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Rosenthal, Lynne S/Guldance on requlreme QC100 .U57 NO.500-147 1987 C.I NBS-PUB-R >mputer Science

id Technology

REFERENCE

NBS

PUBLICATIONS

NBS Special Publication 500-147

Guidance on Requirements

Analysis for Office Automation

Systems (Update: NBS SP 500-72)

L. Rosenthal

E. Parker

T. Landberg

S. Watkins
Tm he National Bureau of Standards' was established by an act of Congress on March 3, 1901. The

m Bureau's overall goal is to strengthen and advance the nation's science and technology and facilitate their effective application for public benefit. To this end, the Bureau conducts research and provides: (1) a

basis for the nation's physical measurement system, (2) scientific and technological services for industry and

government, (3) a technical basis for equity in trade, and (4) technical services to promote public safety.

The Bureau's technical work is f>erformed by the National Measurement Laboratory, the National

Engineering Laboratory, the Institute for Computer Sciences and Technology, and the Institute for Materials

Science and Engineering

.

The National Measurement Laboratory

Provides the national system of physical and chemical measurement;

coordinates the system with measurement systems of other nations and

furnishes essential services leading to accurate and uniform physical and

chemical measurement throughout the Nation's scientific community, in- dustry, and commerce; provides advisory and research services to other Government agencies; conducts physical and chemical research; develops,

produces, and distributes Standard Reference Materials; and provides

cdibration services. The Laboratory consists of the following centers:

• Basic Standards^

• Radiation Research

• Chemical Physics

• Analytical Chemistry

The National Engineering Laboratory

Provides technology and technical services to the public and private sectors to address national needs and to solve national problems; conducts research in engineering and applied science in support of these efforts; builds and maintains competence in the necessary disciplines required to carry out this research and technical service; develops engineering data and measurement

capabilities; provides engineering measurement traceability services; develops

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and proposes new engineering practices; and develops and improves

mechanisms to transfer results of its research to the ultimate user. The

Laboratory consists of the following centers:

Applied Mathematics

Electronics and Electrical Engineering^

Manufacturing Engineering

Building Technology

Fire Research

Chemical Engineering^

The Institute for Computer Sciences and Technology

Conducts research and provides scientific and technical services to aid • Programming Science and

Federal agencies in the selection, acquisition, application, and use of com- Technology

puter technology to improve effectiveness and economy in Government • Computer Systems

operations in accordance with Public Law 89-306 (40 U.S.C. 759), relevant Engineering

Executive Orders, and other directives; carries out this mission by managing

the Federal Information Processing Standards Program, developing Federal ADP standards guidelines, and managing Federal participation in ADP

voluntary standardization activities; provides scientific and technological advisory services and assistance to Federal agencies; and provides the technical foundation for computer-related policies of the Federal Government. The Institute consists of the following centers:

The Institute for Materials Science and Engineering

Conducts research and provides measurements, data, standards, reference

materials, quantitative understanding and other technical information fundamental to the processing, structure, properties and performance of materials; addresses the scientific basis for new advanced materials technologies; plans

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its programs. The Institute consists of the following Divisions:

Ceramics

Fracture and Deformation ^ Polymers

Metallurgy

Reactor Radiation

Headquarters and Laboratories at Gaithersburg, MD, unless otherwise noted; mailing address Gaithersburg, MD 20899. 'Some divisions within the center are located at Boulder, CO 80303. 'Located at Boulder, CO, with some elements at Gaithersburg, MD.
Computer Science

and Technology

NBS Special Publication 500-147

Guidance on

Requirements Analysis for

Office Automation Systems

(Update: NBS SP 500-72)

Lynne S. Rosenthal

Elizabeth G. Parker

Ted Landberg

Shirley Ward Watkins

Center for Programming Science and Technology

Institute for Computer Sciences and Technology

National Bureau of Standards

Gaithersburg. MD 20899

U.S. DEPARTMENT OF COMMERCE

Malcolm Baldrige. Secretary

National Bureau of Standards

Ernest Ambler, Director

Issued March 1987
Reports on Computer Science and Technology

The National Bureau of Standards has a special responsibility within the Federal Government for computer science and technology activities. The programs of the NBS Institute for Computer Sciences and

Technology are designed to provide ADP standards, guidelines, and technical advisory services to improve the effectiveness of computer utilization in the Federal sector, and to perform appropriate research

and development efforts as foundation for such activities and programs. This publication series will report

these NBS efforts to the Federal computer community as well as to interested specialists in the academic

and private sectors. Those wishing to receive notices of publications in this series should complete and

return the form at the end of this publication.

National Bureau of Standards Special Publication 500-147

Natl. Bur. Stand. (U.S.), Spec. Publ. 500-147, 105 pages (IVIar. 1987)

CODEN: XNBSAV

Library of Congress Catalog Card Number: 87-619807

U.S. GOVERNIVIENT PRINTING OFFICE

WASHINGTON: 1987

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington DC 20402
EXECUTIVE SUMMARY

Organizations in both government and private industry have become

concerned with the promise of office automation, a promise to

improve productivity in the office environment. With the ever

increasing investment for new and improved office automation

systems, this concern becomes crucial. Organizations must

establish programs whose goal is to maximize the benefits that

can be achieved through the application of office automation

technologies

.

A requirements analysis is one way organizations can identify

technology solutions which can improve the quality, efficiency,

or effectiveness of the organization's products or services. The

key to this systematic planning method is to understand the work

people do, identify opportunities for improvement, and match the

technology to the most significant opportunities.

This guideline has been developed to assist organizations in

performing a requirements analysis. The requirements analysis

study may be initiated in response to a need for installing

automated systems in a non-automated office or enhancing an

already existing automated office environment. The study

contains seven phases which must be performed in sequence sinde

data gathered and/or derived from one phase serves as the basis

for later phases. The seven phases are:

Preliminary Study Activities The first phase in performing

a requirements analysis is planning the study. Activities

in this phase include the designation of the organizational

unit to be studied, selection of the study team, and the

team's specification of milestones and resources needed to

conduct the study.

Data Collection The second phase is the collection of data

to understand how the target organizational unit conducts

its business. This phase is also known as office baseline

determination. Data is collected on two areas: the key

products and general office work that does not contribute

directly to the key products. Baseline data for both areas

are obtained from the professional and support staff by

interviews, questionnaires, and direct observation.

Office Baseline Analvsis The third phase is the examination

and evaluation of the collected data. The analysis reflects

both the quantitative and qualitative aspects of product

preparation by examining the level of effort to produce the

product as well as the quality of the work. From the

analysis, an understanding of the workload, work patterns

and work flow (information flow) for each product is gained.

This understanding is the basis for identifying the key

lil
products and general office work which will benefit most

from the implementation or enhancement of an office automation system.

Desicfning the Office Automation System The fourth phase

consists of two steps: developing system requirements and

developing a macro level system design model. The set of

system requirements are statements of design intent and

reflect the goals to be achieved by the office automation

system. These requirements become the basis for developing

the system design model. The system design model consists

of a set of organizational, procedural, and technological

changes to the key products and general office work. To

maximize benefits, these changes should make it possible to

expand the scope of work and/or handle diversity, and not

just accelerate the tempo of current activities.

Developing Specifications for the Office Automation System

The fifth phase is the development of the functional

specifications for each system incorporated in the system

design model. Specifications are statements of required

system capabilities or features that address what the system

must do. The functional specifications are presented to

prospective vendors who are encouraged to offer alternative

means for satisfying the specifications. Finally, a representative system configuration is constructed and its

implementation cost estimated.

Pre-Implementation Benefit Cost Analysis The sixth phase

addresses the economic feasibility of the proposed office

automation system. It focuses on the factors and issues

that need to be considered in selecting and applying a

benefit cost analysis methodology. Both cost and benefit

data are identified and evaluation methods are presented.

The system justification should contain an overview of the

justification process, the actual benefit cost analysis, and

the results of the analysis. The results of the benefit

cost analysis provide management with information on which

to make an informed decision regarding implementation of the

proposed system.

Post-Implementation Review The final phase is performed

after the system is operational for a significant period of

time. The objective of this phase is to compare the

anticipated improvements in the target office with the

actual improvements achieved through system implementation.

The result is a recommendation to management for proceeding

v/ith ongoing operations, fine tuning the system to achieve

desired results or a total redesign. Additionally, the

post-implementation review can be used as a basis for

planning future office automation efforts.
While this document is not a checklist or cookbook, it does

provide a thorough description of the office automation requirements analysis process. When the analysis is completed, the

organization will have analyzed the current office environment

and identified technology solutions that can improve the way the

organization does business.

V
TABLE OF CONTENTS

1. INTRODUCTION 1

1.1. PRODUCT APPROACH METHODOLOGY 1

1.2. DOCUMENT OVERVIEW

.

2

1.3. GUIDE TO USING THIS DOCUMENT 3

2. PRELIMINARY STUDY ACTIVITIES ... 5

2.1. SELECTING THE STUDY TEAM 5

2.2. DETERMINING THE STUDY SCOPE AND SIZE 6

2.3. NOTIFICATION OF THE STUDY 6

2.4. INITIAL OFFICE RESEARCH 7

2.5. ROLES AND RESPONSIBILITIES 7

2.6. TAILORING THE PRELIMINARY ACTIVITIES 7

3. DATA COLLECTION 9

3.1. STUDY TOOLS 9

3.2. SENIOR MANAGEMENT INTERVIEWS 11

3.3. KEY CONTRIBUTOR INPUT 14

3.3.1. Key Product Data Collection 14

3.3.2. General Office Work Data Collection ... 15

3.4. COLLATING, VALIDATING, AND SUMMARIZING THE DATA . 15

3.5. TAILORING THE DATA COLLECTION 16

4. OFFICE BASELINE ANALYSIS 17

4.1. KEY PRODUCT ANALYSIS 17

4.1.1. Measuring the Level of Effort 21

4.1.2. Quality of Work 23

4.2. OFFICE WORK ANALYSIS 24

4.3. EXAMINING THE ANALYSIS RESULTS 25

4.4. TAILORING THE ANALYSIS 26

5. DESIGNING THE OFFICE AUTOMATION SYSTEM 2 7

5.1. DEVELOPMENT OF SYSTEM REQUIREMENTS 2 7

5.1.1. Determining the Key Product Goals .... 29

5.1.2. Determining the System Requirements ... 29

5.1.3. Ranking the System Requirements 31

5.2. CREATION OF A SYSTEM DESIGN MODEL 31

5.2.1. Determining the Types of Changes 33

5.2.2. Mapping the Changes to the Office

Environment 3 5

5.2.3. Evaluating the System Design Model .... 36

5.3. TAILORING THE SYSTEM DESIGN 37

6. DEVELOPING SPECIFICATIONS FOR THE OFFICE AUTOMATION

SYSTEM . 39

6.1. DEVELOPING FUNCTIONAL SPECIFICATIONS 39

6.2. EXAMINATION OF FUNCTIONAL SPECIFICATIONS

FEASIBILITY 42

6.3. PREPARING A REPRESENTATIVE CONFIGURATION .... 42

6.4. TAILORING THE FUNCTIONAL SPECIFICATIONS 43

vi
7. BENEFIT COSTS ANALYSIS FOR IMPLEMENTING THE OFFICE

AUTOMATION SYSTEM 4 5

7.1. SELECTING A BENEFIT COST ANALYSIS METHOD .... 45

7.2. IDENTIFYING AND EVALUATING SYSTEM COSTS 47

7.3. IDENTIFYING AND EVALUATING THE SYSTEM BENEFITS . 48

7.4. JUSTIFYING THE OFFICE SYSTEM 51

7.4.1. System Overview 51

7.4.2. Performing the Benefit Cost Analysis ... 51

7.4.3. Evaluating the Analysis Results and Making

a Recommendation 52

7.5. TAILORING THE BENEFIT COST ANALYSIS 53

8. POST-IMPLEMENTATION REVIEW 55

8.1. PLANNING THE REVIEW 55

8.1.1. Review Objectives 55

8.1.2. Timing of Reviews 56

8.1.3. Staffing 57

8.2. ACTIVITIES INVOLVED IN REVIEWING A SYSTEM .... 57

8.2.1. Preliminary Activities 58

8.2.2. Data Collection and Analysis 58

8.2.3. Comparison of Pre-implementation Expectations to Post-implementation Results . 59

8.2.4. Conclusions and Recommendations 59

8.3. TAILORING THE REVIEW 61

9. SUMMARY ADVICE 62

10. REFERENCES AND RELATED READING 71

APPENDICES

:

A. TYPICAL LIST OF PRODUCTS

B. DEFINITION OF TERMS

C. SENIOR MANAGEMENT INTERVIEW GUIDE

D. SOURCE IDENTIFICATION GUIDE

E. QUESTIONNAIRES

F. KEY PRODUCT TRACKING GUIDE

G. KEY PRODUCT INTERVIEW GUIDE

H. KEY PRODUCT WORKSHEET

I. DAILY ACTIVITY LOGS

J. TECHNOLOGY ASSESSMENT

vil
LIST OF EXHIBITS

1- 1: Seven Phase Product Approach 4

2- 1: Roles and Responsibilities 8

3- 1: Preliminary Key Product Flow Diagram 13

4- 1: Summary Key Product Flow Diagram 18

4-2: Annual Levels of Effort to Prepare Key Products ... 20

4- 3: Quality of Work Analysis 22

5- 1: Key Product Goals 28

5-2: Examples of System Requirements 30

5-3: System Design Model 33

5- 4: Improvement Table 37

6- 1: Functional Specifications For Personal Work Station . 40

7- 1: Benefit Cost Analysis Points in the System Life Cycle 44

7- 2: Benefits of Office Automation Systems 47

8- 1: Post-implementation "Mini" Review ..... 58

viii
1 . INTRODUCTION

This report is designed to help managers maximize the benefits to

be achieved through the application of office automation technologies. It presents a systematic planning method which will

guide the manager to technology solutions which can improve the

quality, efficiency, or effectiveness of an organization's

products or services. The key to realizing these productivity

gains is in understanding the work people do and the way they do

that work. Only then can we engineer the most effective office

automation systems.

Planning for office automation is accomplished through a requirements analysis study. The study can be initiated in response to

installing office automation systems in a non-automated office or

acquiring additional systems for an existing automated office

environment. It is appropriate for analyzing the requirements of

pilot or prototype systems as well as fully implementable

systems. The study can be applied to all office automation

technologies ranging from individual word processors to fully

integrated database systems to video teleconferencing and

spanning voice, image, data and text applications.

The purpose of this report is to provide guidance in the overall

process of determining requirements for office automation

systems. It advocates exploring new ways of performing business

(e.g., redesign or simplify work) and not just automating current

manual processes. This is accomplished by:

o understanding organizational goals and objectives:

o reviewing all aspects of the current organization: the

people, jobs, environment, tools, and information;

o exploring ways to improve the current environment by

implementing organizational, procedural, or technological

changes ; and

o developing an office automation plan that offers the most

significant opportunity for major gains in quality,

efficiency, and effectiveness.

These guidelines are intended for use by managers and/or staff

who believe that there may be a need for some type of office

automation support in their organization.

