IPMA Executive Summary - October 31, 2002 IPMA Executive Summit The Enterprise Architecture of the HR/Payroll Systems October 31, 2002 FINAL NOTES AND

IPMA Executive Summary - October 31, 2002

IPMA Executive Summit

The Enterprise Architecture of the

HR/Payroll Systems

October 31, 2002FINAL NOTES AND DISCUSSIONS

Presented by:

Josetta BullJB McCrummen, Gartner

2IPMA Executive Summary - October 31, 2002

Agenda

• CAB Business Thomas 1:00 - 1:30

• IPMA Recap Josetta 1:30 - 1:45

• Operating Principles Josetta 1:45 - 2:30

• BREAK

• Governance Structure Josetta 2:45 - 3:05

• Strategies Josetta 3:05 - 3:30

• Initiatives/Projects Josetta 3:30 - 4:00

• Session Wrap-Up Josetta 4:00 - 4:30

• Next Steps Stuart 4:30 - 5:00


CAB Business

Thomas Bynum


IPMA Recap

• Challenge• Enterprise Architecture• Enterprise Blueprint Plan• Governance Structure• Operating Principles• Your Role


IPMA Recap: Challenge

• Agencies must implement Civil Service Reform

• Agency financial and administrative functions are under supported by the state’s common central information systems

• Agencies have implemented their own “shadow” systems

• Approach – Plan and implement improvements from an enterprise

view

1 Applications operate in DIS IBM Mainframe environment.2 DOP will decommission the Insurance system by August 30, 20033 HCA will implement the new MMS by June 30, 2003

Payroll*Payroll*

Payroll calculation

Interfaces Tax reporting Time and

attendance collection

Table-driven calculation rules

Reporting Benefits

administration Retroactive

adjustments Variable

compensation

Personnel Reporting*Personnel Reporting*

Personnel administration

Reporting Position

management Performance

management Compensation

planning Contract

management Collective

bargaining Career

management Employee

self-service Manager self-

service

Leave*Leave*

Leave administration

Leave collection

DataWarehouse

DataWarehouse

Human resource informationreporting

DOPAgency

Applications

DOPAgency

Applications

Combined fund drive.

Employer advisory services.

Executive recruiting.

1LaborDistribution

1LaborDistribution

Payroll labor allocation

Time and activity reconciliation

Cost accounting feed

1 StatewideAccounting

1 StatewideAccounting

Financial accounting

Financial reporting

Budgeting Accounts

payable Accounts

receivable Cost

accounting

1SalaryProjection

1SalaryProjection

Salary project. Budget allocation. Salary

administration

Department of PersonnelOffice of FinancialManagement

Recruiting(ARMS)*

Recruiting(ARMS)*

Job applicant intake

Hiring support

Job applicant self-service

Recruitment

Training(HRDIS)*Training

(HRDIS)*

Training records

Training administration

Competency management

Agency HRApplicationsAgency HRApplications

Time and attendance collection

Labor distribution

HR tracking Agency

recruiting

3 Insurance Membership Management

3 Insurance Membership Management

Medical Dental Life and Long-

term Disability Insurance

Accounting

Other StateAgencies

2 Insurance Enrollment and

Accounting

2 Insurance Enrollment and

Accounting

Medical Dental Life and Long-

term Disability Insurance

Accounting

ApplicationsApplications•Meets business needs•Partially meets business needs•Does not meet business needs

Legend

IPMA Recap: ChallengeHR Systems Overview

LiquorControlBoard

LiquorControlBoard

LaborUnions

(2)

LaborUnions

(2)

CreditUnions

(10)

CreditUnions

(10)

