Appendix E: Introduction to Participants in Information Requirements Study
E1. SCOPE
An Information Requirements Study (IRS) uncovers the required information, information systems, and procedures needed for the execution of business functions.
IRS is performed whenever the organization needs important changes and improvements in the way it is doing business for many different reasons:
• Legal changes
• Market condition
• New products
• Merging with other organizations
• Splitting up activities into separate organizations
IRS is performed at three levels of the analyzed organization:
1. Section level, which includes employees and managers from the operational areas such as Stock Control, Accounting, Sales Order Handling, Production Planning, Client Service, Back Office, Trade Desk, etc. dealing directly with production, acquisition, sales, and delivery of the corporate products. The sections are defined especially for IRS to ensure that all business functions are covered by the study
2. Departmental Management level, which includes managers who are responsible for the planning of coherent operational activity, such as financial management, production management, logistics, quality, portfolio management, compliance, etc. Also on this level it is ensured that the managers cover all business functions.
3. Executive Management level, which includes leaders who are responsible for the organization’s policies and the strategic initiatives.
The IRS process, including selection of interview/review participants, is coordinated by a cross-organizational IRS Reference group and an IRS Workgroup. The IRS Workgroup with a facilitator (most often external to the studied organization) and an internal IRS project manager supported by a member of the IRS Reference group perform all studies/interviews on all IRS levels.
The resulting documentation is produced by the IRS facilitator in collaboration with the interview participants (documentation owners), the IRS project manager, and the IRS Reference group.
E1.1 Product
The IRS result is presented as a set of reports of which the concluding IRS consolidated report is a requirements specification for one or more solution components. A solution in this context is a complex combination of:
• Organizational change requirements (business roles, functions, procedures)
• Requirements to IT-based information systems
• IT requirements (technology, security, safety, reliability, integrateability, availability)
Each IRS result explains:
• Why the suggested solution is required
• Why an existing solution can been used
• Why an existing solution has been made obsolete or needs improvement
In this way IRS creates a commonly accepted foundation for future programs and projects concerned with planning, development, implementation, and governance of corporate information system solutions.
The IRS consolidation process uses Object Lifecycle Analysis and documents types such as:
• Cross-reference tables
• Entity Relationship Diagrams (ERD)
• Data-flow diagrams (DFD)
• Create, Read, Update, and Delete (CRUD) tables
The document types are tools for data and process normalization.
The normalization of data and processes ensures solution integrity and consistency.
E1.2 Objective
The requirement for information is documented in such a way that it visualizes how the users of the future solutions can optimize their working processes and their roles and behavior on operational and management levels.
E1.3 IRS Terminology
E1.3.1 Objects and Entities
We do not regard these as different for the purpose of IRS. Entities is a practical term from relational database terminology which fits the normalization need well, while objects is a term from object-oriented system development that fits our need for open systems well.
You don’t need to regard them as different.
E1.3.2 Interviews
IRS interview reports are created based on interviews or workshops.
Each IRS interview is performed with participation of:
• Interviewers are the IRS facilitator and the IRS project manager (the IRS Workgroup).
• A key person from the IRS Reference group participates if possible in all interviews.
• Interviewees are selected employees and managers from the business functions covered by the interview, that is, the best available experience and knowledge motivated for change.
The selected persons prepare themselves for the interview by collecting pertinent documentation used during their business processes as results or guidelines (e.g., Quality System documentation, forms, etc.).
The interviewers and the IRS Reference group key person support the interviewed employees and managers to describe:
• Responsibilities (Why)
• Work processes (What)
• Information requirements (available or not available, needing or not needing improvement)
• Communication with internal and external organizations
The final report is approved and owned by the interviewees and it can only be updated by the interviewees.
E1.3.3 Sections
A section is a logical organizational unit on an operational level that is specific to the conduction of the IRS. The section is responsible for the quality of a set of results that are used inside the section or by other sections in the pursuit of delivery of high quality results to the users and buyers of the corporate products.
Employees in a logical section are dealing with related tasks in order to deliver complete and consistent results, which comply with the overall policy and strategy of the corporation.
Normally 1 to 4 employees from a section possess all knowledge and experience needed.