1.1. PRODUCT APPROACH METHODOLOGY

There are a number of different approaches to performing a requirements analysis. This document describes one approach, the

"product approach", which focuses on the key products of an

1
organization. A product can be a document or a service requiring

the contribution of one or more individuals and require significant effort to produce. Key products represent that subset of

products which are critical to an organization's mission. By

examining all aspects of office work, from the input of ideas

until the disposition of the final product or service, we can

identify the requirements and design automated systems that will

provide the greatest return on investments. Because the product

approach entails looking at the entire product preparation

process, other requirement analysis approaches such as rapid

prototyping can be included in the product approach and used to

provide additional product and user related information.

The product approach which was originally designed by Booz-Allen

and Hamilton has been used by a number of organizations in the

public and private sectors. In 1980, the Institute for Computer

Sciences and Technology (ICST) contracted to Booz-Allen and

Hamilton for the preparation of a guidance document on performing

requirements analyses of office environments. This work

culminated in the publishing of National Bureau of Standards'

Special Publication 500-72, Guidance on Requirements Analysis for

Office Automation Systems. This document is an update of that

earlier work reflecting newer technologies in the office today

and ICST's experience in performing requirements analysis.

1.2. DOCUMENT OVERVIEW

The document is organized into ten chapters with supplemental

appendices for additional detail. This introduction is followed

by a indepth description of the product approach. The product

approach contains seven phases which must be performed in

^ sequence since data gathered and/or derived from one phase serves

as the basis for later phases. Chapters two through eight

describe these phases, which include:

o structuring the study (Chapter 2)

,

o determining the current office environment (Chapter 3)

,

o analyzing the collected data (Chapter 4)

,

o determining system requirements and developing a system

design model (Chapter 5)

,

o developing functional specification for the proposed

system, (Chapter 6)

,

o performing a benefit cost analysis (Chapter 7) , and

o reviewing the post-implementation results (Chapter 8)

.

2
Exhibit 1-1 lists the phases by chapter. A general summary of

the document is provided in chapter nine, where an outline of the

key points discussed in the previous chapters is presented.

While this document is not a checklist or cookbook, it does

provide a thorough description of all steps of the office

automation requirements analysis process. Examples illustrate

the study's concepts and provide sample documentation of each

phase of the study. The examples are based on a fictitious

office; however, to demonstrate the building block nature of this

approach, each example is constructed by applying the study

method to the previous example data.

1.3. GUIDE TO USING THIS DOCUMENT

This report presents considerable detail about how to perform a

requirements analysis. The method is complete and somewhat

formal, and serves as a model. Although all phases are to be

performed, it is not expected that the method will be applied

exactly as described, but will be tailored to fit the target

organization. In particular,

o The size and scope of the study should be commensurate

with the size of the office being automated; however,

even the smallest study should contain all seven phases

of the methodology. For example, the study could be

limited to a few key products.

o The rigor of the study should be commensurate with the

study size as well as organizational attitudes. For

example, use of comparative ratings (e.g., high, low) in

place of more definitive measurement values (e.g., dollar

amounts) for informal studies.

o Any pre-established organizational procedures may be used

to replace the procedures described herein; however, the

results should be the same as those for the procedure

described by this method. For example, the post-implementation audits may be conducted by methods specified by

the organization's internal audit department.

Additionally, at the end of each chapter is a section on how to

tailor the activities performed within the chapter. Care should

be taken to ensure that the objectives of each chapter are met

and all expected "deliverables" are produced. The terms "small"

and "large" will be used to denote the relative study size, and

is expected to vary among organizations (e.g., what is large for

one organization, may be considered small to another) . Hence,

the application and relevance of these terms should be determined

for each organization under study.

3
The entire report should be thoroughly reviewed and understood

prior to tailoring any portion of the method and subsequently,

embarking on any activity described herein.

Eidiibit 1-1: Seven Phase Product Approach

Chapter 8'

Chapter 7

Chapter 6

Chapter 5

Chapter 4

Chapter 3

Chapter 2

Post Implementation

I !

Transition Period

1 1 1 Cost Benefit Analysis

1 1 Developing Functional

Specifications

1 1

1 1 1 Designing the

Office Automation System

1 1 Baseline Data Analysis

1 1 Data Collection

1 1

1 1 Preliminary Activities

Chapter 8 is performed after the system is operational

for a significant period of time.

4
2. PRELIMINARY STUDY ACTIVITIES

The requirements analysis focuses on the key products and general

office work activities of the organization. A "key product" is

defined as a regularly produced output, either in written form or

as a service, and requiring significant amounts of time and

cost. General office work contributes indirectly to products and

includes such activities as answering the phone, training, and

waiting for work. Although key products are the focus of the

office automation effort, the general office work can influence

the effort and provide candidates for improvement or automation.

The study method is applicable to any size and type of

organization and must be structured accordingly. Therefore, the

requirements analysis study is initiated by defining and planning

the study effort. This entails:

o selecting and establishing a study team to perform the

requirements analysis study,

o determining the scope and size of the study,

o notifying the staff of the study effort and its purpose,

o conducting an initial survey of the office, and

o defining the roles and responsibilities of the study

participants

.

These preliminary activities are essential for an effective

requirements analysis.

2.1. SELECTING THE STUDY TEAM

The careful selection of team members is critical to the success

of the requirements analysis. The members of the study team

should include both professional and support staff, selected for

their technical skills, their interest in and knowledge of

automation technology as well as their knowledge of how the

organization is structured and how it functions. If the

professional and support personnel lack the requisite skills or

the right mix of skills required of a study team, then assistance

should be obtained from outside the organization (e.g., other

Federal organizations, or private contractors)

.

Organizational management selects the study team and informs the

members of its purpose, their expected commitments, and the

expected completion date for the study. A team manager is

selected to serve as the daily coordinator and to direct all

study related activities.

5
2.2. DETERMINING THE STUDY SCOPE AND SIZE

The study team determines the size and scope of the study effort

by considering at least the following factors:

o size of the budget likely to be available for office

automation,

o number of team members assigned to the study,

o size and complexity of the proposed study area within the

organization,

o number and complexity of products within the proposed

study area,

o total number of staff members within the proposed study

area, including the number of senior managers and key

product contributors,

o number of existing system types' (equipment and software)

to be considered.

Information on many of these factors will be unknown until after

the study has begun. Therefore, a preliminary work plan and

schedule is prepared, based upon the best estimates of the study

team. This plan and schedule is presented to organizational

management for approval. If management decides that the time and

costs required to perform the study are too great, a decision can

be made to limit the scope to a few predetermined key products, a

small section within the total organization, and/or to specific

product preparation phases. In no case, however, should any of

the major study activities be eliminated. To aid management in

the scoping decision, it is advisable that the extent of the

study effort be related to either the estimated size of the

office automation procurement budget or the realistic

availability of staff resources to perform the study.

2.3. NOTIFICATION OF THE STUDY

Organizational management informs all employees within the study

area of the nature, purpose, and importance of the study. This

opportunity is used to convey management commitment to the

success of the study effort and to allay any anxieties about

potential changes resulting from office automation. Ideally, a

meeting is held to explain the purpose of the study and to

introduce the team members. However, if this is impractical, a letter/memorandum to all office personnel within the study area

is distributed. To help ensure a successful study effort, the

staff must understand that their cooperation is required and

expected. Additionally, the message must be conveyed that the

6
study objective is to improve organizational efficiency and

effectiveness and make staff work easier.

2.4. INITIAL OFFICE RESEARCH

Organizational management provides the study team with all

pertinent policies, directives, in-house standards, and any other

information that can aid in understanding the goals, mission, and

attitudes of the organization regarding office automation and

information handling. In particular, the study team should be

aware of in-house standards for equipment and software as well as

policies regarding information storage, disposition, and

security. Additionally, the study team collects and reviews

information on the functions and activities of the proposed study

area. The study team uses this information to assist in

preparing a preliminary list of the study area's products.

Appendix A contains a "Typical List of Products" to help guide

the study team in product identification.

Also at this time, the study team identifies those senior

managers who will be interviewed during the subsequent study

activity. The criteria for interviewee selection includes the

manager's involvement in multiple products and an overall

understanding of the current methods of product preparation.

2.5. ROLES AND RESPONSIBILITIES

It is essential that the roles and responsibilities of all the

participants in the requirements analysis study be clearly

defined. There are four groups of participants in this

study: organizational management, the study team, senior

managers, and the professional and support staff. Exhibit 2-1

outlines the roles and responsibilities of these participants.

More specific information on their contributions to the study

effort is described throughout the report, in the context of the

study activities.

2.6. TAILORING THE PRELIMINARY ACTIVITIES

All preliminary activities must be performed by organizational

management and/or the study team. In addition to establishing

the study structure, this chapter provides the framework under

which the activities in subsequent chapters can be tailored.

7
Eidiibit 2-1: Roles and Responsibilities

Organizational Initiates requirements analysis study

Management Selects the study team/leader

Identifies office unit to be studied

Reviews/approves study plans, budget, etc.

Lists goals/objectives of office automation

Provides information on organizational

policies and strategic goals

Provides guidance/support to team throughout

study

Study Team

Leader

Coordinates and directs all study team day-today activities

Study Team and

Team Leader

Outlines the study size and scope

Develops preliminary study plans

Develops study tools

Identifies senior manager interviewees

Performs the requirements analysis study

Senior Managers Provides information to study team to assist

in narrowing the number of key products

Lists goals/objectives of office automation

Provides information on resources (labor,

time, dollars) used to produce products

Identifies the automation technologies being

used in the office

Professional and Describes to team the activities performed to

Support Staff produce the key products

Provides team with information on the

processing and flow of data in the development of the product

Provides team with information on their skills

and knowledge of automation technology

Assists in the verification of the data

8
3. DATA COLLECTION

The objective of the data collection effort is to obtain

information describing how business is conducted in the current

office environment. The focus of this effort is on the keyproducts and general office work of the office. Baseline data is

collected from senior managers and professional and support staff

through questionnaires and interviews, and through direct

observation. Where applicable, office system prototypes and

pilot projects are examined to provide additional baseline data.

The data is reviewed and analyzed and then presented in summary,

table, and diagram form, showing the interrelated processes and

activities that take place to produce the products of the

office.

The data collection effort is divided into four parts.

1. A set of study tools are developed for use in subsequent

parts of this chapter and throughout the study.

2. Senior managers' interviews are conducted to obtain

information on the key products and the professional and

support staff who are "key contributors" to those

products

.

3. The key contributors provide detailed information on the

office work, the activities performed, the format of the

data used in product development, the information flow,

and the products created.

4. The data is collated and all data conflicts are resolved.

The results of this collection effort:

o the knowledge the study team has gained about the current

office activities and environment,

o the answered questionnaires, and

o the interview results and other study tool results,

will be used throughout the study as a "baseline" for comparison

and as input to future processing and analysis activities.

3.1. STUDY TOOLS

Study tools are developed and used to ensure that consistent data

is gathered by all study team members. The tools will assist the

team in acquiring and presenting information about:

o the key products, beginning with the data that is

initially developed or received into the office through

9
the processing that transforms the data into finished

products,

o the current inventory of automation systems, and

o prior staff experience with automation.

The study tools to be developed to capture this information will

consist of:

o a dictionary of terms related to office activities,

o a senior management interview guide,

o source identification guides,

o professional and support questionnaires,

o key product tracking guides,

o a key product interview guide,

o key product worksheets, and

o daily activity logs.

The dictionary of data collection terms is to be used in

completing the daily activity logs and to help the key

contributors and the study team be consistent in the use of the

terminology. Definitions of the tasks and functions performed in

product development will be defined in the dictionary. (A sample

is presented in Appendix B)

.

The senior manacrement interview guide is used to obtain data on

the overall scheme of the office processes, including products,

staff, workflow, and information needs. This information

provides the basis for the in-depth interviews of the

professional and support staff. (A sample is presented in

Appendix C)

.

The source identification guides identify those individuals who

are key contributors to the key products and services of the

selected office and their locations. (A sample is presented in

Appendix D)

.

The professional and support questionnaires survey staff

perceptions of work performance, support requirements, and the

reactions to potential automation. Data will be collected on the

time spent by each professional and support staff on identified

tasks and functions. (A sample is presented in Appendix E)

.

10
The key product tracking guides identify the detailed key product

preparation activities from input of the initial data to

distribution of the completed product. In addition to noting

their own participation, key product contributors list in order,

the names, locations, and activities performed for all other key

contributors. (A sample is presented in Appendix F)

.

The key product interview guide is used to collect data that

characterizes the tasks and functions identified in the key

product interview worksheets. This information will be useful in

the design phase. (A sample is presented in Appendix G)

.

The key product worksheets are used to separate the estimated

hours of work for each key product activity into its component

tasks and functions. This information will be used to develop

estimates of aggregate levels of effort and cost for the

preparation of key products. (A sample is presented in Appendix

H) . The daily activity logs provide the means to collect time/volume

data on professional and support activities. These logs list the

tasks included in the key product interview worksheets and any

other major identifiable tasks. Contributors will note the time

they expend during the day in performing these tasks and will

provide other information about the way in which these tasks and

functions are performed. The daily activity support logs will

list functions such as typing, taking dictation, preparing forms

in longhand, using facsimile, composing letters, performing math

calculations, and maintaining the office. (A sample is presented

in Appendix I)

.

The team should review the tools and understand their purpose and

use before beginning the actual data collection. Additionally,

the tools should be pretested on a few staff members to insure

that the tools are usable and effective.

3.2. SENIOR MANAGEMENT INTERVIEWS

The study team begins data collection by interviewing senior

management in the target office. The senior management interview

guides provide orientation and direction to the interviews and

uniformity of their results.

During the interview, the managers are presented with the

preliminary list of the office's products (developed in section

2.4) and asked to identify the highest priority products and/or

products which could be improved through modification or

automation. These key products will be the subject of the

subsequent study activities. To assist the senior managers in

narrowing the list of products, the following criteria should be

considered:

11
Exhibit 3-1 Preliminary Key Product Flow Diagram

INPUT

Staff

Research

PRODUCTION

Dept

Reviewing

&

Revising

Sr. Mgr.

Reviewing

OUTPUT DISTRIBUTION

External

Mall

r

12
o lengthy and intensive professional staff preparation time is

required to collect, analyze, and reformat data,

o a high percentage of professional time is spent on support

type functions,

o a high percentage of support time is spent preparing and

revising the product.

o a high percentage of professional time is spent on message,

data, and document exchange.

Along with the targeted key products and the names, locations,

and activities of the key contributors, the senior managers

outline the key product development flow, the processing that the

data undergoes, and the distribution of the end products from the

office. This data is used to form the source identification

guide. The completed guide will be used to locate the key

contributors and to supplement as well as cross-reference the

data collected during the professional and support staff

interviews

.

Additionally, the study team solicits information on:

o the technologies currently in use within the office, how

much they are used, and the skill levels of the staff

using the technologies,

o specific areas or processes that may be prime candidates

for improvement or automation,

o specific products that should not be automated,

o manager's concerns regarding each key product and its

preparation (e.g., timeliness, responsiveness,

appearance)

,

o anticipated changes to the office, including workloads,

staffing, and reorganization, and

o the study effort itself, that is, recommendations and

suggestions

.

