AD- AI111 770 OFFICE AUTOMATION MANAGEMENT GUIDE(U) YOUNG (ARTHUR) 1/1AND CO WASHINGTON DC MAY 83 MDASM3-79-C-0690

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T. -

U UU U @ © NARTHUR YOUNG & COMPANY

1025 CONNECTICUT AVENUE, NA'VWASHINGTON, D.C. 20036

June 9, 1983

Mr. Harry PontiusDirectorate for Information Resources

Management SystemsOASD(C)

~Room 3A336The PentagonWashington, D.C. 20301

Dear Mr. Pontius:

Arthur Young & Company is pleased to submit this document, the

Office Automation Management Guide. The guide outlines planning,acquisition, implementation and post-implementation evaluationconsiderations for Department of Defense information managers whoare responsible for establishing office automation programs. Theguide is intended to assist the Department in realizing theopportunities to increase the productivity and effectiveness ofprofessional, administrative and clerical personnel that arepresented by office automation technologies.

The Office Automation Management Guide is the final product in theseries of four low cost computing documents we have prepared for theDirectorate of Information Resources Management Systems. Ittranslates insights gained from our review of technology trends, ouranalysis of private industry and the military departments'strategies for low cost computing, and our OSD policy and programanalysis into practical advice for managers throughout theDepartment.

Arthur Young & Company has appreciated the opportunity to work withthe Department of Defense in evaluating and responding to theimpacts of low cost computing, and in developing this OfficeAutomation Management Guide. If you have questions about thisdocument or need additional information, please contact Ms. LorettaAuer or me at (202) 828-7000.

Very truly yours,-'I CTARTHUR YOUNG & COMPANY T d ne t has been approved , . -. 1 1, , -

diatibuton is unlimited.

'rpbireaea /eitUG 25 1083

. By: io

" .Partn- ./

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Ofc umainManageent GieFinal Apr-May 83

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7. AUTHORga) 8. CONTRACT OR GRANT NUMBER(@)

Arthur Younrg and Qmpany

_________________________________________MDA-903-79-C-0690S. PERFOR.MING ORGANIZATION NAME AND ADDRESS 10. PROGRAM ELEMENT, PROJECT. TASK

AREA & WORK UNIT NUMBERSArthur Young and Otrpay

-'1025 Connecticut Avenue, NWWashington, DC 20036 6L1

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OASD (C) AManagement Systems, Information ResourcesManagement Systers Directorate, Pentagon 13.UMBEM F PAGES

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It. SUPPLEMENTARY NOTES

Prepared as part of DoD' s policy analyses for Lcw Ocbst Coniputing

It. KEY WORDS (Continue an reverse aide if necessar mid identify by block nutri er)

Office Autcation, Manageuent of Icw Cost Systemrs, End-User Ccrputing,*Information Technology Resource, Increased Productivity and Office Effectivee

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The Guide outlines planning, acquisition, implementation andpost implementation evaluation considerations for informationmanagers who are responsible for establishing office automationprograms. This Guide was developed by Arthur Young & Companyfor the Information Resources Management Directorate, OASD(C).

The Guide is intended to assist the Department in realizing theopportunities to increase the productivity and effectiveness ofprofessional, administrative, and clerical personnel that are 0presented by office automation technologies.

SECURITY CLASSIFICATION OF THIS PAGE(Whon Dots Enteed)

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TABLE OF CONTENTS

CHAPTER PAGE.4

I. INTRODUCTION I-i

1-1 Definition of the Technical Scope of the Guide I-i

II. DESIGN CONCEPT PLANNING II-1

2-1 General Guidelines II-i

2-2 Application and Scope II-1

2-3 Office Automation Plan Content II-1Organization

2-4 Roles and Responsibilities for the Planning 11-2Process

III. REQUIREMENTS ANALYSIS III-1

3-1 Step 1 - Project Planning 111-2

3-2 Step 2 - Current System Evaluation 111-3

3-3 Step 3 - Development of a System Design 111-5Concept

3-4 Step 4 - Evaluation of Office Automation 111-5Options

3-5 Step 5 - Cost and Benefits Analysis 111-7

3-6 Step 6 - Implementation Planning 111-7

3-7 Step 7 - Requirements Analysis Report 111-8

IV. ACQUISITION IV-1

4-1 Applicability . IV-1

4-2 General GSA Policies - .. IV-2

4-3 Selection Guidelines L.) IV-3

011

f-. n.. -. 7*- Idi,

TABLE OF CONTENTS

CHAPTER PAGE

V. IMPLEMENTATION PREPARATION V-1

5-1 Purpose V-1

5-2 Activities Identification V-1

5-3 Roles and Responsibilities V-3

5-4 Schedule and Milestones V-3

5-5 Resource Estimates v-3

5-6 Training Requirements V-4

5-7 Environmental Changes V-4

5-8 Conversion Planning V-5

VI. POST-IMPLEMENTATION EVALUATION VI-1

6-1 Establishing Evaluation and Conducting VI-1the Evaluation Plan

6-2 Timing of Post-Implementation Evaluations VI-3

At

.7

4.;

N.

I. INTRODUCTION*5.

I. INTRODUCTION

Office automation technologies offer significant opportunitiesfor DoD to increase the productivity and effectiveness ofprofessional, administrative and clerical personnel. Theavailability of these technologies, range of capabilities, and lowcost in comparison to traditional ADP technologies have encouragedDoD to maximize the use of office automation technology wheneverpractical.

This guide has been developed to outline planning, acquisition,implementation and post-implementation evaluation considerations forDoD information managers involved with office automation,particularly non-technical managers who are responsible forestablishing office automation (OA) programs. For the purposes ofthis guide office automation is defined from a functionalperspective as any information technology application, either intraor inter office which supports multiple functions that emphasize:

- enhancing communications of information/messages among DoDcomponents or individuals

* providing personal services such as calendaring ordecision support tools to management or professionals

providing analytical tools (such as spreadsheets andrelated graphics) for managerial and professionalpersonnel

providing support for the creation, communication,storage, retrieval, distribution and control of officeinformation (such as correspondence and reports).