Utilities &Transportation

Commission

Utilities &Transportation

Commission

InformationServices

InformationServices

RevenueRevenue

InternalRevenueService

InternalRevenueService

& Services

Social Healthand Services

Social Healthand Services

Security

EmploymentSecurity

EmploymentSecurity

RetirementRetirement

StatePatrolState

Patrol

Criminal JusticeTraining

Commission

Criminal JusticeTraining

Commission

Convention andTrade Center

Convention andTrade Center

InsuranceBasic Health Plan

InsuranceBasic Health Plan

Financial

FinancialManagement

FinancialManagement

NaturalResourcesNatural

Resources

Fish &Wildlife

Fish &WildlifeFish &

Wildlife

EcologyEcology

Laborand

Laborand Industries

Laborand Industries

SocialSecurity

Administration

SocialSecurity

Administration

House&

Senate

House&

Senate

StateTreasurer

StateTreasurer

CorrectionsCorrections

Transportation &Marine Division

Transportation &Marine Division

PublicInstruction

PublicInstruction

Higher EducationPolitical

Sub-divisions

Higher EducationPolitical

Sub-divisions

GeneralAdministration

GeneralAdministration

StateAuditor

StateAuditor

LegislativeEvaluation &

AccountabilityProgram

LegislativeEvaluation &

AccountabilityProgram

Health CareAuthority

Health CareAuthority

StatePrinterState

Printer

HealthHealth

PERSONNEL

PAYROLL

INSU

RA

NC

E

RECRUITMENT

TRAINING

IPMA Recap: ChallengeInterface Systems


IPMA Recap: Enterprise Architecture

• Definition - – A holistic expression of the enterprise’s key business,

information, application, and technology strategies– A set of processes that:

• are business strategy driven,• are technology trend aware; and • will evolve over time



• Critical Processes - – Governance is key to business/IT dialogue– Continually update the Migration strategy– Enables iterative and incremental approaches– Expands and evolves with each release



State and agency enterprise architectures

State Architecture

Community of Interest

Architecture AgencyArchitecture

AgencyArchitecture

Points of compatibility


IPMA - Recap: Enterprise Blueprint Plane

-Se

cu

rity M

an

ag

em

en

t

e-Business Applications

Citizens, Visitors & Other Customers (G2C)

Channel & Customer Relationship Management (CRM)

e-Shared Services

e-Data Bases

Information Providers (G2B & G2G)

In-Person

Supply Chain Management (SCM)

US Mail E-FilingsPayments

E-Forms Web/PortalFax On-Line

e-Infrastructure

EDI

En

vir

on

me

nta

lS

erv

ice

s

Credit Cards

e-Go

vernan

cee-P

olicies

e-Arch

itecture

e-Stan

dard

s

Ta

x S

erv

ice

s

Lic

en

se

Se

rvic

es

Per

mit

Se

rvic

es

e-Application Middleware

Pay

me

nt

Pro

ce

ss

es

ED

I/E

FT

Geo

gra

ph

icIn

form

atio

n S

ys

tem

s(G

IS)

Pu

bli

c K

ey

Infr

as

tru

ctu

re

Dir

ec

tory

Ser

vic

es

Co

lle

cti

on

sM

an

ag

eme

nt

Oth

ers

Legacy Data Bases

Ben

efi

ts S

erv

ice

s On-line G2B, G2G

Bulk Data Transfers

e-P

roc

ure

men

tS

erv

ice

s

e-F

orm

s LegacyProductionData Base

C

Legacy Applications

e-Data Middleware

Web DataBase A

Web DataBase C

Web DataBase B

Dec

isio

n S

up

po

rt

Historical&

ExternalData

Customer IdentityData Warehouse

Networks(LAN/WAN/VPN,etc)

Platforms/ServersUser Devices

(Desktop/Laptops/PDA)System Management

e-Marketin

g

Hea

lth

Se

rvic

es

Em

plo

yme

nt

Se

rvic

es

En

terp

ris

e R

es

ou

rce

Pla

nn

ing

(E

RP

)

Em

plo

yee

Ser

vic

es

Fa

mil

y S

erv

ice

s

Ed

uc

ati

on

Ser

vic

es

Pu

bli

c S

afe

ty S

erv

ice

s

Ju

stic

e S

erv

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En

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es

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(E

RP

)

Oth

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...