After these interviews are completed, the study team analyzes the

results and recommends to organizational management a group of

key products for detailed examination. Once the recommendations

are approved, a sample of each key product is obtained and

preliminary flow diagrams are prepared. These diagrams depict

the activities performed to produce each product and the workflow

through the phases of input, output, production, and

distribution. The preliminary flow diagram presented in Exhibit

3-1 is segmented into these phases.

13
3.3. KEY CONTRIBUTOR INPUT

In preparation for the in-depth data collection effort, the

questionnaires, tracking guide, and daily activity logs are

distributed to each key contributor. The study team either meets

with the staff or uses a transmittal memorandum to explain how to

complete these collection tools.

Interviews with key contributors are scheduled and interview

teams formed. The interview team should consist of two people to

ensure that all issues are discussed and all comments recorded.

The objective of the interviews is to:

o further define the product preparation process,

o clarify previously collected information, and

o obtain suggestions for overall process improvements.

Data on key products and on general office work is collected in

two formats to allow for the analysis not only of product

development, but also of all the other activities which consume

both time and resources in the office. The current functions and

tasks engaged in by office staff in preparing the key products

provide the product oriented data. The general office work data

is obtained through an identification and logging of the daily

activities performed by the office staff.

3.3.1. Key Product Data Collection

The key product data collection effort is performed by the study

team using the questionnaires, the interview worksheet, the

source identification guide, and the key product tracking guide.

The product tracking guide, initially compiled during the senior

management interviews, is expanded and completed only when enough

interviews have been conducted and enough data has been acquired

on how the product is prepared. Specific processing steps and

specific activities which feed data into the processing or

produce data as a result of the processing are examined in

detail. Information is gathered on the length of time required

to complete the activities, the format of the data used, how it

is received and transmitted, and the contributors with whom the

data is shared. Additionally, qualitative information is also

solicited, for example any inconveniences, difficulties, desires,

or special problems related to the key product preparation. An

attempt is made to cross reference the information and to find

all the major contributors to the products, their levels of

effort, and their view of the overall product quality.

The current use and knowledge of technology by the office staff

and the attitudes towards the prospect of automation are

important elements to ascertain. During the interviews, the

14
study team observes and notes the presence and use of all

existing automated systems. The information gained will be

utilized in the analysis phase.

3.3.2. General Office Work Data Collection

Data may be collected on office work activities in a variety of

ways. Among the established methods are: direct observation by

an outsider or self-recording of the time spent in various types

of activities. Disadvantages may be associated with both of

these. For example, direct observation may be costly to apply,

disrupt office operations, and yield distorted results since

people tend to work differently when observed. Alternatively,

with self-recording, workers may fail to record their

activities. Study tools used in this part of the data collection

effort include the daily activity logs and the questionnaires

which are used in conjunction with the interviews.

Data should be collected for a period of ten working days-'-, under

normal working conditions (e.g., not during holiday seasons or an

end-of-year rush) . If this is not possible, five normal working

days-'- is the minimum number of days over which to collect

meaningful data.

3.4. COLLATING, VALIDATING, AND SUMMARIZING THE DATA

When the interviews are completed and the questionnaires and logs

collected, an assessment should be made to determine whether an

adequate number of key contributors has been interviewed and

whether the data collected is sufficient and representative of

the office processes in order to proceed with the validation of

the collected data. If there is insufficient data, the study

team should alert organizational management that further

interviews are necessary. Approximately seventy percent

participation-'- of the staff in the target area should be the

goal

.

Data from all questionnaires, daily activity logs, interview

guides, and key product tracking guides should be merged and

collated. In addition, the data is applied to the preliminary

flow diagrams to corroborate and supplement the information on

the current flow of the data and the development of the

products. Insufficient data or incorrect data will give an

erroneous picture of the flow of data through the identified

office. Data that has been cross-checked and tentatively

verified as it is collected is more likely to present a clear

picture of the office processes.

' Determined from experience and recognized by experts to be

a sufficient time period to capture the necessary data.

15
If the collected data is sufficient, the study team can proceed

to merge, collate and review the data for consistency. If there

are discrepancies, some of the key contributors and managers can

again assist the team with additional data collection. It is

possible for some misunderstandings to occur because of the terms

which are used by the staff for the purpose of filling out the

questionnaires and the daily activity logs. Any discrepancies

should be resolved among the contributors and the study team.

The data collected will be used to determine the overall quality

of work performed and to develop aggregate levels of effort and

cost required to produce the key products and to carry out

general office work activities. A review of the questionnaires

will assure that all pertinent questions have been answered

regarding the products' development, key contributor activities

and the data used to create the products, and that the

information is consistent among key contributors.

Finally, the study team decides how to summarize the study data.

If the study area is large, the data should first be summarized

by work group, department, or similar functional unit, and then

summarized by organization. If the area is small, only an

organizational summary need be prepared.

With all the collected data collated and validated, and a flow

diagram of the processes completed, the study team is now

prepared to go to the next stage, the analysis of the data.

3.5. TAILORING THE DATA COLLECTION

All the activities within this chapter must be performed.

However, the number of key products selected will affect the size

of the data collection effort. For example, reducing the number

of key products may reduce the number of key contributors and

questionnaires and thus, the time and required to perform the

collection effort.

Another dimension of the data collection effort that can be

modified, is the number of days office work data is collected.

Five consecutive working days, void of holidays, employee

absences, and "slow" periods, is an acceptable minimum.

16
4. OFFICE BASELINE ANALYSIS

The purpose of the office baseline analysis is to examine and

evaluate the activities associated with the key products and

general office work. The analysis will afford a view of current

organizational processes by providing an understanding of the

relationships among the key products, between each processing

phase within a key product, and between the key products and the

general office work. This view is the basis for designing an

office automation system that can optimize opportunities for

improvement

.

The general approach consists of examining and analyzing the

collected baseline information with respect to the levels of

effort (i.e., staff time) required to prepare a key product and

to perform non-product oriented office work. The quality of work

performed is also examined and assessed. Subsequently, the study

team identifies the voids, redundancies, and "wasted time"

associated with completing work, as well as opportunities for

consolidation, simplification, or elimination of activities.

Results of this analysis effort yield a "baseline" profile of

current key product and office work activities. The profile

serves three purposes:

1. a basis for designing automated enhancements as well as

identifying organizational and procedural modifications

to the existing processes,

2. providing input to the assessment of cost justification

for the office automation system, and

3. providing data for the post-implementation audit

results

.

The actual analyses of the key products and general office work

are performed separately, but simultaneously. If additional

information is needed to complete the analysis, the study team

should conduct follow-up interviews and/or issue additional

questionnaires

.

4.1. KEY PRODUCT ANALYSIS

During the key product analysis, the product preparation effort

is examined through the generic phases of input, production,

output, and distribution. The analysis reflects both the

quantitative and qualitative aspects of product preparation by

examining the level of effort and the quality of work,

respectively. Level of effort and quality measurements are

primarily derived from the key product tracking information and

17
Exhibit 4-1: Summary Key Product Flow Diagram

o

-l-> o

o

a:

o

o •c

XI -t-l 00

Mgr. ewin

Durs

XI8

t

Dept B

Reviewing Revising

125

hours

Compose Draft

207

hours

Dept

C

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00

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4«i a 13 Q- o

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18 CO
the completed interview worksheets. However, all other collected

baseline information is used to supplement these two key inputs.

The first step in performing the analysis is to develop a summary

flow diagram for each key product. Based on the preliminary flow

diagrams, the summary diagrams further define the activities

performed and information flow for each processing phase.

Details of the activities along with other relevant information

supplement the flow diagram. Examples of this supplemental

information include:

o the importance of the product to the organization (i.e.,

it's priority level),

o time constraints on activity completion (i.e., critical

events) , and

o characteristics of the activity, e.g., the tasks and

functions that constitute the activity, how often the

activity is repeated, number of individuals involved,

interrelationship with other activities, current use of

automation.

The supplemental information may accompany the summary flow

diagram as a separate piece of documentation and/or be integrated

into the flow diagram itself. For example, Exhibit 4-1 shows the

product priority level, the activities by processing phase, the

tasks and functions within an activity, and the critical events.

Additional information about each activity is provided separately

and can be found in the data collection tools, e.g., the key

product tracking guide.

Once the flow diagram is completed, the accumulated data is

evaluated. The data may be quantified by either definitive units

of measurement (e.g., number, percent, dollar amount) or less

tangible units of measurement (e.g., levels of importance,

desirability indicator, rankings) . Generally, definitive

measurement units are derived at a "local" level, that is,

assessing each of the key product activities and obtaining exact

counts. Assessment of the less tangible measurement units,

however, is more reliable at a higher or "global" level. Each

key product and its activities are examined in its entirety,

ignoring individual variances and inconsistencies. The type of

measurement unit chosen is determined by the size and formality

of the requirements analysis study and is influenced by such

factors as:

o the data's adaptability to being measured,

o the measurement's expected use, and

o the required precision.

19
Exhibit 4-2: Annual Levels of E£fort to Prepare Key Products (Baseline)

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20
Each unit of measurement chosen must be evaluated and used

consistently throughout the entire requirements analysis study.

4.1.1. Measuring the Level of Effort

Level of effort data for each key product refers to the

efficiency of preparing the output. The level of effort is based

on the number of hours it takes the key contributors to perform

the tasks and functions. Keeping separate the professional and

support staff efforts, the number of hours are compiled for each

task and function and summarized by activity.

The level of effort data for each key product is next annualized

by multiplying the key product activity estimates by the annual

volume. The data is arranged in a table to produce the following

measures

o Total key product preparation effort (professional and

support staff)

,

o Total professional staff effort,

o Professional effort expended performing professional

work,

o Professional effort expended performing support-type

work,

o Total support staff effort,

o Professional Support Ratio (Rps) • professional staff

effort performing support-type work is compared with

total professional staff effort, and

o Support Staff Ratio (Rg) : support staff effort is

compared with total key product preparation effort.

Exhibit 4-2 presents an example of this table based on Exhibit

4-1. It enables the study team to quickly examine and compare

the staff efforts and note any excess levels of effort.

The final entry in the table is the baseline preparation cost for

the key product. The cost is constructed using the level of

effort data and the average hourly salaries for the professional

and support staff. When available, specific agency formulas for

determining salaries should be used. Hourly salaries are

determined by dividing the average annual salary plus a fixed

percentage for overhead by the annual paid working hours.

_ average annual salary + overhead Hourly salary - annual paid working hours

21
£sliibit4-3: Quality of Work Analysis (product 2)

QUALITY CRITERIA

ACTIVITY Timeliness Completeness Accuracy Data Accessability

Presentation

Quality

Staff Research S S* S NI* S

ComDose \^\J1.A.A L^\^%J\^ Draft ^^M.%JLA,^ s NI NI NI

Dept. B: Review

and Revision

NI!* AA S s

Dept. C: Review

and Revision

AA* S S S

Senior Manager

Review

s* S S

Update Draft NI* NI NI* NI NI

Report S* NI*

External Mail NI'*

Managers'

Distribution

S*

Central File NI*

OVERALL

QUALITY

NI S NI NI NI

OVERALL PRODUCT QUALITY — NI

Degree of Attainment

AA Above Average * indicated by managers and staff to be of

S Satisfactory HIGHest importance for this activity

NI Needs Improvement

Not Applicable

22
Estimated preparation costs for each key product are determined

by multiplying the level of effort by the hourly rates. This

information will be used in the cost analysis section of the

justification phase.

Prepartion cost = level of effort * hourly salary

4.1.2. Quality of Work

The quality of work being performed refers to the effectiveness

of the key product preparation activities. The data is

expressed as a comparative rating (e.g., level of improvement

needed) . The selection and evaluation of the quality criteria

are based on the judgment of the study team. However, management

should participate in determining those criteria which are

important to the organization.

Work quality can be defined by such criteria as timeliness,

responsiveness, completeness, accuracy, appearance, and

convenience. These criteria are rated for each activity, in

terms of their importance to management and professional staff

and their degree of attainment. For example, if timeliness is

deemed important and an activity is not completed on schedule,

then the timeliness rating is low, indicating improvement is

needed.

The product activities, quality criteria, and ratings are

presented in table form and summarized by an overall quality

rating for the key product. Exhibit 4-3 presents a quality of

work analysis table for key product 2 in the previous exhibits.

It is constructed from information gathered during the key

product interviews, questionnaires, summary flow diagrams, and

level of effort data. Examples of how the table values were

derived are given below.

Professional staff indicated the importance of data

accessibility during the research activity. Moreover,

they identified problems associated with accessing the

necessary research information. It is evident that the

data accessibility rating should be low, indicating

improvement is needed.

Organizational management indicated the importance of

timeliness, in fact, the final report must be completed

by a specific date. From the summary flow diagram and

levels of effort data, the study team observes that the

Dept. B review was time consuming. Upon closer

examination, the study team determined the review was

not timely and improvement needed.

This evaluation effort does not attempt to rigidly quantify the

quality. Instead, it provides the study team with insight on the

23
importance of an activity and how well it is performed. The

information is to be used in conjunction with the level of effort

measures to produce a complete picture of the existing office

environment.

4.2. OFFICE WORK ANALYSIS

The office work analysis examines and evaluates background

activities which are not directly related to the key products. It

provides details on general office work activities and an

understanding of the overall working environment. Additionally,

it provides comparison data for the key product analysis.

The office work analysis follows the same methodology as the key

product analysis. A summary flow diagram is established and the

data is evaluated. The data is primarily derived from the daily

or weekly activity logs, questionnaires, and interviews. When

evaluated, the data can show how individuals work, the time they

expend on particular tasks and functions, the value of the work

they perform, and their perceptions of the current office

environment. Although not directly quantifiable, organizational

attitudes (e.g., resistance to automation) and any future

organizational changes (e.g., growth rate, relocation) are also

noted.

The analyzed data is summarized to produce the measures defined

below. Measures which should always be calculated include:

o Professional Support Ratio (Rpg) : professional effort

performing support-type work is compared with total

professional staff time, and

o Support Staff Ratio (Rg) : support staff effort is

compared with total staff time.

Other representative measures which may be calculated include:

o Total hours and related cost for each professional task

such as planning, consulting, etc.,

o Total hours and related cost for professional effort

performing support-type work, and

o Total hours and related cost for each support function

such as typing, filing, etc.

The study team compares the office work analysis with the key

product analysis to assure consistency between the two. If

significant differences are identified, the reasons behind the

variances must be determined and resolved. For example, do there

appear to be major discrepancies between the professional support

ratios calculated during the key product and office work

24
analyses? These discrepancies may exist because professionals

may not have accurately estimated their time performing

functional type work during the key product analysis

interviews. If necessary, additional interviews are conducted to

gather more information and to resolve the problem.

4.3. EXAMINING THE ANALYSIS RESULTS

From collecting, analyzing, and reviewing the data, the study

team has gained an understanding of whv an activity takes place,

how it is performed, when it is performed, and who performs it.