Accordingly, an office automation design concept may incorporatetraditional ADP hardware and software, telecommunications and/ormore specialized office automation equipment such as word processorsand micro/mini computers. An office systems design may alsoincorporate ancillary technologies such as reprographics (copiersand facsimile), dictation systems or optical character readers.Opportunities for consideration of these ancillary technologies inoffice automation design concepts will be identified using themethodologies provided in this guide. Detailed requirementsanalysis, justification and acquisition for these technologiesshould follow other DoD guidance for records management programs andnon-automated office equipment acquisition.

1-1 Definition of the Technical Scope of the Guide

The management process for office automation systems includesthe steps which are briefly described below:

1-1

1-1-1 Development of an Office Automation Plan

The objectives of this activity are to:

Identify opportunities for office automationtechnology application and the anticipated scope andpotential cost of the initiative.

Provide a basis for selecting those office automationconcepts of greatest benefit for the functional userto pursue in terms of a detailed requirementsanalysis study.

1-1-2 Requirements Analysis

The objectives of this task are:

To identify the logical functional requirements forsupporting an identified DoD program/mission as wellas any relevant human factors, procedural ororganizational considerations.

Develop system designs which incorporatehardware/software technologies which are responsiveto identified functional requirements and othermanagement considerations

Analyze designs for their functional feasibility

Select a representative office automation equipmentand software configuration and perform cost andbenefits analysis.

The requirements analysis process results in a justificationfor system acquisition and equipment and softwarespecifications.

1-1-3 Implementation Planning

The objectives of this task are to:

Plan for office automation implementation to allowfor proper resource and workload scheduling.

Execute the implementation plan.

This task concludes with the completion of system installationand all attendant documentation and training.

1-1-4 Post-Implementation Evaluation

The objectives of this task are to review installed officeautomation systems to:

1-2

S.

*" Ensure the systems are meeting previously established

mandatory functional and performance requirements

* Identify problems for resolution

* Identify additional, previously unquantified systembenefits.

Performance of this activity confirms that office automation" resources are being applied in a cost-effec4 re manner and

identifies, if appropriate, areas for impro- nent or additionalimprovement opportunity.

The remaining chapters of this handbook pro e practicalguidance for DoD functional managers in performi - ie officeautomation management processes described above. ae processesdescribed should be tailored to the value and complexity of theproposed application.

I.1

I. 1-3

-. .- - . .- - - - - - . -. . - . °, - _ . . • .

. . ... *.~. . 7

-'4-

II. DESIGN CONCEPT PLANNING

A

*0

I.1.1.1

1

II. DESIGN CONCEPT PLANNING

This chapter provides a framework for development of officeautomation plans by DoD functional managers.

2-1 General Guidelines

Planning is essential for the effective acquisition and use ofoffice automation technology. General guidelines regarding officeautomation planning focus on the following:

Use of a planning process which is integrated within the

annual information technology planning process of eachcomponent.

Planning procedures to assure implementation of thefollowing:

Introduction of office automation technology in amanner which is consistent with development ofexisting and future standard mission orientedsystems.

- Use of competitive practices for acquisition.

Coordination of hardware and software acquisitionstrategies to achieve the most economic procurementrates and assure the highest practical level ofsystem tandardization and data compatibility.

2-2 Application and scope

Each functional unit that uses or contemplates using officeautomation resources should prepare annual office automation plansfor submission under their respective information technologyplanning process.

2-3 Office Automation Plan Content and Organization

Functional unit office automation plans should consist of anOverview and, as appropriate, a Concept Study section for individualrequirements initiatives. The information to be provided in each ofthese sections is described and formatted in Attachments A and B tothis chapter.

2-3-1 An OVERVIEW (see Attachment A) should be preparedby each functional unit. The purpose of this documentis to identify the goals, management issues, recentaccomplishments and office resource and related fundingrequirements for office automation technologies. Thelength of the OVERVIEW will vary according to thefunctional unit's preferences and the extent of itsplans for exploring and applying office automationresources to identified needs.

m . II-i

T. . . . . . . ... - 777 -. . ..

2-3-2 A CONCEPT STUDY (see Attachment B) is required foreach program need or opportunity which is likely tolead to a requirements analysis study and potentialacquisition of office automation resources. The levelat which concepts are identified is a decision to bemade in accordance with the requirements of theinformation technology planning process of thecomponent, to best fit the organizational, programmaticand overall planning structure.

The purpose of the CONCEPT STUDY is to identify andfocus early attention on the programmatic requirementsand opportunities which may lend themselves to theapplication of automated techniques. This recognizesthat the requirements may not have been fully exploredand therefore specific solutions may not have beenidentified. A CONCEPT study will be expanded uponin future submissions as the concept is developed,i.e., alternatives are refined or eliminated andcosts, benefits and schedules are solidified. TheCONCEPT STUDY should continue to be developed andreported in the plan until such time as it is fullyimplemented or until it is decided that the conceptwill not require application of office automationtechnologies. Thus, annual plans should identifyconcepts which are expected to be developed (throughsubsequent requirements studies and implementationinitiatives) in subsequent years.

Follow-up requirements documentation should contain: adescription of the problem to be solved and thefunctions to be supported; a description of thespecific office automation solution and how it willsolve the problem; a summary of the benefits of thisapproach to solving the problem (both quantifiable andintangible benefits); an identification of the initialand recurring costs and the funds to be used; and animplementation schedule for major events necessary toachieve this capability. Chapter 3 of this handbookprovides procedural guidance for performing moredetailed requirements analysis studies in support ofconcept level plans.

