the Current Operating Model for the regulatory lifecycle-related activities. The analysis identifies individuals or teams that are likely to affect or be affected by the department’s RLMS Project



and assesses how the new system is likely to impact people’s jobs, roles, training needs and customer outcomes.

At its core, the RLMS will change the way people work to deliver activities across the regulatory lifecycle and the way this technology is supported across the department. With the anticipated improvement in system capabilities such as workflow, business rules, mobile access, and self-service, data entry tasks will shift from FDACS staff to the customer, offering FDACS staff the opportunity to spend more time on higher-value duties, and for staff in the field to move towards paperless workflow and real time data entry into the RLMS.

The WTA deliverable is designed to be a strategic tool to guide management in decision-making on how to best adapt and support the organization and its resources to meet future needs. It articulates the impacts of, and how to plan for, a transition effort that closely aligns people with directional business strategy (desired future state of the organization), and makes optimal use of improved and technology enabled processes.

Hence, the findings outlined in the document are focused on articulating how to best close any current delivery capabilities gaps through new ways of working – towards more value-added duties and activities, more aligned processes, and better coordinated handoffs by fully leveraging the new system (RLMS) and enabling the department to achieve its efficiency and quality of customer service goals while providing paths for employee development and career advancement.

1.2 DESCRIPTION

The WTA deliverable has four major aspects to its content areas:

First, the Future Operating Model and Workforce Vision, including defining the regulatory lifecycle and a high-level enterprise view of the functions to be supported by the RLMS project in the future (Enterprise Functional Capability Model), along with the future vision and guiding principles for the workforce.

Second, the assessment of the Current Operating Model, providing a high level review of how regulatory work is delivered both for Release 1 divisions (Licensing and Administration) and other divisions / offices undertaking regulatory activities in terms of organization and positions types, key touchpoints and responsibilities.

Third, an assessment of the likely Capability Changes, in the move from current to future operating models including the identification of new or enhanced capabilities that will be required in the Future Operating Model and those capabilities that will be less significant or no longer required.

Finally, Findings and Recommendations, including a preliminary analysis identifying apparent gaps between current and future operating models, how the organization may be impacted, and workforce issues to be considered throughout the project. This final section includes recommendations related to opportunities for workforce transition throughout the life of the RLMS Project and how these can feed into subsequent workstream deliverables.



1.3 SCOPE

The scope of the entities addressed in this deliverable includes individuals, teams and functions within FDACS that perform regulatory lifecycle-related activities. This includes both FTE (Full-Time Equivalent) and OPS (Other Personal Services) positions.

Areas in scope for RLMS Release 1 are:

Division of Licensing (DOL)

Related revenue collection and processing and mailroom roles / activities in the Division of Administration (DOA)

Office of Agricultural Law Enforcement (AgLaw), for the purposes of the regulatory investigative activities it performs on behalf of DOL

Areas in scope for future RLMS releases are:

All other bureaus within divisions which perform regulatory lifecycle-related activities

Areas not in scope:

Any bureau within a division or office which does not perform regulatory lifecycle-related activities

Inspections carried out by the Division of Fruit and Vegetables (F&V) on behalf of the USDA (e.g., tomatoes and peanut grading)



SECTION 2 NORTH HIGHLAND APPROACH / ASSUMPTIONS

2.1 APPROACH

North Highland has taken an incremental and iterative approach to developing the WTA deliverable, with the initial effort focused on the RLMS Release 1.This is the focus of the document, and the Findings and Recommendations in Section 6 are set forth to assist the department in framing and addressing its workforce transformation needs along the RLMS implementation journey.

Activities North Highland has performed specific to this deliverable are:

Gather current state information

Articulate an RLMS Workforce Vision and a set of Guiding Principles

Develop a Future RLMS Enterprise Functional Capabilities Model

Perform a macro-level analysis of a representative set of position descriptions for regulatory related roles across the department

Consider and account for post-RLMS Release 1 implementation workforce transition implications

To perform the WTA, North Highland held meetings / calls with key FDACS representatives and interviewed them for information on: functional roles across the department; sources and availability of information on roles; responsibilities and current staffing (position descriptions and FTE / OPS counts); and on the best approaches to identify and address cross-divisional interactions for licensing and related revenue management activities.

Additionally, North Highland collected and, throughout the project implementation will be tracking, information about current and planned changes to the organization; evolving employee roles and customer needs; and ongoing and upcoming functional integration of activities across the department.

Inputs:

Organization charts and other background documentation provided by FDACS.

Impromptu reports and other extracts from the DMS PeopleFirst system to provide information on total numbers of FTE and OPS staff within the department.

Validation by divisional stakeholders on the total number of positions involved in regulatory lifecycle, revenue collection / processing / refunds, mailroom and IT-related activities.

Position descriptions for a representative set of regulatory related roles representing all position types in DOL, the Revenue Processing and Mailroom Sections in DOA and a sample of roles from across the wider enterprise.

Meetings / calls with leadership from:



› Senior leadership in DOL, DOA and the Division of Consumer Services (DCS) › Division Directors and Assistant Directors for all impacted divisions › Employee Relations, Bureau of Personnel Management (BPM) › Training and Development

Metrics from divisions

Input from other workstreams (Business Process Reengineering, Systems and Data).

Stakeholder lists from the OCM workstream.

North Highland experience with technology-driven workforce transformation.

Current and in-depth knowledge of the State of Florida and its agencies.

Methodology and management implementation best practices.

Outputs:

RLMS Workforce Vision and Guiding Principles.

RLMS Enterprise Functional Capabilities Model (EFCM).

Current state assessment and supporting documentation.

Findings and Recommendations.

A “live” toolkit of documents to be kept up to date throughout the project (EFCM, people impacted by the analysis, shifting distribution of activities).

The related OCM workstream covers the Stakeholder Engagement (process, analysis and findings) implications of the Workforce Transition workstream.

2.2 ASSUMPTIONS

Assumptions for the analysis are:

The deliverable captures high-level workforce-related observations on the impact of RLMS on knowledge, capabilities, gaps and training and organizational requirements to advance the department’s ability to meet its future licensing and revenue collection and processing needs.

There is widespread support at the highest levels of responsibility in the department for the vision guiding this effort and for implementing the changes this analysis drives to achieve quality, consistency and expediency goals in regulatory services.

Information about impacted positions (and particularly with regard to OPS positions, where there are frequent changes in numbers) is based on the information and responses from divisional leadership.



The assessment is based on a representative spectrum of regulatory related positions across FDACS, and these findings can be applied to all positions that primarily perform regulatory activities.

All organizational changes currently being undertaken by the department will be completed prior to the finalization of the findings in this document or be otherwise noted.

Comments about workload distributions, competencies and capabilities (current and needed) are directional only and may require further assessment for role-by-role implementation, which will be addressed in subsequent deliverables in this workstream.

Positions and activities in DOA are currently out of scope for this deliverable except for those responsible for performing revenue collection, processing, disbursing refunds and mailroom tasks in relation to regulatory activities.

The analysis does not address individual stakeholders, processes, or handoffs (these are presented in other RLMS workstreams) and maintains a high level perspective on key workforce transition dimensions.

While the basis for this analysis is a “point in time” snapshot of DOL and the department, specific elements and documents included here will be updated throughout the life of the project.

Anticipated enhanced efficiencies and higher productivity levels achieved with the Future Operating Model for RLMS are not projected to result in loss of positions (except through natural attrition), but that capacity will be deployed to meet future need.

Organizational Design, Training and Development and Best Practices / Governance Themes identified in Section 6 are forward looking opportunities that will require specific management mandates, scope definition and implementation plans.



SECTION 3 FUTURE OPERATING MODEL AND WORKFORCE VISION

3.1 RLMS STRATEGY ARTICULATION MAP

The Exhibit below shows the RLMS Strategy Articulation Map with the overall alignment (or articulation) of the RLMS project to the department’s mission in adhering to the relevant Articles of the Florida Constitution and Florida Statutes and the overall vision and goals for the project. The Strategy Articulation Map was developed in the previous feasibility study phase in September 2014. Attachment I: RLMS Strategy Articulation Map Presentation (additionally provides more detailed descriptions of each goal and the associated expected business value when each goal is achieved.

Exhibit 2: RLMS Overarching Strategy Map

Workforce Transition is a critical enabler of Goals 1-3 and is supported by Goal 4 as outlined below:

Goal 1: Enhance the customer experience in all interactions both with and within the department. Having a workforce with the right skills and capabilities to

Mis

sio

n

Florida Constitution in Article 4/Section 4(d) & Chapters 20.14/ 570, F.S.: The mission of the Florida

Department of Agriculture and Consumer Services is to safeguard the public and support Florida's

agricultural economy.

570.07(2):

The Department is required to

perform regulatory and inspection

services relating to agriculture.

Key R

isk

s &

Ch

all

en

ges

Proliferation of division and office redundant processes and

supporting systems 1) exposes the Department to operational

risk 2) increases the Department’s administrative and support

costs, and 3) decreases operational efficiency and effectiveness.

Existing applications are inflexible

and not meeting the changing

demands of both internal and

external stakeholders.

Weather forecasts, commodity

market reports, disease outbreaks,

and international political conflicts

are requiring the Department to

make constant operational course

corrections.

Gu

idin

g P

rin

cip

les

&

Su

pp

ort

ing

Sta

tute

s

Implement an enterprise regulatory lifecycle management system

that enforces process standardization, promotes economies of

scale, and provides comprehensive, consistent, and accurate

information.

Implement a solution that can

streamline the Department’s

functions and provide a foundation

to consolidate similar services.

Enhance Department programs that

add to the quality of life for Florida

citizens and agricultural industries.

The following Florida Statutes support the primary administrative operations of the Department and are not intended to represent a comprehensive list of

enabling statutory references:

- 20.14 and 570.01: The Department has evolved into a complex organization of twelve divisions and twelve offices.

- 570.07: Department of Agriculture and Consumer Services; functions, powers, and duties.

Vis

ion

Implement an enterprise Department regulatory lifecycle management system that empowers customers, supports efficient processes, and

positions the Department to be responsive to changing operational demands.

So

luti

on

Go

als

1. Enhance the customer

experience in all interactions

both with and within the

Department.

2. Optimize protection of

the public and agricultural

industry through

enhanced monitoring and

compliance information

and techniques.

3. Enable an enterprise customer

service operation.

4. Leverage a modern

enterprise solution to improve

the ability to recognize and

respond to opportunities and

issues.

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/151210-DACS02-D5A-Attachment-I-RLMS-Project-Strat-Map-v100.pptx



meet customer, consumer, and stakeholder needs that is aligned, well trained, and works as part of ‘One Team’.

Goal 2: Optimize protection of the public and agricultural industry through enhanced monitoring and compliance information and techniques. Through developing a consistent approach to compliance, investigation and enforcement, as well as ensuring the workforce has the necessary capabilities to develop useful insights from the RLMS system data and reporting.

Goal 3: Enable an enterprise customer service operation. There is an opportunity through workforce transition to look at the consolidation of common functions or offer these as shared services from centers of excellence within divisions.

Goal 4: Leverage a modern enterprise solution to improve the ability to recognize and respond to opportunities and issues. Through use of business rules, automated workflow, more reliable data, mobile solutions, and self-service portals, the workforce will be able to carry out their duties in a more consistent manner with the capacity to deliver better service.

Furthermore, the WTA is supported and guided by the RLMS EFCM and the Workforce Vision and Guiding Principles presented in Section 3.3.

3.2 RLMS FUTURE OPERATING MODEL

A Future Operating Model is a conceptual way of describing how work will get done in the future through the implementation of organization structures; roles and responsibilities; processes and procedures; and systems and data. This is typically supported by the metrics and measures that can be used to describe what success looks like and can be used to track the transition from the current to the future state.

The development of a high-level Future Operating Model for regulatory lifecycle activities of the department as part of the RLMS project is a valuable tool in order to:

Provide clarity on the desired end state that is being enabled through the RLMS project.

Establish common baseline and understanding among people who are involved in and impacted by the RLMS project that can be used throughout the duration of the project.

Describe the transition from the current state to the desired end state. The desired end state will be referred to and evolved throughout the process.

3.2.1 THE REGULATORY LIFECYCLE

A key aspect to describing the Future Operating Model is to have a clear and consistent definition of what is contained within the end-to-end regulatory lifecycle for FDACS. Working



with key stakeholders from across divisions, North Highland has developed and validated definitions for each phase of the regulatory lifecycle which are shown below:

Application – the submission of any official document required by law or rule (to include an application / renewal form or a business registration filing and all supporting documentation) by a business or individual seeking to perform an action or conduct an activity.

Licensure – broadly conceived to encompass various administrative governmental activities (the issuance, denial, renewal or maintenance of a license, permit, certificate, or the processing of a business registration) enabling and authorizing a business or individual entity to perform an action or conduct an activity.

Compliance – the due diligence of businesses and individuals licensed by, or registered with, the department to remain in compliance through adhering to best practices, prescribed rules and regulations, and legal or technical standards.

Inspection – any evaluative processes performed by the department (involving observation, examination, measurement, testing, and other means of systematic review and analysis) to ensure that businesses and individuals licensed, permitted, registered by or otherwise subject to inspection by the department are in compliance.

Enforcement – the various means available to the department – often punitive in nature, involving disciplinary action to include the suspension / revocation of a license or permit, the levying of administrative fines, or criminal prosecution – when an inspection or investigation (any inquiry undertaken by the department by investigative staff to determine whether violations of regulatory law occurred or are occurring) by the department determines that a business or individual has failed to comply with prescribed rules and regulations.