From this understanding, the study team can identify the problem

areas and deficiencies in the baseline environment and

consequently, the activities most likely to benefit from

organizational, procedural, and technological modifications. The

flow diagrams and analysis tables provide initial identification

of the problem areas as evidenced by:

o lengthy and intensive professional staff preparation time

to collect and reformat existing information,

o high degree of professional effort expended performing

support-type functions (Rpg)

,

o high degree of support effort to prepare key products

(Rs) / o low quality rating for an activity or key product,

o lengthy and intensive effort expended performing low

priority activity or key product,

o high degree of duplication of the same or similar work,

o high degree of replication in preparing the key

product (s), and

o high degree of demands and bottlenecks during the key

product preparation effort and in the routine work

environment.

The study team should note that these problems and deficiencies

center around information-related issues, such as, how information is accessed, handled, processed, managed, presented,

reproduced, and distributed.

A summary report on the analysis results is prepared. It consists

of an overview of the current office baseline and includes a

description of the workload, work patterns and work flow

(information flow) for each key product and the office as a

whole. It also provides initial identification of the key

products which will benefit most from the implementing or
enhancing an office automation system. For example, the report

should highlight those activities which could be consolidated,

simplified, eliminated or which would benefit from value-added

improvements (e.g., improved presentation quality, analysis, data

accessibility) . The summary report, including the flow diagrams

and tables will be referenced during the subsequent phases of

this study.

The study team is now prepared to begin the next phase of the

study effort, designing the office automation system.

4.4. TAILORING THE ANALYSIS

To tailor the analysis phase, two aspects of the analysis can be

adjusted; the measurement type and the number of activities and

quality criteria examined.

The type of measurement chosen influences the effort expended by

the study team in performing the analysis activities.

Specifically, the measurements used to evaluate the levels of

effort data and cost estimates can be expressed either as actual

hours or dollars or as a comparative rating. Measurements

expressed as comparative ratings are less exact, but easier and

less costly to determine (i.e., take less effort to evaluate)

than actual hours/dollars. The information provided by

comparative ratings may be sufficient for the analysis of a small

study

.

The analysis effort can be altered by either reducing or

increasing the number of activities or quality criteria

examined. Clearly the more activities/criteria examined, the

more detailed the analysis and the greater the effort expended to

perform the analysis.

26
5. DESIGNING THE OFFICE AUTOMATION SYSTEM

Once the current office environment is analyzed and opportunities

for improvement identified, systems can be designed to address

those opportunities. This chapter focuses on the methodology for

creating macro level design models that illustrate, in general

terms, the components of the system.

As a first step in this effort, the baseline analysis information

is translated into a set of system requirements. The system

requirements are statements of design intent and answer the

question, "What is the system required to do?".

Once the requirements have been determined, a system design model

is prepared by identifying proposed modifications to the key

product preparation activities. These modifications are

generally a combination of organizational, procedural, and

technological changes. The effect of the modifications on the

baseline environment is evaluated and the projected improvements

are estimated.

As a result of this effort, the system design model is

developed, incorporating those changes which appear to have the

best potential for improving the current office environment.

This model will be used:

o in describing the benefits to be achieved from the office

automation system,

o as a basis for developing the functional specifications

of the model,

o in examining alternative technological configurations,

and

o in justifying the office automation system.

5.1. DEVELOPMENT OF SYSTEM REQUIREMENTS

System requirements are narrative statements of user needs and

organizational objectives. The requirements usually identify a capability that will improve key product preparation or identify

an activity that could benefit from an office automation system.

They focus on resolving the shortcomings of current key product

activities (automated or manual)

.

To determine the set of system requirements, the study team

1. determines the key product goals for the office

automation system.

27
Exhibit 5-1: Key Product Goals

MANAGEMENT CONCERNS

Timeliness

Responsiveness

Convenience

Efficient use of resources

Organizational effectiveness

Managerial effectiveness

Cost of labor, overhead

DESIRED GOALS

Reduce preparation delays

Reduce distribution delays

Reduce "telephone tag"

Improve query response time

Reduce float

Improve information input/output

methods

Increase OA system usage

Improve training

Reduce user resistance

Reduce need for reprocessing

Reduce duplication of effort

Provide access to organizational

database

Improve decision making process

Improve quality of presentations

Reduce costs, waste, overtime

28
2. develops a list of possible system requirements, and

3 . assigns priorities to the proposed requirements by

importance and impact.

5.1.1. Determining the Key Product Goals

As a first step in developing the system requirements, the study

team must consider the goals to be achieved by the office

automation system. Responses received from the senior management

interviews provide the study team with an indication of the

managers' concerns regarding each key product and its

preparation. This information is translated into possible

product goals. Exhibit 5-1 presents a list of possible

management concerns and goals. For example, if timeliness was

identified as a primary concern for a particular key product, the

suggested product goal may be to reduce delays in preparation and

distribution of information. If responsiveness was cited as a primary concern, the suggested product goal may be to reduce the

amount of "telephone tag" among professionals. The study team

uses this information, along with any goals suggested during the

key product contributor interviews or derived from the baseline

analysis, to prepare a set of composite product goals for all key

products

.

5.1.2. Determining the System Reqpiirements

The proposed system requirements are determined by comparing the

product goals to the baseline data and by examining the

improvement opportunities cited in the analysis summary report.

Both the comparison and the summary report should reveal the

deficiencies and/or inefficiencies in the product preparation

activities. These deficiencies/inefficiencies may be mapped to

opportunities for improvement.

After the opportunities for improvement are identified, the

system requirements are developed. The requirements should

address all applicable information-related areas, such as:

o Document production which focuses on the creation/input,

revision, edit/proofing, duplication, printing, distribution, and storage/retrieval of information into a document

(e.g., word processing requirement);

o Data processing which focuses on the input and

storage/retrieval of data from a manual or automated data

base/file and the generation of a report from the automated

file (e.g., a database management system requirement);

o Decision support which focuses on the assessment and

analysis of information (e.g., spreadsheet requirement);

29
o Telecommunications which focuses on the sending, receiving,

and/or distribution of information to offices within or

outside the organization or to computer systems within or

outside the organization (e.g., electronic messaging system

requirement)

;

o Administrative support which focuses on conducting the

general office work and includes information handling,

traditional data-processing and desktop tools (e.g., on-line

calendar and/or scheduling tools requirement) ; and

o System administration which focuses on the policies and

procedures for managing and administering the automated

resources as well as staff training (e.g., guidance on

system usage requirement)

.

There are no specific limits on the number of system requirements

that can be proposed. When determining system requirements, the

study team considers projected changes to the baseline

environment. Will the demand for the organization's products,

services, programs, or responses be changing in the near future?

If so, such changes may affect the proposed office automation

system. To account for these changes, the proposed requirements

attempt to reflect the projected organizational status at least

several years into the future. The organization's planning

30
horizon is used to determine the number of years. The

requirements look at the degree of expendability and flexibility

needed in the proposed office automation system. Data on the

projected changes to the baseline environment were previously

identified during the baseline collection effort. Exhibit 5-2

lists examples of system requirements for the product goals cited

in Exhibit 5-1.

The study team tries to ensure the significance of the proposed

requirements by concentrating on those key products identified as

benefiting most from the implementation of an office automation

system.

5.1.3. Ranking the System Requirements

To ensure that the most important needs are met, the system

requirements are assigned priorities by their effect on the key

products

,

For example, if a requirement will only impact a low priority

activity, it is given a low priority ranking. At this point, the

system requirements are presented to organizational management

for review, approval and/or modification. Once approved, the

requirements are used as a basis for constructing a design model

of the office automation system.

5.2. CREATION OF A SYSTEM DESIGN MODEL

The system design model is a list of the modifications that can

be applied to the office baseline environment to achieve the

system requirements previously identified. The design model

should explore new ways of producing the key products and

performing business and not just automate current manual

activities

.

The design model is developed from top down, that is, by first

looking at all the key products within the office, then at

individual key products, and finally, at each phase within the

key product. This approach enables the study team to look beyond

key product boundaries and develop modifications that can be

applied to similar preparation activities of one or more key

products

.

There are three major steps in creating a system design model:

1. determine the types of changes needed to effect the product

goals, and, in turn, satisfy the system requirements,

2. map the changes to the office environment, and

3. evaluate the proposed changes.

31
Exhibit 5-2: Examples of System Requirements

Ability to produce documents locally

Ability to access/download data from organizational databases

Ability to easily edit and revise documents

Ability to transfer documents among offices within and outside

the organization

Ability to perform interactive file queries by office users

Ability to send/receive messages electronically

Ability to produce compound documents (text, spreadsheets,

graphics)

Ability to quickly perform "What if scenarios

Ability for conferencing (via computer, telephone)

Ability to output presentation and letter quality documents

Ability to transfer w^ord processing skills across offices

Ability to send/receive documents via facsimile

Use of electronic calendars and scheduling tools

Integrated, easy to use office automation systems

Training of users to realize full capabilities of systems

Development of policies/procedures for system usage, information

storage and disposition, security, system operations

Streamlining of paper handling

Enabling the staff to be responsible for administrative and

operational needs of office information resources

32
5.2.1. Determining the Types of Changes

To effect office improvements and, in turn, satisfy the system

requirements, modifications to the baseline environment can be

either organizational, procedural, or technological in nature.

An organizational improvement opportunity occurs when one

functional area performs an activity that could be accomplished

better by a different area. For example, the baseline results

indicate that delays in the product input phase occur because

contributors from three different work groups are involved even

though all information can be obtained from one group. A

relocation of responsibility could improve productivity.

A procedural improvement opportunity is characterized by the

inefficient use of professional and/or support staff. For

example, the baseline data indicate that an inordinate amount

of effort is expended by key product contributors in performing

support functions. A procedural shift in responsibility could

effect improvement.

A technological or automation improvement opportunity is

identified when automated support is needed or existing systems

are under-utilizated. For example, the baseline results

indicate that the professional effort expended on retrieving

and reformatting information could be reduced by installing

some form of office workstation with access to multiple

databases and software tools.

These three types of changes may produce results individually or

in combination. For example, to be effective, a technological

improvement may require new procedures and even new

organizational structures. Changes in procedures and/or

organizational structure are sometimes an alternative to new

technology.

As changes are proposed and the system design model evolves, the

study team ensures that each change will satisfy at least one of

the system requirements and that the set of changes will satisfy

all the requirements. Additionally, the associated behavioral

and staffing impacts are considered; behavioral impact normally

take the form of resistance to change and staffing impacts relate

to the use of appropriate personnel to perform specific tasks and

functions.

The study team uses the following baseline data in reviewing

these impacts: key product contributor interview notes, office

work analysis questionnaires, and key product analysis results,

(e.g., flow diagrams). After this review, the study team is

ready to identify the technologies which can support the defined

requirements
Exhibit 5-3: System Design Model

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34
5.2.2. Mapping the Changes to the Office Environment

As a result of this review, the improvements or changes are

categorized as being organizational, procedural, or

technological. From this set of categorized changes, a system

design model for all key products is prepared that incorporates

only those organizational, procedural, and/or technological

modifications that will potentially provide the most benefit in

achieving the system requirements. The set of changes within the

design model should work together, compliment each other, and

where applicable, be compatible with existing systems. Thus,

providing an integrated system, one with the necessary "office

tools" to create, process, interchange, manage, and distribute

information throughout all processes within the key product,

throughout the office, and ideally, throughout the organization.

The example presented in Exhibit 5-3 is based on the list of

system requirements developed earlier (Exhibit 5-2)

The model may include one or more applicable technologies for

each product preparation phase:

Input: information capture technologies which include voice

input devices, data scanners, computer workstations, etc.

Processing: information processing technologies which include

departmental computers, multi-function workstations, integrated

office systems, word/text processing, financial planning,

decision support systems, data base management systems,

personal information management, etc.

Outputinformation storage and retrieval technologies which

include printers, photocomposers, graphic imaging, floppy

disks, optical disks, etc.

Distribution: information interchange and distribution

technologies which include smart copiers, facsimile, executive

telephones, telecommunication networks, electronic mail, etc.

Definitions for these and other representative office automation

technologies are presented in Appendix J, "Technology Assessment" . At this point, the study team maps the technological changes to

the office unit that will be affected. For example.

Technological chancres: Within the office unit, work groups A

and B require personal computer capabilities with data and word

processing support. Additionally, work group A requires a local area network to connect the computer systems and an

electronic messaging system; whereas, work group B requires

telecommunications within and outside the office with a

teleconferencing capability.
5.2.3. Evaluating the System Design Model

After the system design model is developed, the study team

prepares a new set of key product flow diagrams which show, by

preparation phase, the proposed modifications and the projected

improvements (i.e., professional and support levels of effort and

quality of work) . These new flow diagrams specify the

organizational, procedural, and/or technological modifications to

the baseline preparation processes. All components of the system

design model are employed, but not necessarily within each key

product flow. For example, not every professional in work group

A, described above, will require the same set of software tools

(e.g. , word processing, financial calculation, information

tracking) . The type of software required will depend on the

amount and type of contribution that the professional makes

toward the preparation of each key product.

The amount of projected improvement is now determined for each

key product. Using the interview results, the baseline analysis,

the new key product flow diagrams, and the data contained in

Appendix J, the study team prepares a table estimating the effect

of the proposed technological modifications. Estimates of

improvements from organizational and procedural modifications are

similarly prepared although Appendix J is not used. Instead, the

study team examines the baseline analysis data for each key

product activity and decides what steps will be eliminated or

changed as a result of the modifications. The improvements (in

terms of reduced levels of effort or improved quality of work)

are then estimated and included in the table. The study team

must recognize that it is not always possible to separate the

specific degrees of improvements resulting from organizational,

procedural, and technological factors, and may have to report the

improvement as resulting from the set as a whole. For example,

the productivity improvement associated with a procedural change

may be dependent on and interrelated with a corresponding

technological modification.

Ideally the improvement table" should include the following types

of information:

Baseline Total Effort to Prepare Key Products:

Level of effort for each key product as presented in the

table prepared in Section 4.1.

Projected Total Effort to Prepare Key Products as a Result of

Organizational Modifications, Procedural Modifications, and

Technological Modifications:

These figures illustrate the impact of each type of

modification on each key product.

Projected Total Effort to Prepare Kev Products as a Result of

the System Design Model:

36
This figure illustrates the total impact of organizational,

procedural, and technological modifications for each key

product

.

Baseline Overall Quality of Key Products;

The overall quality rating for each key product as presented

in the table prepared in Section 4.1.

Projected Improvements to Key Products' Quality as Achieved

Through Organizational Modifications, Procedural Modifications,

and Technological Modifications;

These figures indicates the expected level of improvement

from the implementation of each type of modification.

Projected Improvements to Key Products' Quality as Achieved

Through the System Design Model;

This figure indicates the expected level of improvement from

the implementation of organizational, procedural, and

technological modifications.

Exhibit 5-4 illustrates an improvement table.

The table provides the study team with an initial estimate of the

overall improvement to be achieved through implementation of the

office automation system represented by the system design model.

In particular, it begins to identify the expected benefits of the

office automation system.

