Regulatory Lifecycle Management System – Pre-Design ...€¦ · System – Pre-Design, Development, and Implementation Project D5D Role-Based Skills Gap Analysis (SGA) ... The Role-Based

FLORIDA DEPARTMENT OF AGRICULTURE

AND CONSUMER SERVICES

REGULATORY LIFECYCLE MANAGEMENT

SYSTEM – PRE-DESIGN, DEVELOPMENT,

AND IMPLEMENTATION PROJECT

D5D – ROLE-BASED SKILLS ASSESSMENT

AND GAP ANALYSIS

Date: 02/25/2016

Version: 004

Florida Department Of Agriculture And Consumer Services – Regulatory Lifecycle Management System – Pre-Design, Development, and Implementation Project

D5D Role-Based Skills Gap Analysis (SGA) Page i

TABLE OF CONTENTS

INTRODUCTION .............................................................................................. 1

1.1 Purpose ........................................................................................................................... 1

1.2 Description ...................................................................................................................... 2

1.3 Scope Statement ............................................................................................................. 3

NORTH HIGHLAND APPROACH / ASSUMPTIONS ........................................ 4

2.1 Approach ......................................................................................................................... 4

2.2 Assumptions.................................................................................................................... 5

REGULATORY LIFECYCLE AND IT COMPETENCY MODELS ...................... 6

3.1 Background to Competency model development ............................................................ 6

3.2 The Regulatory Lifecycle Competency Model ................................................................ 10

3.3 IT Competency Model ................................................................................................... 13

APPROACH TO REGULATORY LIFECYCLE SKILLS ASSESSMENT AND IT SKILLS INVENTORY .............................................................................................................. 18

4.1 Overview Of Regulatory Lifecycle Skills Assessment Approach .................................... 18

4.2 Developing Role-Based Competency Profiles (Regulatory Lifecycle Only) .................... 19

4.3 Regulatory Lifecycle Skills Assessment Tool ................................................................. 24

4.4 High-Level Skills Assessment ....................................................................................... 26

4.5 Overview of Approach for the IT Skills Inventory ........................................................... 26

RESULTS AND GAP ANALYSIS ................................................................... 28

5.1 Regulatory Lifecycle Skills Assessment Results and Gap Analysis ............................... 28

5.2 IT Skills Inventory Results ............................................................................................. 28

FINDINGS AND RECOMMENDATIONS ........................................................ 35

ATTACHMENTS ............................................................................................ 37

7.1 Attachment I: RLMS Workforce Transition Analysis (Deliverable D5A) .......................... 37

7.2 Attachment II: Regulatory Lifecycle and IT Competency Models ................................... 37

7.3 Attachment III: SFIA IT Competency Model ................................................................... 37

7.4 Attachment IV: RLMS Skills Assessment Tool ............................................................... 37

7.5 Attachment V: IT Skills Inventory Tool ........................................................................... 37

7.6 Attachment VI: RLMS Skills Assessment Detailed Results ............................................ 37

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

D5D Role-Based Skills Gap Analysis Page ii

Revision History

DATE AUTHOR VERSION CHANGE REFERENCE

10/22/2015 North Highland 001 Initial draft

01/05/2016 North Highland 001 Ongoing edits

01/26/2016 North Highland 002 Ongoing edits

02/16/2016 North Highland 003 Updates following NH QA

02/18/2016 FDACS 004 FDACS Review

02/25/2016 North Highland 005 Remediation following FDACS Review

Quality Review

NAME ROLE DATE

Jennifer Pang North Highland QA 02/15/2016


D5D Role-Based Skills Gap Analysis (SGA) Page 1

INTRODUCTION

North Highland has been asked to assess the Regulatory Lifecycle Management System (RLMS) Project Workforce Transition needs, and establish and create a strategy to facilitate change. The Role-Based Skill Assessment and Gap Analysis (Deliverable D5D), is the second of three deliverables that together address the overall organizational and workforce needs, strategies, and activities for the Florida Department of Agriculture and Consumer Services (FDACS, the department) 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 link into Role-Based Skill Assessment and Gap Analysis. Associated deliverables that are part of the workstream include:

Workforce Transition Analysis (Deliverable D5A, available in Attachment I: RLMS Workforce Transition Analysis)

Workforce Training and Transition Plan (Deliverable D5B-C – forthcoming)

Exhibit 1: Workforce Transition Workstream

Additionally, the Workforce Transition workstream deliverables are also used by the North Highland team to develop 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 (Deliverables D4A-B-C and D4D-E).

1.1 PURPOSE

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-

Conduct

Workforce

Transition

Analysis

Conduct

Skill/Gap

Analysis

WORKFORCE TRANSITIOND5A-Workforce Transition Analysis

D5D-Role-Based Skills Gap Analysis

D5B-C-Workforce Training Plan and

Transition Plan

Develop

Workforce

Transition Plan

Develop

Workforce

Training Plan

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/151210-DACS02-D5A-Workforce-Transition-Analysis-v100.docx



D5D Role-Based Skills Gap Analysis Page 2

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 purpose of this deliverable is to enable department resources to be ready for performing work in a new way. Specifically, and based on the set of identified individuals, roles and / or teams that are likely to affect or be affected by the department’s RLMS project (per Deliverable D5A), this deliverable

Defines regulatory-related skills and capabilities;

Develops a RLMS-specific Skills Assessment Tool; and

Reports on high-level, broad findings on the organization’s readiness for RLMS deployment.

These analyses are developed from a skills gaps and workforce transition perspective by capturing current state workforce knowledge, skills, and capabilities for delivering regulatory and related revenue management and administrative services. Additionally, by collecting an inventory of IT-related skills from across the department, the RLMS project will be in a better position to understand the gaps in capability for supporting the solution once it is handed over from the Systems Integrator (SI).

1.2 DESCRIPTION

The Role-Based Skill Assessment and Gap Analysis allows us to undertake a current state assessment of current workforce knowledge, skills and capabilities for delivering regulatory and related revenue management services for specific divisions in scope (see Section 1.3). The findings outlined in this analysis are focused on articulating how to best close any current delivery capabilities gaps.

The Skills Gap Analysis deliverable has four major aspects to its content areas:

First, the Competency Models define the set of regulatory lifecycle-related (technical) and business skills the department needs to ensure the sustained success of the RLMS and new ways of working in the future, including a comprehensive set of IT skills required to support the RLMS.

Second, a Skills Assessment Tool captures levels of competency for RLMS users, both related to teams (this phase) and to individual positions (future phase) to enable the assessment of current regulatory-related skills and gaps based on an agreed-upon set of role profiles, along with an IT Skills Inventory tool to capture current IT skills across the department.

Third, a high-level assessment, utilize the RLMS Skills Assessment Tool, provides a qualitative review of regulatory lifecycle skills needed and current gaps to be closed for RLMS Release 1 implementation, at a team level.



Finally, Results, Findings and Recommendations include a preliminary analysis of the gaps between current and future capabilities needs and how these may be addressed in the Workforce Transition and Training Plan.

Because of the stage of the RLMS project, this deliverable should be seen primarily as a “wrapper” for the tools outlined above, with a high-level assessment giving some direction for the workforce transition.

1.3 SCOPE STATEMENT

The scope of the entities addressed in this deliverable includes individuals, teams and functions within FDACS that perform regulatory lifecycle-related activities.