3.2.2 THE RLMS ENTERPRISE FUNCTIONAL CAPABILITIES MODEL

One key component part of the RLMS Future Operating Model is the definition of a common RLMS Enterprise Functional Capabilities Model (EFCM) which gives a single, consistent, conceptual view across the dimensions of process, people, and data/systems, for the enterprise, and is designed to be a useful communication mechanism to describe the future state in a single diagram. The EFCM is shown in the Exhibit below, and builds off the model developed as part of the previous RLMS feasibility study and referred to in the Schedule IV-B submission.

The EFCM was also developed for communication with both internal and external stakeholders, as well as potential RLMS software vendors and system integrators (SIs) who will be aligning the RLMS to the regulatory lifecycle phases as depicted in this model.

The RLMS EFCM is not specific for an individual division or office and is designed around the overarching regulatory lifecycle activities (and underlying processes) that the department undertakes as described in the previous section – along with the channels by which it interacts with its customers and third parties.



Exhibit 3: FDACS RLMS Enterprise Functional Capabilities Model (EFCM)

The core elements of the EFCM are defined as follows:

Channel – the different mechanisms by which customers, consumers and other stakeholders can interact and communicate with the department.

Regulatory Lifecycle – the operational components of regulatory activities including Application, Licensure, Compliance, Inspection and Enforcement.

Organizational Support Services – all processes, policies and systems that support overall regulatory lifecycle activities.

Finance Support Services – all aspects of Financial Management for the department.

Reporting and Analytics – encompassing all required types of information, reporting and analysis needed by the department.

Third-Party Interactions – entities that provide or receive information or services from the department or have an oversight role.

Channel

Regula

tory

Lifecycle

Application / Licensure Compliance / Inspection / Enforcement

Credentialing /

Pre-verification

Application

Processing /

Decision

Initial Application

/ Renewal

InvestigationCompliance

Training

Programs

Org

aniz

ational S

upport

Serv

ices

Document and

Records

Management

Request for

Information

Policy / Legal /

Regulatory

Compliance

Fin

ancia

l S

upport

Serv

ices

Financial

Management

Ongoing

Maintenance

Continuing

Education /

Training

Administrative

Action / Legal

Services

Case Management

Third-Party

Interaction

Federal / State /

Local Agencies

Employers

Financial

Institutions

Service Providers

Professional

Organizations /

Associations

Oversight /

Advisory Groups

Legislature /

Governors Office

/ Cabinet

Inspection

Best

Management

Practices (BMPs)

Report

ing &

Analy

tics

Management

Reporting

Mandatory

Reporting

Financial

Reporting

Statistical

Analysis

Compliance

Reporting

Communications

Marketing /

Outreach

Information

Systems

Revenue Collection & Processing

Customer / Consumer Contact and Requests

Web EmailMobile /

Text

Social

Media

Phone /

Chat / IVR

Image /

Sensors /

Readers

Service

Center /

Kiosk

Complaint Intake

Compliance

Check

License / Permit / Registration / Certificate / Authorization



3.2.3 RLMS EFCM ELEMENTS DESCRIPTIONS

The exhibit below provides a description of each element of the RLMS EFCM for context and completeness.

AREA NAME DEFINITION

Channel Web Any interaction through the FDACS or FDACS linked website

Email All email traffic to / from individuals and businesses

Mobile / Text All inbound / outbound interactions through text messaging and website through mobile devices

Social Media All interactions with FDACS through social media channels (e.g., Twitter, Facebook, LinkedIn)

Phone / Chat / Interactive Voice Response (IVR)

All interactions through call centers and live chat sessions with FDACS customer service reps

Image / Sensors / Readers

Inbound scanning and imaging capabilities (both internal and external)

Service Center / Kiosk

Interaction through a local point of contact (e.g., Fast Track at regional offices or tax collector locations)

Marketing / Outreach

All outbound marketing and external communications to stakeholders and impacted parties

Application and Licensure Encompasses

and refers to

licenses,

permits,

registrations,

certificates and

authorizations

Credentialing / Pre-Verification

Checklists and other tools to support prerequisites for any license, permits, registrations, certificates and authorizations

Initial Application The process and systems by which a new application is received and processed (by channel)

Application Processing / Decision

All verification and required cross checks to issue a license

Ongoing Maintenance

Any updates that a customer needs to make to a license based on changes in status, address, etc.

Renewal The process by which a license is renewed

Education / Training

Professional or technical education and training required to acquire / maintain a license

Compliance / Inspection / Enforcement

Compliance Training Programs

Classes, workshops, and other educational opportunities intended to ensure compliance with legal requirements and adherence to best management practices

Inspection Routine scheduled visits to licensed businesses, work locations, or processing/production facilities, for purposes of observation, business review, sample collection/testing, etc., to ensure compliance with rules and regulations and/or adherence to best management practices

Compliance Check Similar to inspections in their intent, compliance checks usually involve unannounced visits to a particular work location / site or call to a business entity. These checks may be reactive (i.e., in response to a consumer complaint), or proactive as part of the department's ongoing compliance initiatives




Best Management Practices (BMP)

Methods or techniques found to be the most effective and practical means in achieving an objective (such as preventing or minimizing infections) while making the optimum use of the organization’s resources

Complaint Intake Process of recording complaints against regulated individuals or businesses

Investigation The process of undertaking investigative activities as a result of inspections, complaints or other triggers

Administrative Actions / Legal Services

Covering all aspects of enforcement that are taken against non-compliant individuals or organizations, including issuance of restrictions and / or fines in accordance with Chapter120, Florida Statutes

Regulatory Operations (end-to-end)

Case Management The overall tools, process and workflow for handling all customer interactions, across the regulatory lifecycle, including assignments, routing, decisions and approvals

Revenue Collection and Processing

All aspects of revenue collection for new and renewal applications as well as enforcement fines and penalties across both Application / Licensure and Compliance / Inspection / Enforcement areas

Organizational Support Services

Information Systems

Includes all infrastructure, internal IT applications, intranet, productivity and other technology supported by OATS or by divisions

Document and Records Management

All aspects of cradle-to-grave management of electronic documents through their lifecycle

Policy / Legal / Regulatory Compliance

Ensuring overall department compliance with all statutorily mandated regulations (at state and federal levels)

Request for Information

Any public information request or public records request received by the department related to regulatory or licensing activities overseen by the department

Finance and Accounting

Financial Management

All standard finance functions and processes used by FDACS (incl. GL, AR, AP and budgeting), also will include interface with FLAIR / PALM. Also includes revenue reconciliation activities

Reporting and Analytics

Statutory Reporting

All federally and legislatively mandated reporting

Management Reporting

All aspects of reporting to enable effective management of the FDACS

Financial Reporting

All required reporting related to financial activities

Compliance Reporting

Reporting on the result of whether compliance was achieved

Statistical Analysis Trend analysis and other data analytic tools and processes on the data from the department

Consumers Any individual who is requesting a service from FDACS




Third-Party Interactions

Professional Organizations / Associations

Any professional body, board, or association representing individuals or businesses licensed and regulated by the department with which the department has regular contact (e.g., NRA)

Oversight / Advisory Groups

Any panel, board, or council that that advises and assists the department in carrying out its statutory duties (e.g., the Private Investigation, Recovery, and Security Advisory Council for 493 regulation)

Legislature / Governor’s Office / Cabinet

All interactions required with the Legislature, Florida Cabinet and Governor’s Office

Federal / State / Local Agencies

Other agencies that FDACS interacts with to get work done, or needs to provide information to, including law enforcement agencies

Employers Employers and businesses who may make use of regulated personnel or are licensed

Financial Institutions

Banking and other financial institutions that either provide a service or verifications to FDACS

Service Providers Includes entities such as tax collectors’ offices, as well as those delivering contracted services on behalf of the department

Exhibit 4: Inventory of Functional Capability Model Elements

3.3 WORKFORCE VISION AND GUIDING PRINCIPLES

Collaborating with key stakeholders from DOL, DOA and the DCS, the North Highland team developed and articulated the future vision for the workforce who will be using the RLMS to deliver regulatory lifecycle activities (supported by Guiding Principles). The purpose of developing this model is to establish an overarching direction for the Workforce Transition workstream, and will be used as a key communication tool with the people who are impacted by the RLMS project. The Exhibit below outlines the agreed RLMS Future Workforce Vision and Guiding Principles.



Exhibit 5: RLMS Future Workforce Vision & Guiding Principles Linked to FDACS Values

The Guiding Principles focused the analysis on meeting specific goals and outcomes consistent with achieving the RLMS Future Workforce Vision. These are conceptual and it is understood that the department will need to determine what components, when and how to implement these principles within the wider context of the ongoing FDACS workforce development.

Consistent ways of working with clarity on roles, responsibilities and handoffs:

Consistency is a necessary condition to achieve efficiencies in processes and to maximize the opportunities for seamless customer interactions and experiences. Department leadership recognizes that, currently, some roles and responsibilities are performed in siloes and that handoffs are often unclear or ad hoc, affecting workflows.

A competency-based model to support career paths across the department:

The focal point for driving alignment to achieve the goals of the RLMS Future Workforce Vision is competencies. There are three key dimensions to competencies that are critical in any workforce transformation effort:

1. Assessing and ensuring that employees have the necessary skills to meet the needs of the customer and the organization

RLMS FUTURE WORKFORCE VISIONEmpower the regulatory workforce to support the changing needs of the department, customers and other stakeholders by

enabling a culture of service; leveraging efficiencies enabled by the system; focusing on relevant and aligned competencies; and

the use of consistent approaches and processes across the department – working as One Team

Co-delivery and consolidation

of services, where appropriate

Consistent ways of working

with clarity on roles,

responsibilities and handoffs

A competency-based model to

support career paths across the

department

GUIDING PRINCIPLES

Continuous learning and

feedback from ongoing

organizational

transformation initiatives

Increased employee

satisfaction through a focus on

value-added activities and

outcomes

Minimized change impact on

personnel through

communication, phasing and

feedback

Organizational structures

and capabilities aligned to

changing business needs

Coordinated regulatory

activities to minimize impact

on customer entities

We are A CULTURE OF SERVICE through

Professionalism Represent department values through appearance and performance

Commitment Demonstrate a dedication to public service and each other

Integrity Instill trust through honest and ethical behavior

Innovation Lead the way by developing and implementing creative solutions

Excellence Achieve superior performance and outcomes

VALUES



2. Defining and providing any needed training and coaching to meet the desired competency thresholds

3. Ensuring that competency mastery is clearly mapped to career development and opportunities for employees

Co-delivery and consolidation of services, where appropriate:

The department is fully committed to this principle and has already undertaken the journey towards achieving shared and consolidated services (the movement of investigators to AgLaw, for instance). This principle is firmly embedded in the recognition that, as a state agency, the department is accountable for, and ever mindful of, the dimensions of service (to constituencies) and stewardship (of funds and resources).

Coordinated regulatory activities to minimize impact on customer entities:

As regulatory mandates and related compliance and governance requirements proliferate and become more complex, the goal of the department should be to continue to examine these mandates and requirements in order to reduce the level of the burden imposed on its customers. The ultimate goal of this ongoing examination will be to eliminate any unnecessary regulatory activities and to refine and improve those necessary regulatory activities in order to deliver a maximum level of convenience and satisfaction to customers.

Continuous learning and feedback from ongoing organizational transformation initiatives:

Current organizational changes have already informed the department’s leadership of the value of learning from system-driven transformation experiences. It is a goal of this work-stream to incorporate any learning opportunities and findings from other FDACS initiatives during the transformation journey.

Increased employee satisfaction through a focus on value-added activities and outcomes:

This Guiding Principle is an acknowledgment by the organization that sustainable transformation success hinges on people and their presence, commitment and pride in the service they perform. Hence, this project (with the guidance of department leadership) aims at meeting the desire of employees to be recognized for outcomes, valued, and engaged in activities that best leverage their abilities and competencies.

Minimized change impact on personnel through communication, phasing and feedback:

Related to the employee satisfaction concepts above, the department’s leadership is committed to facilitating the change journey through openness and disclosure. Feedback from those performing the work is a vital component to minimizing the effects and demands of change on the organization. The OCM workstream identifies the significance of the change impact on the organization and delivers a toolkit for successful transformation.

Organizational structures and capabilities aligned to changing business needs:



The regulatory portfolio that the department manages will change over time, as driven by legislative and other factors. Therefore, it is recognized that any organizational structures and workforce capabilities will need to evolve and adapt accordingly.



SECTION 4 REVIEW OF THE CURRENT OPERATING MODEL

4.1 REGULATORY ORGANIZATIONAL CONTEXT

The divisions and offices currently supporting the regulatory lifecycle and the larger, enterprise context are depicted, in summary view, in the Exhibit below. This organizational chart highlights in green those bureaus and work units within FDACS as well as government offices external to the department that are undertaking regulatory lifecycle activities as defined in Section 3.2.1, and will therefore be impacted by the implementation of RLMS. The areas in scope for RLMS Release 1 are shown with a red outline. A standalone version of this organizational chart is referenced, and available in Attachment II: FDACS Organization Chart, for ease of review.

