may 2008 final presentation
DESCRIPTION
TRANSCRIPT
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Business Process Analysis (BPA)
Information Resource RequestBusiness Process Improvement
May 2008
Final Presentation
Enterprise Information Strategy & Policy Division
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Agenda
Business Process Analysis (BPA) Initiation Workshop Objectives Current Process Desired Process and Activities Automation
Potential E-Forms and Electronic Submission
Implementation Plan Q&A
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Workshop Objectives
1. Define and document the existing process for the Information Resource Request (IRR)
2. Identify administrative, legislative, and regulatory requirements
3. Define a user experience that promotes adoption by targeted user population
4. Define and document a consensus-driven future business process
• Explore e-form-enablement/automated IRR workflow
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BPA Workshop Participants
Forms Factory (EDS/SABER) Enterprise Information Strategy and Policy Division
(EISPD) Investment and Planning Section (ITIP)
DAS State Data Center (SDC) DAS State Procurement Office (SPO) DAS Enterprise Security Office (ESO) Customer Agencies
Department of Human Services (DHS) Department of Transportation (ODOT)
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BPA Project Plan
December 2007, conducted 4, half day sessions
January 25, 2008, conducted combined session to: Define and prioritize electronic approval approaches within
context of new workflow process requirements Document the “to-be” business process
Explore e-form-enablement/automation
May 6, 2008, present business process improvements to project stakeholders
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Initial review and approval of IT projects involving acquisition (s) > $75,000
In support of CNIC, Information Security, and GIS Initiatives, EISPD performs 100% review regardless of dollar amount of: Mainframe, Midrange, Server hardware IT Security hardware, software, and services Non-ESRI GIS Software and Services
Agencies must complete an Information Resources Request (IRR) and Business Case/Feasibility Statement for projects >$125,000
More rigorous business case development and risk assessment is required for larger investment requests
Recommendations regarding approval or denial of the request, and ongoing QA oversight requirements are given to State CIO for final decision
Objective 1:Define & Document Existing Process
What is an IRR?
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Objective 2: ID Regulatory Requirements
Statutes and PoliciesOregon Revised Statutes ORS 184.473-184.477 – IT Portfolio Management ORS 283.505–283.510 – Acquisition and coordination of
telecommunications systems ORS 291.038 – State Agency IT planning, acquisition, installation & use Additional statutory guidance – ORS 184.305, 184.340, 283.140,
283.500, 291.018, 291.037, 291.047, 293.595 Executive Orders: 01-25, 00-02, 99-05, 98-05 Note: All acquisitions are subject to Department of Justice legal sufficiency and
Department of Administrative Services purchasing rules
Statewide Policy IT Investment Review and Approval (July 2003, Updated April 2004) Technology Strategy Development and Quality Assurance
Reviews (February 2004)Note: Policies are scheduled for revision in 2007-2009ITIP Policy URL: http://www.das.state.or.us/DAS/EISPD/ITIP/pol_index.shtml
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Objective 3: Define User Experience Promoting Use
Current Process WorkflowA
ge
ncy
DA
S E
ISP
DS
tate
CIO
Sta
te
Pro
cure
me
nt
Off
ice
Agency Prepares IRR
Form
Agency Submits IRR
Form
EISPD Receives IRR
Form
Required info submitted?
No
Review/Analyze IRR &
other infoYes
Agency Reviews &
Approves IRR
DA
S S
ME
’s
Analyze requests & Provide
Recommendations
Request for review R
eco
mm
-e
nda
tion
s
Respond to EISPD Requests for Additional Info
Add. Info. Required
Yes
Recomm-endation
Discussion
No
Receive EISPD Recommendation
Approve/Deny IRR
Agency receives IRR Approval/
Denial*
Receive State CIO Decision/
Forward on to Agency
Decision
IRR Approval/Denial
Forward Approved IRR w/
Procurement Docs to DAS/
SPO
Receive Procurement
Docs w/approved IRR from Agency
Complete procurement/Notify EISPD when Contract Executed
Received SPO Notification of
Contract Execution
Receive Agency Lesson’s Learned
Reports (if applicable)
Complete Procurement Process & Execute
Contract w/DAS SPO
* If CIO denies IRR, Agency may decide to cancel project, repeat entire process or reenter process at appropriate place.
Complete Procurement Process w/
agency
Complete Project/Submit Lessons
Learned Report to EISPD (If required)
DAS Enterprise Information Strategy and Policy DivisionIT Investment Review and Approval – Information Resource Request (IRR) Process
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Objective 3: Define User Experience Promoting Use
IRR Process — Known Issues
Static for nearly a decade. IRR Form contains information that is no longer relevant
“One-Size-Fits-All” approach Doesn’t fit well with current operating model (EISPD, CNIC Transition
to SDC) Not effective as a control or enabling mechanism for operation of SDC
Duplicates agency review and approval process Reactive
Process begins when agency makes contact or when IRRs are received.