Areas in scope for RLMS Release 1:

Division of Licensing (DOL)

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

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

All IT-related staff (for the IT Skills Inventory)

Areas in scope for future RLMS releases:

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 United States Department of Agriculture (USDA) (e.g., tomatoes and peanut grading)



NORTH HIGHLAND APPROACH / ASSUMPTIONS

2.1 APPROACH

North Highland has taken an incremental and iterative approach to developing the Skills Gap Analysis deliverable, with the initial effort focused on those roles impacted as part of RLMS Release 1. The detailed approach to carrying out the Skills Assessment and Gap Analysis is detailed in Section 4. Activities North Highland has performed specific to this deliverable:

Leveraged the Future RLMS Enterprise Functional Capabilities Model (EFCM), RLMS Workforce Vision and Guiding Principles (Deliverable D5A in Section 7, Attachment I)

Crafted an approach to capture and measure current skills and capabilities

Defined the FDACS Regulatory Lifecycle & IT Skills Competency Models

Developed a RLMS Skills Assessment Tool and an IT Inventory Tool

Conducted high-level Skills Assessment working sessions for RLMS Release 1 teams, and performed a gap analysis

Undertook an IT Skills Inventory using the Skills Framework for an Information Age (SFIA) IT Skills Framework adapted for FDACS

Inputs:

Materials created in the Workforce Transition Analysis (D5A)

Meetings / calls / briefings / workshops with leadership from:

› DOL, DOA and the Division of Consumer Services (DCS)

› Training and Development

Input from workshops and data validation sessions

Input from other workstreams (Business Process Re-engineering, Systems and Data)

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:

A Regulatory Lifecycle Competency Model, consisting of both Technical and Business Skills

An IT Competency Model, consisting of IT Technical skills based on a best practices framework

A set of Regulatory Lifecycle Functional Role Profiles




Current state, high-level assessment (Skills Gap Analysis) and supporting documentation centered on roles and profiles

A RLMS Skills Assessment tool that can be used to support individual level assessment, and potentially be integrated into the department’s Learning Management System Training and Development efforts in the future

A RLMS IT Inventory tool to establish the range and depth of IT skills across the department to support both the implementation of RLMS and the ongoing support, maintenance and enhancement of the system, including the future development of a new IT operating model

Findings and Recommendations

2.2 ASSUMPTIONS

Assumptions for this deliverable:

Competency Models are developed on the basis of positions and not the individual skills of persons in those identified positions.

The Regulatory Lifecycle and IT Competency Models will continue to evolve over time, and will be jointly owned by the project team and the Training & Development section in DOA.

The Regulatory Lifecycle and IT Competency Models, functional role profiles and skills assessment approach are scalable across other divisions that will implement RLMS in Release 2 and beyond.

This deliverable captures a high-level team-based skills assessment and gap analysis with a subsequent individual level skills assessment to be carried out in a future phase of the project leveraging the tools that have been provided.

All skills assessment results are assumed to be reasonably accurate, although as assessments are repeated and people are more familiar with the tools, it is expected greater levels of accuracy will be achieved.

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.

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.



REGULATORY LIFECYCLE AND IT COMPETENCY MODELS

3.1 BACKGROUND TO COMPETENCY MODEL DEVELOPMENT

To carry out the primary purpose of the Role-Based Skills Assessment and Gap Analysis, it was necessary to develop a Regulatory Lifecycle Competency Model on which to base this assessment. Furthermore, in the process of undertaking this exercise, it became clear there was a gap in the scope related to understanding the IT skills in the department. To ensure the department will be able to support the RLMS system when it is handed over from the System Integrator after the DDI phase, an IT Competency model (detailed in Section 3.3) was also developed to support the IT Skills Inventory exercise.

The Deliverable D5A – Workforce Transition Analysis (Attachment I) introduced the RLMS Enterprise Functional Capabilities Model shown in the exhibit below which defined a single, consistent, conceptual view across the dimensions of process, people, and data / systems for the enterprise.

Exhibit 2: FDACS RLMS Enterprise Functional Capabilities Model (EFCM)

The EFCM has been used to align and validate the Regulatory Lifecycle Competency Model, and ensure that all aspects of the department’s regulatory activities are covered. Additionally,

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




the agreed-upon RLMS Future Workforce Vision and Guiding Principles, as outlined in the exhibit below, have been referenced and incorporated into the development of these competency models, the tools to support the Regulatory Lifecycle Skills Gap Analysis and the IT Skills Inventory.

Exhibit 3: RLMS Future Workforce Vision and Guiding Principles

The two critical (conceptual) guiding principles defined in the Workforce Transition Analysis (Deliverable D5A) (highlighted above) that are most relevant to this work are:

1. 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

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

2. Organizational structures and capabilities that are aligned to changing business needs:

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




The regulatory portfolio 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.

The review of how regulatory and supporting financial and administrative tasks are currently performed (Section 4 of the Deliverable D5A – Workforce Transition Analysis) informed the approach to evaluating how specific regulatory-related capability and competency requirements will shift with the RLMS implementation and the transition from the Current to Future Operating Model, taking into consideration:

Some activities will increase in scope, others will decrease, and new ones will be needed.

Ability to serve increases as a result of RLMS Release 1.

Resources, Customers and Stakeholders’ experiences are improved.

Capacity (volume), Service (level) and Resource Development will be increased.

In collaboration with department leadership, North Highland identified:

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 liberate resources from a large number 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.




Exhibit 4: RLMS Operating Model Transition (Taken from Deliverable D5A)

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



3.2 THE REGULATORY LIFECYCLE COMPETENCY MODEL

The Regulatory Lifecycle Competency Model consists of two core component elements that capture key skills to support regulatory lifecycle processes in meeting evolving customer / stakeholder needs:

Regulatory Lifecycle Technical Skills

› Skills required specifically for regulatory activities and roles

› Skills that create a “common language” for regulatory lifecycle activities across the organization

› Transferable skills across other roles within DOL and / or to other regulatory functions

Business Skills

› Generic business skills that are not specific to regulatory processes and activities

› Skills easily transferable to roles across and / or outside of regulatory functions

To create the Regulatory Lifecycle Competency Model for RLMS implementation, the North Highland team, in collaboration with FDACS leadership, considered the combination of Technical and Business Skills as:

Needed for people performing regulatory lifecycle activities.

An essential component of a successful technology deployment.

Necessary to take on new roles and capabilities (such as enhanced forms of customer and stakeholder interaction, risk management and application of sound judgment, mining and developing insights, etc.).

Critical to ensure the high level of customer service and interactions required to perform regulatory activities.

Complementary to the competencies and values articulated and nurtured by the department, and not intended to supersede/replace any Training and Development or department defined approaches to skills and competencies development.

Using the RLMS EFCM (as detailed in Section 3.1) as a framework, eight key Regulatory Lifecycle Technical Skills essential to performing regulatory roles were identified, as outlined in the exhibit below. These skills also provide a platform for consistent language across the organization in relation to regulatory activities.



Exhibit 5: Regulatory Lifecycle Skills Summary

Utilizing a best practice framework, North Highland worked with FDACS to blend a number of potential softer skills into five Business Skills, then worked with the DOA Training and Development team to map and align to the FDACS values, as shown in the exhibit below.

Exhibit 6: Business Skills Summary

Function Technical Skills Short Description

Regulatory

Operations

Regulatory Policies,

Procedures, Statutes &

Rules

Understanding, maintaining and applying up-to-date knowledge of

regulatory polices, procedures and statutes

Application /

Licensure Application & Licensure

The intake, processing, verification, issuance or denial of Licenses,

Registrations, Certificates and Permits

Compliance /

Inspection /

Enforcement

Compliance & Inspection

The evaluation and assessment of licensed/regulated entities through

periodic systematic review to ensure that the business practices of those

entities are consistent with best practices, rules, regulations, and legal and

technical standards

Regulatory InvestigationsThe undertaking and resolution of regulatory inquiries in response to

potential violations surfaced by compliance and inspection activities and

complaints

Enforcement &

Administrative Action

The planning, managing, and execution of regulatory actions including

administrative and civil actions

Consumer /

Customer Contact

Customer Service &

Stakeholder Interaction

The meeting of internal and external customers and stakeholder

regulatory-related needs

Reporting and

Analytics

Reporting, Analytics &

Insight

The defining, developing, running and maintaining reports to deliver

operational and management insight and meet external / regulatory

obligations

Financial Support

Services

Revenue Collection &

Financial Management

The timely collection and processing of payments, financial reconciliation –

ensuring sound revenue management



These skills are not unique to the RLMS project, and will feed into and may be superseded by the department-wide competency model that is in development. However, as articulated earlier in this document, given these skills are needed to undertake the Role-Based Skills Assessment and Gap Analysis, they should be considered the list of needed Business Skills for the purposes of this deliverable. The ownership of these Business skills for both the Regulatory Lifecycle and IT competency model is expected to remain with the DOA Training and Development team.