LegacyProductionData Base

B


A


D


E


F



Data Warehouse(s)

Enterprise Financial and Administrative Community

EnterpriseReporting

• Personnel Data Warehouse

• Financial Data Warehouse

• Procurement Data Warehouse

• DSHS Integration (FRIP)Budget Management

• Capital Budget• Budget Development

• Performance Meas. Tracking• Allotment Management

• Version Reporting• Fiscal Notes

Procurement Management

• Purchasing

• Contracts Management

Financial Management

• General Ledger• Accounts Payable

•Travel Voucher• Accounts Receivable• Cost Accounting

Accounting

SuppliesInventory

Capital AssetManagement

Time / LaborDistribution

Vendors

Budget &Performance

.Human Resources/Payroll

Salary Projection

EmployeesPositions

2/15/2002

• Payroll• Personnel

• Positions• Benefits• Retirement

• Leave• Applicants• Training

Commodities




OrganizeArchitecture

Effort

BusinessVisioning

Define/RefineEnterpriseBusiness

Architecture

Environmental Trends

Define/RefineEnterpriseInformationArchitecture

Define/RefineEnterprise

WideTechnical

Architecture

Define/Refine

EnterpriseApplicationArchitectur

e(Portfolio)

Document Current Environment GapAnalysis

MigrationPlanning

texttexttexttext

Implementation Planning Change Projects Information Projects Application Projects Technology Projects

Enterprise Architecture Governance and Evolution, Organizational Impact, and Communication

Strategic Planning Look 3-5 years out

into the future What information is

needed for eachstrategy?

Copyright © META Group, Stamford, Ct.

(203) 973-6700www.metagroup.com

Organizational Guidance


IPMA Recap: Enterprise Blueprint Plan

• Objectives:– Financial and administrative system changes/upgrades are

needed to:• Maximize the value of the state’s IT investments• Improve business process efficiency• Provide valuable information• Meet customer expectations for “modern” systems, e.g.,

web-based, integrated



• Principles:– Central systems and tools

• “Build it once”• Support it centrally

– Common, central data stores• Integration, efficiency, integrity, facilitate reporting

– Self-service• To gain efficiencies

– More consistent coding across agencies• To support the Enterprise view



• Principles (continued):– Incremental approach

• To manage risk and achieve early payoff– Select high value projects

• To reduce system duplication


IPMA Recap: Enterprise Blueprint Plan Enterprise Strategies Committee (ESC)

The ESC is formed to sponsor and lead the incremental implementation of comprehensive, coordinated enterprise-wide blueprint for financial and administrative systems.Best Practices

Steering Committee

Governing for he New

Millennium (G4NM)

Enterprise Blueprint Plan Work Group

Enterprise Strategies Committee(Policy and Decision Making Body)

Directors of: OFM, DIS, DOP, GA, CTED, DRS, L&I, HCA

Enterprise Strategies Work Group(Task Force)

(Representatives from central service agencies and customers)


IPMA Recap: Governance Structure

Business Technology

ChangeManagement

Budget Staffing

Governance / PolicyManagement

Management Framework



Initiatives and Projects

Vision of ServiceDelivery

IT Governance

Architecture Design Principles

Architecture

Chain Starts Here

Chain Starts Here

Customer Needs - Shift from internal to external customers

Chain of Necessity



• Definition - – Governance is the inter-agency organizational structure that provides a

decision-making process to determine the services, architecture, policies and standards for the enterprise information technology.

– The institutionalization of a process that guides how individuals and groups cooperate to manage technology.

– Governance provides a framework for making IT decisions.– Governance consists of the body of rules, agreements, and standards

that define the basis for interaction between functions, roles, departments, and people within the enterprise.

– Governance involves discussions about architectures, standards, IT organization, deployment of IT people and skills, and IT cost structures.

– The overall objectives and role of IT governance is to ensure that IT organizational resources are targeted to deliver maximum business value.


Stage 4: PioneeringStage 4:

Pioneering

Stage 3: ProactiveStage 3: Proactive

Stage 2: ReactiveStage 2: Reactive

Where Do Where Do You Fall?You Fall?


Level of Involvement

Stage 1: PassiveStage 1: Passive


IPMA Recap: Operating Principles

• Definition - – Operating principles are statements that help define how

an organization makes business decisions.– Operating principles clearly define roles and

responsibilities.– Operating principles are what an organization strives to

achieve.– Operating principles address general business

operations, policies, standards, oversight, and resources.– Operating principles provide the foundation for the

Information Technology Governance Charter.– Operating principles need to be tested over time and

update as appropriate, ensuring they help facilitate improvement of out information technology infrastructure.