Proactive preparation for review based on projected start dates defined during budget review and approval process needs to occur
Not timely or consistent Volume of requests received at any given time can exceed EISPD
resource capacity for review on top of existing workload Occurs late in the IT Investment Lifecycle
Timing of review limits value proposition for agencies and DAS EISPD
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Objective 3: Define User Experience Promoting Use
Existing Process Barriers
Incomplete understanding of IRR requirements
No process transparency Lack of knowledge of IRR’s
disposition When received Who assigned to Expected timeframe Where it is in review
process When it has been approved
Difficult access to signed IRR documents
Receives IRR at different points of project lifecycles
Agency has already decided on product and performed incomplete or biased evaluation of other viable alternatives
No or limited involvement with other agencies (ESO, GIS, GEO, SDC, SPO, etc.)
Apparent disconnect between business side and IT side of the agency
Agency EISPD
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Objective 4: Define & Document Consensus Driven future process
Opportunities for Improvement
EISPD processes IRR form Communication and interaction with agencies
Agency processes Enhanced project initiation/planning
Intra-agency collaboration Agencies, EISPD, SDC and SPO
Adjunct processes and documentation QA Reviews/Ongoing Oversight Reporting Budget Development Process
Budget form (107BF14) Business Case (Major IT Projects)
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Objective 4: Define & Document Consensus Driven future process
Phased Approach
Phased approach to process improvements Phase 1 improvements
Improve and streamline the major process steps to the greatest extent possible
Eight opportunities leading to dramatic improvements for the overall objectives: Improve communication and awareness surrounding
the IRR process Reduce or eliminate wait time
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Phase 1 Tasks
1. Identify when an agency should develop an IRR
2. Re-engineer the process to reinforce the need and benefit of early engagement of SDC and EISPD Program Leaders
3. Define a streamlined submission process
4. Define process for agencies to know receipt and assignment of IRR
5. Define process for agencies and EISPD to know status of IRR in the review process
6. Define process for agencies and other organizations to know IRR’s final disposition
7. Provide access to signed documentation and create a line of sight to the IRR
8. Identify metrics to measure outcome of new process
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Task 1. Identify When Agency Should Develop IRR
Identified knowledge and process gaps in preparatory activities for IRR development
Added new process step to the workflow:
IRR should be initiated during the agency project initiation/planning step Development should be viewed as a
collaborative effort
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Task 2: Early Engagement of SDC and EISPD Program Leaders
Agency Project Planning Activities (continued) Communicate project status to EISPD Obtain Agency CIO support of project
Obtained prior to IRR development Not formal approval of an IRR, but a touch point
to ensure Agency CIO supports the project Initiate IRR
Coordinate with EISPD Engage SDC and EISPD Program Leaders
Prepare relevant documentation Business case/cost benefit analysis Feasibility studies/opportunity evaluation
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IRR Process Workflow — Agency
Agency Prepares IRR
Form
Agency Submits IRR
Form
Agency Reviews &
Approves IRR
Agency Drafts IRR Form
Agency Submits IRR
Form
Agency Reviews &
Approves IRR
Agency Project
Planning
- Communicates with EISPD re: project status
- Agency CIO indicates support of IRR development
- Partners with EISPD, enterprise program leaders (ESO, GEO, SDC, SPO, etc.) and SMEs (analysts) as necessary
Current:
Desired:
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Task 3: Define a Streamlined Submission Process
EISPD Actions Re-examine $ threshold
limits for alignment with current policies, ORS, and OARs (i.e. $75K, $100K, $125K, $150K)
Revise IRR Form Develop and revise
supporting document templates
Document IRR process and requirements and educate agencies
Proactively collaborate with agencies throughout the IRR process
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IRR Supporting Documentation
EISPD to revise IRR form and supporting document templates Business case Cost/benefit analysis Feasibility study/opportunity evaluation Risk assessment
Timeline for completion: 2nd/3rd Qtr 2008
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IRR Guiding Documentation
EISPD to create and publish guiding documentation to aid agencies during IRR development IRR workflow Agency IRR creation checklist EISPD IRR review checklist
Timeline for completion: 2nd Qtr 2008
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Additional IRR Improvements
Potential E-form implementation – Phase 2 Use required fields to reduce risk of missing
information Leverage interactive capabilities to provide form fillers
all relevant information fields Provide multiple submission methods
Electronic only sent via e-mail Current, manual process of printing and sending via
interagency mail Combination of electronic and printed methods
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IRR Improvements — Submission
Provide proof of signature Maintain interactive, electronic version of IRR
Electronic Only Printed OnlyCombination
Printed/Electronic
Agency signs via digital signature
Agency e-mails IRR
to EISPD
Agency prints and signs via wet signature
Agency scans signed
IRR
Agency e-mails IRR and scanned
version to EISPD
Agency prints and signs via wet signature
Agency mails signed
IRR
Agency e-mails IRR to
EISPD
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Task 4: Define Process for Agencies to Know Receipt and Assignment of IRR
EISPD will notify agencies via e-mail When IRR has been received Who has been assigned to IRR
EISPD will note that information on tracking spreadsheet Post spreadsheet on intranet/Internet Update as appropriate
EISPD Receives IRR
Form
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Task 5: Define Process for Agencies and EISPD to Know IRR Status in Review Process
EISPD will define specific stages of review – For example Under analyst review Pending DAS/Other SME feedback/recommendations Pending agency update Recommendation (approval/conditional approval/denial)
submitted to State CIO Etc.
