1

Research and Development Programfor FY 2012

Center for Emerging Solutions and HR InnovationsResearch and Development Program

Management OfficeJune 2011

205/01/23 2

Topics• Where We Are Now• Notional R&D Lifecycle Functions• Current R&D PMO Focus Areas• HR R&D Project Request Criteria• Other Than R&D Project Examples• HR R&D Funding Mechanisms• HR R&D Project Request Approval Process and Due Dates• Backup

305/01/23 3

Where We Are Now

• R&D PMO initiated in May 2010• Today

– 24 ongoing R&D projects• Pending addition of two projects

– Estimated project’s cost is $X.X– Monthly project reporting and scoring– Quarterly Research and Development

Approval Committee meetings

405/01/23 4

Notional HR R&D Life Cycle Functions

I. Research II. Governance III. Development IV. Performance V. Production

Q4/FY10 Q1/FY11 Q2 Q3 Q4

505/01/23 5

Current R&D PMO Focus Areas

• Q3 FY 2011– Evaluating R&D project’s achievement of budget,

schedule, and scope– Providing feedback to Practice Area Leaders on

their project’s performance via the Research and Development Approval Committee

– Reviewing project changes and evaluating added project requests

– Initiate project request intake for FY 2012 R&D Program

605/01/23 6

HRS R&D Project Request Criteria

• Generally, HR R&D requests/proposals should– contain research element(s),– help to validate a test/hypothesis

statement, and– include a means to achieve a proof of

concept.• Name/title of project should reflect

that the project involves R&D

705/01/23 7

HRS R&D Project Request Criteria (ctd)

• Optimally, HRS R&D requests should describe measurable benefits, such as:– Demonstrate a marketable and revenue

producing service or product – Provide a significant time, quality, or cost

saving outcome for customers– Enhance client satisfaction with

HRS services and products– Articulate a potential for return on

investment

805/01/23 8

HRS R&D Project Request Criteria (ctd)

• Create new and enhanced HR products and services through research, testing, evaluation, and development

• Examples of HRS R&D requests/proposals– Research the potential use of social media sites to

deliver training and to market/sell services– Explore potential recruitment pipeline enhancement

involving crowdsourcing opportunities– Conduct literature reviews and engage academia to

determine if there is a correlation between leadership competencies and organizational culture/climate

– Survey customer needs to determine what constitutes a most effective learning experience

905/01/23 9

Other Than R&D Project Examples

• Technical assistance-type projects that do not contain research elements

• Non-research activities like general conferences, seminars, workshops, and educational and training courses

• Electronic or print publishing (e.g. books, journals, magazines, newsletters and reports)

1005/01/23 10

Other Than R&D Project Examples (ctd)

• The development of websites and web pages• Efforts to leverage or advance already

available/in-use applications (e.g., electronic inventories, electronic templates, etc.)

• The replacement or upgrade of hardware, software, furniture, and equipment

• Production of HR services and products resulting from completed R&D projects

1105/01/23 11

Other Than R&D Project Examples (ctd)

• Projects whose outcomes may be realized as a tangible service or product and not a theoretical concept

• Examples of non-R&D projects:– Upgrade and increase number of computers for

delivery of electronic services such as testing– Replace or upgrade an in-use inventory system– Duplicating an existing GOTS or COTS product

1205/01/23 12

HRS R&D Funding Mechanisms

• Approved FY 2012 R&D projects will be funded via corporate-wide funds and monitored by the R&D Program Management Office

• There will be a tentative 2nd Quarter FY12 Opportunity Window for submission of new R&D FY12 requests

• Individual FY 2012 approved projects budgeted for more than $100K are subject to RDAC review– All R&D projects budgeted for more than $100K will be

subject to quarterly RDAC status review – As appropriate, the R&D PMO will recommend remedies

for projects experiencing funds commitment delay, higher than expected funds consumption rates, etc.

13

HRS R&D Project Request Approval Process and Tentative Dates

• Similar format and process as FY11– Between June 1 and 15: PA Leaders submit draft R&D

Project Request Form I to R&D PMO if you require consultation (optional, but recommended)

– Before June 30: PA Leaders submit R&D Project Request Form I for initial RDAC evaluation to R&D PMO

– July 15: RDAC meets to review project requests. Tentatively approved requests will advance to completion of R&D Project Request Form II with budget detail.

– Before July 30: Submit R&D Project Request Form II and Budget Estimate to R&D PMO for RDAC consideration

– August 15: RDAC will meet to approve project requests on or about

1405/01/23 14

Backup

1505/01/23 15

Phase I--ResearchDraft R&D Process Flow

HRS PracticeArea BPA Contractor

R&D ProjectManagement

Off ice

• Conducts initial research• Initiate call for requests • Receive initial requests• Help prepare/revise requests• Manage projects throughthe RDAC process

• Identify product/service ideas• Identify request sponsor/owner • Prepare request justif ications• Prepare budget estimate• Capture legacy data

Identify R&D Projects

Does R&DProject Support

HRS Products andServices

Identify andCapture Product/Service/

Budget/FinancialInformation, etc.