This information, in addition to the system design model form the

basis for the functional specifications, alternative

configurations, and system justification to be developed in the

following chapters.

5.3. TAILORING THE SYSTEM DESIGN

Previous tailoring phases of the study, will affect the

development of the system requirements and the system design

model. For example, if the study has concentrated on a limited

number of key products, the system requirements and proposed

modifications will only address those key products. However, the

study team should not try to abbreviate this phase by reducing

the number of system requirements identified. Such an attempt

could result in an incomplete design model and ultimately, a deficient automated system.

The only activity within this chapter that should be modified is

the evaluation of the system design model (Section 5.2.3). A new

key product flow diagram should be prepared regardless of the

study size. However, for smaller studies, the development of a formal improvement table may be curtailed and the projected

improvements estimated and recorded more informally.

37
E^shibit 5-4: Improvement Table

BASELINE

TOTAL

PROJECTED IMPROVEMENT

SYSTEM DESIGN MODEL

Organizational Modifications

Procedural Modifications

Technical Modifications

TOTAL

EFFORT TO PREPARE

KEY PRODUCTS

QUALITY OF

KEY PRODUCTS

38
6. DEVELOPING SPECIFICATIONS FOR THE

OFFICE AUTOMATION SYSTEM

This chapter explains the method for developing functional

specifications for the technology component defined in the of i ice

system design model. Specifications are statements of require-i

system capabilities and should answer the question, "What mus'

the system do?" In this task of the study, design requirements

are further refined to specify the characteristics required to

achieve the improvements envisioned by the design model.

Functional specifications consist of support characteristics

which specify the performance, features, and/or capabilities

required of the system component. Identifying the functional

specifications in this manner, enables the study team to examine

the feasibility of the specifications and construct a representative configuration of the proposed office system. Moreover, the

specifications encourage alternative solutions for achieving the

organization's improvement goals and promotes full and open

competition between vendors responding to the procurement

solicitation.

The steps within this phase of the study include:

o developing a set of functional specifications for each

system component,

o examining the feasibility of the specifications, and

o preparing a representative configuration with

alternatives for use in the cost analysis phase.

The results of this effort will yield a set of specifications,

proposed system configurations, and estimated unit costs for use

in the justification phase.

6.1. DEVELOPING FUNCTIONAL SPECIFICATIONS

Functional specifications for office systems are developed from

two sources

1. The system design model and new key product flow

diagrams which identify the generic hardware and

software tools needed to accomplish the automation

objectives.

2. The baseline analysis summary which contains

information on types of work, complexity of work,

workloads, and work patterns.

39
Exhibit 6-1: Functional Specifications for Personal

Work Station

HARDWARE:

512kb addressable RAM memory

20 megabyte hard disk storage

RS-232 serial interface port

Centronic printer interface

SOFTWARE

UNIX V compatible operating system

Electronic spreadsheet

FORTRAN and C programming language compilers

Communications package

40
Using these sources, the study team proposes specific support

characteristics for each component of the system. There is no

limit to the number of support characteristics that can be

proposed.

The following example describes how functional specifications are

developed from the system design model and baseline analysis.

Observing that a significant portion of staff time is

spent initiating uncompleted telephone calls, the study

team determines that a telephone messaging system would

improve professional productivity, and incorporates it

into the system design model. The study also found

that professionals are frequently away from their desks

during the normal workday. To allow these

professionals to retrieve messages received during

their absence, a store and forward messaging feature is

required of the telephone system.

A set of functional specifications for a telephone

messaging system to satisfy the above requirements

might include:

o Accessibility from a touch tone telephone in the

office or from a remote site (i.e. home or public

phone booth)

,

o Capability for "outsiders" to leave messages,

o Capability for deferred delivery of messages, and

o Capability of message acknowledgement and response.

Often equipment and supporting system software must be combined

to satisfy the required design model component characteristics.

The personal computer workstations is one example. The

functional specifications shown in Exhibit 6-1 is representative

for this type of office automation component. The specifications

include capacity requirements, the use of standard interfaces,

and commercially available software.

Care should be taken to write functional specifications in broad

terms to encourage vendors to propose alternative solutions which

may offer improved system performance at lower overall costs.

The specifications should take advantage of economies available

from existing off-the-shelf systems as offered by the commercial

marketplace. Moreover, the specifications should be consistent

with organizational policies and compatible with existing office

automation systems.

41
5,2„ EXAMINATION OF FUNCTIONAL SPECIFICATIONS FEASIBILITY

Before settling on the final version, an assessment should be

made to ensure that the functional specifications conform to

applicable Federal or agency standards and are achievable,

presently available, and demonstrable from several different

vendors. The steps required to confirm that the marketplace can

satisfy the functional requirements include:

o Verify that the proposed office system adheres to agency

constraints and standards and is in consonance with long

range automation plans. Where new technology is being

proposed, technical staff which would support training,

development, and maintenance functions should be

consulted about their capacity to deal with new

workloads

.

o Survey the marketplace for existing commercial

products/services that can satisfy the proposed

specifications. The study team validates the feasibility

of the specifications by determining probable vendor

responses to the specifications. To assist the team in

this effort, office automation periodicals and vendor

brochures are referenced. The study team also attempts

to attend vendor demonstrations of different equipment

and arrange visits to organizations presently using

similar equipment to that proposed in the design model.

The functional specifications should be generic but also

incorporate the requirements of ongoing processing within the

organization. All hardware and software references should be

checked to make sure that any vendor specific offerings cannot be

replaced with a generic equivalent. In addition, consideration

should be given as to how this system can be incorporated within

any current organizational processing systems and the office

environment (e.g., space, furniture, power).

6,3. PREPARING A REPRESENTATIVE CONFIGURATION

The final task of this phase of the study is to determine the

estimated acquisition costs of the proposal. This is done by

constructing a representative configuration of the proposed

office system. Information on the type and location of equipment

is combined with workload profiles to determine the actual number

of units required. Support services should also be considered

and cost estimates collected as part of the recurring expenses of

the proposed system. The average purchase cost for these units

is calculated from prices in trade journals, GSA equipment

schedules, and vendor product lists. Actual purchase costs

rather than lease costs should be used for calculations since the

terms and conditions of lease contracts vary significantly among

vendors. Estimates should include the size of the investment and

42
recurring operating costs. This estimated cost determines if the

proposed system is feasible for the organization.

The study team must be aware that alternative system configurations may satisfy the set of functional specifications, because

o different types of technologies can accomplish the same

function, e.g., word processing: a dedicated word

processor versus a personal computer with a word

processing software package, or resource sharing: a local

area network versus a multiuser computer system, or

o within a technology, there are different configuration

levels, e.g., equipment or software which can be upgraded

from a baseline configuration to include any number and

combination of enhancements.

The study team should develop at least two alternatives to the

proposed configuration. In particular, the alternatives should

include:

o at least one other way of other way of providing a

similar level of services at the proposed approach, and

o a scaled-down approach that is less ambitions than the

proposed approach.

The study team looks closely at these alternatives and bases the

selection of a preferred configuration on the cost/benefit

analysis performed in the subsequent chapter.

At the completion of this phase, the study team can begin the

justification phase.

6.4. TAILORING THE FUNCTIONAL SPECIFICATIONS

As in the system design model (Section 5.3), the tailoring of

previous phases is reflected in the functional specifications.

However, it should be emphasized that the development of

functional specifications can be simplified by:

o taking advantage of existing organizational standards and

vendor agreements (e.g., contracts) for office automation

equipment and software,

o reusing or modifying the functional specifications

developed for previous office automation efforts, or

o specifying national/international or commercial

standards

.

43

7. BENEFIT COSTS ANALYSIS FOR IMPLEMENTING THE

OFFICE AUTOMATION SYSTEM

The objective of the benefit cost analysis is to assess the

practicality of implementing the office automation system. It is

a tool which provides organization management with the

information needed to make an informed decision on whether to

proceed with full implementation of the system or to proceed with

an alternative approach.

The chapter focuses on the selection and application of a benefit

cost analysis method. It provides the study team with an

understanding of the factors that need to be considered in

determining the appropriate method. Further, it identifies the

types of cost and benefit data and measures to be used in the

analysis. The chapter does not present a specific method, since

there is no single method which can be recommended over another.

Each organization will have to select the method which best meets

their needs.

As a result of this effort, the study team will be able to

determine the data, measurements and procedures needed to

analyzed and evaluate the proposed system and alternatives.

7.1. SELECTING A BENEFIT COST ANALYSIS METHOD

There are many methods of documenting and analyzing the costs and

benefits of implementing an office automation system. Each

method may provide a different level of detail and rigor and use

different analysis techniques. To select an appropriate

method the study team should consider the timing, intended

audience, and focus of the analysis.

Timincf A benefit cost analysis may occur several times during the

life cycle of a system, as illustrated in Exhibit 7-1. The

benefit cost analysis performed during the requirements analysis

is only one of several effort to justify an office system. Its

purpose is to provide a pre-implementation justification of the

system. For this effort, the study team assembles the costs of

maintaining the current environment as well as the expected

benefits and costs for the life of the proposed system.

Intended audience The level of detail and rigor required in the

benefit cost analysis is influenced by who reviews the analysis.

For example, the study team may need to provide greater detail

and address specific criteria in an analysis reviewed by an

external management organization such as the Office of Management

and Budget (0MB) than in an analysis reviewed by the

organization's internal management. Similarly, justifying a system to one self would be the least stringent.

45
Exhitit 7-1: Benefit Cost Analysis Points in the

System Life Cycle

Initiation Phase Development Phase Operation Phase

Mission

Analysis

Concept

Development

System

Analysis

System

Design

Acquisition User

Acceptance

Implement Maintenance

© © © ©

Prelim. B/CA Pre-Impl. Post Impl.

B/CA B/CA Review B/CA

1. Prelim. B/CA ~ estimates of the cost of Concept Development Stage and the economic cost

of developing a system

2. B/CA — revise and detail previous B/CA and decide if effort should continue.

3. Pre- Implementation B/CA — performed as part of the requirements analysis.

4. Post Implementation Review, B/CA — review actual versus planned operation costs and benefits.

46
Focus A benefit cost analysis may focus on demonstrating cost

savings,, increased productivity and/or value added. The study

team must be aware that attempts to justify the office from only

one of these perspectives may misrepresent the actual costs and

benefits of the system. For example, benefits to the office

worker and organization may not be adequately reflected by

measuring cost savings using cost avoidance or cost reduction

analysis techniques. In particular, improving the depth of

analysis and understanding of information are not represented.

Therefore, the study team must understand the focus of the

analysis and ensure that it adequately represents the benefits

and costs of implementing and operating the office automation

system.

Regardless of the benefit cost analysis method selected, it

should define what to measure, when to measure, and how to use

the measurement data. In particular, it should enable the study

team to:

o identify the benefits and costs of the proposed office

automation system and alternatives,

o assess the risks associated with implementing the office

automation system, and

o identify and recommend a preferred system to organization

management

.

7.2. IDENTIFYING AND EVALUATING SYSTEM COSTS

As a first step in performing a benefit cost analysis, the study

team identifies all one time, recurring, and intangible costs

associated with the office automation system.

One time costs are those costs related to the acquisition,

development, and implementation of the system. In addition to

the initial equipment and hardware application costs, other

potential costs include such items as:

o consultant fees,

o office space and furniture,

o site preparation.

o system installation,

o custom developed programs,

o application development (e.g., database set-up)

,

o running the new system in parallel with the old system.

47
o media conversion charges, and

o initial training materials and training.

Recurring costs are those costs associated with the continued

operation of the system. Recurring costs include two major

components:

o periodic costs of professional and support staff efforts

required for product preparation (e.g, , labor costs) , and

o projected expenses associated with on-going use of the

system, such as hardware maintenance (including system

updates) , system support, and supplies.

Intangible costs are those costs which are not incurred directly

by the organization or require excessive effort to quantify.

Intangible costs include:

o reliability - the probable failure rate of the system,

o flexibility - the relative difficulty of modifying the

system to perform unplanned procedures,

o obsolescence - the relative period of time for the system

to become obsolete,

o accuracy ~ the probable error rate of the outputs

produced by the system,

o portability - the relative difficulty of moving the

system to a new configuration, and

o usability - the difficulty of using the system.

Once all relevant cost items are identified, the study team

computes estimates for each, relying on information provided from

sources v/ithin the organization (e.g., data processing

departm.ent) , vendors, and professional service firms. One time

costs and recurring costs are estimated by dollar values, whereas

the intangible costs can be described in narrative and/or by a

rating (e.g., comparison levels).

7,3. IDENTIFYING AND EVALUATING THE SYSTEM BENEFITS

The primary factors considered in the determination of system

benefits are the improvements expected to be achieved as a result

of system implementation. From the system design model and new

flow diagrams, the study team identifies all possible benefits.

Because there may be substantial changes to the office

environment, such as shifts in responsibilities and/or the

48
creation of new work, the study team should examine benefits from

an organizational level rather than the individual level. It

must be stressed that the benefits do not always appear as

single, discernible entries, but rather they are often small

gains across many tasks. Further, not all benefits are accrued

immediately but may be realized in the longer term.

The benefits are categorized according to their measurability

into either tangible, quantitative benefits or less tangible,

more subjective, qualitative benefits. Generally, tangible

benefits relate to increases in product quantities, time savings,

and reduction in costs, whereas intangible benefits relate to

quality of products and individual or organizational performance

and effectiveness. Exhibit 7-2 lists examples of these types of

benefits.

Exhibit 7-2: Benefits of Ofiice Automation Systems

TANGIBLE BENEFITS

Reduction in levels of effort

Increase in demand for products/services

Reduction in labor costs

Increase in workload

Reduction in scheduling time

Reduction in overtime

Increase in profits

Reduction in Travel Costs

INTANGIBLE BENEFITS

Improvement in product quality

Reduction in the number of interruptions

Worker motivation

Improvement in performance

Better understanding of the organization

New insights and learnings

Improvement in staff morale

Changes in the way people work

49
Tangible benefits are relatively easy to quantify and are

translated into dollar values. The values are derived from

estimates of expenditures (e.g., labor costs) and future

revenues. For example, to compute labor cost savings, the labor

rates for professional and support staff are multiplied by the

new levels of effort required to prepare the key products.

Intangible benefits are difficult to measure and do not easily

lend themselves to dollar equivalencies. They are described in

narrative and measured by nonmonetary values when monetary values

cannot be generated. These values are derived by examining

results, that is, the benefit's effect on the organization or on

the product preparation process. If specific values can not be

derived, the study team assigns values in terms of estimates,

expert consensus, tradeoffs, comparative rankings, or comparative

ratings, e.g.

:

o boundary estimates based on "best case" and "worst case"

estimates,

o expert consensus based on the evaluations formed by several

knowledgeable people,

o tradeoffs with tangible benefits where an intangible benefit

is gained at the expense of reduced potential tangible

benefits

,

o comparative rankings with tangible benefits where an

intangible benefit is evaluated with respect to the

importance and value of the tangible benefits, and

o comparative ratings using the current office environment as

the baseline for comparison.

The following example illustrates how both specific values and

comparative ratings can be used to measure improvement in product

quality.