2-4 Roles and Responsibilities for the Planning Process

DoD functional units should establish their own internal policies,procedures and processes for collecting, preparing and approving theplan information.

Some recommended procedures for planning are summarized in aPlanning Checklist presented in Attachment C. These procedures areintended as guidelines and should be modified in accordance witheach Component's information technology planning process.

11-2

* .Attachment A

SUGGESTED FORMAT FOR OFFICE AUTOMATION PLAN OVERVIEW

A. Introduction - A brief statement of the functional unit'smission and the role of the office automation resources insupport of the mission.

B. Office Automation Goals - A list and brief description of officeautomation goals. Such goals must be identified either ascontinuing, or be identified by fiscal year in which they areexpected to be attained.

C. Office Automation Management Issues - A listing and descriptionof the office automation management policies and objectiveswhich are to be emphasized or pursued during the upcoming year.

D. Prior Year's Performance - A summary of the prior year's officeautomation accomplishments in terms of the major achievementsand objectives attained versus those that were planned.

E. Assumptions - A listing and description of the keyassumptions upon which the plan is based. These mayrelate to programmatic needs, budget or personnelceilings, legislative or organizational factors,technology assessments, etc.

F. Office Automation Environment Changes - A statement of thesignificant changes proposed to office automation goals,priorities or policies since the last plan was prepared. Thisstatement will not only describe those changes resulting fromwithin the functional unit, but will also reflect changesinfluenced by external factors, such as Department, Federal orlegislative directions.

G. Plan Highlights - A statement of the major aspects (concepts,acquisitions, staffing, funding, etc.) of the plan and adescription of the key decisions necessary for implementation.

H. Financial Summary - A tabular presentation of the anticipatedfunding requirements for office automation resources tosupport: (1) each concept; (2) the cumulative total of allconcepts; (3) current office automation activities which will becontinuing; and (4) total organization office automationresources.

... * , . ,- - - . " .. ,. " . , . - . -. , . . . .

Attachment BPage 1 of 2B

SUGGESTED FORMAT FOR OFFICE AUTOMATION PLAN CONCEPT STUDY

Concept Title:Concept Number:

A. Introduction - A brief statement of the relationship andgeneral impact of the concept on the functional unit'smission.

B. Purpose - A concise statement of the specific purpose to beserved, described in terms of the activities and functionsneeded to be accomplished, rather than the characteristics ofspecific resources.

C. Capability - An identification of existing capabilities forconcept implementation and any known deficiencies and/oropportunities for improved effectiveness or cost savings.

D. Other Components Involved - An identification of the othercomponents involved in implementing the concept.

E. Alternatives - An identification of the available conceptimplementation alternatives which have been or are to beexplored, how they might be implemented and what shortcomingseach alternative may present. In the early stages of conceptformulation the identification of alternatives would be at abroad level, such as employing a manual versus an automatedsystem. In the later and final stages, the alternatives wouldbe more specific.

F. Financial Summary - An estimate of the level and form ofoffice automation resource obligations considered necessaryfor full concept implementation and operation in the formatshown on the next page.

G. Benefits - An identification of the anticipated benefits to berealized by implementation of this concept, including tangibleand intangible benefits.

H. Schedule Objectives - A schedule of the major milestonesinvolved in the implementation of this concept.

I. Other Considerations - Any other constraints or limitations(e,g., facilities, geographical location, security, dataprivacy) not mentioned above which could affect theachievement of the concept purpose.

-- Attachment B

Page 2 of 2B

SUGGESTED FORMAT FOR OFFICE AUTOMATION PLAN CONCEPT STUDY

Concept Title:Concept Number:

Concept Financial Summary-. (In-$ooo' S'

Resource

Category FISCAL YEAR " _ "

1. Capital Investments

2. Personnel

3. Equipment Rental

4. Space and OtherOperating Costs

5. Commercial Services

6. InteragencyServices

7. Intra-agencyServices

8. Other Services

2" Total Obligations

4 ,

6-°

Attachment C"°- Page 1 of 3

OFFICE AUTOMATION PLANNING CHECKLIST

1. Establish Office Automation Goals and Objectives

. Review the overall functional unit goals for officeautomation

* Review mission

Establish the role of office automation resources insupport of the mission

Which office automation goals best fill that role?

- improved productivity

- direct cost savings

- increased capacity

- improved service.

* Identify which goals relate to a specific fiscal year andwhich are continuing.

* Prepare a list and brief description of office automationgoals for inclusion in the plan OVERVIEW (See AttachmentA).

2. Identify Relevant Management Issues

* Which management issues will impact or be impacted by

office automation resources and office automation goals

- integration of ADP, telecommunication and officeautomation

- organization and personnel issues such as reportingrelationships, position responsibilities, staffinglevels

- skill requirements and training

- management reporting

- implementation requirements, etc.

Determine office automation management goals andobjectives which address those issues

Determine which of those objectives are to be emphasizedduring the upcoming year.

f "• - .. .i- / ;. -' -i - - V, ._ " " '" .

Attachment C

Page 2. of 3

OFFICE AUTOMATION PLANNING CHECKLIST(continued)

Compare the objectives for consistency with:

DoD office automation management strategy

Secretary's objectives

- Functional unit objectives

Prepare a listing and description of the officeautomation management policies and objectives as requiredfor inclusion in the plan OVERVIEW (Attachment A).

3. Analyze Prior Year's Performance

* Review major goals and objectives submitted in prioryear's plan

- What were the major objectives?

- What were the time frames for accomplishingobjectives?

* Compare actual achievements with planned accomplishments.

- Were the objectives achieved?

- Did the activities occur on schedule?

* In view of prior year's performance, reassess officeautomation goals and objectives and adjust if necessary

* Summarize performance for inclusion in the plan OVERVIEW(Attachment A).

