# Presentation: 726997

## Approach and Status of

***UC Operations Meeting***
***August 29, 2003***
**Diana Brown, **Department Head
**Information Systems and Services**

***Approach and Status of***
***LBNL Enterprise Computing***

*** ***

## Outline

**Overview**
- 1995 Strategic Plan Close to Full Completion
- Strategic Directions
- Implementation Approach** **
**Enterprise Computing (EC) Program**
- EC Project Structure and Oversight
- Project Prioritization Process
- Project Life Cycle Phases
- System Internal Controls
**Information Systems – Where We Are Today**
**Infrastructure Management**
**Overall Challenges**

## 1995 Strategic PlanClose to Full Completion

**1995 Strategic Plan****Close to Full Completion**

**Charting the Course 1992 – 1995**
**452 stand alone systems**
**50 programming languages**
**11 hardware platforms**
**Inaccurate and inconsistent data**

## 1995 Strategic PlanClose to Full Completion

**1995 Strategic Plan****Close to Full Completion**

**Charting the Course 1992 – 1995**
**452 stand alone systems**
**50 programming languages**
**11 hardware platforms**
**Inaccurate and inconsistent data**
**The IT Shakedown Cruise 1995 – 2002**
**Modern infrastructure**
**State of the art integrated vendor packages**
**Customization to accommodate lab business processes**
**Data Warehouse catered to budget analysts’ needs**

## The Next Leg of The Course Strategic Directions   

**Make information (not just data) readily available**
**Maximize reliability and universal equality of access**
**Move towards pervasive use of web technology**
**Implement best business practices using standard software**
**Capitalize on past IT investments**
**Continue strengthening the information infrastructure and security**

*** ***

***To further increase effectiveness and efficiency:***

## Implementation Approach

**Undertake projects with lab wide perspective **
**Strengthen partnership between IT and functional organizations**
**Ensure wide participation by the laboratory user community**
**Exercise rigorous ****project management**

** **

***To ensure best return on investment:***

## Outline

**Overview**
- 1995 Strategic Plan Close to Full Completion
- Strategic Directions
- Implementation Approach** **
**Enterprise Computing (EC) Program**
- EC Project Structure and Oversight
- Project Prioritization Process
- Project Life Cycle Phases
- System Internal Controls
**Information Systems – Where We Are Today**
**Infrastructure Management**
**Overall Challenges**

## From Strategy To Projects

**Strategy**

**Programs**

**Purpose**

**Benefits**

**Projects**

**Reviews**

**Integrated Project Management Office Influence**

## EC Project Structure and Oversight

**IT Technical**
**Specialists**

**Project Steering**
**Committee**

**Project Manager**

**End User**

**Business**
**Specialists**

**Internal Audit**

**ECSC**

**Integrated Project **
**Management Office**

**Program Coordinator**

**EC Project Structure and Oversight**

- Project Team

**Project Sponsor**

**Program Sponsor**

**Enterprise Computing****Program****CIO**

- As of 1/2/03

## EC Program Structure

**Program**
**CIO**
** **

**ECSC**

**BLIS**
**Project Director**
**Diana Brown**

**IT Technical**
**Specialists**

**Integrated Project **
**Management Office**

**Project Steering**
**Committee**

**Chemical Inventory**
**Project Director**
**Robin Wendt**

**Project Steering**
**Committee**

**Project Y**

**Project X**

**Project Manager**
**TBD**

**End User**

**Business**
**Specialists**

**Internal Audit**

**Project Manager**
**Steve Abraham**

**IT Technical**
**Specialists**

**End User**

**Business**
**Specialists**

**Internal Audit**

**EC Program Structure**

**Program Coordinator**

**Project Sponsor**

**Project Sponsor**

**Program Sponsor**

- As of 1/2/03

## EC Roles and Responsibilities

- Approves Enterprise Computing Program Plan
- Approves Program-sponsored project priority list
- Allocates annual Program-sponsored project budget

**Program Sponsor:**

## EC Roles and Responsibilities

- Chair of Enterprise Computing Steering Committee (ECSC) – makes recommendations to Program Sponsor
- Formal liaison to Program Sponsor
- Responsible for Enterprise Computing Program’s success
- With guidance from ECSC, appoints Project Directors
- Establishes methodology and reporting requirements for Program-sponsored projects

**Program CIO:**

## EC Roles and Responsibilities

- Joint authors/owners of Enterprise Computing Program Plan
- Prioritizes Enterprise Computing projects
- Reviews budget requests for Program-sponsored projects
- Reviews and approves Program-sponsored project steering committee memberships
- Reviews and approves Program-sponsored project plans
- Holds quarterly meetings to review EC project status
- Makes strategic decisions impacting EC projects

**Enterprise Computing Steering Committee (ECSC):**

## EC Roles and Responsibilities

- Executive Program Manager
- Responsible for maintaining Program/Project methodology
- Information manager for Program and all Program-sponsored projects
- Ensures quality and consistency of management of Program- sponsored projects
- Assists project directors with administration of projects (budget, scope, schedules)