EISPD will expand on current IRR tracking process Post spreadsheet on intranet/Internet Update information on a regular basis
EISPD Receives IRR
Form
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Task 6: Define Process for Agencies & Other Organizations to Know IRR’s Final Disposition
EISPD will create a final IRR disposition tracking process Post spreadsheet on intranet/Internet Update information on a regular basis
EISPD Receives IRR
Form
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Task 7: Provide Access to Signed Documentation and Create a Line
of Sight to IRR
EISPD will make a consistent set of IRR documentation available via intranet
EISPD Receives IRR
Form
Project plan Project charter Other documents
(as required)
Memo given to CIO IRR Business case document
(as required) Statement of work (SOW) Request for proposal (RFP)
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Task 8: Identify Metrics to Measure Outcome of New Process
Phase 1 metrics will focus on process steps between submission and approval Wait time: submission to approval Processing time: IRR submission to State CIO for
signature Number of IRRs that need additional information Number of EISPD conditional approvals Number of EISPD denials
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Task 8: Identify Metrics to Measure Outcome of New Process
Phase 1 Metrics (Continued)
Track overall cost estimates for entire project Break out agency’s cost estimates (time of IRR vs. time
of contract vs. project at completion, etc.) Capture percentages of cost variance to hint at
complexity Segment out projects that require QA Provide baseline metrics from 2005 to current Solicit process improvement feedback
from agencies Six months after Phase 1 implementation
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Phase 2 Improvements
Potential E-form implementation – Multiple submission methods Establish a common project phasing framework where IRRs are
consistently submitted in planning stages of a project Define IRR information for level of review
Consider large, midsize, and small agency capability to produce required analysis
Consider appropriate level of information submission for different sized projects
Match level of review with size and complexity of project/request Define signing authorities
DAS Agency delegated procurement authority from DAS SPO Agency
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Phase 3 Improvements
Define a process for requesting and obtaining additional information
Define subject matter expert (SME) involvement Define SPO involvement Integrate support requests (SDC) and IRR process to
the greatest extent possible Examine partnership with SDC – possible use of
Remedy help desk/ticketing process to initiate IRR request process
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Phase “X” Improvements
Review processes for specific types of IRRs: Achieve SDC 100% review of midrange/mainframe
server request prior to IRR submission vs. after Achieve ESO 100% review of Security HW, SW,
Services prior to IRR submission Implement GEO 100% review of GIS Software prior to
IRR submission May be replaced by Enterprise GIS Software Admin
Rule (rule not yet adopted)
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Phase “X” Improvements (Continued)
Create an IRR refresh process to accommodate revisions/updates over time
Define an IRR follow-up process When scope, budget or schedule increase beyond
original estimates or thresholds for cost benefit analysis or QA
Create documented process for tracking conditional approval items
Receive notification & lessons learned report from agency when a project ends/is completed
Align and integrate IT Investment Review & Approval Policy with the QA reviews policy
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Implementation Plan
Target Date Activity/Task
1Q08/ 2Q08/ 3Q08
Modify policies and internal documentation to reflect new process requirements
2009-2011 Agency Budget Instructions IT Investment Review and Approval Policy DAS internal processes
Implement Phase 1 process improvements
3Q08/4Q08 Gather feedback from stakeholders re: improvements to date
4Q08/1Q09 Implement Phase 2 process improvements, including possible e-form development
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Thank you for your participation!
Business Process Analysis Consulting
QUESTIONS?
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Contacts
State Chief Information Officer Dugan Petty, State CIO Angela Skyberg, Executive Assistant – 503-378-3175 (Main #)
IT Investment and Planning Sean McSpaden, Manager - 503-378-5257 Charlene Wood, Executive Assistant – 503-378-8366 Scott Riordan – 503-378-3385 Darren Wellington – 503-378-2242
State Data Center - Plans and Controls Darin Rand, Manager - 503-378-3366