For both the Technical Skills and Business Skills, a consistent set or “tiers” of Skill Levels were then applied to each identified competency to differentiate activity, behavior and performance expectations. The four levels (Apply, Guide, Advise and Inspire) provide an overall ability to differentiate between the needed skills at different levels of competence, without being too granular, as indicated in the exhibit below. The Skills Levels capture desired proficiency for each competency, and can also serve as the basis for the identification of training, development, and career progression requirements. Within the description, there are general characteristics of that level and the typical type of role these skill levels are associated with.

Exhibit 7: Skill Levels for Regulatory Lifecycle Competency Model

An illustrative example of a detailed competency is shown in the exhibit below, explaining the component parts. The full list of detailed competencies for both Technical and Business Skills can be referenced in Attachment II: Competency Models and Skills Descriptions , and their use in the Regulatory Lifecycle Skills Assessment and Gap Analysis is described in Section 4.

Skill Level

Description of

the Skill Level

1- Apply 2 - Guide 3 - Advise 4 - Inspire

Works with routine

supervision &

guidance, has defined

discretion (e.g. team

member)

Operates

independently for

routine tasks, has

expertise to support

others (e.g.

experienced team

member)

Works with broad

direction and is fully

responsible for

planning work and

supervising others

(e.g. supervisor)

Has substantial

authority and full

accountability, sets

direction, policy and

procedures (e.g.

Bureau Chief & senior

management)

Skill Progression

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/160201-DACS02-D5D-Attachment-II-Competency-Models-and-Skills-Descriptions-v100.pptx



Exhibit 8: Detailed Regulatory Lifecycle Competency Example

This Regulatory Lifecycle Competency Model is designed to be a living document that will evolve throughout the RLMS project, particularly once the individual skills assessment is undertaken and will be owned by the FDACS Workforce Transition Lead (or designated members of the project team) going forward.

3.3 IT COMPETENCY MODEL

North Highland has worked with FDACS to develop a best practice IT Competency Model for the purpose of supporting the transition to RLMS and the future development of an IT Operating Model capable of providing support to the RLMS across the enterprise. It is the foundation of the IT Skills Inventory undertaken as part of this deliverable, described in more detail in Section 4.5. North Highland has adapted an internationally recognized framework – the Skills Framework for an Information Age – for the department’s needs and to ensure that it is complementary to the Regulatory Lifecycle Competency Model developed as part of this project.

SFIA provides a language that is the foundation for consistent, unambiguous and clear definitions of IT based skills and is based upon recognized standards, such as ISO 20000 for IT service management, Project Management Body of Knowledge (PMBOK) for project

Application & LicensureThe intake, processing, verification, issuance or denial of

Licenses, Registrations, Certificates and Permits

1- Apply 2 - Guide 3 - Advise 4 - Inspire

• Performing standard

intake procedures

• Flagging applicants’

documentation gaps

as part of defined

verification processes

• Perform routine

issuance tasks

• Performing more

complex intake and

verification processes

• Perform complex

issuance and denial

tasks

• Assist less

experienced

resources for all

application and

licensure procedures

• Ensuring

documentation

requirements are met

• Monitoring and guiding the

spectrum of intake,

verification, issuance/denial

activities

• Ensuring application and

licensure operations are

performing to business

expectations and that

compliance requirements are

met

• Flagging changing

technology, processes,

resources needs for the

function

• Coaching resources as

needed to improving

processing and issuance

operations

• Responsibility for timeliness

and accuracy of licensing

processing and outcomes

• Ensuring application and

licensing processes are

aligned with, and up to date,

with regulatory requirements

• Fostering accurate interfaces

and handoffs other

regulatory operations

functions (inspection,

enforcement) – and across

the common dimensions of

case management and

revenue collection and

compliance intake

Description of performance requirements by Skill Level

The level of skill mastery is a function of the individual’s job role, capabilities,

experience, and opportunities awarded to develop

Skill definition



management, and ISO 9001 for quality management. The SFIA framework gives recognizable descriptions of the professional skills needed by people working in IT. The SFIA framework:

contains a set of consistent proficiency levels for each IT skill

clearly distinguishes professional skills from technical knowledge

is maintained and updated by a process of open consultation – by the IT industry, for the IT industry

The full SFIA framework is a detailed diagnostic tool comprised of the definitions of 96 professional skills organized into six categories and 16 professional skill groups as outlined in the exhibit below. For reference the full framework is available In Attachment III: SFIA IT Competency Model.

Exhibit 9: IT Competency Model: The SFIA Framework

The department can use these consolidated skills definitions to assist in the assessment of their skills. The result of the assessment will be an inventory of the skills and proficiency levels for each staff member. The RLMS project team will then have an inventory of skills associated with an individual’s current role(s) within the current organization. FDACS will be able to use the IT skills inventory going forward to conduct workforce transition to determine a plan for filling skill, role and position gaps based on the agreed-upon future state functional model.

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/160217-DACS02-D5D-Attachment-III-SFIA-v5-Framework-v100.pdf




The exhibit below shows the 16 Professional IT Skills, along with their descriptions grouped by the six categories, which comprise the elements of a best practice IT functional model:

Professional Skills Description

Strategy and Architecture

Information Strategy

The definition, management and implementation of all elements of an information strategy, policy and procedures. This includes the leadership and management of the selection, implementation and operation of information controls as well as the subsequent information analysis.

Expert Guidance and Consultancy

The provision of advice and recommendations on the effective use of information systems and their environments. This includes both general advice on how IT can support the wider business and specialist advice on specific technical specialties.

Business Strategy and Planning

Ensuring that IT is aligned with and helps to drive the organization’s business strategy. It covers the overall development and control of strategy & architecture, as well as proactive innovative thinking and research to anticipate and meet the current and future needs of the organization.

Technical Strategy and Planning

The development of architectures and network plans which meet the present and future requirements. This includes the incorporation of continuity and sustainability considerations, and any new technologies, tools or techniques of benefit to the organization.

Business Change

Project and Portfolio Management

The planning, execution and support of business and technology change, covering the management and coordination of individual projects, complex programs and portfolios of activity.

Business Change Management

Supporting the Business Change to ensure the wider business is able to maximize the benefits from technology. This includes the investigation, analysis, review and documentation of business functions and processes to best identify and align IT and Network change with business needs.

Skills Management

The overall resource management of the IT workforce to enable effective delivery. This includes the creation of learning & development processes and content to build the business and/or technical skills required by the organization.

Solution Development and Implementation

Systems Development

The design, development and testing of systems and components to meet customers’ needs.

Installation and Integration

The installation, integration testing, implementation or decommissioning and removal of solutions in accordance with agreed-upon standards and controls.

Service Management

Service Strategy

The management of the infrastructure and resources required to provide services to meet the needs of a business. This includes the overall financial management, control and stewardship of the assets and resources used in the provision of these services.



Professional Skills Description

Service Design The management, planning, and implementation of service provision to meet current and forecast needs in a cost effective manner.

Service Transition

The management and process for changes to the service infrastructure and the releases of these into the live customer environment in a controlled manner.

Service Operation The provision of agreed-upon levels of service, and the management of the applications, technology and infrastructure to support the delivery of these services.

Procurement and Management Support

Supplier Management and Commercial

The sourcing and management of external partners, and suppliers, to ensure successful delivery of products and services, value for money and effective partnership.

Quality, Compliance and Process

The definition and application of standards and techniques for quality monitoring and improvement to any aspect of tools, processes and standard methods.

Customer Interface

Customer Support

The provision of management, advice and assistance to ensure that the customer is fully satisfied with the quality of their IT-related products or services.