4. Analyze the Key Factors which Contributeto the Office Automation Plan

* What assumptions are being made about:

- specialized needs of the various program areas

- -budget limitations

- personnel ceilings

L- - organizational factors

6.J

Attachment CPage 3 of 3

OFFICE AUTOMATION PLANNING CHECKLIST(continued)

- legislation

- technology assessments?

How do the assumptions affect the plan?

What environmental changes are anticipated?

- external influences

federal directives

legislative direction

L. department directioninternal (component) influences

changes in policy

changes in priority

changes in office automation goals.

Prepare a listing and description of key assumptions anda statement of significant office automationenvironmental changes for inclusion in the plan OVERVIEW(Attachment A).

5. Summarize the funding requirements in a tabular fashion:

0 Each proposed office automation design concept

Cumulative total of all concepts

Current continuing office automation activities

Total office automation resources.

[t

II. REQUIREMENTS ANALYSIS

III. REQUIREMENTS ANALYSIS

The purpose of this chapter is to provide an approach forperforming an office automation requirements analysis study anddeveloping a recommended system concept. The proposed methodology,which should be tailored to the scope of the study, has thefollowing phases:

Step I - Project Planning

The background for the study and scope of effort aredefined as a basis for selection of the study team andschedule and milestone planning.

Step 2 - Current System Evaluation

Through interviews and other data collection activities,the current system is documented in terms of organization,resource expenditures, key process flows, workloadcharacteristics and performance goals. Operations arecompared to performance goals and opportunities forimprovement are identified. These opportunities becomethe functional requirements to be met by the new system.

Step 3 - Development of a System Design Concept

Each key process is evaluated in terms of theorganizational, procedural and/or technological approachesto realizing identified improvement opportunities. New

process flows which incorporate changes are prepared andevaluated for their feasibility. A recommended design

concept for each key process is prepared in terms of itsorganizational, procedural, and technological aspects.

*. Step 4 - Evaluation of Office Automation Options

Selection criteria are developed to form the mandatoryrequirements for new system performance. Minimalconfiguration assumptions are also developed based on therecommended system design concept. Generic hardwareconfigurations are then developed and evaluated forfunctional feasibility and overall cost. The genericconfiguration of best value to the Government (in terms ofadvantages and cost) is then further developed; first interms of software recommendations and then the hardwareconfiguration which is suitable for supporting identifiedsoftware.

* Step 5 - Cost and Benefits Analysis

The specific software and hardware configuration isanalyzed in terms of life cycle cost and compared to the

Ill.

. , . + . . + . . . -+ . . - .- '- , + + . . . .... .

current system. Tangible and intangible benefits areassessed. A specific recommendation on systemjustification is then prepared.

Step 6 - Implementation Planning

An implementation plan for the recommended systemincluding schedule and milestones is prepared. Topicsaddressed include: implementation activities, schedule,milestones, training, resource requirements, time phasingand cost.

Step 7 - Requirements Analysis Report

The results of the requirements analysis study, systemrecommendations and implementation plan are documented inthe form of a report and presented to DoD management forsystem approval.

Each of these steps in the requirements analysis process is furtherdescribed in the sections which follow. It should be noted that theoffice system design concept developed for a DoD unit may includeancillary technologies such as dictation systems, facsimile,telephone systems, micrographics, reprographics and photocompositiondevices. The Justification requirements for each of these types ofequipment and related acquisition processes are different from thoseindicated in this guide since these types of office systemcomponents are procured as office equipment and may, as in the caseof photocomposition devices and reprographics, come under the reviewof the Joint Committee on Printing (JCP). Accordingly, while thesetechnologies may be identified as components of an overall officesystem concept, their requirements justification and acquisitionshould be pursued using guidance which is not presented in thisOffice Automation Management Guide.

3-1 STEP 1 - PROJECT PLANNING

The project planning step provides an opportunity for scopingthe extent of the requirements analysis effort to the staffresources available to perform the study and greatest areas ofopportunity.

Project planning activities include the following:

Identify the background for the study:

what is perceived as being needed, wanted orimproved?

tangible objectives which can be measured todetermine project success such as increasedproductivity and/or reduced cost.

- expected benefits.

111-2

-..

Identify project scope:

- key processes to be reviewed

- organizations to participate in the study

time constraints

Initiate the project:

select a project team and orient them on their roles

and responsibilities

establish feedback mechanisms for project time andcost control

set goals and milestones within a defined time

schedule

- define cost constraints

- develop data collection methodology and tools

- identify interview contacts and make appointments

prepare a final project work plan and obtaincomponent management's approval.

Provide Organizational Notification of the Study:

conduct orientation meetings with study participantsto inform them of study purpose and theirparticipation requirements

Using a memorandum notify other potentialparticipants or areas to be impacted of the studypurpose and time frame.

* Obtain Background Documentation on the CurrentEnvironment:

- collect organization charts, mission statements, jobdescriptions and procedures for review

- obtain copies of regulations, policies and internaldirectives which impact on system design

- obtain staffing and resource expenditure summary

reports.

3-2 STEP 2 - CURRENT SYSTEM EVALUATION

The current system evaluation provides a basis for identifying

111-3

the requirements for office automation support as well as theenvironmental and operational constraints in which an officeautomation system must operate.

Current system evaluat.ion activities include the following.

Review current system documentation obtained in Step 1 andidentify key processes and issues

- conduct interviews

• . define process flows

• - obtain workload characteristics

• . set process priorities

identify performance goals

• - identify problems and opportunities

- conduct interviews with selected professionals andstaff to:

* - confirm process and workload profiles

• - obtain resource expenditure details (staff and

facilities)

observe process flows and facilities use

identify problems and opportunities

- document the current system in terms of

organization

procedures (flowcharts)

• . workload (key process profiles)

• .* interfaces

** cost

resource/facilities utilization

performance goals

• . problems

compare the current systeia to performance goals andidentify opportunities for improvement

II1-4

- state opportunities as system requirements

- review requirements with functional user management.