Exhibit 6: Agency Organizational Chart and Current Scope

4.2 RLMS IMPACTED POSITION ANALYSIS

There are over 3600 FTE within the department and several hundred OPS staff. More than 1650 positions (1414 FTE and 265 OPS) have been identified as likely to be impacted by the rollout of RLMS, as shown in the summary Exhibits below. These positions were identified and categorized based on position titles and the sections, bureaus, and divisions within the department to which these positions are assigned, including leadership positions that will be indirectly impacted by RLMS. In addition, the positions were reviewed to determine if they are performing regulatory lifecycle, revenue collection and processing or IT-related activities that might be impacted by RLMS.

Commissioner

Assistant Commissioner

Chief of Staff

Inspector General

Florida Department of Agriculture and Consumer Services

Office of Policy & Budget

General Counsel

Senior Executive Assistant

Aquaculture Animal Industry

Deputy Commissioner

Bureau of Dairy Industry

Food Safety

Bureau of Food Laboratories

Bureau of Food and Meat Inspection

Bureau of Chemical Residue Labs

Plant Industry

Bureau of Citrus Budwood Registration

Bureau of Pest Eradication and Control

Bureau of Plant and Apiary Inspection

Bureau of Methods Dev. and Biological Control

Bureau of Entomology, Nematology, and Plant

Pathology

Deputy Commissioner

Agricultural Law Enforcement

Licensing

Bureau of Regulation and Compliance

Bureau of License Issuance

Bureau of Licensing Support Services

Bureau of Mediation and Enforcement

Bureau of Compliance

Bureau of Standards

Bureau of Fair Ride Inspections

Bureau of Investigative Services

Bureau of Uniform Services

Marketing and Development

Consumer Services

Fruit & Vegetables

Bureau of Inspection

Bureau of Technical Control

Bureau of Aquaculture Development

Agricultural Environ.

Services

Bureau of Licensing and Enforcement

Bureau of Scientific Evaluation and Technical

Assistance

Bureau of Agriculture Environmental Labs

Bureau of Inspection and Incident Response

Bureau of Aquaculture and Environ. Services

Bureau of Animal Disease Control

Bureau of Diagnostic Laboratories

External Affairs Director

Cabinet Affairs Director

Communications Coordinator

Press Secretary Federal Affairs

DirectorLegislative Affairs

Director

Deputy Legislative Affairs Director

Communications Director

Deputy Cabinet Affairs Director

Executive Assistant

Senior Executive Assistant

Administration

Bureau of General Services

Bureau of Finance and Accounting

Bureau of Personnel Management

Florida Forest Service

Bureau of Field Operations

Bureau of Forest Protection

Bureau of Forest Management

Bureau of Forest Logistics and Support

Office of Agricultural Water Policy

Deputy Chief of Staff

Release 1 Scope

Some Functions in Scope

Bureau of Seafood & Agriculture Marketing

Bureau of Education and Communications

Florida Agriculture Statistics Service

Bureau of State Markets

Bureau of Strategic Development

Office of Agriculture Technology Services

Agriculture Management Information Systems

Office of Energy

Bureau of Food Distribution

Food, Nutr ition and Wellness

Bureau of Implementation and Accountability

Out of Scope

Tax Collectors

Public Inquiry

Impacted by RLMS

Projected RLMS Application Support

Communication and Consumer Outreach

Section

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/151210-DACS02-D5A-Attachment-II-FDACS-Organization-Chart-Highlighted-v100.pdf



Key Y Positions performing regulatory lifecycle activities

IT Positions involved in IT-related activities

RP Positions involved in revenue collection and processing activities

N Positions that have no involvement in the regulatory lifecycle

OOS Positions performing regulatory lifecycle activities out of scope of the RLMS project

Exhibit 7: Summary of Total of Impacted Positions across FDACS (FTE / OPS)

Division Y IT RP N OOS Total (FTE)

DIVISION OF LICENSING (R1) 219 13 7 239

DIVISION OF ADMINISTRATION (R1) 4 5 18 94 121

OFFICE OF AGRICULTURAL LAW ENFORCEMENT (R1) 27 3 256 286

DIVISION OF AGRICULTURAL ENVIRONMENTAL SERVICES 113 5 66 184

DIVISION OF ANIMAL INDUSTRY 70 3 42 115

DIVISION OF AQUACULTURE 21 2 21 44

DIVISION OF CONSUMER SERVICES 276 9 285

DIVISION OF FOOD SAFETY 207 12 81 300

DIVISION OF FOOD, NUTRITION & WELLNESS 23 2 58 83

DIVISION OF FRUIT AND VEGETABLES 47 5 13 14 31 110

DIVISION OF MARKETING AND DEVELOPMENT 9 2 121 132

DIVISION OF PLANT INDUSTRY 260 9 6 93 368

FLORIDA FOREST SERVICE 93 16 6 1064 1179

OFFICE OF AGRICULTURAL WATER POLICY 27 3 11 41

GENERAL COUNSEL / LEGAL / IG 18 12 30

OTHER OFFICE OF COMMISSIONER 47 47

OFFICE OF AGRICULTURE TECHNOLOGY SVCS 52 52

Total 1414 141 50 1980 31 3616

Division Y IT RP N OOS Total (OPS)

DIVISION OF LICENSING (R1) 26 26

DIVISION OF ADMINISTRATION (R1) 2 25 27

OFFICE OF AGRICULTURAL LAW ENFORCEMENT (R1) 3 3

DIVISION OF AGRICULTURAL ENVIRONMENTAL SERVICES 7 7 14

DIVISION OF ANIMAL INDUSTRY 8 4 12

DIVISION OF AQUACULTURE 1 1

DIVISION OF CONSUMER SERVICES 10 10

DIVISION OF FOOD SAFETY 14 9 23

DIVISION OF FOOD, NUTRITION & WELLNESS 17 17

DIVISION OF FRUIT AND VEGETABLES 49 2 256 307

DIVISION OF MARKETING AND DEVELOPMENT 2 29 31

DIVISION OF PLANT INDUSTRY 141 150 291

FLORIDA FOREST SERVICE 169 169

OFFICE OF AGRICULTURAL WATER POLICY 0

GENERAL COUNSEL / LEGAL / IG 6 6

OTHER OFFICE OF COMMISSIONER 16 16

OFFICE OF AGRICULTURE TECHNOLOGY SVCS 9 9

Total 265 9 0 432 256 962



The figures shown above were identified through the Workforce Transition information request to FDACS divisional leadership in order to validate data provided by the Bureau of Personnel Management (BPM) in October 2015. Consequently this does not reflect all of the department’s recent organizational changes (such as DOL Investigators moving to AgLaw). Additionally, the numbers of OPS staff impacted may be reduced due to funding changes.

In the process of calculating the total number of impacted positions across the department, North Highland noticed that these are distributed across a large number of different position class titles / codes performing regulatory lifecycle activities. For example, many position titles have three or fewer positions associated with them highlighting the opportunity to reduce this fragmentation and improve common definition of regulatory lifecycle-related roles through the RLMS project and BPM initiative on position description harmonization. This is important because RLMS will support consistent language and ways of working across the regulatory lifecycle. It is understood that the feasibility of changes to class titles will be dependent on external factors, such as collective bargaining and general budgetary issues.

Further analysis of the data collected is shown in the Exhibit below, and also is available in Attachment III: FDACS Impacted Position Analysis. Some examples of fragmentation are captured in the points below:

There are 166 distinct class titles for the 1414 impacted FTEs performing regulatory lifecycle roles, with 100 of these class titles having three or fewer positions associated with them.

Eight of the divisions / offices listed have at least 50% of their regulatory lifecycle class titles are associated with only one position.

All of the impacted divisions / offices, shown in the Exhibit below, have at least 50% regulatory lifecycle class titles associated with fewer than three positions – and several have more than 70%.

The following divisions have more than 25 class titles across their impacted FTEs

› Food Safety (27) › Licensing (32) › Plant Industry (47) › Consumer Services (49)

The proliferation of distinct class titles does not appear to be related to the number of resources or the specific type of regulatory activity performed by a division or office.

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/151210-DACS02-D5A-Attachment-III-FDACS-Impacted-Position-Analysis-v100.xlsx



Exhibit 8: Summary Analysis by Impacted Position / Class Code

The underlying data is available in the ‘Class Title Analysis’ tab of Attachment III: FDACS Impacted Position Analysis.

4.3 KEY IMPACTED DIVISIONS – CONTEXT AND OPERATING MODELS

Division of Licensing (Release 1)

DOL oversees two licensing programs, one involving regulatory oversight and professional regulation, the other involving personal safety and self-protection.

Under the authority of Chapter 493, F.S., the division licenses and regulates both individuals and agencies in the private investigative, recovery, and security professions in Florida. The licensees who work in these regulated professions serve in positions of public trust. Therefore, it is in the public interest that individuals seeking employment as private investigators, recovery agents, or security officers be properly trained, have ongoing continuing education, and undergo criminal history background checks prior to licensure, and that the business practices of the agencies in these industries be consistent with the public good. The division's licensing and regulatory controls provide for ongoing compliance by individuals and agencies in the regulated professions.

TotalFTEs

Distinct class

titles Total

Regulatory Lifecycle Total Impacted:

DIVISION OF LICENSING 219 32 17 53% 13 76%

DIVISION OF ADMINISTRATION (Mailroom Intake) 4 1 0 N/A 0 N/A

DIVISION OF AGRICULTURAL ENVIRONMENTAL SERVICES 113 23 13 57% 16 70%

DIVISION OF ANIMAL INDUSTRY 70 15 5 33% 9 60%

DIVISION OF AQUACULTURE 21 12 8 67% 11 92%

DIVISION OF CONSUMER SERVICES 276 49 26 53% 34 69%

DIVISION OF FOOD SAFETY 207 27 10 37% 16 59%

DIVISION OF FOOD, NUTRITION & WELLNESS 23 6 2 33% 4 67%

DIVISION OF FRUIT AND VEGETABLES 47 8 4 50% 5 63%

DIVISION OF MARKETING AND DEVELOPMENT 9 7 4 57% 7 100%

DIVISION OF PLANT INDUSTRY 260 47 20 43% 32 68%

FLORIDA FOREST SERVICE 93 6 3 50% 3 50%

OFFICE OF AGRICULTURAL LAW ENFORCEMENT 27 7 4 57% 5 71%

OFFICE OF AGRICULTURAL WATER POLICY 27 9 1 11% 8 89%

GENERAL COUNSEL / LEGAL / IG 18 8 6 75% 7 88%

Total for the DEPARTMENT (Regulatory Lifecycle) 1414 166 74 45% 103 62%

IT (Total for the Department) 141 45 22 49% 34 76%

REVENUE COLLECTION & PROCESSING 50 9 7 78% 9 100%

Class titles with only

1 position

Class titles with less

than 3 positions





Under the authority of Section 790.06, F.S., the division issues concealed weapon licenses to qualified, law-abiding citizens who wish to carry concealed weapons for purposes of lawful self-defense.

These programs are fundamentally different in their function and in the constituencies they serve. However, the various licensing controls and regulatory mechanisms that support both of these programs – fingerprint-based background checks; verification of experience, training, citizenship status, and other eligibility criteria; and the ongoing review of criminal history records to confirm continued eligibility – ensure that only properly trained, knowledgeable, qualified, and law-abiding persons are licensed to work in the regulated industries or to carry concealed weapons. These programs thus promote the public interest and general welfare by enhancing public safety.

The division's workforce currently consists of 239 full-time employees across 32 distinct position classification titles (including the 22 positions undertaking Investigatory activities transferred to AgLaw, but still funded by the division) and it is anticipated that all these employees will be affected by the implementation of the RLMS.. The business processes and operating functions that take place within the division are functionally and programmatically divided between three different bureaus and the division Director's Office as described below:

The Bureau of Support Services (BSS) is responsible for paper application intake services. These include mail processing, scanning / digitizing paper documents, and image quality control and validation. The bureau also houses the application support and development functions for the regulatory systems that DOL uses (Oracle Imaging and Process Management, License Manager, and Reflections).

The primary function of the Bureau of License Issuance (BLI) is to make a determination of eligibility for every applicant submitting a complete application for licensure to the division. This determination is made based on a review of the application, training documentation, criminal history background check results, and all other supporting documentation required by law. Employees in this bureau are empowered with the authority to deny an application for licensure if the applicant fails to meet the minimum requirements for licensure or to suspend the processing of a concealed weapon or firearm application if it is determined that additional criminal history record information is needed to make a determination of eligibility. The Bureau of License Issuance is also responsible for the day-to-day operation of eight regional offices located throughout the state. These offices offer full-service application intake services for both of licensing’s programs administered by the division, including the increasingly popular Fast-Track concealed weapon license application service.

The Bureau of Regulation and Enforcement (BRE) contains the division's legal and enforcement compliance work units. Attorneys and administrative staff in this bureau are responsible for taking action against licensees for violations of the law and against individuals and businesses performing private investigative, security, and recovery services without proper licensure. These actions include the issuance of Administrative Complaints, license suspensions and Agency Final Orders. Administrative Complaints and Agency Final Orders may impose



disciplinary actions seeking fines or revocation in Chapter 493, F.S., cases or revocation in Chapter 790, F.S., cases. Employees in this bureau also perform routine review of weekly and monthly reports furnished to the division by state law enforcement agencies. The reports include DUI arrests, issuance of domestic violence injunctions by Florida courts, incarceration reports, and adjudications of mental incompetence by Florida courts. In addition, correspondence is received from other local, state and federal agencies within or without Florida. The BRE takes action against a license holder if it is determined, based on a review of these reports and correspondence, that the license holder's eligibility for licensure has been compromised. Employees in this section are also responsible for conducting proactive compliance checks of recently expired Chapter 493, F.S., licensees to determine if unlicensed activity is occurring.