Exhibit 10: SFIA Framework IT Skills Summary

The SFIA framework uses a system of seven proficiency levels, where each level has a full definition expressed in terms of Autonomy, Complexity, Influence and Business skills. To simplify this and align it to the Regulatory Lifecycle Competency Model, North Highland collapsed the existing 7 SFIA levels to have consistent wording with the four levels (1-2 Apply, 3-4 Guide, 5-6 Advise and 7-Inspire). However, the numbering still enables traceability back to the SFIA framework and provides an overall ability to differentiate between the needed skills at different levels of competence, without being too granular, as indicated in the exhibit below. As with the Regulatory Lifecycle Competency Model, the skills levels capture desired proficiency for each competency and can also serve as the basis for the identification of training, development, and career progression requirements. Within the description in the exhibit below, there is also an indication of the general characteristics of that level and the typical type of role these skill levels are associated with.



Exhibit 11: Skill Levels for IT Competency Model

An illustrative example of a detailed competency is shown in the exhibit below, explaining the component parts. The full list of detailed competencies for the IT Skills can be referenced in Attachment II: Competency Models and Skills Descriptions, and their use in the Regulatory Lifecycle Skills Assessment and Gap Analysis are described in Section 4.

Exhibit 12: Example of Detailed IT Competency Model

This IT Competency Model is designed to be a living document that will evolve throughout the RLMS project, particularly once the individual skills assessment is undertaken, and will be owned by the FDACS Workforce Transition Lead (or designated members of the project team) going forward. This can also be influenced by any incremental updates to the SFIA framework as they are released.

Skill Level

Description of

the Skill Level

1-2 Apply 3-4 Guide 5-6 Advise 7 - Inspire

Works with routine

supervision &

guidance, has defined

discretion (e.g. team

member)

Operates

independently for

routine tasks, has

expertise to support

others (e.g.

experienced team

member)

Works with broad

direction and is fully

responsible for

planning work and

supervising others

(e.g. supervisor)

Has substantial

authority and full

accountability, sets

direction, policy and

procedures (e.g.

Bureau Chief & senior

management)

Skill Progression

The planning, execution and support of business and technology change.

1-2 Apply 3-4 Guide 5-6 Advise 7 Inspire

• Assists with the

compilation of project

and programme

management reports

• Maintains programme

and project files from

supplied actual and

forecast data

• Defines, documents and

carries out small projects or

sub projects, alone or with a

small team actively

participating in all phases

• Identifies, assesses and

manages risks to the success

of the project

• Uses and recommends

project control solutions for

planning, scheduling and

tracking projects

• Sets up project and

programme files, compiles

and distributes reports

• Supports programme or

project control boards, project

assurance teams and quality

review meetings

• Sets up and provides detailed

guidance on project

management software,

procedures, processes, tools

and techniques

• Leads the definition of a portfolio of change

and the portfolio roadmap

• Ensures that programme and projects

adhere to the agreed portfolio approach. If

necessary, through engaging and influencing

senior management

• Plans, directs and co-ordinates activities to

manage and implement a programme from

contract/proposal initiation to final operational

stage

• Ensures that quality reviews occur on

schedule and according to procedure

• Takes full responsibility for the definition,

documentation and satisfactory completion of

medium-scale projects (in terms of size and

complexity)

• Ensures that realistic project, resourcing,

budgeting and quality plans are prepared and

maintained and provides regular and

accurate reports to stakeholders as

appropriate

• Ensures that project deliverables are

completed within planned cost, timescale

and resource budgets and are signed off

• Provides effective leadership to the project

team

• Leads the definition, implementation

and review of the organisation’s

portfolio management framework

• Aligns the objectives for information

system activities with business

change objectives, and authorises

the selection and planning of related

projects and activities

• Plans, directs and coordinates

activities to manage and implement

complex, interrelated projects

• Leads the programme teams in

determining business requirements

and translating requirements into

operational plans

• Monitors and reviews the

economics of all programme

processes, and ensures that there

are effective governance

arrangements, supported by

comprehensive reporting

• Evaluates changes to programme

management practices and initiates

improvement to organisation

practices

Project and Portfolio Management

Description of performance requirements by Skill Level

The level of skill mastery is a function of the individual’s job role, capabilities,

experience, and opportunities awarded to develop

Skill definition




APPROACH TO REGULATORY LIFECYCLE SKILLS ASSESSMENT AND IT SKILLS INVENTORY

In this section of the deliverable, we set out the steps taken to accomplish the agreed-upon High-level Regulatory Lifecycle Skills Assessment and Gap Analysis along with the approach taken to achieve the IT Skills Inventory, the detail on the tools and the next steps for undertaking the Individual-level Skills Assessment and Gap Analysis for both Regulatory Lifecycle and IT Skills.

4.1 OVERVIEW OF REGULATORY LIFECYCLE SKILLS ASSESSMENT APPROACH

As an output of the Workforce Transition Analysis, it was established that there could be up to 1700 staff within the department impacted by RLMS, and therefore not feasible to do an assessment of the whole population. Instead, the focus of the assessment would be on positions involved in the regulatory lifecycle for Release 1 (i.e., DOL, DOA, and AgLaw). North Highland ensured the approach and tools that were being developed could be extensible to the rest of the department as future releases were being considered. This staged approach also allowed for the refinement of the regulatory lifecycle competency model through practical application to the role profiles.

The exhibit below outlines the four steps undertaken in this deliverable to achieve the agreed-upon scope for the high-level Role-Based Skills Gap Analysis for the regulatory lifecycle.

Exhibit 13: Regulatory Lifecycle Skills Assessment Approach

Step 1: Define needed competencies (explained in Section 3)

› Develop and agree on high level Regulatory Lifecycle Competency Model

› Agree on scope for assessment (teams that are part of RLMS Release 1)

› Validate business needs and best practices

Step 2: Develop Competencies Profiles and Assessment Tool

› Build and confirm Regulatory Lifecycle Competency Profiles

› Develop Skills Assessment Tool

› Brief leadership from divisions in scope

Step 3: Conduct High-Level Skills Assessment Workshops

› Assess at the functional unit level (not individuals)



› Focus on Regulatory Lifecycle Skills

› Capture learnings for future deployment

Step 4: Identify Skill Gaps and Integrate in the Transition Plan

› Normalize and validate results

› Develop the Gap Analysis

› Collate findings & report, including lessons learned for future assessments

› Integrate and output details into the Workforce Transition Plan

Following on from the identification of skills gaps, the outputs of this exercise will be incorporated into the initial Workforce Transition Plan. The expectation is that once the individual skills assessment is complete, the Workforce Transition Plan will be refreshed and updated accordingly.

4.2 DEVELOPING ROLE-BASED COMPETENCY PROFILES (REGULATORY LIFECYCLE ONLY)

As outlined in the D5A Workforce Transition Analysis, it became clear due to the range of position classification titles involved in regulatory lifecycle activities across the department, there needed to be a mechanism to group similar positions undertaking similar tasks in order to provide a consistent profile for the purpose of carrying out the regulatory lifecycle skills assessment.

In order to provide clarity on the purpose of these Regulatory Lifecycle Role Profiles, the following principles (outlined in the exhibit below) were developed and confirmed with the RLMS project team, then used in briefing divisional leadership who were undertaking the assessment of their teams.

REGULATORY LIFECYCLE FUNCTIONAL PROFILES ARE REGULATORY LIFECYCLE FUNCTIONAL PROFILES ARE NOT

An efficient approach to simplifying the RLMS skills assessment process.

Required to assess at an individual Position Number.

A descriptive label for a grouping of positions that share significantly similar skill traits.

Constrained by current Position Descriptions or Classification Titles.

A tool to identify training needs to support the RLMS Future Operating Model.

Related to the department’s performance management process.

About competency development needs. Centered on organizational structures.

A building block for charting developmental path opportunities across the department.

Formal career paths.

A complement to the department’s Human Resources and administrative assets.

A substitute for the Position Descriptions harmonization initiative.



Exhibit 14: Definition of Regulatory Lifecycle Functional Role Profiles

Utilizing the principles outlined above and information about positions impacted by RLMS Release 1 as identified in Deliverable D5A and existing organizational charts, an exercise was undertaken to develop a set of role profiles. Subsequently, these roles were reviewed and validated with the FDACS team members to create a mapping to ensure no gaps existed. Finally, the roles were validated with the assessors (supervisory individuals familiar with a division’s Human Resources).

