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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