DOL’s Director Office houses a number of subsidiary functions central to the division's operation:

The Fiscal Processing / Budget Section, which is responsible for processing all fee and fine payments and for maintaining administrative control of the division's budget.

The Quality Control Unit, which conducts reviews at the division Director's guidance of any of the division's work units business processes conducted in those work units. QC Unit findings are used to recommend improvements to the director.

The Public Inquiry Section, which interacts with customers via telephone and live chat in responding to inquiries concerning application status and various other licensing-related matters. The division's Public Records Liaisons, who are responsible for responding to public records requests and to media inquiries are located in this section as well. This is part of the ongoing BLI reorganization.

There have been two relatively recent changes – one involving a legislative change to make concealed weapon license application more convenient and the other involving an internal reorganization and realignment of business functions. Both changes must be considered in order to understand the division's current business practices and organizational structure.

The Legislature passed a bill during the 2014 session that authorized DOL to enter into agreements with constitutionally elected tax collectors throughout the state to allow the tax collectors to accept concealed weapon license applications on behalf of the division. This new service was implemented in the first five tax collectors' offices in September and October of 2014. As of November 2015, the number of county tax collectors participating in this program has increased to 19. The division anticipates that approximately 40 tax collectors' offices will be accepting new and renewal concealed weapon license applications by the end of calendar year 2018. This program will significantly enhance the level of service and convenience for citizens seeking concealed weapon license application services.

BRE is currently involved in a significant reorganization in which the functional duties and responsibilities traditionally performed by BRE were reassigned to another division within the department. This reorganization also resulted in a significant change in the organizational



structure of the division. The reorganization involved the transfer of 22 field investigators in BRE to AgLaw, the professional law enforcement services work unit within the department. This reorganization is consistent with earlier division realignments that resulted in investigative staff being reassigned from DCS to AgLaw, thus making the law enforcement services group within the department responsible for all departmental investigative functions. This reorganization and realignment of functional duties allowed division management to make a crucial organizational change within the division. The reassignment of the field investigators, who historically have been housed in the division's regional offices located throughout the state, means that the regional offices no longer have an investigative role in the mission of the division. Nonetheless, these offices still perform a vital function in providing customer service and application processing in addition to accepting complaints from citizens and licensees. The regional offices are being relocated within the division's organizational structure to be a part of the Bureau of License Issuance as the primary function of the offices involves license application intake. Management is also reclassifying many of the positions throughout the BLI work unit to reflect the commonality of the central license issuance function of the bureau throughout the many offices where these positions are assigned. The legacy position title of “Corporate Document / Election Records Examiner” is being reclassified to the more functionally accurate “Compliance Officer I” position title. The supervisory positions responsible for the running of each of the regional offices are also being reclassified to “Compliance Officer Supervisor – SES” to reflect their changing duties as they are no longer responsible for regulatory enforcement functions.

The Exhibit below provides a snapshot of some of the key regulatory lifecycle metrics for DOL, the target of the first release of RLMS. These volumes represent the potential for measurable outcomes the department can affect by implementing the RLMS system and processes to achieve the efficiency and service results sought by the department.



LICENSE TYPE # NEW APPLICATIONS

(ANNUAL)

# RENEWALS

(ANNUAL)

# ACTIVE

LICENSES PERMITS

C Private Investigators 1,829 2,465 7,953

CC Private Investigator Interns 360 486 1,567

A Private Investigative Agencies 2,844

AA Private Investigative Agency Branch Offices

22

MA Private Investigative Agency Managers

19 25 81

M Private Investigative / Security Agency Managers

117 157 507

D Security Officers 31,912 43,012 138,748

B Security Agencies 1,438

BB Security Agency Branch Offices 197

MB Security Managers 354 476 1,537

AB Security Agency / Private Investigative Agency Branch Offices

22

DS Security Officer Schools 371

DI Security Officer Instructors 365 492 1,587

G Statewide Firearm Licenses 20,873

K Firearms Instructor 144 193 624

E Recovery Agents 204 274 885

EE Recovery Agent Interns 84 114 367

R Recovery Agencies 329

RR Recovery Agency Branch Offices 28

MR Recovery Agency Managers 2 2 7

RS Recovery Agent School 4

RI Recovery Agent Instructor 3 4 12

W Concealed Weapon 134,291 450,974 1,454,754

WJ Concealed Weapon Judges 147 199 641

WR Concealed Weapon Law Enforcement and Correctional Officers

2,193 2,956 9,535

WS Concealed Weapon Consular Security Official

3 4 12

Exhibit 9: DOL Regulatory Lifecycle Volumes

Division of Administration (Release 1 and Future Releases)

DOA provides support functions to the entire department, including Finance and Accounting, Personnel Management and General Services (including building maintenance, mailroom and purchasing). DOA has a relatively small number of staff that are going to be directly impacted through the implementation of RLMS, with only the 13 staff from the Revenue Processing Section, the six staff in the Mayo mailroom and those staff that are involved in the revenue



reconciliation and disbursement processes who have activities directly related to the regulatory lifecycle. The Revenue Processing Section is responsible for the intake and processing of payments for divisions other than Licensing, Fruit and Vegetable, and Plant Industry. The division also manages all online payments and the direct interaction with FDACS’ banking services provider. The exact level of impact on DOA during RLMS Release 1 is likely to be dependent on policy decisions and organizational changes linked to the services that DOA provides to DOL (e.g. if mailroom consolidation is enacted). In future releases, it is anticipated that the division will be using the revenue collection and processing functionality of RLMS to complete their part of the Application, Licensure and Enforcement activities.

Office of Agricultural Law Enforcement (Release 1 and Future Releases)

The Regulatory Investigations Section within the Bureau of Investigative Services in AgLaw now has the responsibility to conduct all regulatory investigations on behalf of DCS and DOL (following the recent reorganization projected completed in November 2015). The intent is to bring the two pools of regulatory investigative staff together, thus creating a larger pool of multi-skilled investigators to be deployed in each region. The two teams are currently operating separately as the transition matures, but it is anticipated that by the time of the initial RLMS rollout they will be operating as a combined team of 45, which means the entirety of the Regulatory Investigations Section will be impacted by the Release 1 rollout of RLMS functionality, as they will be using the system to support all DOL.

Division of Consumer Services (Future Release)

DCS is the primary point of contact with consumers in the state, responsible for providing consumer information and protection. DCS performs its duties through issuance of over 30 types of licenses or permits for: Motor Vehicle Repair Shops; Charitable Organizations; Pawnbrokers; Health Studios; Sellers of Travel; Sellers of Business Opportunities; Intrastate Movers; Professional Surveyors and Mappers; Sweepstakes / Game Promotions; and Telemarketing. Additionally, DCS staff protect consumers through the testing and inspection of a wide range of products, including gasoline, brake fluid, antifreeze, liquefied petroleum gas, amusement rides, and weighing and measuring devices. DCS is responsible for regulating all or part of Chapters 472, 496, 501, 507, 525, 526, 527, 531, 539, 559, 616 and 849, Florida Statutes. DCS has bureaus that are arranged along functional lines that align to separate aspects of the RLMS Functional Capability Model. As in DOL, all staff in DCS will be impacted by RLMS, as the entire division’s activity is related to the regulatory lifecycle (287 FTEs and 10 OPS across 49 position classification titles).

The DCS Communications and Outreach Section serves as the primary call center for the department. The call center answers more than 220,000 telephone calls and emails annually. RLMS will impact the call center because the call center utilizes the database to provide registration statuses to business and to record information regarding commonly requested information so that other call center staff can easily locate and share that information with callers. Additionally, the division’s A to Z Guide is housed in the database.



Division of Agriculture Environmental Services (Future Release)

Responsibilities of the Division of Agriculture Environmental Services (AES) relating to the regulatory lifecycle include pesticide registration, pesticide use regulation, structural pest control regulation, and feed, seed, and fertilizer registration and inspection. AES assists and protects consumers by managing pesticide, pest control, fertilizer, feed and seed licensees and by limiting products that are unlawful, unsafe or unethical. The division is responsible for enforcing the provisions of all or parts of Chapters 388, 482, 487, 570, 576, 578, and 580, Florida Statutes. There are 22 different position types amongst the 120 positions involved in regulatory lifecycle activity across the Bureau of Licensing and Enforcement and the Bureau of Inspection and Incident Response.

Division of Animal Industry (Future Release)

The Division of Animal Industry (DAI) is responsible for enforcing animal health regulations in Florida and protecting the state from animal pests and diseases, which could have major economic and public health consequences. All staff in the Bureau of Animal Disease Control are involved in regulatory lifecycle activities, carrying out active animal disease prevention, surveillance, and control programs. District veterinarians and animal health inspectors throughout the state work with producers, animal owners, and private veterinarians in monitoring and enhancing the health and welfare of Florida's animals. RLMS will impact all 75 positions across 14 different position titles.

Division of Aquaculture (Future Release)

The Division of Aquaculture (DAQ) is responsible for regulating the cultivation of aquatic organisms and for enforcing Chapter 597, Florida Statutes. RLMS will impact 21 positions across 12 position titles within the division performing regulatory functions, as the system will affect how the division issues and manages over 2500 permits and licenses annually for: Apalachicola Bay Oyster Harvesting Licenses; Shellfish Processing Plant Licenses; Aquaculture Leases; and Aquaculture Certificates. RLMS will also help the division improve its planning and reporting abilities, and will increase the data available for inclusion in the annual Florida Aquaculture Plan prepared by the division.

Division of Food Nutrition and Wellness (Future Release)

The Division of Food Nutrition and Wellness (DFNW) is responsible for the National School Lunch Program, School Breakfast Program, Special Milk Program, Afterschool Snack Program, Summer Food Service Program, Seamless Summer Option Program and Fresh Fruit and Vegetable Program for the State of Florida. The programs within the division are contained in Chapters 570 and 595, Florida Statutes, and FNW performs inspections to ensure compliance with requirements to maintain federal funding of each of the programs. The 23 positions that perform these inspections will use the RLMS to manage and track their activities in the future.



Division of Food Safety (Future Release)

The Division of Food Safety (DFS) is responsible for the safety of the food supply by inspecting, licensing and regulating food production and preparation activities. The division, which issues multiple types of licenses and permits under Chapters 500, 501, 502, 504, 531, 583, 586, 601, Florida Statutes, has 221 positions across 27 position titles involved in performing regulatory functions. As the RLMS will directly affect how this division issues and manages permits and licenses, the system is anticipated to substantially affect all of the division's employees.

Division of Fruit and Vegetables (Future Release)

F&V, headquartered in Bartow, inspects and certifies all fresh shipments of vegetables, fruit and nuts as may be assigned or supported in connection with regulations issued under federal and state marketing orders and / or rules. In support of that goal, licenses for all citrus dealers, registrants, and agents of licensed fruit dealers, packing houses, and processing plants are collected and maintained annually. The division, which issues multiple types of licenses and permits under Chapters 570 and 603, Florida Statutes, has 96 positions across eight position titles involved in performing regulatory functions that will be impacted through implementation of the RLMS. Additionally F&V has 13 positions associated with revenue collection and processing.

In addition, the division inspects all fresh tomato packing houses and farms to ensure compliance with food safety regulations, on behalf of the USDA (out of scope of the RLMS project).

Division of Marketing and Development (Future Release)

The Division of Marketing and Development (DMD) works to promote agricultural products, primarily through the “Fresh From Florida” campaign. The division also performs regulatory functions by issuing County Fair Permits and Farm Winery Certificates, and the eight positions across five position titles issuing these permits and certificates will be impacted by RLMS.

Division of Plant Industry (Future Release)

The Division of Plant Industry (DPI) works to detect, intercept and control plant and honey bee pests that threaten Florida’s native and commercially grown plants and agricultural resources. It is currently organized along programmatic areas rather than stages in the regulatory lifecycle, with three main bureaus undertaking regulatory lifecycle Activities: Pest Eradication and Control, Citrus Budwood Registration, and Plant and Apiary Inspection. Of the 260 FTEs involved in the regulatory lifecycle there are 46 different position classifications. There are also a further 140 OPS positions undertaking regulatory activity. The division issues more than 3800 permits annually, and will benefit from the automated workflow and data analytics functionality of RLMS.



Florida Forest Service (Future Release)

The Florida Forest Service’s (FFS) key regulatory activity is the issuance of prescribed burn authorization permits, a regulatory function predominately carried out by duty officers from each of the 15 field units throughout the state. Field units are part of the Bureau of Field Operations, and these units receive additional oversight and assistance from the Bureau of Forest Protection located in Tallahassee. The service also certifies Broadcast and Pile Burn Managers. The 93 positions across 6 position classifications involved with issuing the burn authorizations and certifications will be impacted by RLMS.

Office of Agricultural Water Policy (Future Release)

The role of Office of Agricultural Water Policy (OAWP) in the regulatory lifecycle is predominately in compliance activities through active involvement in the development of Best Management Practices (BMPs), addressing both water quality and water conservation on a site specific, regional, and watershed basis. The OAWP works cooperatively with agricultural producers and industry groups, the Florida Department of Environmental Protection, the university system, the Water Management Districts, and other interested parties to develop, implement and track BMP programs that are economically and technically feasible. There are 27 positions across 9 different position classifications involved in managing or reporting on BMPs, which will be impacted by RLMS. There are currently over 3,000 unique agricultural producers being tracked by the OAWP’s current system.