The approach shown in these examples was applied to RLMS Release 1 regulatory lifecycle positions across the department, resulting in 48 total Regulatory Lifecycle Profiles representing impacted positions from DOL, DOA and AgLaw (excluding IT roles), plus profiles for Inspections. An example of how this was applied to a number of teams from the DOL Bureau of License Issuance is shown in the exhibit below.

CHIEF OF LICENSE ISSUANCE –DACS

03541 1981

REGULATORY PROGRAM

ADMINISTRATOR-SES

03544 0443

REGULATORY PROGRAM

ADMINISTRATOR-SES

03543 0443

CONCEALED

WEAPONS

SECTION

CONCEALED

WEAPONS

VERIFICAITON

SECTION

LIC ISS/ELECT AND

CORP REC SUPERVISOR-

SES

03566 0411

CORP DOC/ELECT REC

EXAMINER (6)

03565 03571 05540

05541 03569 03888

0421

LIC ISS/ELECT AND

CORP REC SUPERVISOR-

SES

03546 0411

CORP DOC/ELECT REC

EXAMINER (6)03565 03571 05540 05541

03569 03888 0421

REGLATORY SUPERVISOR

/CONSULTANT - SES

03574 0442

REGLATORY SPECIALIST II

(6)

03572 03576 03532

03573 03575 05539 0441


/CONSULTANT - SES

03904 0442

REGLATORY SPECIALIST II

(6)

03885 03884 04062

03886 03887 05538 0441

P.I.A

LICENSING

SECTION

VERIFICATION

SECTION APPLICANT

INFO

D&G PROPRIETARY

SECURITY SECTION

COMPLIANCE OFFICER

SUPERVISOR -SES

03553 0423


/CONSULTANT - SES

03560 0442

LIC ISS/ELEC AND

CORP REC

SUPERVISOR-SES

03552 0411

COMPLIANCE

OFFICER (4)

03556 03557

03554 03558 0422

REGULATORY SPECIALIST II

(9)

03559 03562 03584 04068

04061 03564 03563 05217

03529 0441

CORP DOC/ELEC

REC EXAMINER (5)

03548 03549 03545

03550 03551 0421

Profile (21 positions):

Regulatory Verification Specialist - 790/493

Profile (21 positions):

Compliance Officer - 790/493

A platform to guide alignment of current resources to the RLMS Future Operating Model.

A mapping of individuals to roles.

An extendable frame of reference for developing and executing the Training and Knowledge, Skills and Abilities Plans.

An exhaustive and prescriptive instrument.



Exhibit 15: Regulatory Lifecycle Functional Role Identification Example

The exhibit below lists the Regulatory Lifecycle Functional Role Profiles that have been defined to date for RLMS Release 1 and beyond. These can also be viewed in the Comptency Profiles tab of the Regulatory Lifecycle Skill Assessment Tool. The intent was to make these roles extensible and applicable to other divisions where relevant, particularly around each element of the RLMS EFCM. This could be particularly applicable for roles involved in application, licensure, inspection, compliance and enforcement, and will be flexible enough to support future position reclassifications.

The ‘Activity Area’ is a way of grouping the roles by a combination of process area (e.g., Intake and Fiscal), and organizational area (e.g., Regional Offices). The ‘Baseline’ column value is an overall approximation of the competency level for that role, and is based on the values of the Technical and Business Skills. For example, “2/3” means the role profile has some skills at level 2 – Advise and at level 3 – Guide, whereas “1” indicates the majority of skills will be at level 1 – Apply. The role profiles for the bureau chiefs have been included for completeness, although they are not part of the assessment. Each of these roles has a competency profile with levels which were developed in consultation with the department.

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/160217-DACS02-D5D-Attachment-IV-Skills-Assessment-Tool-v100.xlsx



Exhibit 16: Regulatory Lifecycle Functional Role Profiles

Activity Area Baseline Regulatory Lifecycle Functional Roles1 Issuance 1 Compliance Officer - 790/493

2 Issuance 2/3 Compliance Officer Supervisor - 790/493

3 Issuance 3 Regulatory Supervisor - 790/493

4 Issuance 1/2 Regulatory Verification Specialist - 790/493

5 Issuance 3/4 Regulatory Program Administrator - 790/493

6 Issuance 2/3 Quality Control Analyst

7 Issuance 3 Quality Control Supervisor

8 Regional Offices 1 Compliance Officer - Regional Office

9 Regional Offices 2/3 Compliance Officer Lead - Regional Office

10 Regional Offices 3 Regional Office Manager

11 Regional Offices 3/4 Regional Office Administrator

12 Customer Contact 1 Compliance Officer - PI

13 Customer Contact 2/3 Compliance Officer Supervisor - PI

14 Customer Contact 3/4 Regulatory Program Administrator - PI

15 Compliance / Enforcement 3 Regulatory Enforcement Support - Legal

16 Compliance / Enforcement 1 Case Management Attorney Support - Legal

17 Compliance / Enforcement 1 Case Management Support - Legal

18 Compliance / Enforcement 2/3 Compliance Officer Supervisor - Regulatory Review

19 Compliance / Enforcement 2/3 Compliance Officer Supervisor - Regulatory Compliance

20 Compliance / Enforcement 1 Compliance Officer - Regulatory Review

21 Compliance / Enforcement 1/2 Compliance Officer - Regulatory Compliance

22 Compliance / Enforcement 3/4 Section Chief - Regulatory Review & Compliance

23 Compliance / Enforcement 3/4 Section Chief - Enforcement/Legal

24 Compliance / Enforcement 2 Hearing Officer

25 Compliance / Enforcement 3 Hearing Officer Supervisor

26 Investigation 2/3 Investigation Supervisor

27 Investigation 1/2 Investigator

28 Investigation 3/4 Section Chief - Investigation

29 Investigation 1 Investigative Support

30 Intake 1 Application Intake & Document Management Support

31 Intake 2/3 Application Intake & Document Management Supervisor

32 Intake 3/4 Section Chief - Application Intake & Document Management

33 Intake 3/4 Tax Collectors Administrator

34 Fiscal 1 Accounting Services - Revenue Collection

35 Fiscal 1 Accounting Services - Revenue Collection (II)

36 Fiscal 2 Senior Accountant - Revenue Collection

37 Fiscal 2/3 Professional Accountant - Revenue Collection

38 Fiscal 2/3 Accounting Services Supervisor - Revenue Collection

39 Inspection 1 Inspector

40 Inspection 2 Inspection Specialist

41 Inspection 3 Inspection Supervisor

42 Inspection 4 Section Chief - Inspections

43 Leadership 4 Bureau Chief - License Issuance

44 Leadership 4 Bureau Chief - Regulation & Enforcement

45 Leadership 4 Bureau Chief - Support Services

46 Leadership 4 Bureau Chief - Finance & Accounting

Not in scope

for assessment



As noted in the exhibit below of a snapshot of the Comptency Profiles tab from the Regulatory Lifecycle Skill Assessment Tool, a value of 1-4, “U” or “N/A” was entered for each of the regulatory lifecycle technical skills and business skills, based on the target level for this role (as defined in Section 3.2) and the agreed-upon baseline which were validated through the assessment process.

A value of “U” for this competency means the role needs to have an understanding of the processes and activities involved without actually having responsibility for or directly executing those processes, primarily because they have a direct interface or handover with this area (e.g., any role involved in Application and Licensure, will need to have an understanding of Revenue Collection and Financial Management). “N/A” is entered when there is no direct interaction or involvement with that area of competency (e.g., many baseline level 1 roles will not directly run reports, therefore will have “N/A” for Reporting, Analytics & Insight).