3-3 STEP 3 - DEVELOPMENT OF A SYSTEM DESIGN CONCEPT

The system design concept represents an organizational,procedural and technological framework for meeting performancegoals. System design activities include the following:

Evaluate each opportunity for improvement in terms ofimprovement type:

* organizational

- procedural

- technological

- combination.

Prepare new process flows (flowchart form) indicatingwhere and what type of improvements are indicated.

Evaluate system designs for their feasibility in concept:

- responsiveness to mandatory requirements

- ability to operate within pre-defined constraints

- flexibility for future change.

Prepare a recommended system design concept for each keyprocess

Review system design recommendations with functional usermanagement.

3-4 STEP 4 - EVALUATION OF OFFICE AUTOMATION OPTIONS

This step results in the development of a specific software andhardware architecture for the office automation system.Alternatives evaluation activities include the following:

* Establish selection criteria for the system. These arebased on mandatory requirements

* Define minimum configuration assumptions:

- software applications &

- hardware (input and output devices)

- communications capabilities.

111-5

- Define generic system architecture approaches such as:

.- single technology (mainframe, minicomputer ormicrocomputer based system)

"- time-sharing

- "distributed

- local area network

•*-Identify advantages and disadvantages of each approachgiven user's unique requirements and operationalenvironment

* Develop a preliminary cost estimate of the purchase pricefor each generic system architecture using configurationassumptions in terms of:

-- workstations

S- processing/storage capacity

- facilities requirements dictated by technology type

S- special staff support requirements.

* Select generic system architectures of greatest benefit toGovernment (cost and other factors)

* iIdentify software alternatives within a givenarchitecture, select packages and identify developmentrequirements

- applications software

- operating system software to run selectedapplications

- development language software for new applications

*. Prepare additional hardware assumptions based on softwareselected

- size of processor

- number and size of disks

S- amount of memory.

Prepare a hardware configuration

S- responsive to configuration assumptions

. II1-6

W

5-2-8 Installation and Start-Up

- responsive to software processing assumptions.

* Review the recommended system architecture with functionaluser management.

3-5 STEP 5 - COST AND BENEFITS ANALYSIS

This step results in a comparison of the life cycle costs ofthe recommended system to the current system and appropriateacquisition justification. Activities include the following:

Determine the life cycle costs of the new system (3 to 5year period)

- one-time costs

purchase

** conversion-

** facilities modification

training

*• resources

recurring costs

** maintenance

supplies

.. resources

facilities

* Compare new system costs to current system costs projectedover the same life cycle.

(Exhibit III-1 provides an example of this type ofcomparison.)

* Compare the new system to current system in terms ofbenefits.

• Prepare a system recommendation and new systemjustification if cost-effective.

. Review system justification with functional user

management.

3-6 STEP 6 - IMPLEMENTATION PLANNING

This step results in an implementation plan to guide new systemacquisition and installation. Activities include the following:

111-7

Identify implementation planning requirements and

constraints

* Prepare an implementation plan identifying:

- activities

- schedule

- milestones

training needs

resource requirements

• " user

• " contractor

• ° vendor

• - other impacted or participating components

- estimated cost.

* Review implementation plans with functional usermanagement.

3-7 STEP 7 - REQUIREMENTS ANALYSIS REPORT

This step results in the final documentation of therequirements analysis study.

Assemble study documentation and prepare narrative summaryof results:

- background and objectives

- functional requirements

recommended system design concept

- evaluation of office automation options

- cost and benefits analysis

- implementation plan.

Review requirements analysis report and recommendationswith functional user management.

to

111-8

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ii. .Exhibit II!-1

SYSTEM LIFE CYCLE COST

YEARS AFTER SYSTEM ACQUISITION

1 2 3

PURCHASE $ 63,089

CABLING 4,000

IMPLEMENTATION

* COMPONENT 31,600(with 40%overhead)

" CONTRACTOR 19,600

OPERATION - 60,266 - 60,266 - 60,266(Difference in (Staff)Cost overCurrent -120,000 -120,000 -120,000System) (Other

Resources)

SUPPLIES 4,300 4,300 4,300

MAINTENANCE 1,500 1,500 1,500

TOTAL - 56,177 -174,466 -174,466

3 YEAR LIFE CYCLE COST WHENCOMPARED TO CURRENT SYSTEM - $405,109

SAVINGS + $405,109

111-9

. .. . . .

.4

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IV. AcQUISITION

I.4

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IV. ACQUISITION

This chapter presents guidelines on the acquisition ofoffice automation technologies. It has been designed tofamiliarize DoD functional users with the GSA procurement policiesfor ADP technologies of which office automation technologies are asubset. FPR Chapter 1 Subpart 1-4. 1100 policies and procedures,is to be employed in the procurement of all automatic dataprocessing equipment (ADPE), commercially available software,maintenance services, and related supplies by Federal agenciesor their contractors regardless of use or application includinggovernment-acquired ADPE, software, or related supplies providedto contractors.

4-1 Applicability

Per GSA, ADPE means general purpose, commercially available,mass produced automatic data processing devices. This definitionincludes components and the equipment systems configured from themtogether with commercially available software packages that areprovided and are not priced separately. It also includes alldocumentation and manuals relating thereto. Specifically includedin GSA's definition are:

Digital, analog, or hybrid computers

Auxiliary or accessorial equipment, such as plotters,tape cleaners, tape testers, data conversion equipment,source data automation recording equipment (opticalcharacter recognition devices, paper tape typewriters,magnetic tape, card, or cartridge typewriters, wordprocessing equipment, computer input/output microfilmand other data acquisition devices), or computerperformance evaluation equipment, etc., designed foruse with digital, analog, or hybrid computer equipment,either cable connected, wire connected, or stand alone,and whether selected or acquired with a computer orseparately

Punched card accounting machines (PCAM) that can be used4 in conjunction with or independently of digital, analog,

or hybrid computers

Data transmission or communications equipment, includingfront-end processors, terminals, sensors, and othersimilar devices, designed primarily for use with aconfiguration of ADPE

ADP technologies which are excluded from the GSA policiesdiscussed in this chapter are: k

ADPE systems and components specifically designed (asopposed to configured) and produced to perform aspecific set or series of computational data

IV-1

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manipulation, or control functions to permit the processof only one problem; and

Commercially available ADPE that is modified to meetGovernment specifications at the time of production tothe extent that:

- it no longer has commercial market; or

- it cannot be used to process a variety ofproblems or applications; or

- it can be used only as an integral part of anon-ADP system.