General Counsel’s Office (Future Release)

The Office of the General Counsel (OGC) represents the Commissioner of Agriculture and Consumer Services in his official capacity as head of the department and as a member of the Florida Cabinet. The 13 attorneys in the OGC also provide legal services to all of the various divisions and offices within the department on a wide-ranging number of topics to include everything from the drafting and enforcement of administrative actions and the issuance of legal opinions to representing the department in litigation and handling state and federal civil administrative appeals.

Insofar as the first release and implementation of the RLMS will involve DOL and parts of DOA, the attorneys in the OGC may not be impacted by the new system. DOL has its own staff attorneys who handle the division's legal business. In future releases of the RLMS, however, the day-to-day duties and responsibilities of the attorneys in the General Counsel's office will change as the new technology is implemented throughout the department. At that time, OGC attorneys will be receiving legal documents and correspondence for review and subsequent action as part of the business rules and workflow processes of the fully operational enterprise system.



4.3.1 CURRENT STATE IT OPERATING MODEL FOR REGULATORY SYSTEMS

The department currently utilizes a decentralized, ad hoc IT operating model, with all application support and development for regulatory lifecycle systems residing in the divisions and offices that own their systems. Additionally, the majority of desktop support positions also reside within the divisions, with 89 of 150 identified positions involved in IT across the department residing in divisions. The Office of Agricultural Technology Services (OATS) provides infrastructure, database and hosting services as well as central helpdesk and desktop support to some divisions, with 61 positions in OATS of the total 150 IT-related staff within the department. The 89 positions in the divisions and offices cover 25 different class titles, while there are 32 different class titles for the 61 positions in OATS. The Exhibit below (also available in Attachment III: FDACS Impacted Position Analysis shows a snapshot of all the different IT class titles (and numbers per role). Of the 45 distinct class titles, 22 have only 1 position, and 34 have fewer than 3 positions, suggesting a very fragmented set of position descriptions that is not conducive to supporting an Enterprise RLMS.

Exhibit 10: IT Staff by Position Title

The Exhibit below shows the distribution of IT-related positions (FTE and OPS) across the different divisions.

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DIVI OF AGRICULTURAL ENVIRONMENTAL SVCS. 1 1 1 2 5

DIVISION OF ANIMAL INDUSTRY 1 1 1 3

DIVISION OF AQUACULTURE 1 1 2

DIVISION OF CONSUMER SERVICES 1 2 3 2 1 9

DIVISION OF FOOD SAFETY 1 1 8 2 12

DIVISION OF FOOD, NUTRITION & WELLNESS 1 1 2

DIVISION OF FRUIT AND VEGETABLES 1 1 1 1 1 5

DIVISION OF MARKETING AND DEVELOPMENT 1 1 2

DIVISION OF PLANT INDUSTRY 1 2 3 2 1 9

FLORIDA FOREST SERVICE 1 1 1 4 1 1 2 1 3 1 16

OFC OF THE COMMER/DIV OF ADMINISTR 3 2 1 2 1 1 4 2 2 1 3 2 24

OFFICE OF AGRICULTURE TECHNOLOGY SVCS 1 1 1 1 1 3 1 1 3 1 6 1 1 1 1 1 9 1 2 4 1 1 5 1 1 3 1 2 1 1 1 1 1 61

Grand Total 1 1 1 1 1 3 2 3 1 1 12 2 9 3 8 6 4 1 1 2 1 1 1 9 1 2 5 1 1 1 22 1 5 1 2 5 2 3 14 1 1 2 3 1 1 150




Exhibit 11: IT Staff by Division

OATS has primary responsibility for IT governance, including the enterprise change control process and the project and portfolio management office. The positioning of OATS has enabled centralized visibility on major programs that are being undertaken by divisions, and coordinated planning and approval. As per the OATS IT Strategic plan from May 2013, there is a desire and plan to evolve a more centralized IT operating model by 2018.

From observations and interviews with OATS and division stakeholders, it appears that there is limited coordination between the individual divisions in terms of currently sharing resources and expertise around application development and ongoing support. This operating model will need to change once the enterprise RLMS is in place, given that without coordination, changes enacted to one aspect of the RLMS could potentially have a deleterious effect or unintended consequences for other users. The proposed high level transition plan for the new IT operating model will be developed in the Workforce Training Plan and Workforce Knowledge, Skills and Abilities (KSA) Transition Plan (Deliverable 5B-C).

The details of the systems being used by each individual department are captured by the Systems and Data workstream.

4.3.2 CURRENT STATE OPERATING MODEL FOR REVENUE COLLECTION AND PROCESSING

Regulatory revenue collection / processing / refund activities are predominately a centralized function, with the Revenue Processing Section in DOA responsible for regulatory payment processing for most divisions based in Tallahassee. The exceptions are DOL, and two of the divisions based elsewhere in Florida (F&V and DPI). Florida Forest Service also has a separate Fiscal Section, which predominately deals with revenue collection and processing for non-regulatory activities (e.g., access to Florida State Forests, the Buy-A-Tree service).

0 10 20 30 40 50 60 70

DIVI OF AGRICULTURAL ENVIRONMENTAL SVCS.

DIVISION OF ANIMAL INDUSTRY

DIVISION OF AQUACULTURE

DIVISION OF CONSUMER SERVICES

DIVISION OF FOOD SAFETY

DIVISION OF FOOD, NUTRITION & WELLNESS

DIVISION OF FRUIT AND VEGETABLES

DIVISION OF MARKETING AND DEVELOPMENT

DIVISION OF PLANT INDUSTRY

FLORIDA FOREST SERVICE

OFC OF THE COMMER/DIV OF ADMINISTR

OFFICE OF AGRICULTURE TECHNOLOGY SVCS



In addition DOA also has responsibility for the main online payment system currently provided by Bank of America and for ACH payments that are received from the tax collectors' offices that are providing the concealed weapon application service.

Overall, there are 45 positions in 16 different class titles located throughout the department involved in revenue collection and processing activity, including supervisory roles.

4.4 POSITION DESCRIPTION ANALYSIS

4.4.1 APPROACH

In order to get an understanding of how regulatory lifecycle work is currently done and how it might change once the RLMS is implemented, North Highland analyzed position description duties and responsibilities.

With guidance from the department, North Highland used a sample set of position descriptions for each of the regulatory related functions covered by this analysis as outlined below:

Application and Licensure (DOL)

Compliance and Enforcement (DOL)

Revenue Collection (DOA / DOL)

Investigations (AgLaw)

Regulatory Specialists (Enterprise)

From a Workforce Transition perspective, this review was developed in parallel with the Future State Process mapping performed by the Business Process Re-engineering (BPR) workstream. Specifically, North Highland used the same categorization of activities and processes as outlined in the green boxes in the Exhibit below, and further defined in the table. Additionally, other necessary categorizations of tasks, such as Management and Reporting, are listed and defined in the Exhibit below. The methodology of applying these categorizations is discussed in Section 4.4.3.



Exhibit 12: RLMS Functional Model Mapped to High Level Process Model

Customer / Consumer Contact

Application/Licensure Compliance/Inspection/Enforcement

Third-Party

InteractionCommunications

Regulatory Lifecycle

Organizational Financial Reporting & Analytics

Channel

Support Services

+

Intake

+

Verification

+

Fiscal

+

Research/Resolve

+

Legal

+

Investigations

+

Inspections

Compliance / Inspection / Enforcement

Business Rules Engine

Correspondence Management

Integrated ImagingWorkflow Engine

Supporting Components

Application / Licensure

Errors and Omissions

+

Complaints

Reporting & Dashboard

Self Service Portal

Issue/Suspend/Deny

Process/Activity Area Description

Intake Process of receiving an application for a license / permit (and supporting documentation, if any)

FiscalAcceptance and processing of payments for fees or fines (e.g., application fee, late fee), if any,

related to licenses / permits (includes refunds)

Verification Assuring the statutory compliance and eligibility for a license / permit

Research / ResolveResolving potential errors and / or omissions discovered in the Verification process associated

with an application or its supporting documents

Issue / Suspend / Deny Issuance, suspension or denial of a license / permit and associated correspondence

ComplaintsTasks associated with receiving a complaint and determining what further action, if any, is

appropriate

LegalLegal action that may be required in response to a complaint, investigation, inspection, or other

source of information

InvestigationsThe process of undertaking investigative activities as a results of inspections, complaints or

other triggers

Inspections Inspection may be required before and/or periodically after a license / permit is issued

Not in ScopeNon-specified, support activities outside the core scope of regulatory positions such as tasks

labeled as "other" or general support / back-up for other roles in the function

Administrative Routine, back-office activities

Management

General supervisory activities that transcend regulatory-specific scope such as providing

direction, motivating, evaluating and training employees, responsibilities for operational

procedures and budgets

ReportingProducing schedule and reports and extracting insight, including special analyses and analytical

research projects

Customer and Stakeholder Interaction

Anticipating and responding to customer inquires and providing assistance and guidance in

navigating the regulatory process - with a special focus on the quality of the customer

experience and the expedience of outcomes. Achieving effective communication and

information exchange with stakeholders to the regulatory process.



4.4.2 POSITION DESCRIPTIONS: ACTIVITY ALIGNMENT

To set up the position description analysis, North Highland mapped the activities listed to the RLMS Future Operating Model Process / Activity Area:

For the position descriptions examined, North Highland reviewed each of the specific duties listed in the description and categorized them in line with regulatory lifecycle functional areas and processes (future state).

The mapping is approximate and based on interpretation of the nature and purpose of the duties and responsibilities described in Section 6 Duties and Responsibilities of each of the position descriptions.

Where an individual task had a percentage of time allocation, this was carried directly through to the mapping. Where a single percentage of time spanned multiple tasks, we applied a consistent approach to equally apportion the time.

For instance, Position Number 42003843 in the Exhibit below indicates that the employee in this position spends 80% of his or her time engaged in five primary duties and responsibilities. Using our standardized method, we divided the 80% into five equal parts of 16% each in order to cover the component parts of the duties and responsibilities as described in the position description.

Exhibit 13: Duties and Responsibilities Allocation Methodology

The mapping resulted in insight, at an individual position level, on the current distribution of tasks related to the regulatory lifecycle, Management and Administration and other activities.

6. Duties and Responsibilities - Describe in detail the specific duties and responsibilities assigned to this position and the percentage of time for each. Indicate the role of this position in accomplishing the unit and agency mission. If applicable, include examples of independent, final policy decisions made and show their effect on the agency, the public, or other state agencies.

% of Time

80% = Duties and Responsibilities

16% Conducts investigations in all program areas pursuant to the authority of the Department of Agriculture and Consumer Services for alleged violations of Florida’s consumer protection laws, …

16% Evaluates evidence of investigations and prepares detailed, factual and grammatically correct reports of

investigation, which includes …

16% Ensures that his/her immediate supervisor is informed of all matters relevant to investigations being

conducted including the status and disposition of his/her case work…

16% Conducts background investigations on licensees or registrants to determine if an individual has falsified

their license or registration application…

16% Performs research necessary to answer questions and assist consumers and others in a variety of subject

areas…



The Exhibit below is a snapshot of the mapping exercise for a representative set of roles in Application and Licensure (DOL).

Exhibit 14: Position Descriptions: Activity Mapping Illustrative Snapshot

For ease of viewing the information in these Exhibits, full representation of activity mapping for each RLMS Release 1 functional area in scope is found in Attachment IV: RLMS Position Descriptions Analysis

4.4.3 POSITION DESCRIPTIONS: WORKLOAD DISTRIBUTION

The purpose of this analysis is to summarize the current distribution of workload (percentage time allotted to each task) along the categories of Core Regulatory, Management / Administrative activities, and Increasing / New Activities to assess the impact of RLMS implementation.

Application and Licensure (DOL) Gray percentages means total equally allocated to sub-tasks

Division: Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing

Bureau: Support Services Support Services Support Services License Issuance Support Services Support Services License Issuance License Issuance License Issuance

Section:Doc. Management and

Tech. Support Services

Doc. Management and


Doc. Management and


Doc. Management and


Doc. Management and


Doc. Management and

Tech. Support ServicesConcealed Weapons Concealed Weapons

Concealed Weapons

Verification

Activity Area Activity Description Senior ClerkData Processing

Control Specialist

Data Processing

Control Specialist

License Issuance/

Election &

EDP Quality

Control/ Scheduling

EDP Quality

Control/ Scheduling

Corporate

Document/ Election

License Issuance/

Election &

Regulatory

Specialist II

Current or Proposed Class Code 0004 2013 2013 0411 2017 2017 0421 0411 0422

Position Number 3878 3651 3648 4338 3657 3643 3565 3566 3572

% Time 100% 100% 100% 100% 100% 100% 100% 100% 100%

Administrative Data entry into EDMS 15% 15%

Administrative

With system analysts, resolve production

problems, improve productivity, maintain

operating procedures

15% 15%

Administrative Mail out and related filing system 15%

Administrative Print licenses

AdministrativeEnsure adequate supplies and proper operation of

document management equipment10% 10% 10% 10%

Customer and Stakeholder

Interaction

Assists stakeholders with licensing requirements

and procedures


InteractionGuidance to applicants about process 10% 10%


Interaction

Liaison with external stakeholders and technical

expertise


Interaction

Correspondence/interfaces about applications and

licenses10% 10%

Fiscal Examine, log and process all revenue

IntakeSupervise indexing, profiling, routing/distribution

of correspondence30% 30%

IntakeReceives, input and analyze applications/fees and

related information15% 15%

Intake Application intake services

Intake Monitor computer input/output of the EDMS 10% 10%

Intake Processing Mail 65%

Intake Scanning and related workflow activities 15% 20%

Issue/Suspend/Deny

Operates hardware for production/control in EDMS

or Acorde. Prints licenses. Produce schedules and

reports

60% 30%

Issue/Suspend/Deny Issues or denies applications 15% 15%

Issue/Suspend/Deny Issues and prints renewal licenses

Legal (Enforcement) Assist hearing officers

ManagementResponsible for operational procedures and

processes5% 5% 5% 5%

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/151210-DACS02-D5A-Attachment-IV-RLMS-Position-Descriptions-Analysis-v100.xlsx




Exhibit 15: Workload Distribution Legend

The Exhibits below show the full results of the workload distribution analysis. These results, which highlight the impact that RLMS will have on the enterprise's processes and resources with respect to specific regulatory related roles, also illustrate the need for careful planning by the department to ensure that staff are equipped with the new capabilities and skills needed to maximize the benefits offered by the new technology.