Evolution of CIO Role and Enterprise GovernanceMainframe Era:Mainframe Era:Conventional PlusConventional Plus

• Functional Head • Operational Manager

• Deliver on Promises

• Advisor on ‘How to’ Not ‘What to do’

• On-Time delivery • Reliable operations

• Automate for Efficiency

• Alert Line-Mgmt. to IT Investment Opportunities

Distributed Era:Distributed Era:Transitional, ShiftingTransitional, Shifting

• Strategic Partner• Expectation Manager• Technology Advisor

• Align IT with Business

• Access to the Executive Invited ‘Seat at Table’

• Manage IT Department • Provide Infrastructure• Manage vendors

• Reduce Business Process Cycle-time

• Set Direction and Secure Benefits from “Selective” Outsourcing

Web-based Era:Web-based Era:Hybrid, EmergentHybrid, Emergent

• Business Visionary• Technology Opportunist

• Drive Channel Strat.

• Member of Executive Team or Assumed ‘Seat’

• Jointly Develop Bus./ IT Model; Leverage Extra-structure

• Integrate Client/ Supplier Value-Chain

• Define Office-of-the Future; Lead effort to Customer-centricity

CIO Role

KeyResponsibility

BusinessInput

Major Tasks

System Objective

Leadership

IPMA Recap: Your role!


State Enterprise Operating Principles - Final Discussion

Please note:

• The following Operating Principles were discussed during IPMA meetings held on October 4, 5 and 31. Discussion notes may be viewed in the “Notes” portion of this presentation.

• During the IPMA meetings, it was discussed that the following Operating Principles need to be adopted and charted, once the State identifies their overall Governance structure and processes.


Enterprise Operating Principles

• Business Principles– We will seek business leadership commitment for enterprise

initiatives by presenting a business case that helps them understand the benefits to the State and their Agency (cross-walk between benefits to the whole and benefits for each participant)

– We will demonstrate our technology leadership by proposing and championing innovative solutions to business executives

• As leaders, who truly understand the business of our Agencies, we will advocate for changes in business service delivery and processes in order to improve the effectiveness of our organization

– Our common community needs to help support this effort – we all need to be saying the same thing

– We need to be able to identify the win and where we can all move forward together



• Business Principles– We will collaborate among departments in order to:

• Achieve return on investment in support of common goals and requirements

• Share ideas, resources, technology research, and best practices in the deployment of integrated services

• Achieve synergies in:– Purchasing– Applications development and deployment– Research and development

– We will strive for increased efficiencies through the implementation of self-service systems

– Our customer will use a single authentication process in order to receive services



• Budget/Resource Principles:– Enterprise projects will be prioritized based on:

• Common Business need/goals • Statewide ROI (State needs to define term)• Availability of funding• Support of long term architecture

– Conflicting priorities will be raised through the States Governance structure (State needs to define structure and process)

– Agencies will work collaboratively when seeking funding

– Agencies will not initiate a project unless the appropriate staffing is available to support it



• Technology– We will develop, maintain and support an Enterprise

Technology Architecture (ETA) that supports the sharing, exchange and integration of agency data and services

• We will develop, maintain and support ETA standards– We will support the development of shared services to be

utilized by agency departments– We will embrace phased implementation in order to reduce

risk and recognize system benefits as soon as possible– Based on knowledge and understanding of our business

needs, we support the development and reuse of common application components

– We will strive to eliminate redundant systems and processes

– We will seek the best provider of a solution (commercial off the shelf or custom build)



• Data – Agency data/information is a State enterprise resource

regardless of its physical location, and departments will collaborate to manage it as such

– We will implement security policies and standards that will protect systems, networks, resources, and data from loss and unauthorized access, use, modification, destruction, and disclosure

– We will create and implement a process for the creation, deployment, maintenance and retirement of information


HR/Payroll Operating Principles

• Change Management Principles:– We will ensure all employees receive the basic training

necessary to operate the IT systems necessary to support their business functions

– We will support change management practices in order to ensure successful system deployment. Our focus will include

• Leadership demonstrates their support of the change management process

• Education and outreach

• Communication that is open, timely, and accurate

• Articulate the benefits of change



Please note:

• The following Operating Principles were NOT discussed, as it was determined that the HR/Payroll team had already completed a similar exercise.



• Technology - HR/Payroll Community Principles:– As an HR/Payroll community, we will work to find and

launch our efforts based on commonality– As an HR/Payroll community we agree to centralized

systems, data and tools, when there is a supporting business case

– We will develop plans for the assessment, migration and retirement of duplicate HR/Payroll processes, services and products.