By examining the proposed product preparation process, the

study team can measure in specific terms such items as the

expected increases in the number of people involved in the

product development, the number of databases searched, and the

number of alternative approaches or scenarios analyzed. On

the other hand, to measure the effect on the organization

and/or management's attitude, the expected improvement in

quality is compared to the overall quality of the current

product (derived in Section 4.1.2) and a comparative rating is

determined that indicates the difference between the two.

Nonmonetary values are subjective and should be consistent with

earlier evaluation methods (e.g., the comparative ratings in

Section 4.1). They provide the study team with a common basis on

50
which to judge the qualitative improvements. Although difficult

to evaluate, intangible benefits are worth noting since they are

legitimate considerations in the justification of the office

automation system.

7.4. JUSTIFYING THE OFFICE SYSTEM

An effective justification will contain:

o an overview of the office automation system and analysis

process

,

o the benefit cost analysis, and

o an evaluation of the analysis results and

recommendations

7.4.1. System Overview

The system overview provides general information about the

proposed office automation system and the ensuing analysis. It

should contain:

o a summary of the existing office environment,

o a description of the proposed system including its

purpose, its configuration (e.g., equipment, hardware),

the functions to be supported, and the key product and/or

office activity to be affected,

o a predication of the system life,

o an explanation of all assumptions used in the analysis,

o an assessment of the extent to which the costs and

benefits are sensitive to changes (e.g., length of system

life, volume, mix or pattern of workload, configuration

of equipment or software) , and

o a list of all related documentation and references.

7.4.2. Performing the Benefit Cost Analysis

As stated earlier, there are a number of approaches for

performing a benefit cost analysis. The approaches range from

tabular cost justifications which involve life-cycle financial

projections comparing the net costs of the office automation

system to those associated with retaining the baseline system to

a narrative justification which involves descriptive arguments

relating the advantage of implementing the office automation

system. Whether or not either of these methods are employed, it

is essential that the benefit cost analysis:

51
o identify the goals or desired outcomes of the analysis,

o define the attributes and factors to be measured and how

they will be evaluated,

o document the benefits and costs associated with

implementing the proposed office automation system and

each alternative as well as with continuing with the

existing system or environment.

o compare the proposed system to the existing baseline

system and assess the changes which will be realized.

The benefits and costs are projected over the entire system life.

When developing the projections, the study team factors in any

changes to the baseline environment (e.g., workload increases,

staff additions) as well as inflation and present value cost.

7.4.3. Evaluating the Analysis Results and Making a Recommendation

From the benefit cost analysis, an evaluation can be made based

on cost, ability to fulfill the office's functional requirements,

and associated benefits and risks. The office automation system

is justified if the total value of the benefits expected over the

life cycle exceeds the total cost needed to achieve them by a predetermined margin.

Using the quantifiable costs and benefits, the study team notes

one of three results from the benefit cost analysis:

1. If the difference between the total benefits and total

costs is positive, then the system is justified.

2. If the difference between the total benefits and total

costs is zero, then the system is justified if the

workload increases or if there are non-quantifiable

benefits.

3. If the difference between the total benefits and total

costs is negative, then the system is justified if the

non-quantifiable benefits offset the costs. A description

of the non-quantifiable benefits should be presented.

It should be noted that a system can be justified exclusively on

the basis of the non-quantifiable or intangible benefits. This

is strictly a subjective approach, reflecting the judgement of

the individuals performing the benefit cost analysis. Caution

should be exercised in using this type of benefit cost analysis

as the sole basis for justifying the office automation system.

52
The results of the analysis is presented, summarizing the

expected benefits, costs, and savings for the proposed system and

each alternative considered. The use of tables or graphs may be

helpful for presenting the information.

From this information and the previously defined analysis

objectives, the study team generates a recommendation. The

recommendation should relate directly to the purpose of the

analysis and should clearly and concisely present the recommended

course of action. If necessary, alternative recomm.endations can

be offered along with guidance for choosing between them.

Subsequently, management reviews the recommendations and decides

whether to proceed with a full, incremental, or alternative

system implementation.

7.5. TAILORING THE BENEFIT COST ANALYSIS

The benefit cost analysis is influenced by the analysis method

selected. For smaller studies, a method requiring fewer details

and less rigor may be appropriate. In general, the more detailed

and rigorous the chosen method, the greater the effort required

to perform the analysis. Tailoring the analysis should not be

accomplished by manipulating the costs, benefits, or projection

period to alter or bias the analysis results.

53

8. POST-IMPLEMENTATION REVIEW

This chapter presents the method for performing a post-implementation review of the office automation system. The objectives of

the review are to: assess the impact of the office automation

system on the organization, learn "what works and what doesn't",

and verify that the promised benefits have been achieved. The

review provides management with a formal critique of actual

system operations and performance.

In general, the post-implementation review consists of gathering

data on the current office environment, comparing the data to the

system goals stated in the original requirements analysis study,

and reporting the differences. The final report should contain

an evaluation of the office automation system and a recommendation for either continuing with ongoing operations or modifying

the system to achieve the desired results.

This chapter is divided into two sections: the first outlines the

planning steps for the review and the second presents the

activities performed during the post-implementation review.

Results of periodic post-implementation audits are:

o management remaining cognizant of changes to the office

environment, including new requirements and the realization

of additional, unanticipated benefits, and

o the creation of a database on the improvements realized from

the application of office automation. This database can be

used to document the office's experience, (i.e, "lessons

learned"), and as input to future office automation efforts.

8.1. PLANNING THE REVIEW

A requirement to conduct a post-implementation review is incorporated into the office automation project. As part of this

requirement, the organization establishes an ongoing program to

measure and report the changes resulting from automation of

office processes. The review plan establishes the objectives,

timing, and staffing for the post-implementation review.

8.1.1. Review Objectives

Every post-implementation review should satisfy the three major

objectives stated above: impact assessment, operational assessment, and verification of benefits. In addition, these reviews

must include verifying:

55
o that a return on investment has been achieved,

o that product quality levels have been maintained or

improved,

o the system's reliability, and the adequacy of controls and

security measures and,

o that the risks identified during the original study are

properly managed.

Attention should also be given to special management concerns

about any organizational or coordination problems arising from

the implementation of the office system.

8.1.2. Timing of Reviews

The timing of an audit is an important factor. To achieve

meaningful results, the audit should not be performed too soon

after implementation. Sufficient time must be allowed after the

system is introduced to permit the system to reach a stable state

of operation and for users to become proficient with the system.

Consequently, the first post- implementation audit should occur

after the system has been fully operational for a significant

period of time (possibly as long as one year) . The following

factors should be considered when determining this period:

System Size - Larger systems normally include more

staff/machine interfaces than smaller systems. This creates a

need for ongoing clarifications of staff duties and equipment

capabilities during the initial implementation period.

S ystem Complexity - The degree of change associated with key

product preparation, work procedures, and the general office

environment normally indicates system complexity. The

learning curve is greatest in systems which are more complex.

Number of System Users - The more people needing to learn the

system, the longer it will take the system to function

effectively.

Other factors such as key product preparation cycles and staff

vacations must also be considered by the audit team. The

appropriate system break-in period can be determined by reviewing

other projects, talking to outside organizations with similar

projects or talking to vendors who can provide statistics on

average learning curves, user capacity, etc., for their specific

equipment. However, vendor information should be used with

caution because of possible bias.

56
A review schedule showing the dates when each office system

project will be studied should be promulgated so that line

managers can arrange to have staff available to assist the audit

team.

8.1.3. Staffing

Review teams will vary depending on the size, complexity, and

relative importance management places on the post-implementation

review program. To ensure that the review team is as unbiased as

possible, members of the review team should not have served on

the original study team, have participated in the development of

the system, or be currently responsible for the operation of the

system.

Post-implementation reviews are typically conducted by the

internal audit department or a contractor with expertise in

formal project reviews. However, for projects of limited size

where an audit staff or contractor review would not be justified,

the audits can be performed by the organization's staff,

technology support groups, and/or other line organizations.

8.2. ACTIVITIES INVOLVED IN REVIEWING A SYSTEM

The review team uses the procedures and method of the original

requirements analysis study whose expectations and system goals

form the baseline for comparison.

The objective of the review is to determine if the system has

achieved or surpassed the systems goals. Because the system may

have been implemented differently from the baseline system design

model, not all system goals may have been achieved. Factors to

be considered when assessing these differences include:

o actual, as opposed to intended, use and performance of the

office automation system,

o administrative procedures associated with product preparation,

o behavior of the staff affected by the system,

o previously collected baseline office data, and

o the post-implementation review process itself.

Once the differences have been established, the study team begins

to determine the actions which will enable the system to achieve

its goals. The general activities for performing the audit

review are as follows:

57
o preliminary activities,

o data collection and analysis,

o comparison of pre-implementation expectations to post-implementation results, and

o conclusions and recommendations.

8.2.1. Preliminary Activities

Before beginning the actual audit, the review team must

familiarize themselves with the study methodology presented in

this guideline and all related documentation (e.g., literature

and organizational research)

.

8.2.2. Data Collection and Analysis

The review team focuses on the key products that were previously

identified and subsequently, affected by the implemented system.

Data on these key products is collected and analyzed in the same

manner and format as in the original requirements analysis

study. However, there are differences within each stage of the

process. Modifications must be made to the data collection tools

and analysis techniques. During this data collection and

analysis, the review team should consider the following modifications ;

o Obtaining comments from managers regarding: their perception

of system benefits and drawbacks resulting from automation,

new system goals or revised system requirements, and

products which are no longer prepared or have been merged

with other products as a result of implementation.

o Obtaining comments from the key contributors regarding the

suitability of the functional specifications used to procure

the automated system. Comments should focus on:

- the adequacy of specifications to facilitate expected

results

,

suggestions for additional specifications to further

improve efficiency or effectiveness, and

the availability and cost-effectiveness of including

suggested specifications in the system.

o Modifying the original key product flow diagrams to reflect

changes caused by system implementation. The diagrams

should indicate the processing points, supporting equipment,

and procedural/organizational changes resulting from the

implementation

.

58
If data collection and analysis produces conflicting results, an

office work analysis is performed and used to resolve the

conflicts. The office work data collection and analysis

procedures are the same as those used during the original study.

8.2.3. Comparison of Pre-implementation Expectations to

Post-implementation Results

After the data collection and analysis is completed, the

comparison of projected system goals (i.e., pre-implementation

expectations) with actual system performance (i.e., post-implementation results) may begin. The comparison reveals whether or

not the system goals are being achieved. The steps in this

comparison include:

o Prepare a table comparing the projected and actual number of

processing steps, overall preparation time, and quality of

work for each product affected by the office automation

system.

If the actual levels of effort are significantly greater

than projected, additional interviews with key product

contributors may explain why. If not, an investigation of

both the pre-implementation and post-implementation data is

warranted.

o Examine the support requirements which were included as

features of the office automation system in terms of their

benefits, (i.e.. Were the promised benefits realized?).

o Determine the benefits and the available alternatives for

increasing them through interviews with key product contributors or an investigation of baseline and audit data.

o Consider staff and equipment performance for each product.

Identify areas of concern in achieving the previously

determined system requirements. As a result of this

exercise, develop a set of alternative strategies for

improving the system or establish new system requirements.

o Develop a table comparing the office work analysis data from

both the baseline and audit review efforts, if an office

work analysis was done for both efforts.

All conclusions reached from the above comparisons form the basis

for the review team's report to organizational management.

8.2.4. Conclusions and Recommendations

As a result of these audits, management may decide to take

further action towards improving the office automation system.

These actions could involve procedural changes pertaining to

59
Exhibit 8-1: Post - implementation "Mini" Review

REVIEW BY QUESTIONNAIRE:

This t3^e of review consists of questionnaires designed to document

achievements, implementation problems, and changes needed. The

questionnaires are provided to the line manager and/or key contributor. As part of the questionnaire, the manager or key contributor

would be asked to provide a simple narrative description of how the

office system is currently being used along with any procedural

problems remaining after the implementation phase.

From the questionnaire, the review team produces a report detailing

its findings and recommendations. This report would be less formal

than the one for large systems and render a more narrative account

of the system's progress toward achieving its promised goals

SITE INSPECTIONS:

Periodic walk-through site inspections should be conducted to verify

continued operability of the system. These inspections often uncover

procedural problems, unused or under-utilized systems, or new uses

not originally envisioned during the design phase. Site inspections

can also provide a means of verifying the data obtained by other coUecttion methods, e.g., by questionnaire.

60
system use, acquisition of additional or more enhanced equipment,

or implementinq the next phase of the system, assuming a partial

implementation schedule. The purpose of such actions, in all

cases, is to correct existing problems or make an effective

system even better.

8.3. TAILORING THE REVIEW

All the review activities should be performed. However, the

scope, formality, and depth of the review may vary depending on

the importance of the automation project to the organization

and/or the size of initial investment and future investments.

The review can be appropriately sized by modifying the steps as

described in the section on "tailoring" in each of the previous

chapters. Exhibit 8-1 provides an example of how the data

collection and analysis activity can be modified to "scale-down"

the review. By collecting data via questionnaires and

site-inspection, the remainder of the activities are also

abbreviated. Conversely, an in-depth review might entail

performing a comprehensive review as outlined in this chapter

every five years, with a "mini" review performed annually.

Regardless of the review structure, the review team must ensure

that the objectives of the audit review are met.

61
9. SUMMARY ADVICE

This guideline has presented a structured approach for

determining the feasibility and practicality of implementing or

expanding office automation systems to effect productivity

improvements in Federal agencies. The study method describes the

performance of seven major phases.

These phases are complex, yet can be successfully accomplished if

caution is continually exercised during the course of the study.

The following paragraphs are intended for users of this guideline

as reminders of the key points discussed in the previous

chapters. The paragraphs are organized by chapter/section title

so that the reader may refer to the guideline for a more detailed

discussion

.

PRELIMINARY STUDY ACTIVITIES (Chapter 2)

o Selecting the Study Team (2.1) — Team member selection

is important for a successful study effort. If

individuals possessing the necessary experience are not

available within the organization, it is advisable to

seek outside assistance.

o Determining the Study Scope and Size (2.2) — The study

scope and size should be appropriately defined and relate

to the size of the organization, the estimated size of

the office automation procurement budget, and to the

availability of staff resources.

The study scope can be limited to a few predetermined key

products, a small sector of the organization, and/or to

specific product preparation phases.

o Notification of the Study (2.3) — All employees within

the study area are informed of the impending study.

o Initial Office Research (2.4) — Organizational goals,

policies, and standards are reviewed and used as

background information.

A list of all products produced by the organization is

prepared and candidates for the senior manager interviews

are identified.

o Roles and Responsibilities (2.5) — The study involves

four groups of participants ranging from organizational

management to support personnel. The roles and

responsibilities of each group should be clearly defined.

62
o Tailoring the Preliminary Activities (2.6) -- All

preliminary activities must be performed since they

establish the structure of the report.

DATA COLLECTION (Chapter 3)

o Study Tools (3.1) — A set of study tools are developed

and used to assist the study team in acquiring the

necessary information about the current office

environment.

o Senior Management Interviews (3.2) — Senior managers

narrow the focus of the study to certain prioritized

products labelled "key products".