Full details for each of the five regulatory related functions analyzed are found in Attachment IV: RLMS Position Descriptions Analysis

Process/Activity Area RLMS and Related Enabling Tools' Impact on Workload Distribution

Intake

Fiscal

Verification

Research / Resolve

Issue / Suspend / Deny

Complaints

Legal

Investigations

Inspections

Not in Scope

Administrative

Management

Reporting


Increasing / New Total

Management / Administrative Total

Core Regulatory Total

Activities specific to the regulatory lifecycle that will be facilitated by RLMS

Activities specific to the regulatory lifecycle that will be materially

transformed and supported by RLMS

Activities specific to the regulatory lifecycle that will be facilitated by RLMS

Critical regulatory lifecycle activities that will be significantly enhanced by

RLMS





Exhibit 16: Distribution of Workload – Application and Licensure (DOL)

Application and Licensure (DOL)Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing

Support Services Support Services Support Services License Issuance Support Services Support Services License Issuance License Issuance License Issuance

Gray percentages means total equally

allocated to sub-tasks

Doc. Management and


Doc. Management and


Doc. Management and


Doc. Management and


Doc. Management and


Doc. Management and

Tech. Support ServicesConcealed Weapons Concealed Weapons

Concealed Weapons

Verification

Activity Area Senior ClerkData Processing

Control Specialist

Data Processing

Control Specialist

License Issuance/

Election &

Corporate Records

Supervisor- SES

EDP Quality

Control/ Scheduling

Supervisor - SES

EDP Quality

Control/ Scheduling

Supervisor - SES

Corporate

Document/ Election

Records Examiner

License Issuance/

Election &

Corporate Records

Supervisor- SES

Regulatory

Specialist II

Pos ition Number 3878 3651 3648 4338 3657 3643 3565 3566 3572

Intake 80% 0% 20% 0% 40% 40% 15% 0% 15%

Fiscal 0% 0% 0% 0% 0% 0% 0% 0% 0%

Verification 0% 35% 45% 0% 0% 0% 30% 0% 30%

Research/Resolve 0% 0% 0% 0% 0% 0% 0% 0% 0%

Issue/Suspend/Deny 0% 60% 30% 0% 0% 0% 15% 0% 15%

Complaints

Legal (Enforcement) 0% 0% 0% 0% 0% 0% 0% 0% 0%

Investigation

Inspection

Core Regulatory Total 80% 95% 95% 0% 40% 40% 60% 0% 60%

Not in Scope 5% 5% 5% 5% 0% 0% 5% 5% 5%

Administrative 15% 0% 0% 25% 10% 10% 15% 25% 15%

Management 0% 0% 0% 70% 50% 50% 0% 70% 0%

Management/Admin. Total 20% 5% 5% 100% 60% 60% 20% 100% 20%

Reporting 0% 0% 0% 0% 0% 0% 0% 0% 0%


Interaction0% 0% 0% 0% 0% 0% 20% 0% 20%

Increasing/New Total 0% 0% 0% 0% 0% 0% 20% 0% 20%

100% 100% 100% 100% 100% 100% 100% 100% 100%

Application and Licensure (DOL)Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing

License Issuance License Issuance License Issuance License Issuance License Issuance License Issuance License Issuance License Issuance License Issuance License Issuance License Issuance


allocated to sub-tasks

Concealed Weapons

VerificationPublic Inquiry Public Inquiry PIA Licensing PIA Licensing

Verification -

Applicant Information

Verification -

Applicant Information

D&G Proprietary

Security

D&G Proprietary

Security

Miami Regional

Office

Tallahassee Regional

Office

Activity Area

Regulatory

Supervisor/

Consultant - SES

Compliance OfficerCompliance Officer

Supervisor - SESCompliance Officer

Compliance Officer

Supervisor - SES

Regulatory

Specialist II

Regulatory

Supervisor/

Consultant - SES

Corporate

Document/

Election Records

Examiner

License Issuance/

Election &

Corporate Records

Supervisor- SES

Regulatory

Specialist II - SES

Corporate

Document/

Election Records

Examiner

Pos ition Number 3574 3578 3579 3556 3553 3559 3560 3548 3552 3609 3980

Intake 0% 0% 0% 15% 0% 15% 0% 15% 0% 40% 25%

Fiscal 0% 0% 0% 0% 0% 0% 0% 0% 0% 10% 0%

Verification 10% 10% 0% 30% 0% 30% 10% 30% 0% 0% 0%

Research/Resolve 0% 25% 0% 0% 0% 0% 0% 0% 0% 0% 0%

Issue/Suspend/Deny 0% 0% 0% 15% 0% 15% 0% 15% 0% 0% 25%

Complaints

Legal (Enforcement) 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 5%

Investigation

Inspection

Core Regulatory Total 10% 35% 0% 60% 0% 60% 10% 60% 0% 50% 55%

Not in Scope 10% 5% 10% 5% 10% 5% 10% 5% 10% 23% 5%

Administrative 0% 25% 0% 15% 0% 15% 0% 15% 0% 0% 25%

Management 70% 0% 70% 0% 75% 0% 70% 0% 75% 28% 0%

Management/Admin. Total 80% 30% 80% 20% 85% 20% 80% 20% 85% 50% 30%

Reporting 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%


Interaction10% 35% 20% 20% 15% 20% 10% 20% 15% 0% 15%

Increasing/New Total 10% 35% 20% 20% 15% 20% 10% 20% 15% 0% 15%

100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100%



Exhibit 17: Distribution of Workload – Compliance and Enforcement (DOL)

Compliance and Enforcement (DOL)Licensing Licensing Licensing Licensing Licensing Licensing Licensing Licensing

Director's Office Director's OfficeLicense Issuance (per

current PD)


allocated to sub-tasksCompliance Compliance Compliance Compliance Compliance Compliance Compliance

Public Inquiry Section

(per current PD)

Activity Area Attorney SupervisorAdministrative

Assistant ISenior Attorney Senior Attorney Government Analyst I

Administrative

Assistant IResearch Assistant Compliance Officer

Pos ition Number 3528 3530 3639 3660 3526 4063 3538 3580

Intake

Fiscal

Verification

Research/Resolve

Issue/Suspend/Deny

Complaints

Legal (Enforcement) 55% 20% 90% 60% 80% 20% 40% 0%

Investigation

Inspection

Core Regulatory Total 55% 20% 90% 60% 80% 20% 40% 0%

Not in Scope 0% 0% 5% 5% 5% 5% 5% 5%

Administrative 0% 80% 0% 0% 15% 75% 0% 45%

Management 45% 0% 5% 35% 0% 0% 15% 0%

Management/Admin. Total 45% 80% 10% 40% 20% 80% 20% 50%

Reporting 0% 0% 0% 0% 0% 0% 40% 0%


Interaction0% 0% 0% 0% 0% 0% 0% 50%

Increasing/New Total 0% 0% 0% 0% 0% 0% 40% 50%

100% 100% 100% 100% 100% 100% 100% 100%



Exhibit 18: Distribution of Workload – Revenue Collection (DOA / DOL)

Revenue Collection (DOA/DOL)Administration Administration Administration Administration Administration Administration Administration Administration

Finance and

Accounting

Finance and

Accounting

Finance and

Accounting

Finance and

Accounting

Finance and

Accounting

Finance and

Accounting

Finance and

Accounting

Finance and

Accounting

Gray percentages means total

equally allocated to sub-tasks

Revenue Management

Unit/ Revenue

Processing

Revenue

Management Unit/

Revenue Processing

Revenue

Management Unit/

Revenue Processing

Revenue

Management Unit/

Revenue Processing

Revenue

Management Unit/

Revenue Processing

Revenue Management

Unit/ Revenue

Processing

Revenue

Management Unit/

Revenue Processing

Revenue

Management Unit/

Revenue Processing

Activity AreaAccounting Services

AdministratorSenior Clerk Fiscal Assistant II Accountant I Accountant II Accountant II Accountant II Accountant III

Pos ition Number 0928 0039 0646 0630 0044 0052 0055 2004

Intake 0% 57% 45% 15% 0% 0% 0% 0%

Fiscal 0% 2% 15% 80% 20% 20% 20% 95%

Verification

Research/Resolve 0% 0% 0% 0% 75% 75% 75% 0%

Issue/Suspend/Deny 0% 0% 5% 0% 0% 0% 0% 0%

Complaints

Legal (Enforcement)

Investigation

Inspection


Not in Scope 0% 2% 5% 5% 5% 5% 5% 5%

Administrative 0% 2% 30% 0% 0% 0% 0% 0%

Management 95% 37% 0% 0% 0% 0% 0% 0%

Management/Admin.

Total95% 41% 35% 5% 5% 5% 5% 5%

Reporting 5% 0% 0% 0% 0% 0% 0% 0%

Customer and

Stakeholder Interaction


100% 100% 100% 100% 100% 100% 100% 100%

Revenue Collection (DOA/DOL)Administration Administration Administration Administration Licensing Licensing Licensing Licensing

Finance and

Accounting

Finance and

Accounting

Finance and

Accounting

Finance and

AccountingDirector's Office Director's Office Director's Office Director's Office



Revenue

Management Unit/

Revenue Processing

Revenue

Management Unit/

Revenue Processing

Revenue

Management Unit/

Revenue Processing

Revenue

Management Unit/

Revenue Processing

Fiscal Section Fiscal Section Fiscal Section Fiscal Section

Activity Area Accountant IVProfessional

Accountant

Professional

Accountant

Professional

AccountantAccountant II Accountant II Accountant I

Senior

Management

Analyst II - SES

Pos ition Number 0651 5514 0087 3302 3628 5548 3269 3892

Intake 10% 0% 0% 0% 0% 0% 0% 0%

Fiscal 63% 50% 20% 35% 35% 95% 75% 5%

Verification

Research/Resolve 20% 45% 75% 60% 0% 0% 0% 0%

Issue/Suspend/Deny 2% 0% 0% 0% 0% 0% 0% 0%

Complaints

Legal (Enforcement)

Investigation

Inspection


Not in Scope 5% 5% 5% 5% 5% 5% 5% 35%

Administrative 0% 0% 0% 0% 40% 0% 10% 10%

Management 0% 0% 0% 0% 0% 0% 0% 20%

Management/Admin.

Total5% 5% 5% 5% 45% 5% 15% 65%

Reporting 0% 0% 0% 0% 20% 0% 10% 30%

Customer and

Stakeholder Interaction


100% 100% 100% 100% 100% 100% 100% 100%



Exhibit 19: Distribution of Workload – Investigation (AgLaw)

Investigation (AgLaw)Office of Agricultural Law

Enforcement

Office of Agricultural Law

Enforcement


Enforcement


Enforcement

Investigative Services Investigative Services Investigative Services Investigative Services



Regulatory - Ft.

Lauderdale/Broward/06

Regulatory Investigative -

Indian River/31

Regulatory /South Region -

Orlando/Orange/48

Regulatory/North Region -

Leon/37

Activity Area Investigative Manager - SESInvestigative Supervisor -

SESSenior Financial Investigator Investigation Specialist I

Pos ition Number 3873 1916 1199 3843

Intake

Fiscal

Verification

Research/Resolve 0% 16% 10% 16%

Issue/Suspend/Deny

Complaints

Legal (Enforcement)

Investigation 27% 16% 50% 48%

Inspection

Core Regulatory Total 27% 32% 60% 64%

Not in Scope 5% 0% 0% 10%

Administrative

Management 68% 68% 20% 0%

Management/Admin.

Total73% 68% 20% 10%

Reporting 0% 0% 10% 16%

Customer and

Stakeholder Interaction0% 0% 10% 10%

Increasing/New Total 0% 0% 20% 26%

100% 100% 100% 100%



Exhibit 20: Distribution of Workload – Regulatory Specialists (Enterprise)

Regulatory Specialists (Enterprise)Consumer Services Consumer Services Consumer Services

Consumer

ServicesConsumer Services Consumer Services Consumer Services Consumer Services Consumer Services

Compliance Compliance Compliance Compliance Compliance Compliance ComplianceMediation &

Enforcement

Mediation &

Enforcement



Chief of

Compliance

(Registration?)

Chief of

Compliance

(Registration?)

Chief of

Compliance

(Registration?)

Chief of

Compliance

(Registration?)