YES

NO

Analyze and CompareDraft Requests

(Rate and Rank)

Phase II,Governance

START

STOP

Prepare Draft Request

Revision 2.0Project Reference ID Tasks 1-8

1605/01/23 16

Phase II--GovernanceDraft R&D Process Flow

R&D ApprovalCommittee

TechnicalReview Team

R&D ProjectManagement

Office

• Document/evaluate R&D requirements• Review and validate R&D project plan• Revise request and budget estimate• Develop approved R&D proposal

• Submit draf t requests to RDAC• Revise justif ications• Work with Technical Review

Team to Resolve Issues

• Review and approve requests• Rate and Rank request’s standing• Establish and monitor project plan• Approve R&D plan for development (Phase III)

R&D PMO SubmitsRequest to RDAC

RDACDetermines

Requirement for AdditionalAnalysis

RDAC ForwardsApproved Requests

toTechnical Review Team

RDAC NotifiesRequest Sponsor toProceed to Phase III,

Development

YES

NO

TechnicalReview Team

Verifies CompletedSubmission

YES

NO

Technical Review TeamDevelops ApprovedProposal for RDAC

Acceptance

Phase III,Development

Phase I,Research

FromPhase IV

Revision 2.0Project Reference ID Tasks 9-23

1705/01/23 17

Phase III--DevelopmentDraft R&D Process Flow

Practice AreaProposalSponsor

R&D ApprovalCommittee

R&D ProjectManagement

Office

• Approve project schedule changes• Approve project plan changes• Approve proposed budget changes

• Manage R&D budget process• Develop R&D budget exhibits• Develop metrics andsuccess criteria

• Prepare to initiate project• Prepare budget requests• Respond to inquiries regarding project• Report changes to RDAC

Proposal SponsorInitiates and Manages

Project

RDACApproves Plan,

Schedule, Budget/FundingChange

RDAC, throughR&D PMO, ForwardsApproved Changes to

Proposal Sponsor

RDAC NotifiesProposal Sponsor

of Disapproval

YES

NO

Proposal SponsorIncorporates

Changes

Phase IV,Performance

Phase II,Governance

Revision 1.0Project Reference ID Tasks 24-37

1805/01/23 18

Phase IV--PerformanceDraft R&D Process Flow

ProposalSponsor

R&D ApprovalCommittee

R&D ProjectManagement

Office

• Approve project selection• Approve funding and funding changes• Approve project schedule changes• Monitor/control project execution

• Manage approved R&D projects• Coordinate with OMB/CIC• Develop budget exhibits (300)• Apply metrics/success criteria

• Initiate and manages project• Request budget and funding• Respond to inquiries regarding project• Report to RDAC on project completion/delay

RDAC SelectsProjects forPerformance

R&D PMO and SponsorDevelop Additional Information (300) as

Needed

Proposal SponsorIncorporates

Change and InitiatesProject (Build)

Phase V,Production

Phase IIIDevelopment

OMB/CICApprovesProject

YES

NO

RDAC and SponsorRe-evaluate Project

Scope and Cost

ToPhase II

RequiresOMB/CICApproval

NO

YES

Revision 1.0Project Reference ID Tasks 38-51

1905/01/23 19

Phase V--ProductionDraft R&D Process Flow

Practice Areas CustomersAccount

ManagementProgram

• Receive/purchase productsand services

• Market products and services • Manage products and services• Deliver products and services

Account ManagersMarket Products

and Services

Practice AreasDeliver

Productsand Services

StopPhase IVPerformance

Customers ReceiveProducts and Services

Project Reference ID Tasks 52-59

20

Definitions• Research

– Creative work undertaken to increase the stock of knowledge, and the use of this stock of knowledge to devise new solutions

– The goal of the research process is to produce new knowledge, which takes three main forms…

• Exploratory (Basic) Research – directed toward fuller knowledge or understanding which can structure or identify a new solution

• Constructive (Applied) Research – which develops solutions to an existing problem

• Empirical Research – which tests the feasibility of a solution using empirical evidence

• Development– Systematic application of knowledge or understanding, directed

toward the production of useful material, devices, and systems or methods, including design, development, and improvement of prototypes and new processes

21

General R&D Traits• R&D is difficult to mange since the defining feature

of the research involves the unknown• R&D spending ranges between 8 to 12 percent of

revenue in Good Firms• 80% of R&D Projects result in “Non Marketable

Solutions”• Defense and Health are top categories of Federal

R&D• Higher R&D Spending does not guarantee “more

creativity, higher profit or greater market share• 93% of stagnant or declining firms experienced

growth through R&D• R&D is not the same as capital investment