General information is obtained on the key product

preparation activities, key contributors, workflow and

workloads, and office automation expectations as well as

suggestions and recommendations to the study effort.

o Key Contributor Interviews (3.3) — In preparation for

the interviews, questionnaires are distributed in advance

to the key contributors and the previously collected data

on organizational policies, standards, etc. is reviewed.

The data gathered provides details about the specific

activities performed by the key contributors, such as

time to complete the activity, format of the product

data, and interfaces with external sources and/or other

people.

Current use and knowledge of office automation

technologies and attitudes towards the prospect of

automation are noted.

Data related to the general office work, that is,

background activities not directly related to the key

products, is collected for ten working days.

o Collating. Validating, and Summarizing the Data (3.4) —

Once the data collection period is completed, a decision

is made on whether an acceptable percent of response has

been received from both professional and support staff.

Follow-up interviews are performed when necessary.

If a significant variance exists between the data

collected, additional interviews are performed to resolve

the variance.

The data is either summarized by functional unit and then

collected into an organizational summary or compiled

directly into an organizational summary.

63
o Tailorincf the Data Collection (3.5) — The effort to

collect data can be reduced by limiting the number of key

products and/or the number of days office work is to be

collected

.

OFFICE BASELINE ANALYSIS (Chapter 4)

o Key Product Analysis (4.1) — The collected data is

examined and analyzed with respect to the levels of

effort required to prepare a key product and to the

quality of work being performed.

Level of effort data is based on estimates of the number

of hours expended by key contributors to produce the key

products. A matrix is prepared that summarizes the

analyzed levels of effort for each key product.

Quality of work is based on subjective evaluations of the

effectiveness of key product preparation activities.

Work quality can be defined by such measures as

timeliness, completeness, responsiveness, and accuracy.

A table is prepared that summarizes the levels of quality

for each key product.

o Office Work Analysis (4.2) General office work

activities not directly related to the key products are

examined and evaluated.

Statistics are provided on how individuals work, the time

expended on particular activities, and perceptions of the

current office environment.

c Examining the Analyses Results (4.3) — If significant

differences exist between the key product and office work

analyses, the reasons for the variances must be resolved.

An initial identification of the key products which are

most likely to benefit from office automation is made.

o Tailoring the Analysis (4.4) The effort expended to

perform the analysis is influenced by the type of

measurement chosen (i.e., definitive or less tangible

measurement) and the number of activities and quality

criteria examined.

DESIGNING THE OFFICE AUTOMATION SYSTEM (Chapter 5)

o Determining the System Requirements (5.1) — System

requirements are statements of design intent and answer

the question "What is the system required to do?"

64
They are derived by comparing the baseline data to a set

of key product goals and from the improvement

opportunities identified during the baseline analysis.

They should reflect the projected status of the

organization at least two years in the future. Any

number of requirements can be proposed.

The proposed requirements are prioritized and presented

to organizational management for approval and/or

modification.

o Creation of a System Design Model (5.2) -- The system

design model is a listing of modifications that can

potentially improve the baseline key product preparation

processes. The modifications can be achieved through

organizational, procedural, and technological changes.

The behavioral and staffing impacts of the modifications

must also be considered.

A model is prepared that incorporates only those

modifications that will significantly affect the

achievement of the system requirements.

The model should be consistent with organizational

information resource management strategies and compatible

with existing office automation systems.

A new set of key product flow diagrams are prepared

showing the modifications to the baseline preparation

processes. All components of the system design model are

employed, but not necessarily within each key product

flow.

A table is prepared to indicate the projected

improvements to be achieved for each key product.

o Tailoring the System Design (5.3) — If previous phases

of the study have been modified, it naturally follows

that this phase will be also. Care should be taken to

ensure that the system requirements are not abbreviated

so as not to create an incomplete design model.

For small studies, evaluation of the design model may be

less formal.

DEVELOPING FUNCTIONAL SPECIFICATIONS FOR THE OFFICE AUTOMATION

SYSTEM (Chapter 6)

o Developing Functional Specifications (6.1) — Functional

specifications describe the performance required of the

65
system component. This can be expressed in terms as

capabilities, degrees of precision, or operating

characteristics

.

Functional specifications are developed from two sources;

the system design model and new key product flow diagrams

which identify the generic hardware and software tools

needed to accomplish the automation objectives and the

baseline analysis summary which contain information on

types of work, complexity of work, workloads, and work

patterns

.

Using these sources, the review team proposes specific

performance characteristics for each component of the

system.

Specifications are expressed in functional terms to

promote full and open competition between responding

vendors to the procurement solicitation.

o Examination of Functional Feasibility (6.2) -- An

assessment is made to ensure that the functional

specifications conform to Federal or Agency standards and

are achievable, presently available and demonstrable from

several different vendors. The proposed specifications

should adhere to Agency standards for connectivity and be

in consonance with long range automation plans.

Caution is continually exercised so as not to narrow

available sources to one vendor, when possible.

o Preparing a Representative Configuration (6.3) —

Information regarding the required number of units is

derived from the system design model, the new key product

flow diagrams, and the baseline productivity profile.

The estimated average purchase costs for these units are

calculated through a review of the previously indicated

office automation periodicals, vendor brochures, and the

GSA schedule.

Alternative configurations should be explored to verify

that the functional specifications and representative

configurations are the best solution to the design model.

o Tailoring the Functional Specifications (6.4) — The

development of functional specifications can be

simplified by using existing standards and vendor

agreements, and by modifying or reusing previously

developed functional specifications.

66
BENEFIT COST ANALYSIS FOR IMPLEMENTING THE OFFICE AUTOMATION

SYSTEM (Chapter 7)

o Selecting a Benefit Cost Analysis Method (7.1) -- There

are numerous benefit cost analysis methods, each

providing a different level of detail and/or using a different analysis techniques.

Selecting a method depends on when the analysis is

performed, who will review the analysis, and what the

focus of the analysis should be.

o Elements of System Costs (7.2) — The study team

identifies all one-time, recurring, and intangible costs

associated with implementing the office automation

system.

One-time costs include such items as equipment,

implementation analysis, programming, initial training.

Recurring costs include such items as equipment

maintenance, materials and supplies, required key product

contributor efforts.

Intangible costs include such items as reliability,

portability, obsolescence, usability.

o Elements of System Benefits (7.3) — System benefits are

classified as either tangible or intangible.

Tangible benefits relate to quantitative items such as

increased workload, reduced levels of effort , reduced

operational costs, increased revenues.

Intangible benefits relate to qualitative items such as

improved service, improved customer relations, more

timely information, increased job satisfaction.

o Justifying the Office System (7.4) — The justification

should provide general information on the proposed system

and analysis process, include the actual benefit cost

analysis, and present conclusions and recommendations.

General information should contain a description of the

office environment before and after implementation of the

proposed system and a list of all assumptions and related

documents

.

The detailed benefit cost analysis is presented for the

proposed system and each alternative.

67
The benefits to be expected form the automated system,

the expected cost, and expected savings are summarized

and a course of action recommended to management.

o Tailorincf the Justification (7.5) — An analysis method

requiring fewer details and less rigor may be appropriate

for smaller studies. The costs, benefits, or projection

period should not be manipulated to alter or bias the

analysis results.

POST-IMPLEMENTATION REVIEW (Chapter 8)

o Planning the Review (8.1) — Post-implementation reviews

should be incorporated into all office automation project

plans. As part of this requirement, an ongoing program

is established to measure and report the changes

resulting from automation of office processes.

A review team should be established and ideally composed

of different individuals than those who participated in

the initial requirements study. The size of the teams

will vary depending on the size, complexity, and relative

importance management places on the post-implementation

review program.

The timing associated with performing an audit is an

important factor contributing to valid results; if done

too soon after implementation, meaningful results will

not be achieved because of inadequate system break-in

time

.

o Review Activities (8.2) — The primary audit objective is

to determine if the implemented system has achieved or

surpassed the system goals.

The scope of the review should be related to the size of

the office automation system, the importance of the

system to the organizations, and/or the budget allocated

for future office automation investments.

The procedures employed during the post-implementation

audits are similar to those followed during the initial

feasibility study, although there are modifications to

the data collection forms.

The comparison between pre-implementation expectations

and post-implementation results reveals whether or not

the system requirements are being achieved.

All conclusions reached from these comparisons form the

basis of the audit team report to organizational

management. The report recommends to either proceed with

68
ongoing operations, fine-tune the system to achieve the

desired results, or totally redesign the system.

New recommendations concerning further improvements to be

achieved through office automation are also presented in

the audit report.

o Tailorincf the Review (8.3) — All the review activities

should be performed, but the scope, formality, and depth

may vary.

Each chapter of the guideline should be thoroughly reviewed by

the study team before embarking on any activity described herein.

Additionally, organizations should approach office automation in

a cautious, organized manner, understanding that not all areas of

the office are susceptible to automated improvements.

As a final caution, management must recognize that the value of

office automation improvements will be optimized only if the

newly available time of professional and support staff is

directed toward new or additional activities designed to improve

organizational effectiveness. This is the challenge to

organizations that are deciding to introduce office automation or

any other types of improvement measures.

69

10. REFERENCES AND RELATED READING

Alavi, Maryam, "An Assessment of the Prototyping Approach to

Information Systems Development", Communications of the ACM . Volume 27, Number 6, June 1984.

Chairper, Bret, "A Blend of Office Systems and Corporate

Objectives", IBM Information Processing . September 1984.

Conrath, Higgins, Thachenkary, and Wright, "The Electronic Office

and Organizational Behavior - Measuring Office Activities",

Computer Networks , Volume 5, 1981.

"Cost Justification of Office Systems: A Guide for Managers",

International Data Corporation, Continuous Information

Services, 1984.

Gane, Chris and Sarson, Trish, "Structured Systems Analysis:

Tools and Techniques", Prentice-Hall, Inc., N.J., 1979.

"Economic Analyses of Low Cost Automated Information Systems",

Department of Transportation, 83034-DOT, March 1983.

Executive Order 12352, "Federal Procurement Reforms, (Appendix

D) ", March 17, 1982

.

Executive Order 12552, "Productivity Improvement Program for the

Federal Government", February 25, 198 6.

Ferrand, Michael and Fairhead, Neil, "Office Automation in

British Rail - On Delivering Value to End Users",

Information and Management ^ Volume 7, August 1984.

"Guidance on Requirements Analysis for Office Automation

Systems", National Bureau of Standards, NBS Special

Publication . 500-72, December 1980.

"Guidelines for Documentation of Computer Programs and Automated

Data Systems for the Initiation Phase", National Bureau of

Standards. Federal Information Processing Standards

Publication , August 1, 1979.

Ives, Blake and Learmonth, Gerard, "The Information System as a Competitive Weapon", Communications of the ACM , Volume 27

Number 12, December 1984.

Martin, Gerald, "What is the Value of Investment in Information

Systems?", Svmposium on the Economics of Information

Processing , IBM Systems Research Institute, New York City,

December 1980.

71
Meyer, N. Dean, "How to Design a Nonrestrictive Microcomputer

Policy", Data Communications . October 1985.

National Archives Records Administration, "Memorandum to Agency

Records Officers: Identifying, Describing, and Scheduling

Electronic Records", Number NX 10.36, August 22, 1986.

"Office Systems Feasibility Study, Implementation and Operational

Guidelines", U.S. Environmental Protection Acfency, Office of

Information Resources Management . January 1985.

Office of Federal Procurement Policy Act Amendments of 1983,

Public Law 98-191, 98th Congress, December 1983.

0MB Circular No. A-11, Revised, Transmittal Memorandum No. 57,

May 28, 1986.

0MB Circular No. A-13 0, December 12, 1985.

0MB Memorandum, "Preparation of Benefit-Cost Analyses for Major

Information Technology Initiatives Contained in Budget

Request", July 7, 1986,

Osborne, Wilma and Rosenthal, Lynne, "Metrics and Techniques to

Measure Microcomputer Productivity" , National Bureau of

Standards. NBSIR 85-3138 . December 1984.

Panko, Raymond, "Productivity Trends in Certain Office-Intensive

Sectors of the U.S. Federal Government", ACM Transactions on

Office Inform.ation Systems , Volume 3, Number 4, October

1985.

Rossi, Andria, "Guide to Integrated Office Systems", Seybold

Publications, Inc. 1984.

Sassone, Peter G. and Schwartz, A Perry, "Cost-Justifying OA",

Datamation ^ February 198 6.

Strassmann, Paul, "Information Payoff, the Transformation of Work

in the Electronic Age", The Free Press, N.Y. , 1985.

Tapscott, Don, "Office Automation, A User-Driven Method", Plenum

Press, 1982.

Tapscott, Don, "OA Banks on Connectivity", Datamation . March 15,

1986.

Thybony, William W. , "Government Contracting, Based on the

Federal Acquisition Regulation (FAR)", Thybony, Inc. 1984.

72
APPENDIX A

TYPICAL LIST OF PRODUCTS

SAMPLE

1. Correspondence

Letter

Memorandum

Message

2. Reports

Budget Initiatives

Case Study

Fiscal

Management

Material Deficiency

Personnel

Project Status

Technical

Trip

Weekly Activities

Action Item List

Administrative Notice

Change Order

Configuration Change Status Report

Contract Funds Status Report (CFSR)

Contract Management Systems Checklist

Cost Estimate

Data Management Report

Delivery Order

Engineering Change Proposal (ECP)

Environmental Assessment

Independent Cost Analysis (ICA)

Invitation for Bid

Integrated Logistics Support Plan (ILSP)

Life-Cycle Cost Study

Military Construction Program Reporting

Procurement Directive

Procurement Plan

Program Management Directive

Program Management Plan

Quarterly Resources Report

Request for Proposal (RFP)

Sole Source Justification

Staff Meeting Agenda (and Report)

Statement of Work (SOW)

System Safety Program Plan

Technical Evaluation and Report

Training Plan

3 . Documents

A76 Cost Comparison

A-1
4. Forms: Data Item Description

Inspection and Acceptance Document

Military Order

Personnel Action Request

Position Description

Printing Request

Purchase Request

Report of Survey

Security Classification Guide

Time Card

Travel Request

Work Order Request

5. Services: Electronic Bulletin Board

Information Tracking

Response to Inquery

Technical Assistance

6. Reviews/Briefings: Business Strategy Panel Meeting

Command or Senior Officer Briefing

Division Advisory Group (DAG) Review

EEO Review

Executive Management Review (EMR)

Financial Management Board Review

Internal Management Review

Periodic Program Review

Program Management Review (PMR)

Quarterly Financial Review

Scientific Advisory Board (SAB) Meeting

7. Audiovisual Aids: Briefing Board

Briefing Text

Graphic Aid

Vugraph

35mm Slide

1

A-2
APPENDIX B

DEFINITION OF TERMS

Key product preparation activities are composed of both tasks

and functions where professional contributions are defined as

tasks and support contributions are defined as functions.

Tasks

Plannincf - Formulating an idea to be expressed in written or

graphic form that lays out a method for achieving an end (e.g.,

scheduling)

.