4-2 General GSA Policies

The following GSA policies contained in FPR Chapter 1,Subpart 1-4. 1100 pertain to the acquisition of office automationsystems as a subset of GSA's definition of ADP resources.Comments/clarifications of GSA policy as they pertain to DoDoffice automation management procedures are presented inparentheses following policy statements.

4-2-1 Competition

Full and open competition is a basic procurementobjective of the Government. The maximum practicablecompetition among offerors who are capable of meeting theuser's needs will ensure that the Government's ADP needsare satisfied at the lowest overall cost, price and otherfactors considered over the system/item life. This extendsto actions necessary to foster competitive conditions forsubsequent procurements. To meet fully the lowest overallcost objective, it is essential that proper management andplanning action to be accomplished before the acquisitionbecomes imminent. (These requirements are addressed byChapter 2 and 3 of this handbook.)

4-2-2 Requirements Analysis

The acquisition of an initial ADP (including officeautomation technologies) capability or the augmentation orreplacement of an existing capability shall be preceded bya comprehensive requirements analysis that is commensuratewith the scope and complexity of the program objectivesand mission needs. The operational and economic feasibilityof all alternative solutions, including use of non-ADPresources, sharing, use of commercial ADP services,and reutilization, of excess Govenment-owned or leasedequipment, shall be considered. (See procedures describedin Chapter 3 of this handbook.)

IV-2

4-2-3 Urgent Requirements

The existence of a public exigency, i.e., the Governmentwill suffer serious injury, financial or otherwise, if the

equipment or services are not available by a specific date,shall not relieve the agency from the responsibility forobtaining maximum practicable competition. (DoD officeautomation resources must therefore be based on a planningprocess supported by a cost-justified feasibility study anda competitive acquisition process.)

4-2-4 Procurement Authority:

To allow for the orderly implementation of a program for theeconomic and efficient procurement of ADP resources(including office automation technologies), agencies areauthorized to procure these items in accordance with the GSAprovisions provided that requirements are not fragmented inorder to circumvent the established blanket delegationthresholds, or when a specific delegation or procurementauthority has been provided.

The exercise of procurement authority shall be accomplished asspecified by GSA and DoD components.

4-3 Selection Guidelines

4-3-1 Equipment:

In accordance with GSA regulations, office automationequipment can be procured in the following ways:

By placing a purchase/delivery order against anapplicable GSA requirements-type contract.

By placing a purchase/delivery order against a GSAschedule contract provided that the following threeconditions are met:

the order is within the maximum orderlimitation (MOL) of the applicable contract;

the total purchase price of the item(s) coveredby the order does not exceed $300,000; and

-- the requirements set forth on the use of GSAschedule contracts are met.

By normal solicitation procedures providing thatthe value of the procurement does not exceed:

$500,000 purchase price or $12,500 basicmonthly rental charges for competitiveprocurements or

IV-3

$50,000 purchase price or $1,500 basic monthlyrental charges for either sole source orspecific make and model procurements.

4-3-2 Software

Except for software available through the FederalSoftware Exchange Center (FSEC) components may procurecommercially available software without prior approval

of GSA when either of the following procurementsituations exists.

The procurement is to be made by placing apurchase/delivery order against an applicable GSA

. requirements-type contract

The procurement is to be made by apurchase/delivery order under the terms andconditions of an applicable GSA schedule contract

The procurement is to be made by normalsolicitation procedures and total value of theprocurement, excluding maintenance, for thespecific software package(s) does not exceed:

- $100,000 for competitive procurement or

- $50,000 for sole source procurements.

The software is provided with and is not separatelypriced from the ADPE.

4-3-3 Maintenance services

Components may procure maintenance services withoutprior approval of GSA when either of the following applies.

The procurement is to be made by placing apurchase/delivery order under the terms andconditions of an applicable GSA schedule contract

The procurement is to be made by normalsolicitation procedures and the value of themaintenance charges do not exceed $200,000 annuallyfor a competitive procurement or $50,000 annuallyfor a sole source procurement.

4-3-4 Related Supplies

Components may procure related supplies without priorapproval of GSA when specific purchase programs establishedby GSA have been considered and determined to beinapplicable.

IV-4

77 _

Figure IV-1 on the following page summarizes DoDprocurement options for office automation technologies.The actual procurement process itself should becoordinated by each DoD component with their respectiveADP and contracting organizations.

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V. IMPLEMENTATION PREPARATION

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V. IMPLEMENTATION PREPARATION

5-1 PURPOSE

Successful installation of office automation systems isdependent on development and execution of an effectiveimplementation plan. The requirements of such a plan areidentified and described in this chapter.

a ' 5-2 ACTIVITIES IDENTIFICATION

5-2-1 Scheduling Delivery and Installation

DoD functional users should assure that delivery datesand installation periods for office automation systemsare negotiated with the selected vendor and included inthe actual procurement contract. This provides targetdates around which other implementation activities canbe planned.

5-2-2 Organization, Environment and Procedural Changes

As a result of the prior analysis of system requirementsand alternative approaches, required organizational,procedural and environment changes will be identifled.Additional organizational and procedural changes mayalso be under consideration by the functional user andexecution during a systems installation period may beopportune. Other detailed changes to environmentalconsiderations such as physical layout, lighting orpower may be further identified during the vendorevaluation/ negotiation/contracting processes.