Registration/

Licensing

Registration/

Licensing

Registration/

Licensing

Complaints/

Enforcement

Complaints/

Enforcement

Activity AreaRegulatory

Specialist I

Regulatory

Specialist I

Regulatory

Consultant

Regulatory

Specialist I

Regulatory

Specialist I

Regulatory

Specialist III

Regulatory

Consultant

Regulatory

Specialist III

Senior Consumer

Services Analyst

Pos ition Number 5273 0556 1168 5095 5294 3450 5284 0617 3720

Intake 20% 50% 10% 80% 95% 28% 20% 8% 13%

Fiscal 35% 0% 0% 0% 0% 0% 0% 0% 0%

Verification 0% 0% 0% 0% 0% 14% 20% 0% 0%



Complaints


Investigation

Inspection 0% 0% 0% 0% 0% 0% 0% 0% 0%


Not in Scope 5% 5% 20% 5% 5% 15% 10% 28% 20%

Administrative 0% 0% 10% 0% 0% 14% 10% 8% 7%

Management 0% 0% 10% 0% 0% 0% 3% 0% 0%

Management/Admin.

Total5% 5% 40% 5% 5% 29% 23% 36% 27%

Reporting 0% 0% 30% 0% 0% 0% 3% 16% 27%

Customer and

Stakeholder Interaction40% 5% 0% 15% 0% 28% 20% 24% 20%


100% 100% 100% 100% 100% 100% 100% 100% 100%

Regulatory Specialists (Enterprise)Consumer Services AES AES AES AES AES AES AES

Food, Nutrition

and Wellness

Mediation &

Enforcement

Licensing and

Enforcement

Licensing and

Enforcement

Licensing and

Enforcement

Licensing and

Enforcement

Licensing and

Enforcement

Licensing and

Enforcement

Licensing and

EnforcementFood Distribution



Complaints/

Enforcement

Licensing/

Registration -

Pesticide Registration

Licensing/

Registration - Pest

Control Licensing

Licensing/

Registration - Pest

Control Licensing

Licensing/Registration

- Certification

Licensing/Registration

- Certification

Enforcement/

Environmental

Enforcement/

Environmental

Chief of Food

Distribution

Activity AreaRegulatory

Consultant

Regulatory

Specialist I

Regulatory

Specialist I

Regulatory

Specialist I

Regulatory

Specialist I

Regulatory

Specialist II

Regulatory

Specialist I

Regulatory

Specialist II

Regulatory

Consultant

Pos ition Number 0428 0107 5258 4495 0118 0141 0167 0115 5221

Intake 10% 10% 30% 30% 30% 30% 0% 0% 0%

Fiscal 0% 0% 0% 0% 0% 0% 0% 0% 0%

Verification 0% 70% 50% 50% 50% 50% 30% 65% 0%



Complaints


Investigation

Inspection 0% 0% 0% 0% 0% 0% 0% 0% 30%


Not in Scope 20% 5% 5% 5% 5% 5% 5% 5% 10%

Administrative 10% 0% 0% 0% 0% 0% 30% 20% 0%

Management 0% 0% 0% 0% 0% 0% 0% 0% 0%

Management/Admin.

Total30% 5% 5% 5% 5% 5% 35% 25% 10%

Reporting 20% 0% 5% 5% 5% 5% 10% 5% 30%

Customer and

Stakeholder Interaction10% 15% 10% 10% 10% 10% 25% 5% 20%


100% 100% 100% 100% 100% 100% 100% 100% 100%



The exhibits above provide valuable insight on workforce transition implications and priorities for RLMS implementation:

The workload distribution profiles vary across regulatory related functions, affecting the level of impact and opportunities to shape the success of RLMS implementation from both an organizational design and workforce capabilities perspective.

› In Application and Licensure, supervisory roles are currently focused on Management / Administrative activities, rather than core regulatory tasks and exchanges with customers are predominantly process-based around the intake and resulting processes.

› Compliance and Enforcement and Investigation senior and supervisory positions currently focus predominantly on administrative requirements (routine, supervisory cross-checks) and less on core regulatory activities.

› For most Revenue Collection and Processing, positions assessed are centered on the regulatory core, with the majority of time spent on fiscal and research and resolve activities.

› The sample of Regulatory Specialists position descriptions are also primarily focused on core regulatory activities, although each example examined also has a significant component of Customer and Stakeholder interaction, typically between 10-25%.

Workforce transition, training, and change management plans need to be framed for each functional area to reflect the unique distributions of workload.

For Investigation and Compliance and Enforcement the focus of their efforts reflects both the particular nature of their regulatory lifecycle roles (which is based on expertise) and the recent effort to harmonize the position descriptions.

These observations and opportunities are captured in further detail in the Findings and Recommendations (Section 6).

4.4.4 POSITION DESCRIPTIONS ANALYSIS: THREE HYPOTHESES

For this component of the analysis, North Highland utilized a three-question “lens” – framed in the form of three hypotheses – that broadly correspond to achieving the goals of Quality, Consistency and Expediency of service at the core of the RLMS project. The Exhibit below documents the three hypotheses and the summary set of processes and activity areas North Highland identified across regulatory related position descriptions that are candidates for careful consideration of the opportunities surfaced by the hypotheses.



Potential Shared Service System Efficiency Gains Increasing in Future State

Exhibit 21: Position Descriptions – Three Hypotheses

North Highland applied the three questions “lens” / hypotheses to each activity mapped from the position descriptions set to evaluate how the activity would be affected by RLMS. Only line items of activities likely affected by the hypotheses are presented.

The Exhibit below is a snapshot of the exercise for Application and Licensure (DOL). Full results for each RLMS Release 1 functional area are found in Attachment IV: RLMS Position Descriptions Analysis

Quality

Consistency

Expediency

Hypothesis 1: Can these tasks be

performed across the

department?

Hypothesis 2: Will RLMS Release 1 result in material

efficiency gains?

Hypothesis 3: Is the demand for this activity / service projected to be

greater in the future?





Exhibit 22: Position Descriptions: Hypothesis Results for Application & Licensure (DOL)

The tables (Attachment IV: RLMS Position Descriptions Analysis) give an overview of the magnitude of, and opportunities for, the RLMS journey to drive the Quality, Consistency, and Expediency outcomes. The assessment is at a high level and only of the opportunities framed by the three hypotheses since it is applied to a representative sample of positions (many of which have similar descriptions). However, North Highland believes it is scalable and that further detailed analysis is warranted and should be linked into the existing initiative being carried out by BPM on the harmonization of Position Descriptions across functions. Specifically:

Application and Licensure (DOL)

Activity Area Activity Description Potential Shared Service System Efficiency Gains Increasing in Future State

Administrative Data entry into EDMS Y Y

Administrative

With system analysts, resolve production

problems, improve productivity, maintain

operating procedures

Y Y

Administrative Mail out and related filing system Y Y

Administrative Print licenses Y Y

AdministrativeEnsure adequate supplies and proper operation of

document management equipmentY Y


Interaction

Assists stakeholders with licensing requirements

and proceduresY Y


InteractionGuidance to applicants about process Y Y


Interaction

Liaison with external stakeholders and technical

expertiseY Y


Interaction

Correspondence/interfaces about applications and

licensesY Y

Fiscal Examine, log and process all revenue Y Y

IntakeSupervise indexing, profiling, routing/distribution

of correspondenceY Y

IntakeReceives, input and analyze applications/fees and

related informationY

Intake Application intake services Y Y

Intake Monitor computer input/output of the EDMS Y Y

Intake Processing Mail Y

Intake Scanning and related workflow activities Y Y

Issue/Suspend/Deny

Operates hardware for production/control in EDMS

or Acorde. Prints licenses. Produce schedules and

reports

Y Y

Issue/Suspend/Deny Issues or denies applications Y Y

Issue/Suspend/Deny Issues and prints renewal licenses Y Y

Legal (Enforcement) Assist hearing officers

ManagementResponsible for operational procedures and

processesY Y

ManagementAdministrative and supervisory work relating to

the EDMSY Y

ManagementOversee application of policies /procedures for

application approval/denialY Y

Management Direct supervision of subordinates

Management Back-up supervisor

Management Manage budgets/dollars/resources Y Y

ManagementSupervise correspondence workflow and opening,

batching and routingY Y

Reporting Produce schedules and reports Y Y

Research / ResolveCorrespondence/interfaces about statutory and

procedural eligibility requirementsY Y

VerificationWorks with in state and out of state law

enforcement to verify criminal recordsY Y

Verification Determines if application complete Y Y

Verification Applicant processing Y Y

Verification Review scanned documents Y Y

z Not in Scope Special research projects




There appear to be opportunities to consider applying the “One Team” service concept across the department and consolidate non-legal / compliance regulatory activities.

› Application and Licensure (DOL) › Revenue Collection (DOA / DOL / F&V / DPI / FFS) › Regulatory Specialist (Enterprise)

By design and intent, these functions are also expected to experience high levels of efficiency gains with RLMS.

Functions that are heavily dependent on the application of regulatory knowledge and the qualifications of individual contributors (such as attorneys and investigators – marked Low in the exhibit below) are less affected by system-driven changes but will, however, experience benefits from less burdensome information access and sharing processes – resulting in better leverage of key regulatory skill sets.

Except for the revenue collection function, all regulatory related functions should be able to significantly leverage the benefits of RLMS in the Reporting and Analytics and Customer and Stakeholder Interactions areas and these opportunities can have a multiplier effect for the department’s capacity to deliver on its Quality, Consistency and Expediency goals.

The opportunities below have different implementation profiles:

› System Efficiency Gains will be realized as each RLMS Release comes online. › Establishing the feasibility of Potential Shared Services activities will require

further organizational design across the regulatory functions and the rollout of the future state regulatory lifecycle processes as defined by the BPR workstream, but can potentially happen in advance of RLMS implementation.

› The ‘Increasing in Future State’ benefits are dependent on freeing up additional capacity for these areas to be focused on.

Exhibit 23: Summary of Functional Opportunities

These observations are additionally and more broadly discussed in Section 6, Findings and Recommendations.

Potential Shared Service System Efficiency Gains Increasing in Future State

Application & Licensure (DOL) High High Medium

Compliance and Enforcement (DOL) Low Low Low

Revenue Collection and Processing (DOA / DOL) High High

Investigation (AgLaw) Low Low

Regulatory Specialist (Enterprise) High High Medium



SECTION 5 CAPABILITY CHANGES

In this section North Highland identifies new or enhanced capabilities that will be required in the Future Operating Model for RLMS and those that will be less significant or no longer required. This analysis sets the stage for the direction and content of the Workforce Knowledge, Skills, and Abilities Transition Plan and the Workforce Training Plan deliverables.

5.1 TRANSITION FROM CURRENT TO FUTURE OPERATING MODEL

The exhibit below captures the goals, outcomes and the multiple dimensions of the transformation in service delivery driven by the Future Operating Model for RLMS, and highlights and provides context for the assessment of the RLMS impact on workforce capabilities needs and on the resulting outcomes for customers, stakeholders and department resources.

RLMS and related enabling tools will ensure resources have the ability to focus on high value-added activities, drive greater quality and consistency on inputs / outputs across regulatory processes, and will help meet customers and stakeholders’ expediency expectations.

As illustrated, some current regulatory lifecycle related activities will decrease and others will increase and / or be newly needed, resulting in a corresponding shift in skills requirements to interface with the RLMS system to perform these functions. Specifically:

The volume of manual, administrative and oversight activities will significantly decrease.

The capacity and quality of analysis, reporting and insight will expand at all levels of the organization.

The level and sophistication of customer service and stakeholder interactions will increase.

Cross functional knowledge of regulatory requirements, processes and supporting technologies will be widely required. Responsiveness to training / learning and applying risk management principles are requisite to acquiring the cross functional knowledge.

Another outcome of the Operating Model transition is that the department will achieve greater capacity to elevate, and affect, service and resource development. As a result, for staff there will be:

Opportunity to perform higher value-added activities

Line of sight to professional opportunities to grow and achieve career progression goals

Empowerment to apply judgment and exercise decision-making privileges



With the Current Operating Model, existing processes and tools are constraining the timing and effectiveness of regulatory services delivery. The business transformation accomplished with the implementation of the Future Operating Model delivers on the goals of the RLMS project which revolve around enabling innovative systems and processes including: implementing a customer self-service portal, defining a workflow and business rules engine, leveraging mobile platforms, and improving correspondence and document management to efficiently and consistently deliver on regulatory demands and outcomes.

Hence, this Operating Model transition embodies and leverages the Guiding Principles developed to support a successful Workforce Transition experience for the leadership and resources of the department.



Exhibit 24: Operating Model Transition

Core Regulatory

Activities

Manual Tasks,

Administrative, OversightCore Regulatory Activities

Customer Service,

Stakeholder Interfaces

Distribution of Activities – Current Operating Model

NEWCross-functional

Learning/Training,

Risk Management

Distribution of Activities – Future Operating Model

Capacity

Service

Resource

Development

Analysis,

Reporting,

Insight

RLMS /

ENABLING

TOOLS

Self-service

portal

Workflow

business rules

Mobile platform

Correspondence

and document

management

Quality

Consistency

Expediency

Anticipated enhanced efficiencies and higher productivity levels achieved with the Future Operating Model are not projected to

result in loss of positions (except for natural attrition), but that capacity will be deployed to meet future need

Environment / Professional Development Opportunities to perform high value-added activities

On–the-job learning/training and professional progression

Increase in span of decision making

Customer / Stakeholder ExperienceStreamlined customer and stakeholder experience

Transparent and fully enabled compliance

More efficient inspections; consistent, effective enforcement

Manual Tasks,

Administrative Oversight

Customer Service,

Stakeholder Interfaces

Analysis, Reporting,

Insight



5.2 APPROACH TO ESTABLISHING REQUIRED FUTURE STATE CAPABILITIES

The review of how regulatory and supporting financial tasks are currently performed (Section 4) informed our approach at evaluating how capabilities and competencies requirements shift with the RLMS implementation.