• Before we retire something, we need to be assured that we will get the same or improved level of service

• Or (there is disagreement here)• We need to be willing to accept a reduced level of

service– We will establish individual service level objectives that

will allow us to monitor and track the state’s HR/Payroll programs and services to determine if stated outcomes are being met


BREAK


Governance Structure

• Background

• Structure

• Chartering


Introduction to Governance

Information Constitution Framework for making

informed IT decisions Defines roles and

responsibilities

Information Constitution Framework for making

informed IT decisions Defines roles and

responsibilities

IT-Savvy Board Takes enterprise

approach to IT management

Merges IT and business planning

Uses IT to facilitate mission and goals

Owns IT projects Monitors success

metrics Engages in continual

education Prioritizes IT

investments

IT-Savvy Board Takes enterprise

approach to IT management

Merges IT and business planning

Uses IT to facilitate mission and goals

Owns IT projects Monitors success

metrics Engages in continual

education Prioritizes IT

investments

Enterprise FirstEnterprise First

Silos SecondSilos SecondGovernance Board Governance Board

MembersMembers Executive sponsorExecutive sponsor Department executivesDepartment executives CIOCIO CFOCFO PartnersPartners Fuse IT

andBusiness

Fuse ITand

Business

Key Elements in Review


Action Items:

Build extra-agency view of governance

Include constituents, partners, advocacy groups

Develop cooperative architecture

TimeTime

Governance

IT Governance(Single Agency)

Global Governance(Multiagency)

Governing(Policy/

Regulations)


The Next Generation



BusinessBusiness

Agency Agency MissionMission

CultureCultureOrganizationOrganization

ProcessProcess TechnologyTechnology

Intellectual CapitalIntellectual Capital

Services and Services and ProductsProducts

Constituent Constituent FeedbackFeedback

IT GovernanceIT Governance

Adapted from J. Carr, “Human Factors: A New Perspective for Software Systems Adapted from J. Carr, “Human Factors: A New Perspective for Software Systems Development”Development”

TransformationTransformation


• Governance Structure High Level Implementation Steps

– Formalize IT Governance Structure

– Test IT Governance Structure

– Modify IT Governance Structure as Necessary

– Fully Implement IT Governance Structure



IT Governance Structure



• Purpose of Governance– Ensure that business strategy drives IT decisions– Ensure the organization is supported by a stable and secure IT infrastructure

• Responsibilities– Make decisions regarding IT strategic directions– Approve key IT policy and program decisions– Set priorities for IT projects, ensuring they support business needs – Monitor implementation of IT Strategic Plan– Remove barriers to IT project implementation– Report results to Executive Staff



• Purpose of the IT Governance Board– Provide IT Governance Board and CIO with proposals and

guidance regarding technology solutions, policies, standards, and procedures

• Responsibilities – Review alternatives and prepare recommendations for

review by CIO• Conduct technical analysis to support business needs

– Ensure coordination of technical activities between centralized IT staff and business unit IT staff

– Facilitate knowledge sharing and exchange between centralized IT and business unit IT staff

– Monitor and report on appropriate IT projects– Facilitate implementation of IT Strategic Plan initiatives



• Membership – An appropriate IT Governance Board member as Chair– Technology experts– Business experts

• Familiar with business processes or issues being addressed

– External Service Providers as appropriate



• Sub-Committee Purpose– Provide Governance Board and CIO with proposals and guidance

regarding technology solutions, policies, standards and procedures

• Responsibilities – Review alternatives and prepare recommendations for review by CIO– Conduct technical analysis to support business needs– Ensure coordination of technical activities between Department IT

staff and Information Technology Division staff – Facilitate knowledge sharing and exchange between IT Department

and Information Technology Division staff– Monitor and report on appropriate IT projects– Facilitate implementation of strategic initiatives