Consulting - Giving advice or exchanging opinions with colleagues

(superiors, peers, or subordinates) to discuss or consider a wider range of viewpoints. Consulting might be accomplished by

telephone, telecommunications (e.g., electronic mail), a meeting,

or an individual face-to-face encounter.

Collecting Data - Assembling facts from various sources to use in

preparing documents or responses to inguiries.

Evaluating, Sorting, and Analyzing - Examining and judging

material to assess its value.

Preparing Drafts - Transferring thoughts from one's mind into

another medium (usually paper) either with a writing tool or by

use of mechanical or electronic means.

Reviewing and Revising Drafts - Performing a critical evaluation

of work (yours or others) with the expected outcome of change in

format, grammer, or content.

Coordinating - Circulating a document or response to inquiry for

comment as to content or procedure. It is usually accomplished

by written annotation, telephone, or electronic transfer of

information

.

Obtaining Approvals - Requesting approval of a decision maker to

proceed with an action, document, or response to inquiry.

Disseminating - Dispensing material to a list of authorized

recipients

.

Maintaining Records - Assembling and holding materials in some

container in an orderly manner that assists in quick recovery.

For the professional, it may be a data base management system,

desk drawer, notebook, file folder, or small container.
Functions

Typing - Preparing materials through use of a typewriter or

computer-based system (e.g., word processor, or personal

computer)

.

Dictating - Speaking for someone else to write down or for

recording on some medium.

Transcribing -- Copying from one medium to another or producing

typed material from dictation.

Filing - Arranging material (usually on paper or computer) into a particular order for future reference.

Duplicating - Making copies through use of a copier or

duplicator.

Distributing - Sending or taking materials to authorized

recipients and filing areas.

Printing - Producing typed pages of previously input material.

Communicating - Using automated equipment to transmit materials

to remote location.

Data Processing - Inputting, processing, and/or outputting

material under the control of a stored program.

B-2
APPENDIX C

SENIOR MANAGEMENT INTERVIEW GUIDE

SAMPLE

Obi ectiveTo narrow the focus of the study and to obtain an

overall scheme of the office processes and

information needs.

Topics

1. Major Office Functions

o office mission and overall responsibilities

o staffing levels

o interactions with other organizational units (internal

and external to the organization)

2 . Key Products

o high priority products and reason for importance

o products that staff spends most of their time on

o product preparation considerations, i.e., turn around

time, format, approval cycle, volume/frequency, print

quality, timeliness

3. General Workflow

o key contributors

o key product development path (information flow)

o automated systems being used

4. Office Automation Expectations

o desired applications for automation

o long and short term objectives for automation

C-1
3 . Automated Systems

o Automated systems used

what extent

how useful

o Knowledge level

skills

training

o Attitude

o Problems

4 . Maintenance

o Files on the product or work performed

paper files

electronic files

who files and maintains them

o Any follow-up work

5. Interpersonal Communications

o Meetings

schedule

travel

attend

o Telephoning

initiate call

answer

return

o Correspondence

answering messages, mail

sending messages, mail

6 . Summary

o Suggestions: organizational, procedural, or

technological for improvement to product preparation or

office

.

C-2
APPENDIX D

SOURCE IDENTIFICATION GUIDE

SAMPLE

Objective; To obtain structural information about the study

area by identifing key contributors and the key

product preparation activity they perforin.

PRODUCT

ACTIVITY CONTRIBUTOR & POSITION LOCATION PHONE

(list chronologically)

PRODUCT

ACTIVITY CONTRIBUTOR & POSITION LOCATION PHONE

(list chronologically)

PRODUCT

ACTIVITY CONTRIBUTOR & POSITION LOCATION PHONE

(list chronologically)

D-1

APPENDIX E

QUESTIONNAIRES

SAMPLE

Objective: To obtain information on the activities performed, types of

automated systems used, and support required.

PROFESSIONAL QUESTIONNAIRE : OFFICE WORK ACTIVITIES

Date:

Name Years in Present Position

Title Years with Organization

Office Full Time Part Time (#hrs ) JOB CHARACTERISTICS

1. Was your workload during the study period:

lighter than normal

normal

heavier than normal

2 . Are you now performing any administrative functions that could be

delegated to a secretary if the support were available?

typing posting information

proofreading preparing forms/longhand

photocopying/collating math calculations

filing research

telephone coverage maintaining office

mail sorting/delivery business errands

composing letters, etc. using facsimile

taking dictation other (what? ) Can you think of any repetitive activities you perform (e.g.,

recordkeeping, math computations, data analysis, drafting document,

etc.) that could be done more effectively using automated tools?

yes no

If yes, please describe

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APPENDIX F

KEY PRODUCT TRACKING GUIDE

SAMPLE

Obi ective

;

To list the key product preparation activities

from input of initial data to final product, to

show the workflow, and to identify other

contributors

.

CONTRIBUTOR

PRODUCT

(list chronologically)

ACTIVITY RECEIVE SEND OTHER CONTRIBUTORS

FROM TO (location & activity

performed)

PRODUCT

(list chronologically)

ACTIVITY RECEIVE SEND OTHER CONTRIBUTORS

FROM TO (location & activity

performed)

F-1

APPENDIX G

KEY PRODUCT INTERVIEW GUIDE

SAMPLE

Objective: To further define and clarify the data collected

via the key product worksheets and questionnaires.

Name

Date

Product

Topics;

1. Task Description

o What triggered your involvement

o Details of accomplishing task

o Information received from other people

from where?

how (e.g., mail, telephone, electronically)

o Information received from other sources (e.g., data

bases, library)

from where?

how?

o Criticality of information received

2 . Processing

o Manipulation of information received, so it is useful

how much

what type

ease

o What is done to the information received (processing)

o Type of output produced

o Quality factors

o Problems or delays

G-1

APPENDIX H

KEY PRODUCT WORKSHET

SAMPLE

Objective : To compile the level of effort data for each key

product. (Developed from the daily activity logs.)

Activity ; FUNCTIONS

TASKS PROFESSIONAL BY BY SUPPORT

PERSON HOURS PROFESSIONAL (type &

(type St hours)

hours)

Planning

Consulting/

meetings

Collecting

Data

Sort &

evaluate

data

Preparing

draft

Coordinating

Obtain

Approvals

Disseminate

Maintain

Records

SUPPORT

TYPE

FUNCTIONS

1. Typing

2. Dictating

3 . Transcribing

4. Filing

5. Duplicating

6. Distributing

7. Printing

8 . Formatting

9. Proofreading

H-1

APPENDIX I

DAILY ACTIVITY LOGS

SAMPLE

Objective; To collect time/volume data on professional and

support activities.

PROFESSIONAL LOG

Name Job Title

Directions: List the task performed and answer the following

questions about each task.

Task and brief description:

1. Was the task accomplished by a totally manual process or was

an automated system used?

2 . How many hours did it take?

Hours spent doing it manually

Hours spent using automated system

Total Hours:

3. List the automated systems used in completing the task

4. Were any support-type functions performed to complete the

task?

By someone else

By you, and why

Hours spent on this function

I-l
SUPPORT LOG

Name Job Title

Directions

;

Check the functions performed and fill-in the

appropriate information in the corresponding space. Add any

functions that are missing.

Function Performed Equipment Hours What was

Manually? Used Spent produced & size?

(e.g., # of pages)

taking

dictation

transcribing

typing

photocopy/

collating

filing

telephone

coverage

mail sorting/

delivery

preparing

forms

posting

information

using facsimile

composing

letters

doing math

calculations

researching

1-2
APPENDIX J

TECHNOLOGY ASSESSMENT

This appendix describes some of the technologies available for

assisting professional and support staff perform office activities. Office systems can be described by equipment types (word

processors, copiers, etc.) or by application (electronic mail,

calendaring, desktop publishing, etc) or by function such as data

capture, processing, storage, or distribution)

.

One problem in attempting to describe office technologies is that

they are converging with new systems components being created

from a combination of the three traditional information processing technologies; office automation, data processing, and voice

communications. An example of this phenomenon is the personal

computer which can perform word processing as v/ell as data

processing functions. When designing new office systems, this

integration of technologies should be taken into consideration.

Technological integration occurs at several levels in office

systems. These include integration of:

Tools Office systems software such as calendars, file

distribution and archiving, electronic mail, and word

processing are supported under a single operating system

which allow inter-system communication.

Media New system components will increasingly integrate

voice, text, data, and image into the same files and system

capabilities

.

Organizational procedures Training, technical and reference

manuals, system hardware diagnostics, and suggested

approaches to organizing workflow will be embedded in the

design of office systems.

Communication channels New forms of office systems which

provide multi-channel facilities such as voice, video

conferencing and traditional text and data transmission will

be available.

Integrated office systems are hardware, data management,

communications and software which when combined create an

environment capable of capturing, processing, storing, retrieving

and distributing organizational products and services. For the

purpose of this guideline, these technologies are categorized

into four phases of production preparation.
Information Capture Technolocfies (Input Phase) include the

conversion of ideas or thoughts into complete and concise verbal

or written communications. Representative equipment include:

Personal Computer Workstations — provide professional and

support staff opportunities to directly interact with office

systems via video displays. Using typewriter keyboards with

video display the staff can author products, retrieve

information from system databases, or distribute files to

others. Workstations support general administrative

activities by providing text processing, financial analysis

(spreadsheets) , graphics, communications and database

systems at one's desk.

Data Scanners — Optical character readers, bar code

readers, and image cameras provide an automated capability

to capture previously created information in machine

processable format.

Dictation Equipment — Designed for local and/or remote

capture of voice messages for subsequent translation to

machine readable formats.

Information Processing Technologies (Production Phase) consist of

processing or manipulating the ideas or thoughts created and/or

stored during the input phase. Increasingly, this phase is being

accomplished by the individual with a desktop computer.

Departmental minicomputers and central computers perform special

processing activities involving large centralized data base

search and extraction, special graphics generation, and

integration of organizational planning activities (i.e., calendar

management, electronic messaging.

Departmental Minicomputers — Medium scale multi-user

systems designed to provide integrated support services to

groups of office staffs.

Multi-function Workstations — Desktop personal computers

configured with application software to perform text and

data processing tasks.

Integrated Office Software Systems — A set of software

including desktop tools (calculators, telephone directories,

personal diaries and calendars) , text processing, electronic

mail, correspondence filing systems, document interchange,

and access to data processing facilities (batch job

execution, compilers, etc.)

Information Storage and Retrieval Technologies (Output Phase)

encompass the storage and generation of electronic, optical or

hard copy documents. In many instances, this phase may be

indistinguishable from the capture and processing phases.

J-2
particularly for personal computer workstations. A

distinguishing feature of this phase is that no further

processing is required before final printing and/or distribution.

Representative equipment includes:

Printers — A variety of devices that convert stored data

into a formatted hard copy document. Most will connect to a computer allowing machine readable data to be printed.

There are several varieties on the market. Non-Impact

printers (Dot Matrix) are generally inexpensive and can

produce near letter quality printing. They are ideal as

personal printers. For letter quality printing, the laser

jet printer offer speed and multiple print fonts.

Publishing Systems -- Prepares finished, typeset quality

copy using a variety of type faces and font sizes. Combined

with laser printers they provide a convenient way to produce

high quality printing.

Micrographics — Reduces document storage space requirements. Microform types include roll, jackets, fiche, and

aperture cards. Microform location determination can be

accomplished by coding the film as documents are

photographed. Retrieval devices range from mechanical

reader-printers to automated terminals. Computer output

microfilm (COM) and computer generated graphics are included

in this group.

Optical Disks — Provides an inexpensive way to store for

later retrieval very large amounts of data or images.

Optical disk storage media is transportable and does not

require expensive equipment for information retrieval.

Information Interchange and Distribution Technologies (Output

Phase) involve the transfer of information between office

automation workstations. Special formatting and/or conversion

may required before information can be used by receiving

workstation. Representative equipments and systems include:

Smart Copiers — Directly convert digital signals into

images for output. Print requests and information are

usually received via hardwired attachment or communication

lines

.

Facsimile (FAX) — Relay alphanumeric and graphic information to remote sites through ordinary telephone lines or

private transmission lines.

Executive telephones — Aids the professional in daily

communications and personal computing needs.

J-3
Local Area Networks (LANs) — Provides peer to peer communications between workstations. Disk storage, printers and

communication links can be shared.

J-4

U.S. GOVERKMENT PRINTING OFFICE: 1987-1 8 1 -0 7 6 /6 0 0 3 1
NBS-n4A IREV. 2-8C) U.S. DEPT. OF COMM. BIBLIOGRAPHIC DATA

SHEET (See instructions)

1. PUBLICATION OR

REPORT NO. NBS/SP-500/147

2. Performing Organ. Report No. 3. Publication Dace

March 1987

4. TITLE AND SUBTITLE ^Computer Science and Technology:

Guidance on Requirements Analysis for Office Automation Systems

(Update: NBS SP 500-72)

5. AUTHOR(S)

Lynne S. Rosenthal, E. Parker, T. Landberg, S. W. Watkins

6. PERFORMING ORGANIZATION (if joint or other than NBS. see instructions)

NATIONAL BUREAU OF STANDARDS

DEPARTMENT OF COMMERCE

Gaithersburg, MD 20899

7. Contract/Grant No.

8. Type of Report & Period Covered

Final

9. SPONSORING ORGANIZATION NAME AND COMPLETE ADDRESS (Street. City. State, ZIP)

Same as item 6.

10. SUPPLEMENTARY NOTES

Library of Congress Catalog Card Number:87-61 9807

I I Document describes a computer program; SF-185, FlPS Software Summary, is attached.

11. ABSTRACT (A 200-word or less factual summary of most significant information. If document includes a significant

bibliography or literature survey, mention it here) This report is designed to help managers maximize the benefits to be achieved

through the application of office automation technologies. It presents a systematic

planning method which will guide the manager to technology solutions which can improve the quality, efficiency, or effectiveness of an organization's products or services. Planning for office automation is accomplished through a requirements

analysis study. The study can be initiated in response to installing office

automation systems in a non-automated office or acquiring additional systems for an existing automated environment. This report provides guida'nce in the overall process

of determining requirements for office automation systems.

12. KEY WORDS (Six to tweive entries; alphabetical order; capitalize only proper names; and separate key words by semicolon s) Benefit cost analysis, computer based office systems, office automation, post

implementation audit, requirements analysis, system design model

13. AVAILABILITY

Unl imited

I ^ For Official Distribution. Do Not Release to NTIS

Order From Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402.

Order From National Technical Information Service (NTIS), Springfield, VA. 22161

14. NO. OF

PRINTED PAGES

105

15. Price

USCOMM-DC 6043-PE

ANNOUNCEMENT OF NEW PUBLICATIONS ON

COMPUTER SCIENCE & TECHNOLOGY

Superintendent of Documents,

Government Printing Office,

Washington, DC 20402

Dear Sir:

Please add my name to the announcement list of new publications to be issued in the

series: National Bureau of Standards Special Publication 500-.

Name

Company

Address

City State Zip Code

(Notification key N-503)



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Order the above NBS publications from: Superintendent of Documents, Government Printing Office,

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