There are three groupings of technical skills defined as part of the competency profile:

Base Knowledge – The required understanding of regulatory policies, procedures, statutes and rules at the level needed to perform the assigned role

Execution – Core skills and knowledge required to perform roles related to a specific area of the regulatory lifecycle (e.g., Application and Licensure, Regulatory Investigations)

Role-Specific – Skills that only certain roles will need to possess

Exhibit 17: RLMS Skills Assessment Tool – Competency Profile Snapshot

1- Apply 2 - Guide 3 - Advise 4 - Inspire U - UnderstandsN/A - Not Applicable

to the roleSkill Level

Base Knowledge


Procedures, Statues &

Rules

Application &

Licensure

Compliance &

Inspection

Regulatory

Investigations

Enforcement &

Administrative

Action

Revenue Collection

& Financial

Management

Customer Service &

Stakeholder

Interaction

Reporting, Analytics

& Insight

Activity

AreaBaseline Regulatory Lifecycle Functional Roles

Issuance 1 Compliance Officer - 790/493 1 1 U U N/A U 1 N/AIssuance 2/3 Compliance Officer Supervisor - 790/493 2 3 U U U U 3 2Issuance 3 Regulatory Supervisor - 790/493 3 3 U N/A U U 3 2Issuance 1/2 Regulatory Verification Specialist - 790/493 2 2 U N/A N/A U 2 N/AIssuance 3/4 Regulatory Program Administrator - 790/493 3 4 U U U U 4 3

Intake 2/3 Application Intake & Document Management Supervisor 2 3 U U U U 3 2

Intake 3/4 Section Chief - Application Intake & Document Management 3 4 U U U U 4 3

Intake 3/4 Tax Collectors Administrator 4 4 U N/A N/A U 4 3

CompetenciesSee "Competency & Skills Definitions" Tab

Regulatory Lifecycle Technical SkillsRole-SpecificExecution

Communication &

Influencing

Leadership &

Setting

Direction

Innovation &

Change

Decision Making

& Managing

Ambiguity

Resource

Management &

Supervision

Activity

AreaBaseline Regulatory Lifecycle Functional Roles

Issuance 1 Compliance Officer - 790/493 1 1 1 1 1Issuance 2/3 Compliance Officer Supervisor - 790/493 2 2 2 2 2Issuance 3 Regulatory Supervisor - 790/493 3 3 3 3 3Issuance 1/2 Regulatory Verification Specialist - 790/493 1 1 1 2 1Issuance 3/4 Regulatory Program Administrator - 790/493 3 3 3 3 3

Intake 2/3 Application Intake & Document Management Supervisor 2 2 2 2 2

Intake 3/4 Section Chief - Application Intake & Document Management 3 3 3 3 3

Intake 3/4 Tax Collectors Administrator 3 3 3 3 3

CompetenciesSee "Competency & Skills Definitions" Tab

Business Skills





4.3 REGULATORY LIFECYCLE SKILLS ASSESSMENT TOOL

The Regulatory Lifecycle Skills Assessment Tool consists of the following elements:

Instructions – A tab describing how to use and maintain the tool, including how to add additional Competency Profiles and set up the individual assessments

Competencies and Skills Definitions – A summary level explanation of the competency model elements (as defined in Section 3.2 of this document)

Competency Profiles – Where baseline competency levels for each Regulatory Lifecycle Role are defined (as explained in Section 4.2 of this document)

Skills Assessment – High Level – The results of the team-based assessment carried out with the teams impacted as part of RLMS Release 1 (discussed in Section 5)

Individual Assessment Template – To be used and populated when the individual assessments are undertaken at a future point in the RLMS project

The Skill Assessment – High Level tab as shown in the exhibit below has the following columns:

Activity Area – Grouping by a combination of process areas (e.g., Intake and Fiscal), and organizational area (e.g., Regional Offices)

Regulatory Lifecycle Functional Roles – As defined on the Competency Profile tab the group or team is being mapped to

Current Position Title – The current position title for a particular group or team

# Positions – The number of individuals being assessed in that group or team

Both the individual and the high-level assessment take the same approach to undertaking the assessment using three key values. First, the target competency level is drawn from the Regulatory Lifecycle Functional role defined on the ‘Competency Profiles’ tab.

Target – The expected / desired competency level for that skill relevant to the team when RLMS is in place (automatically pulled from the competency profile tab for that role) as a value of 1-4, “U” (Understands) or “N/A” (Not Applicable)

Assessment – The current competency level of that group or team recorded as a value of 0-4 (in 0.5 increments), “N/A”, “U” or “P” (Partial)

Gap – The difference between the Target and the Assessment scores (automatically calculated by the tool)



Exhibit 18: RLMS Skills Assessment Tool – High-Level Assessment Snapshot

The high-level assessment tab was designed to capture all outputs in a single consolidated view across all activity areas being assessed.

The individual assessment tab (as a template for use in future assessments) has been set up in such a way that it can split by teams and assessors, with the intent that each individual supervisor / assessor would have their own tab (assuming competency continues to be tracked in this tool and not the LMS).

The individual assessment template tab has the following columns:

Position # and Employee name – To enable reference back to the individual position being assessed (expected this will be provided by DOA BPM)

Current position title – Position classification title from FDACS (expected this can be provided by DOA BPM)

Regulatory Lifecycle Functional Role – Role this current position has been mapped to (to be done by the RLMS team or the assessor)

Target, Assessment and Gap – Same columns as the high-level assessment

Exhibit 19: RLMS Skills Assessment Tool – Individual Assessment Snapshot

Base

Activity Area Regulatory Lifecycle Functional Roles Current Position Title# of

Positions

Regulatory

Policies,

Procedures,

Statues & Rules

Application

& Licensure

Compliance

& Inspection

Regulatory

Investigations

Enforcement &

Administrative

Action

Revenue

Collection &

Financial

Management

Customer

Service &

Stakeholder

Interaction

Reporting,

Analytics &

Insight

Target 1 1 U N/A N/A U 1 N/A

Assessment 1 1 U N/A N/A P 1 N/A

Gap P


Assessment 1 1 U N/A N/A U 1 N/A

Gap


Assessment 0.5 1 U N/A N/A U 1 N/A

Gap -0.5

Target 2 3 U N/A N/A U 3 1

Assessment 2 3 U N/A N/A U 3 1

Gap

12Compliance Officer - 790/493

Compliance Officer - Regional Office

Compliance Officer

Role-SpecificExecution


Regional Offices

Regional Offices Compliance Officer Lead - Regional Office

Issuance

Issuance


Compliance Officer

4

Compliance Officer 56

Regulatory Specialist II - SES 8

Gap = The di fference between the

Target and the Assessment scores

Division:

Team:

Assessor:

Date:

Base Knowledge

Position # Employee Name Current Position Title Regulatory Lifecycle Functional Roles


Procedures, Statues

& Rules

Application &

Licensure

Compliance &

Inspection

Regulatory

Investigations

Enforcement &

Administrative

Action

Revenue Collection

& Financial

Management

Customer Service &

Stakeholder

Interaction

Reporting, Analytics

& Insight

Target 1 1 U U N/A U 1 N/A

Assessment 1 1 P U U U 1 1

Gap P

Target 2 2 U N/A U 2 2 2

Assessment 2 2 U N/A U 2 2 2

Gap

Target 4 4 U N/A N/A U 4 3

Assessment 4 4 U N/A N/A U 4 3

Gap


Regional Office Administrator

Senior Accountant - Revenue Collection


Execution Role-Specific

LICENCING

Concealed Weapons Section

[Name]

Compliance Officer

Accountant IV

Operations & Mgmt Consultant II - SES

U - Understands

P - Partial understanding1 - Apply 2 - Guide 3 - Advise 4 - Inspire N/A - Not Applicable to the roleSkill Level

Target = The expected / desired (target) competency level for that skill in the future, when RLMS is in place (it is automatically pulled from

the competency profile tab)relevant to your team (value 1-4, U or N/A)

Assessment = The current competency level of that group or team (value of 0-4 (in 0.5 increments), N/A, P (Partial Understanding) or U

(Understands))

Gap = The difference between the Target and the Assessment scores (automatically calculated by the tool)



4.4 HIGH-LEVEL SKILLS ASSESSMENT

The high-level skills assessment was undertaken in three steps after briefings with divisional leadership for the RLMS Release 1 impacted areas to identify the assessors who would be participating in the exercise.

Step 1: An initial briefing was held with the identified assessors, walking them through the process and concepts, the Regulatory Lifecycle Competency Model and the relevant competency profiles along with an introduction on how the assessment tool worked.