**Program Coordinator:**

## EC Project Prioritization Process

**Step I**

**Step II**

**Step III**

**Step IV**

**EH&S**

**FSD**

**ASD**

**ENG**

**HR**

**Systems resource requirements coordinated **
**with ISS**

**Executive **
**level project**
**proposals**

**Enterprise**
**Computing **
**Steering **
**Committee**
**(ECSC)**
**deliberations**

**ECSC Integrates & Prioritizes Projects**

**Timing based on**
**priorities **
**and resource**
**availability**

**Priority**

**Resources**

**Individual Project Plan**

**Goals & **
**     ****resource **
**        ****req.**

**Serial vs**
** ****parallel**
** ****assigning**

**Functional Departments Determine Own Priorities**

**FAC**

## ECSC Deliberation Considerations

**Only do what we can do well**
-  Avoid over-committing
-  $
-  Resources (project, infrastructure, management)
**Recognize different proposal categories**
** **Business and Administrative systems
-  “Independent” systems
-   Infrastructure** **
**I****ncorporate ongoing funding requirements**

## Project Life Cycle Phases

***Execution/Control***

***Planning***

***Initiation***

**Project Life Cycle Phases**

**Project **
**Request**** **

** **
**Prioritization**
** **

**Project**
**Charter **

**Budget **
**Review**
** ****&**
** ****Approval**

**Project**
**Plan**
**Commun-**
**ication **
**Plan**

**Project Director**

**Project**
**Management Team**

**Plan**
**Review**
** ****&**
**Approval**

**Project**
**Sponsor/Director**

**Project  Team**

**Project Manager**

**End**
**Deliverables**
**Review **
**&**
**Approval**

**Lessons****Learned**
** **

** **

***Closeout***

## System Internal Controls Review

**Issue**
**Scope**
**Memo**

**Internal**
**Audit**

**Develop **
**Test Plan**

**Business/**
**Technical**
**Specialists**

**Build**
**Controls**

**Technical**
**Specialist**

**Plan**

**Identify**
**Needed**
**Controls**

**Business**
**Specialist**

**Review**
**Identified**
**Controls**

**Internal**
**Audit**

**Design**
**Controls**

**Technical**
**Specialist**

**Analyze**

**Analyze**

**Adequate**
**Controls and**
**Test Plan?**

**Design**

- Yes

- No

**Build**

**Build**

**Review **
**Controls **
**and Test Plan**

**Internal **
**Audit**

**Build**

**Perform**
**Testing**

**Business/**
**Technical**
**Specialists**

**Build**

**All**
**Controls**
**Identified?**

**Yes**

**No**

**Go Live**

**Technical**
**Specialist**

**Implement**

**Adequate**
**Test**
**Results?**

**Yes**

**Consider **
**Post **
**Audit**

**Internal **
**Audit**

**Support and**
**Maintain**

**Issue**
**Report to**
**Management**

**Internal **
**Audit**

**No**

**Build**

**Adequate**
**Controls?**

**Yes**

**No**

**Review**
**Controls**

**Internal**
**Audit**

**Design**

**Assess Risks**
**and Suggest**
**Controls**

**Internal**
**Audit**

**Plan**

**Notes:**

Overview:
At management’s request, and subject to resource availability, Internal Audit will act as advisor to assist management in identifying system risks and their associated mitigating internal control options.  Internal Audit will evaluate management’s plans to maximize benefits from:
Available application controls
Supplemental manual compensating controls

Plan: Scope memorandum could be expanded to include review of Project Management. 
Build: Final report to management will provide advice and opinions on whether controls are in place and are operating as intended. 
Post Implementation: A post-implementation audit of the effectiveness of the application in operation, if Management and Internal Audit agree that it is a necessary part of the overall system implementation.  Post implementation audit is a separate process, which is not included on this flow chart. A post-implementation audit would have its own scope memorandum and report.  

##   Internal Controls Deliverables  

- Project Request
- Project Charter

- Project Plan
- Communication Plan
- Project Risk Management Plan
- Change Management Plan
- Issues Log
******* ****Internal Audit Scope Memorandum**
*******Risk Assessment**

- Code
- All Test Results
**** Security, Backup and Recovery Plan**
- Go Live Plan
- ***Internal Control Review and Final Report to Lab Management**

- Go Live   Client Acceptance Sign-Off
- Training Materials
- User Procedures
- System Document-ation
- Support Model

- Project Lessons Learned
- * **Post Implementation Audit if Needed**

- Essential Data Model
- Essential Process Model
- ** **Internal Controls Checklist **
- Essential State Change Model
- Data Dictionary
- Design Specifications
- Data Storage Schema
- Prototype
- Test Plans
- Service Level Agreements

**** Internal Audit Deliverable***    ***** ******Project Manager Deliverable***

**Notes:**
Internal Audit deliverables include: Participation in risk management plan, issue scope memorandum, internal control review and issue final report to management, and post implementation if needed.

All phases are subject to Internal Audit control review.  However, we will conduct reviews based on highest risk areas, including security and backup and recovery.