5-2-3 Ordering Supplies

Based on previously identified workloads, initial systemsupply requirements such as special paper, printerribbons, disks, etc., should be identified. Sufficientsupplies sho,'ld be ordered through GSA requisitionprocesses to assure adequate availability to supportdata conversion and several months of operation. Theactual volume of supplies ordered must also considerrequisition lead times for additional supplies to avoidpotential for shortage of those supplies, such as disksand printer ribbons, which are critical to systemoperation.

5-2-4 System Training/Documentation

During the vendor evaluation process the extensivenessof system training materials and operationsdocumentation should be identified along with additionalrequirements. A key implementation planning activity,

.V-1

therefore, is identifying additional training anddocumentation requirements and assuring that these arerealized through in-house or contractor developmentefforts.

5-2-5 Performance/Utilization Reporting Methodologies

All office automation system contracts should include aperformance period during which DoD measures andevaluates whether the equipment meets spe-ifications andperforms effectively; an implementation plan shouldtherefore include an approach for evaluating systemperformance during the testing period.

5-2-6 Training

Training requirements for system operators and managersmust be identified and responsibilities foraccomplishment defined. An effective training plan isrequired to assure:

all individuals who are to interface with thesystem will receive proper instruction

actual training responsibilities (DoD, vendor,and/or contractor) are identified and appropriatedocumentation is developed

timing for the training occurs in proper sequencewith the actual installation of the system.

5-2-7 Conversion

To assure cost-effective system cutover and minimalimpact on the continuity of program operations,conversion requirements must be identified. Aneffective conversion plan must address:

type of data to be converted

time period of conversion

* priority

* proposed method(s)

cost/benefit analysis of alternative approaches andrecommendation, if appropriate.

Responsibilities for conversion must also beidentified. Where conversion is extensive and exceedspreviously stated thresholds for ADP equipment/services

* -acquisition, competitive procurement may be required.

V-2

-- -- --- -p---...., . . . -.. .

responsive to configuration assumptions

111-6

5-2-8 Installation and Start-Up

Each of the previously identified implementationplanning activities provides input to the identificationof responsibilities and timetable leading to systeminstallation and start-up. The actual start-up periodfor most office automation systems ranges from severaldays to several weeks and will depend on the type ofsystem to be installed.

I 5-3 ROLES AND RESPONSIBILITIES

Figure V-i on the following page provides an overview of suggestedroles and responsibilities for the implementation activitiespreviously identified.

5-4 SCHEDULE AND MILESTONES

5-4-1 Implementation Program Activities

The office automation implementation plan should containa Gantt chart which depicts all identifiedimplementation activities, time frame for accomplishmentand milestones. Figure V-2 provides an example of thistype of schedule.

5-4-2 Accountability

For each milestone designated in the implementationplan, an individual who is accountable foraccomplishments should be designated. All assignmentsof accountability should be approved by the implementinguser's management.

5-4-3 Reporting Procedures

Accomplishment of each implementation plan milestoneshould be documented by the assigned accountableindividual and forwarded to the implementing user'smanagement. Deviations from plan should also bedocumented and presented to the user organization'smanagemnent for approval and problem resolution asappropriate. Actual reporting format and proceduresshould be determined by the implementing userorganization's management.

5-5 RESOURCE ESTIMATES

The implementation plan should include estimates of the staffhours by staff level required for system implementation,conversion and operation. These estimates can initially bedrawn from the feasibility analysis but must be refined basedon the detailed implementation activities identified.

V-3

Resource estimates are essential to planning affected staff timeduring the implementation process, making staff available toparticipate in designated implementation and training activities,identifying in-house staff deficiencies to be supplemented bycontractor resources, and assuring that proper staff are availableto operate the system after it is installed.

5-6 TRAINING REQUIREMENTS

Training requirements must be assessed for:

functional user management (who will manage the office

automation resources and may, in fact, access decisionsupport tools)

functional user staff (who will operate the system andperform simple maintenance)

other organizational units (who must be instructed intheir roles with regard to system inputs and/or outputsand have a basic familiarity with the types ofinformation resources available through the system).

Training requirements can then be matched to the vendor's trainingproposal and deficiencies identified. Plans can then beestablished to meet training requirements through enhanced vendorsupport, use of an outside contractor (which may have to becompeted depending on the extent of the required training), or in-house training.

5-7 ENVIRONMENTAL CHANGES

During the system selection process, special environmental changeswill have been identified. It is important to note the range ofthese changes and schedule building construction services so thatany change precedes actual equipment installation. Typicalenvironmental changes include:

installation of special electrical/power requirements(including cabling)

temperature/humidity controls

static controls

* space

noise proofing

security (such as a locked room or fire protection)

lighting and color for such ergonomic reasons as to easeoperator fatigue.

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-- 7-.7- -1.: .. . . . . . ... . . .

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One of the major advantages of office automation systems is thataside from networking requirements most other environmentalchanges required are minimal.

5-8 CONVERSION PLANNING

5-8-1 Conversion to a new office automation system caninvolve:

initial loading of information from hardcopy files

* down loading of data from other computers

* conversion of data from one office automationsystem to the new system.

5-8-2 For each type of information to be converted for use inthe new system the following types o information shouldbe developed: !

* characteristics of the information to be convertedsuch as: type, volume, special requirements(sequencing, etc.), current format, time periodcovered, and statutory requirements

• rationale for conversion such as: potential forinformation access or statutory requirements.

5-8-3 Where appropriate, alternative conversion approachesshould be compared. Comparisons would address suchareas of concern as:

* cost

* time requirements and impact on system start-up

• resource requirements

* integrity of original data

* security considerations

• impact on operations.

Contractor and in-house accomplishment of the conversionprocess should also be evaluated for cost-effectivenessbefore a recommended approach is selected.