• Meet as necessary– Monthly at a minimum– Reports coincide with Board meetings


Sample IT Governance Structure

Executive Officer

IT Governance Board

A: Decision-Making Bodies

Enterprise TechnicalArchitecture and Standards

Steering Committee

IT Resource AllocationSteering Committee

Security and Privacy SteeringCommittee

B: Advisory Committees

C: Task Forces

ApplicationArchitectureTask Force

Data TaskForce

Servers,Desktops andNetworks Task

Force

E-GovernmentTask Force

EmployeeExcellence

Co

mm

un

icat

ion

an

d C

han

ge

Man

agem

ent

= Direct ReportingRelationship


A. Decision-Making Bodies

B. Advisory Committees

C. Workgroups/Task Forces

D. Information Sharing/Coordination Forums

Architecture Council

E-Gov Steering

Server and Desktop Management

IT Forum

IT Executive Steering Committee

Project Oversight

Security TeamE-Gov Team B

Technology Forum

E-Gov Team A

Privacy TeamTeam

Executive Business Management Team

Strategic Planning Team


Assess where you are


Enterprise Management Group

Technical Architecture Advisory Group

Enterprise StrategiesCommittee

Information Services Board

Cabinet

Sponsorship

Policy

BusinessRules

Standards

Dept. of

Info. Services

DIS Customer Advisory Board

ESD DOL L&I DOH DSHSApplicatio

ns

Infrastru

cture

Washington’s Governance Structure


Governance Chartering



A Governance Charter communicates to your organization how and why decisions will be made (IT and/or business). Charter includes:

• Preamble• Introduction

– Values

• Information Technology Governance Council, Advisory Committees and Task Forces

– Organization Structure Overview– IT Governance Board

» Mission» Responsibilities» Membership» Meetings and Attendance» Decision Process» Exception Process

– Advisory Committees» Responsibilities» Membership » Meetings and Attendance» Reporting» Decision Process

– Task Forces» Responsibilities» Membership » Meetings and Attendance» Reporting» Decision Process

• IT Operating Principles– General– Policies, Standards and Oversight– Resources– Project Management– Security – Systems and Networks (Including Desktops)– Applications– Data and Information



• Working with Executive Leadership to understand business needs and set department direction, the IT Governance Board will be responsible for:– Identifying, developing, and recommending IT policies (Policies are approved by

Executive Staff)– Developing and approving implementation procedures, and tracking and

monitoring processes to support IT policy– Establishing department-wide automation priorities, including new development

and on-going maintenance operations– Approving information technology projects that fit within existing budget resources– Recommending information technology projects that require budget augmentation

(BCPs) for approval by Executive Staff– Approving the allocation of resources to support automation (staff and dollars)– Working to resolve IT issues and challenges– Monitoring implementation of the IT strategic direction– Communicating directions or decisions with Executive Staff and the organization,

using existing communication and change management vehicles as appropriate

Governance Board Purpose/Responsibilities - Example


Strategies

Please note:

• The following Strategies were discussed high level in concept only.

• They should be viewed as things to consider only.


Enterprise Implementation Strategies

• We will identify our community’s common goals and requirements.

• We will implement a formalized process to ensure our collaboration leads to active decision-making (e.g., expand governance framework).

• Establish project governance that ensures timely decision-making while taking into consideration staff input.

• Develop a business driven technical architecture that establishes capability standards.

• Identify shared application services that can be leveraged by the core system and interfacing applications.

• Design data logically to support a single customer based system.



• Focus business application design on providing customer centric self-service.

• Implement a single authentication for State systems.

• Develop a budget allocation process that ensures all Agencies have the funding necessary to support HR/Payroll implementation and maintenance.

• Establish State enterprise mechanisms to govern and fund the development of new services that address business and technical needs (includes R&D money).

• Conduct a skills assessment of individuals involved with the HR/Payroll system to determine the training needed to support it.

• Ensure HR/Payroll system contracts include staff skills transfer requirements.



• Develop and implement a cultural change management program that ensures customer buy-in and use of the new HR/Payroll system.

• Develop communication mechanisms to ensure stakeholders are provided with timely and clear communication regarding changes (their impacts and benefits).

• Articulate the vision and the importance of the project


Session Wrap-Up


Session Wrap-up

• What will we do tomorrow?– Conduct a test of the principles

• HR/Payroll (internal)• Financial• Possibly an external test• The process can work for other projects• Testing the values• Important to building of the architecture/infrastructure• Take principles back to own agency• Expand from IT problem only to business

challenge(s)


Next Steps

Stuart McKee


Thank you!

Documents

IPMA Executive Summary - October 31, 2002 IPMA Executive Summit The Enterprise Architecture of the HR/Payroll Systems October 31, 2002 FINAL NOTES AND