## Outline

**Overview**
- 1995 Strategic Plan Close to Full Completion
- Strategic Directions
- Implementation Approach** **
**Enterprise Computing (EC) Program**
- EC Project Structure and Oversight
- Project Prioritization Process
- Project Life Cycle Phases
- System Internal Controls
**Information Systems – Where We Are Today**
**Infrastructure Management**
**Overall Challenges**

## Financial & Procurement Systems

**Financial & Procurement Systems**

## Financial Systems

**6 integrated PeopleSoft Financials modules (Release 7.5)**** **
- Billing
- General Ledger
- Grants Administration
- Payables
- Projects
- Receivables
**Gelco Travel Manager, PMTS from Oakridge and a home grown budget system (JANUS)**
** ****Plans for the future **
- Upgrade to PeopleSoft Release 8.4
- Select and implement a new Personal Property Management System
- Select and implement a new Budget/Funding System

## Procurement Systems

**3 PeopleSoft procurement modules  **
- eProcurement  (Release 8.1)
- Purchasing (Release 7.5)
- Receiving (Release 7.5)
**3 home grown systems**
- Federal Express Invoicing
- Procurement Card
- Systems Contracts
**Plans for the future **
- Upgrade to PeopleSoft Release 8.4
- Replace Procurement Card System with functionality in PeopleSoft Financials

## Human Resource Systems

**Human Resource Systems**

## Human Resource Information Systems

**6 integrated PeopleSoft Human Resources Management System modules (Release 8.3) and 7 LBNL “bolt-on’s”**
- Human Resources
- Benefits
- Salary Administration
- Payroll
- Recruitment
- Training
- LBNL “bolt-on’s (Credit Card Tracking, Current Job Opportunities, Directory,  Employee Self Service, Guest, Parking Permit, Signature Authorization)
** ****Home grown systems**
- 3 timekeeping systems (LETS, WebLETS, LETSlite)
- Labor Distribution
** ****Plans for the future **
- Implement PeopleSoft eRecruitment** **
- Implement PeopleSoft HR Portal
- Select and Implement Berkeley Lab Timekeeping (BLT) System
- Activate Other PeopleSoft Modules

## EH&S Systems

## Environmental Heath & Safety Systems

**14 major systems**** **
- 11 home grown
- 3 vendor software packages
**All major systems (except for 1 vendor software) converted from FileMaker to current version of ORACLE **
**Majority of the systems are web based**
**Plans for the future **
- Convert systems where appropriate to use web technology
- Integrate systems for comprehensive reporting

## Facilities Systems

**Facilities**** ****Systems**

## Facilities Systems

**7 Maximo integrated operations and capital asset management systems from MRO Software **
**Personal property management system from Annams (Sunflower)**
**Home grown Space system – a bolt-on to Maximo**
** ****Plans for the future **
- Upgrade to Maximo web version
- Activate more modules
- Extend usage beyond Facilities

## Current Data Warehousing and IRIS Reporting

**Current Data Warehousing and ****IRIS Reporting**

##   HR Specialist

*Division Directors*

**  ***HR Specialist*

*PI*

**	***Financial Analyst*

**Data Warehouse**

**Shadow or local systems are indicative of areas where we are under or not providing**

**  ***Business Manager*

**Financial**

**Human****Resources**

**EHS**

**Facilities**

**Business**

**Current Information Paradigm****  **

## Berkeley Lab Information Systems (BLIS) Decision Support Systems

**Financial**

- FMS

- Janus

- PRP

- RAPID

**Human****Resources**

- HRIS

- Payroll

**EHS**

- SAAR

- HEAR

**Facilities**

- Maximo

- AMS

- Odyssey

**Business**

- Travel

- Phone

**Data Acquisition**

**Integrated Data Warehouse**

**Standard**
**Reports**

**Queries**

**Decision****Support****Analysis**

**End User**

**Analysts****Technical Staff**

**PIs**
**Operational Managers**** **

**Planners****Decision Makers**** **

**Web Interface**

## BLIS Enterprise PortalThe Information Cockpit

## Management Informationwith a Key Stroke

**Management Information****with a Key Stroke**

##  Implementation Timeline – Alternative A

##  Infrastructure Management

** ****Infrastructure Management**

**Continue the centralized infrastructure to achieve economies of scale**
**Increase capacity (CPU, disk storage) to accommodate growth in usage and data**
**Maintain system currency to assure vendor support**
**Upgrade periodically to ensure compatibility with application requirements**
**Assess and retire outdated technology to lower operational costs**

***To meet administrative systems workload requirements and to optimize infrastructure operating efficiency and effectiveness:***

## Overall Challenges   

**Keep up with rapid technology changes**
**Continue to invest in human capital**
**Renew aging infrastructure**
**Staff appropriately to address increased complexity**
**Address desktop standardization issues**
**Negotiate and partner with vendors to get best return on investment**
**Manage IT as a contributor to laboratory success**

*** ***

***To deliver world class enterprise computing:***