5-8-4 GSA requires that software conversion studies, whenappropriate, shall be performed for all procurements toensure that the users' needs are met at the lowestoverall cost, price and other factors considered,including the cost and other factors associated with

. j. v-5

conversion activities. Software conversion studies arenot required for:

initial acquisition where no software currentlyexists

* procurement for computer peripherals only

" exercise of a purchase option under a leasingagreement.

Studies are required when:

the estimated purchase price of the system is over$2,500,000 excluding the maintenance or supportcosts

the cost of conversion is to be used as the primaryjustification for a non-competitive (sole source)requirement when the estimated value of theprocurement exceeds $300,000.

Contract office guidance would typically be required byfunctional users who were undertaking an officeautomation procurement large enough to meet these GSArequirements for software conversion studies.

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VI. POST-IMPLEMENTATION EVALUATION

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VI. POST-IMPLEMENTATION EVALUATION

This chapter of the guide presents an approach for performingpost-implementation evaluations of office automation systems. Apost-implementation evaluation provides a basis for determining ifoffice automation resources are properly implemented and if theydo conform in practice to original assessments of feasibility andcost-effectiveness. The post-implementation evaluation reportresulting from these efforts, will include recommendations tomanagement for either proceeding with ongoing operations, fine-tuning the system to achieve the desired results, or totallyredesigning the system.

A secondary objective of the post-implementation evaluationis to build up a data base on the improvements realized throughthe application of various office systems technologies. Bycarefully collecting data on actual systems experience, futureoffice automation efforts can be planned with higher confidencein the results. These results can also be shared with other DoDcomponents who may be planning similar projects.

6-1 Establishing Evaluation and Conducting the Evaluation Plan

Post-implementation evaluations should be planned andconducted in accordance with'the following guidelines:

The activities required in the review should beidentified at the outset. The nature and extent ofthese activities will be dictated in part by thesize, technology category and the expected benefitsof the installation.

In selecting a post-implementation review team, careshould be taken to select individuals:

- who are independent from the installation underreview

who did not conduct the requirements assessment which

led to the implementation, and

- who have the office automation skills required toconduct the review.

If there is a shortage of qualified staff to conductthe review, it would be acceptable to use an individualwho participated in the requirements assessment or whois involved with the installation, provided the teamalso includes and is dominated by individuals who areindependent and therefore unbiased.

=4. VI-_

A schedule for completion of the review should beestablished in advance including periodic milestonesfor reviewing progress and presenting results. Thisschedule should be based on realistic estimates oftime required to complete review tasks and timeavailable from project staff.

The criteria for making an evaluation of the success ofthe implementation come from the requirements assessmentitself and include the following elements:

- overall system objectives

- statement of mandatory functional requirements

- justification of the recommended alternative systemdesign concept

projected benefits

estimated costs.

An additional criterion is compliance with DoD andfunctional unit policy.

The methodology for conducting the review should rely onadvanced reporting on implementation success and systemperformance.

The functional unit responsible for implementationshould prepare a post-implementation summary ofresults in advance of the review initiation. Thesummary should specifically report on the achievementof system objectives and proposed benefits and costs.

The study team should review the documentation of therequirements assessment and the post-implementationsummary to provide background information and to formthe basis for auditing the implementation.

The data collection process will depend upon thecomplexity of the system configuration and the numberof system users. Interview guides and questionnaireswill be used for ascertaining user satisfaction anddetermining whether the system meets mandatory userrequirements. These tools should be tailored to thespecific technology in place and to the statedfunctional specifications of the system.

The information presented in the post-implementationsummary should be audited, particularly any statementsrelated to cost savings or time savings. Budgetreports, quarterly performance reports, procurementsand any other relevant documentation should be reviewedas required to verify reported results.

VI-2

. - _ . .-. • -- . .. - . - , ... ...- o . .. . .

Information gathered during the post-implementationevaluation is analyzed to determine the degree ofsuccess attained in meeting system objectives andobtaining intended benefits. The study team'sevaluation of the implementation should includerecommendations for improving operations and shouldbe presented to management and documented in amanagement report.

Management of the operations under review should conferwith the review team about the study recommendations anddevelop an action plan for carrying out the studyrecommendations.

As a result of this evaluation, management may decide to takefurther action towards improving the office automation system.These actions could involve procedural changes pertaining tosystem use, acquisition of additional or more enhanced equipment,.or implementing the next phase of the system, assuming a partialimplementation schedule. The purpose of such actions, in allcases, is to correct existing problems or make an effective systemeven better.

6-2 Timing of Post-Implementation Evaluations

The timing for performing a post-implementation evaluationis an important factor contributing to valid results. If theevaluation is performed too soon after implementation, meaningfulresults will not be achieved because of inadequate system break-intime. To realistically determine system effectiveness, the firstpost-implementation evaluation should normally occur after thesystem has been fully operational for a significant period of time(usually six months to one year). The audit team considers thefollowing types of factors when determining the length of theperiod:

System Size -- Larger systems normally include morenumerous staff/machine interfaces than smallersystems. This creates a need for ongoing clarificationsof staff duties and equipment capabilities during theinitial implementation period.

System Complexity -- The degree of change associatedwith key product preparation, work procedures, and thegeneral office environment normally indicates systemcomplexity. Complexity is directly related to the stafflearning curves for using the new system.

' Number of System Users -- Because all staff must becomefamiliar witf the new equipment and procedures, break-intime is also dependent on the number of system users.

VI-3

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Vendors can often provide assistance in determiningappropriate system break-in periods by providing statisticson average learning curves, user capacity, etc. for theirspecific equipment. This information should not be relied uponexclusively. Other organizations using similar systems mayalso be of assistance in identifying implementation issues andsolutions.

Once the system break-in factors have been considered andevaluated, a schedule for the post-implementation evaluation canbe developed.

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