Specifically, and in collaboration with department leadership, North Highland identified that:

There will be compelling opportunities for performing as One Team across the department for certain types of activities currently conducted in siloes

The RLMS implementation will result in significant system efficiency gains and will not liberate resources from a plethora of tactical and low value-added tasks

The demand for the quality and quantity of regulatory services provided is increasing, and there is an awareness and desire on the part of the department to successfully meet these needs

5.3 ASSESSING CHANGING CAPABILITIES NEEDS

The RLMS implementation project is a key enabling platform for organizational innovation and significantly expands the department’s capacity on a multitude of fronts including: the level and quality of service; and the potential to invest in resource development.

The RLMS implementation will impact how the department performs regulatory activities and the type and scope of capabilities needed in the Future Operating Model are shifting as outlined below.

These tables (sections below) identify and explain projected capabilities requirements resulting from the shift to the Future Operational Model support by the RLMS Release 1 implementation. They describe the projected new, decreasing and increasing capabilities needs, the rationale for the change in demand, and who is impacted across the regulatory spectrum.

5.3.1 INCREASING AND / OR NEW CAPABILITIES NEEDS

RLMS implementation releases capacity for innovation and for higher value activities, including enhanced customer service, analysis and reporting, enforcement and licensing/permitting process navigation.

Delivering better customer service and anticipating customer needs requires resources receptive (through training and / or on-the-job learning) to acquiring cross-functional knowledge of the regulatory lifecycle and function – and sufficient analytical and risk management skills to support newly implemented insight-driven execution.



CAPABILITY DESCRIPTION RATIONALE / DRIVER WHO IS IMPACTED?


Communicate with customers / consumers and stakeholders; understand their needs and articulate requirements, and provide guidance through processes and procedures

Enhanced customer service is both a goal and an outcome of RLMS implementation and results in the opportunity to align more roles to customer service and stakeholder interaction

Individuals in roles that correspond / interact with constituencies about applications, licenses, statutory, and procedural eligibility requirements

Cross- Functional Licensing Regulatory Knowledge

Ability to navigate process, technology and people interactions across the regulatory lifecycle

Multiple licensing and related regulatory activities currently performed in siloes will be performed differently (One Team) and will result in enhanced professional opportunities

Licensing Section / supporting Financial Support / other divisions resources who interface with regulatory processes the technology

Management Insight

Any supervision effort required for effective resource deployment, customer outcomes and improving performance

Capacity for critical thinking expands (enabling technologies and streamlined processes) and management can focus less on single point of oversight and more on delivering management insight

Individuals with supervisory and management responsibilities

Reporting and Data Analysis

Ability to organize, examine, interpret and report information about licensing and supporting regulatory processes

More insightful reporting results in a greater ability to understand the effectiveness of operations and anticipate customer needs

Anyone responsible for reporting activities

Compliance Reporting

Maintaining knowledge of compliance; ability to collate it for internal communication

Compliance reporting will be distributed across resources for the span of the licensing process

Anyone responsible for enforcing and monitoring compliance

Risk Management

Risk management is the ability to identify, surface to responsible parties, and mitigate irregularities and deviations from licensing and permitting compliance requirements

Increased transparency and data accessibility (enabled by the system) requires resources across the licensing and regulatory spectrum to develop and deploy basic and advanced risk management skills

Most department personnel currently validating applications across the multi-staged process

License Issuance

Achieve a sufficient level of familiarity with, and navigate across the licenses, registrations, certificates and permits issuance and denial processes input / output steps

The new system will result in greater information access across the licensing and permitting spectrum

Anyone who handles license issuances and / or denials




Enforcement

Ability to utilize data from compliance, inspections and investigations that triggers enforcement actions

Technology and enhanced analysis result in more sophisticated enforcement activity and outcomes

Anyone executing enforcement activities

Field Operations

Ability to utilize real time access to data to enhance inspections and investigations

Real time data access drives the quality and speed – and capacity for – field operations

Resources performing regulatory lifecycle-related field work

Entry-Level Skill Base b Trainability

Ability to learn new systems and ways of working – there is likely to be an increased expectation on the ability to use the systems

Entry level roles will be filled by individuals with a sound basis for interacting with technology enabled transactional/revenue processes

Anyone currently – and new hire resources – performing entry-level activities in the impacted divisions

System Utilization

Achieve comfort with using and leveraging new system and process interactions

Several activities and processes will be performed predominantly via the new technology

All resources performing licensing / permitting activities – and related revenue financial support

Exhibit 25: Increasing and / or New Capabilities Needs

5.3.2 DECREASING CAPABILITIES NEEDS

The deployment of new regulatory lifecycle processes and enabling technologies (e.g., self-service and mobile platforms; automated workflow / business rules engine; and correspondence and document management tools) results in a reduction in manual (or off-system) processes and less duplication of effort (i.e., fewer systems, less data input, validation and corrections).


Administrative Intake and Scanning

Getting information into the system: scanning and related intake, sorting and categorizing workflow

Shift to more applications completed online and at customer service centers, reduction in manual data entry, and improvements to scanning / OCR accuracy

Anyone responsible for administrative processing of licenses and permits; intake of complaints

Mail Processing

Receiving, sorting and routing incoming mail and payments; serving the outgoing mail needs of the department

Automated and consolidated mail processing results in decreased resource-based capacity needs. More automatically triggered outbound mail; shift to email correspondence

Resources currently responsible for physically receiving, organizing, processing and sending mail




Data Entry

Manually inputting / amending application and related revenue collection information into current regulatory systems

The implementation of the new system will greatly reduce, or eliminate, the need for manual and duplicative data entry into multiple systems

Individuals who transfer paper-based information into electronic platforms

Validation

Monitoring applications for compliance and completeness across the licensing and permitting process to ensure regulatory requirements are met

Automated system / processes, higher accuracy and consistency, and alerts switch the focus of validation activities towards greater analysis of license applications and regulatory compliance

Most department personnel currently validating applications across the multi-staged process

Management Oversight

Any supervision effort required for resource deployment, process and Regulatory compliance, and managing errors and exceptions

Through enabling technologies and streamlined processes, management can focus less on single-point oversight and more on appropriate escalation and decision making

Individuals with supervisory and management responsibilities

Exhibit 26: Decreasing Capabilities Needs

This information will feed into the Workforce Knowledge, Skills, and Abilities Transition Plan and the Workforce Training Plan deliverables documents which address how to successfully implement capabilities re-alignment.



SECTION 6 FINDINGS AND RECOMMENDATIONS

This WTA, in alignment with the effort undertaken by the BPR workstream, has identified potential gaps between current and future operating models, detailing how the organization may be impacted and workforce issues may be faced throughout the project.

This section also includes recommendations related to opportunities for workforce transition throughout the life of the RLMS Project and how these can feed into, and where appropriate, be delivered through ongoing department-led transformation initiatives such as the Position Classification exercise being undertaken by the Bureau of Personnel Management.

Several process and technologies realities under the Current Operating Model serve as barriers to opportunities to improve the current quality and level of service, the work experience of, and opportunities for, resources performing regulatory activities, and for achieving greater levels of efficiency. The Exhibit below assesses these opportunities and presents how RLMS, related enabling tools, and the implementation of a Future Operating Model support the recommendations and benefits outlined below.

OPPORTUNITIES RECOMMENDATIONS BENEFIT

ORGANIZATIONAL DESIGN THEMES Fragmented Systems and IT Application Support: The current fragmented nature of regulatory systems application support is not sustainable under the enterprise RLMS model. IT application support resources are distributed and often focused at supporting bureau and / or division-specific applications which will be rendered obsolete with RLMS

Newly established RLMS technology can be leveraged to centralize and streamline IT application support – consider launching this effort immediately

Quality, consistency, expediency Proactive management of potential IT support confusion or inconsistencies for RLMS deployment

Limited Reporting and Analytics: Reporting and analytics capabilities are currently limited in both capacity (current focus on manual, not integrated processes) and technology (fragmented tools and support)

Establish a reporting and analytics center of excellence to encompass management, compliance, mandatory and financial reporting, as well as statistical analysis

Anticipate and meet regulatory compliance and regulatory requirements Greater ability to develop and leverage an expanded skill set

Siloed Customer Support Knowledge: The ability to answer customer questions on the regulatory process is limited to the knowledge of resources who are performing specific segments / types of regulatory activity

Provide cross-training, access to appropriate enterprise data, and a regulatory knowledgebase within the RLMS to enable resolution of customer inquiries at first point of contact

Quality, consistency, expediency and improved customer experience




Siloed Mail / Document Processing: There are a myriad of siloed and repeated mail / document processing activities in bureaus and sections

Execute the consolidation of mail processing, correspondence, and document management activities

Quality, consistency, expediency

Range of Regulatory Position Titles: The number of different position titles used across the department to describe similar regulatory lifecycle as well as IT support roles is cumbersome

As part of the ongoing position classification harmonization effort, consolidate the number of position descriptions where roles are undertaking similar tasks

Streamlined and deliberate recruitment efforts Professional development clarity for impacted regulatory lifecycle and IT personnel

Focus on Tasks rather than Skills: Current position descriptions are task-focused and do not accurately reflect the knowledge, skills, abilities and competencies needed to perform regulatory lifecycle roles

Consider rewriting the position descriptions, (within known state-wide constraints), to include: -consistent usage of the KSA section of the PD template; -consistent application of SMART expectations and; -usage of supplemental supporting documentation to specify RLMS competencies

Clarity for management and employees on roles’ expectations Accurate reflection of skills and capabilities needed to complement RLMS

TRAINING AND DEVELOPMENT THEMES Limited career development opportunities: Siloed regulatory lifecycle functions, lack of consistency of processes, and unclear roles, responsibilities and handoffs are limiting resources’ ability to develop and advance in the department

Articulate and establish clear career paths for individuals supported by the RLMS and the Future Operating Model

Recruitment and retention, primarily Inspections

Talent access and development constraints: Access to talent for the department is limited by the siloed nature of current regulatory functional operations and its inherent constraints on employee opportunities for recognition and development

Embrace a department-wide approach to employee development to improve the bench quality of resources and provide access to a wider talent base for the department

Recruitment and retention

Processes are limiting value-added activities: Employees’ ability to focus on value-added activities and independent decision making is currently limited by cumbersome processes and applications

Foster and model a culture that encourages appropriate decision making initiative and that values proactive risk management

Improved compliance and faster cycle times




Ability to learn is critical: RLMS will drive the need for new capabilities in the department and require current resources ability to learn new skills

Define learning and behavioral changes programs to assist workers and establish appropriate plans to deliver training on new capabilities requirements – and consider shifting resources from current roles

Quality of resources’ skill and capabilities base

Technical and Business Skills are complementary: Currently there is no holistic view of the combination of the technical and business skills required for regulatory lifecycle roles

Consider establishing an integrated regulatory lifecycle Competency Model (technical and business components)

People with the “right” skills will ensure the successful and sustainable implementation of RLMS

BEST PRACTICES / GOVERNANCE THEMES Current limits to the One Team concept: Functional fragmentation of services and activities does not foster a one-team concept across regulatory functions and the department

Perform assessments of organizational best practices in consolidation of relevant activities and services under consideration (call center, data analytics center of excellence, mail / document processing) and frame specific deployment plans

Detailed strategy and execution plans for the launch and implementation of process consolidation activities that drive efficiency and quality of service

Need for a Reporting and Analytics strategy: Current reporting and data analytics are performed ad hoc and lack consistent strategy

Perform an inventory of current reporting practices and outputs; assess reporting needs and opportunities under the Future Operating Model supported by RLMS and establish appropriate governance and accountability over analytics and reporting activities across the department, along with any statutory or rule changes required

Relevant and actionable reports and analytical insights

Operating Model effects on stakeholders: Interactions with non-customer stakeholders (such as other agencies and regulators are also shaped by Current Operating Model and processes

Assess opportunities for improvement on how business is conducted with interdependent stakeholders and develop stakeholder-specific approaches to enhance interaction

Quality, consistency, expediency and improved stakeholder interaction

Processes are hindering communication with customers: Current interaction and communication formats with customers are saddled by inefficient and fragmented processes

Launch an effort to assess current customer communication platforms and ensure that all documents, websites, etc. are clearly articulated and consistent with the new technology tools and regulatory delivery processes

Quality, consistency, expediency and improved customer service




RLMS governance is important: RLMS is a new enterprise-wide system and consideration must be given to ongoing governance

Establish the RLMS governance model and frame it in the context of the early development and implementation of a new IT Operating Model that meets the needs of the divisions

Ongoing success of the RLMS implementation through releases and effective IT support

Exhibit 27: Themes for Organizational Transformation



SECTION 7 ATTACHMENTS

7.1 ATTACHMENT I: RLMS STRATEGY ARTICULATION MAP PRESENTATION

This attachment can be found on FDACS SharePoint here

7.2 ATTACHMENT II: FDACS ORGANIZATION CHART


7.3 ATTACHMENT III: FDACS IMPACTED POSITION ANALYSIS


7.4 ATTACHMENT IV: RLMS POSITION DESCRIPTIONS ANALYSIS


http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/151210-DACS02-D5A-Attachment-I-RLMS-Project-Strat-Map-v100.pptx

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/151210-DACS02-D5A-Attachment-II-FDACS-Organization-Chart-Highlighted-v100.pdf



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