Step 2: A working session with the assessment team was held to review and discuss the competency model descriptions and the role profiles, including the mapping of positions to role profiles. Feedback updates were applied to the competency model and the profiles. The second component of the session was the comparison of the current staff levels of competency (as a team or group) against the target / desired future state, and the identification of any gaps.

Step 3: The final activity was the circulation of the completed spreadsheet to the assessors for review and validation of the overall scoring to ensure normalization between teams, and to resolve any issues.

The Regulatory Lifecycle Skills Assessment Tool is available in Attachment IV. This version of the tool contains all the outputs of the data from the skills assessment (discussed further in Section 5), and is designed to be printed out (best viewed on 11x17 paper).

4.5 OVERVIEW OF APPROACH FOR THE IT SKILLS INVENTORY

The IT skills inventory differs from the regulatory lifecycle skills assessment as there was no future operating model defined for the IT function against which to perform a gap analysis. Instead, its primary purpose was to serve as a mechanism to establish a baseline of IT skills and capabilities across all divisions in the department impacted by an enterprise RLMS. Additionally, the outputs from this exercise are expected to feed into the future IT operating model.

The exhibit below outlines the four steps undertaken in this deliverable to achieve the agreed-upon scope for the IT Skills Inventory.

Exhibit 20: IT Skills Inventory Approach

Step 1: Define needed competencies (explained in Section 3)




› Adapt best practice (SFIA) IT Competency Model for the department

› Agree on scope for assessment (all IT staff across the department)

› Validate business needs and best practices

Step 2: Develop IT Skills Inventory Tool

› Develop Skills Assessment Tool

› Brief divisional leadership on areas in scope and process

Step 3: Conduct IT Skills Inventory

› Capture at the individual level

› Focus on IT Technical Skills and % time supporting regulatory applications

Step 4: Identify IT Skill Baseline and Integrate in the Transition Plan

› Normalize and validate results

› Collate findings & report, including lessons learned for future assessments

› Integrate and output details into the Workforce Transition Plan

The exhibit below (also available as Attachment V: IT Skills Inventory Tool) shows a snapshot of the IT Skills Inventory Tool comprised of:

Columns containing information about the IT-related positions, as identified through the Workforce Transition Analysis Deliverable and confirmed via BPM, including identified vacant positions.

A column to capture the percentage of time the position supports the regulatory applications.

Columns to capture each of the 16 identified IT skills.

Exhibit 21: IT Skills Inventory Snapshot

Customer Interface

DivisionPosition

NumberName IT Roles

% of Time

Supporting

Regulatory

Applications

Information StrategyProject and Portfolio

ManagementSystems Development Service Design

Supplier Management

and CommercialCustomer Support

AGRICULTURAL ENVIRONMENTAL SERVICES001321 LEGER, CAROL - DATA PROCESSING MANAGER - SES 100% 5-6 Advise 7 Inspire 7 Inspire N/A 1-2 Apply 7 Inspire

AGRICULTURAL ENVIRONMENTAL SERVICES000134 CUNNINGHAM, VENSON - DISTRIBUTED COMPUTER SYSTEMS ANALYST 100% N/A N/A N/A N/A N/A N/A

AGRICULTURAL ENVIRONMENTAL SERVICES001097 HOWES, JUDY - SYSTEM PROJECT CONSULTANT 100% 3-4 Guide 3-4 Guide 5-6 Advise N/A N/A 3-4 Guide

ANIMAL INDUSTRY 001095 VACANT - DATA PROCESSING MANAGER - SES 30% 5-6 Advise 5-6 Advise 3-4 Guide 5-6 Advise 5-6 Advise 3-4 Guide

ANIMAL INDUSTRY 005229 MCQUAGGE, JOEY - DISTRIBUTED COMPUTER SYSTEMS ANALYST 40% 3-4 Guide 1-2 Guide 1-2 Apply 3-4 Guide 3-4 Guide 3-4 Guide

AQUACULTURE 003174 HARRELL, JACQUELIN - DISTRIBUTED COMPUTER SYSTEMS ADMIN - SES 30% 1-2 Apply 3-4 Guide 3-4 Guide 3-4 Guide 3-4 Guide 5-6 Advise

AQUACULTURE 005093 SULLIVAN, LESLIE - DISTRIBUTED COMPUTER SYSTEMS SPECIALIST 10% 1-2 Apply 1-2 Apply 1-2 Apply 1-2 Apply N/A 1-2 Apply

CONSUMER SERVICES 000273 SAVAGE, MICHAEL - DATA PROCESSING MANAGER - SES 80% 5-6 Advise 5-6 Advise 5-6 Advise 5-6 Advise 5-6 Advise 7 Inspire

CONSUMER SERVICES 000212 EDMOND, CHARLES - DISTRIBUTED COMPUTER SYSTEMS ANALYST 60% N/A 1-2 Apply 1-2 Apply N/A N/A 1-2 Apply

CONSUMER SERVICES 000291 VACANT - DISTRIBUTED COMPUTER SYSTEMS ANALYST 60% N/A 1-2 Apply 1-2 Apply N/A N/A 1-2 Apply

CONSUMER SERVICES 000528 ARBOGAST, RENE' - SYSTEM PROJECT CONSULTANT 90% N/A 1-2 Apply 3-4 Guide N/A N/A 3-4 Guide

CONSUMER SERVICES 001103 COOPER, ROBERT - SYSTEM PROJECT CONSULTANT 70% N/A 1-2 Apply 3-4 Guide N/A N/A 3-4 Guide

FOOD SAFETY 000647 GREEN, SPURGEON - SENIOR INFO TECH BUSINESS CONSULTANT 40% 3-4 Guide 3-4 Guide 5-6 Advise 3-4 Guide 5-6 Advise 5-6 Advise

FOOD SAFETY 000270 DU, ZHIRONG - SYSTEM PROJECT CONSULTANT 60%

1-2 Apply 3-4 Guide 5-6 Advise 5-6 Advise 1-2 Apply 5-6 Advise

Procurement and

Management

Strategy &

Architecture

Target Competency Profile for IT Roles

CompetenciesSee Tab "Competency & Skills Definitions"

Business Change Solution

Development and

Service Management

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/160217-DACS02-D5D-Attachment-V-IT-Skills-Inventory-Tool-v100.xlsx



RESULTS AND GAP ANALYSIS

In this section we highlight the results of both the high-level Regulatory Lifecycle Skills Assessment along with the identified gaps, as well as the outputs of the IT Skills Inventory which does not have a gap analysis associated with it given there is no future IT operating model to compare with yet.

5.1 REGULATORY LIFECYCLE SKILLS ASSESSMENT RESULTS AND GAP ANALYSIS

The work product illustrated in the exhibit below (available as Attachment VI: Regulatory Lifecycle Skills Assessment Results and Gap Analysis) is a detailed narrative summary of the outputs captured in the Skills Assessment Tool and of the assessment working sessions held with FDACS staff. It provides the highlights and observations of the validated competency profiles, as well as the results of the skills assessment for these roles.

Exhibit 22: Regulatory Lifecycle Skills Assessment Results and Gap Analysis Snapshot

5.2 IT SKILLS INVENTORY RESULTS

Key findings from the results of the IT Skills Inventory exercise are set below, and have been grouped into three themes:

1. Proportion of time spent supporting regulatory applications 2. Distribution of IT skills by category and level across the department 3. Distribution of IT skills by division

Theme 1: Proportion of time spent supporting regulatory applications

Collecting and analyzing information about the number of IT staff across the department who are supporting regulatory applications enables the validation and refinement of the information collected as part of the initial Workforce Transition Analysis (Deliverable D5A), and who will be impacted by the implementation of RLMS.

http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/160217-DACS02-D5D-Attachment-VI-Regulatory-Lifecycle-High-Level-Results-and-Gap-Analysis-v100.docx




As seen in the exhibit below, in total there is a significant number of staff from across the department involved in supporting regulatory applications. Outside of OATS, this consists of the equivalent of 40 full-time resources. Combined with OATS, this is the equivalent of 71 full-time resources or nearly 50% of the total IT capacity of the department. This currently excludes the time spent by IT staff in Administration supporting revenue collection and processing related systems such as ROC, EGC and REV.

Exhibit 23: Numbers of FTE Supporting Regulatory Applications by Division

It should also be noted 19 out of the 149 positions were vacant at the time of data collection. All but two of the 149 positions had a percentage of time allocated for support of regulatory applications.

The second aspect to be considered is the distribution of time spent supporting regulatory applications with the hypothesis those positions which spend less than 20% of their time supporting regulatory applications will be minimally impacted, and those spending 50% or more of their time will be highly impacted through the implementation of RLMS. As shown in the exhibit below, 26 out of 147 positions spent less than 20% of their time, and 100 out of 147 (approximately two-thirds) of the IT positions spent 50% or more of their time supporting regulatory applications.

Division

Number of IT

Positions

FTE Supporting

Regulatory Applications

LICENSING 12 12

ADMINISTRATION 5 0

OATS 61 30.5

AGRICULTURAL LAW ENFORCEMENT 3 0.15

AGRICULTURAL ENVIRONMENTAL SERVICES 4 4

ANIMAL INDUSTRY 3 0.8

AQUACULTURE 2 0.4

CONSUMER SERVICES 9 7.2

FLORIDA FOREST SERVICE 17 4.75

FOOD SAFETY 12 3.4

FOOD, NUTRITION & WELLNESS 2 1

FRUIT AND VEGETABLES 5 3.4

MARKETING AND DEVELOPMENT 2 0.1

OFFICE OF AGRICULTURAL WATER POLICY 3 1

PLANT INDUSTRY 9 2.4

Grand Total 149 71.1



Theme 2: Distribution of IT skills by category and level across the department

Taking the level of experience and competency data collected for each of the 16 IT skills in the inventory exercise, there are a significant number of people with each skill, and the majority of the positions are at a level of experience of 3-4 Guide or greater in the department as a whole, as displayed in the series of exhibits below. Areas that stand out as particular strengths across the department include Customer Support, Service Operations, System Development and Installation and Integration.



Exhibit 24: Summary of IT Skills by Area and Level

Theme 3: Distribution of IT Skills by Division

Analysis of the data collected on the 16 skills grouped into six categories (Strategy & Architecture, Business Change, Solution Development & Implementation, Service Management, Procurement & Management Support and Customer Interface) shows a detailed breakdown by division of the distribution of these skills as seen in the following exhibits.

0

20

40

60

80

100

120

140

160

# IT

Sta

ff

Skill Area

Summary of IT Skill by Area and Level

1-2 Apply 3-4 Guide 5-6 Advise 7 Inspire







Exhibit 25: Summary of IT Skills by Division and Level



FINDINGS AND RECOMMENDATIONS

Based on the high-level assessment results articulated in Section 5 and the observed opportunities and gaps from the current approach, the findings and recommendations are broken into the following two areas:

The Regulatory Lifecycle Competency Model and Role-Based Skills Assessment

The IT Competency Model and Skills Inventory

The primary findings from the Role-Based Skills Gap Analysis are:

Overall, the department’s staff is well-trained, and skills are at expected levels in most areas.

The roles that require the greatest level of training are in the process areas of Intake (both DOA and DOL) and Fiscal (DOA only)

Two primary areas of training needs are:

› Business Skills – General Business skills training will be needed as work shifts away from document handling, data entry, and manual processing towards customer self-service and automated processes.

› System and Business Process Training – As expected, end users will require training on how to use the new system to accomplish new and revised business processes.

A significant number of roles will require training in the area for Reporting and Analytics.

Also as expected, training needs are greatest when new employees are hired or transferred into a role.

OPPORTUNITIES / GAPS RECOMMENDATIONS

For roles where gaps have been identified in basic business skills capability, the opportunity exists to close this gap in advance of RLMS Implementation.

FDACS Training and Development should leverage this assessment to identify, develop and deliver appropriate business skills curriculum and coursework at a level of sufficient frequency to prepare RLMS users prior to the initial roll out of the system.

Where there are gaps in general regulatory lifecycle skills and knowledge, the opportunity exists to leverage the knowledge and expertise of the DOL Bureau of License Issuance (BLI), across the whole of DOL.

Identify individuals that can serve as active mentors and coaches to improve understanding of Application and Licensure across DOL

RLMS will have robust data and analytics reporting capabilities.

The department should identify and cultivate highly specialized Bureau-level roles to support and develop best practices, and participate in a community of interest.



OPPORTUNITIES / GAPS RECOMMENDATIONS

It was difficult for the assessors in the team-based assessment to say whether there was a true gap if only some and not all individuals possessed the skill.

Conduct individual assessments as proposed, and revalidate the skills assessment by team.

When individual level assessments are conducted, there will be an opportunity to create individualized learning plans for employees.

Ensure that before individual assessments are conducted, both assessors and those assessed approach the process as an opportunity for growth.

When positions are filled, the position description alone may not be the best criteria for selecting a candidate.

Use the Regulatory Lifecycle Competency Model and Profile to select the best candidate for the role.

When new employees are hired or transferred into a role, there is an opportunity to provide RLMS “on-boarding.”

The DDI vendor should create a specific RLMS overview and user training module for new staff.

Through this assessment, the department is developing a foundational, common language for regulatory lifecycle-related roles.

Leverage this for future releases to ensure these roles are going to be suitable. Reflect any outputs of the ongoing position classification harmonization exercises.

At the time of the high-level assessment, the DOL regional offices had just recently migrated from BRE to BLI and were in the process of developing SOPs and standardizing approaches. The leadership did not feel capable of making a detailed assessment given the recent change.

The department should revisit the regional office assessments once the regional office leadership better understands the situational dynamics in each office and the SOPs and standardizing approaches are in place.

Related to IT, a skills assessment could not be conducted for IT skills because a future operating model for RLMS has yet to be created.

Develop the future IT RLMS operating model and collect information from the DDI vendor regarding required skill sets to maintain and operate the new system.

Related to IT, there is an opportunity to share information and expertise between divisional silos.

As part of the RLMS project phases, use the opportunity of interacting with the vendor to undertake knowledge sharing, including team members.

Ownership of the assessment tools. Identify specific owners for both the Regulatory Lifecycle Skills Assessment and IT Skills Inventory Tools, and do a formal handover of both.

The department has recently implemented a new LMS with competency development capabilities.

The department should consider migrating the processes and data in this assessment tool into the department’s new LMS, and use the LMS to conduct future assessments and ongoing monitoring.

Exhibit 26: Skills Assessment Opportunities and Recommendations



ATTACHMENTS

7.1 ATTACHMENT I: RLMS WORKFORCE TRANSITION ANALYSIS (DELIVERABLE D5A)

151210-DACS02-D5A-Workforce-Transition-Analysis-v100

7.2 ATTACHMENT II: REGULATORY LIFECYCLE AND IT COMPETENCY MODELS

160201-DACS02-D5D-Attachment-II-Competency-Models-and-Skills-Descriptions-v100

7.3 ATTACHMENT III: SFIA IT COMPETENCY MODEL

160217-DACS02-D5D-Attachment-III-SFIA-v5-Framework-v100

7.4 ATTACHMENT IV: RLMS SKILLS ASSESSMENT TOOL

160217-DACS02-D5D-Attachment-IV-Skills-Assessment-Tool-v100

7.5 ATTACHMENT V: IT SKILLS INVENTORY TOOL

160217-DACS02-D5D-Attachment-V-IT-Skills-Inventory-Tool-v100

7.6 ATTACHMENT VI: RLMS SKILLS ASSESSMENT DETAILED RESULTS

160217-DACS02-D5D-Attachment-VI-Regulatory-Lifecycle-High-Level-Results-and-Gap-Analysis-v100





http://floridafresh/OATS/PPMO/RLMS/Complete%20Document%20Library/160217-DACS02-D5D-Attachment-V-IT-Skills-Inventory-Tool-v100.xlsx



Documents

Regulatory Lifecycle Management System – Pre-Design ...€¦ · System – Pre-Design, Development, and Implementation Project D5D Role-Based Skills Gap Analysis (SGA) ... The Role-Based