Managers and employees in a section are normally concerned with the following types of information and functional relationships:
E1.3.4 Departments
Managers on a departmental level use their information for decision support in short- and long-term decision-making processes.
Departmental managers are normally concerned with the following types of information and functional relationships:
On this basis, the Departmental IRS report gets a structure (see below), which reflects this assumption.
E1.3.5 Executive Board
Executive board members are normally concerned with the following types of information and functional relationships:
On this basis, the Executive Board IRS report gets a structure (see below), which reflects this assumption.
E1.3.6 Consolidation Workshop and Consolidated IRS Report
The IRS consolidation is finally performed by the IRS Reference group and the IRS Workgroup who produces the consolidated IRS report.
When the IRS process is ready for consolidation after approval of all interview reports, new members of the IRS Reference group might be required in order to ensure state-of-the-art and business compliant recommendations prior to approval by the sponsor (the Strategy Governance group).
The IRS consolidation workshop establishes a common terminology, which is used in the IRS Consolidated Report. This report describes the structure and contents of required information, and it describes the information systems, the technology, and the business functions, which are required in order to ensure availability, reliability, validity, security, and consistency of this information.
E1.4 Procedure
All participants receive this introduction and participate in one or more kick-off presentations (3 hours’ duration), where their roles and responsibilities are outlined and agreed to, and the expected results are presented.
There is one interview and 1 to 2 reviews for each section and each manager/management group.
It is recommended that participants in interviews prepare themselves by listing their current and future requirements for information in support of their tasks and decisions in connection with:
• Planning and controlling work procedures
• Reporting requirements from/to internal and external sources
It is recommended that the participants bring documentation and other examples covering:
• Forms and documents used
• Reports, minutes, etc.
E1.5 Areas of Responsibility
The IRS facilitator is responsible for ensuring that all participants are properly informed about the IRS process, their role, and their IRS responsibilities.
The IRS facilitator writes the first draft interview report which shows the interviewee how the report should be structured. This draft cannot be expected to have the content quality that can be accepted and owned by the interviewee without a thorough review and approval process.
The IRS participants are expected to talk openly and describe their requirements and wishes as they interpret them in their own language during the interview. The interviewers will have to understand this language in order to be able to document the requirements.
The interviewed participants are fully responsible for the final content quality of their report. The interviewees own their report and are invited to improve this report as required in the future.
The IRS Reference group supports the IRS facilitator and the IRS project manager. The IRS facilitator and the IRS project manager keep the interview participants informed about the IRS progress so the participants understand their role at any point in time:
• Interview preparation
• Report review
• Report writing
• Report sign-off
• Report distribution
E1.6 Interview Content
The interviews visualize the participants’ information requirements in order to solve their daily tasks in compliance with their responsibilities and authority by answering the following questions:
• What are their tasks and the objectives of these tasks, and why?
• What is the importance of these tasks as seen from the other parts of the organization, and why?
• What information is used for what, and why?
• What new or enhanced information will make it easier to handle the tasks, and why?
• What information used originates from others, for example, from management, other sections, other departments, external partners, and why?
• What information used is archived and maintained, and why?
• What information used is delivered to others, for example, to management, other sections, other departments, external partners, and why?
• How well do the existing solutions (with or without IT system) support the way we solve our tasks, and why?
• How can integration of solutions enhance communication and improve information quality, and why?
• Suggested solutions, and why?
It is recommended that the interviewees bring examples of forms and reports in support of explanation, issues, and recommendations.
E1.7 Interview Result
Each interview is documented in a report with a predefined format. It describes the workflows, the required decisions, and the information requirements in the terminology of the interviewees.
At the same time, the report has a structure and a content, which makes it an agreed common framework of reference for the interviewees and the internal and external service providers who must deliver efficient solutions in support of the interviewees later on.
The approved interview report belongs to the interviewees and is distributed to relevant management levels when it has been approved by the interviewees.
E1.7.1 Section Report
A section report has the following defined structure and content:
1. Scope, product, and purpose
Scope describes the extent of the section’s responsibilities and functions, including who the principal “suppliers” and “customers” are. Product describes the services and physical products that the section’s activity results in.
Purpose describes the expected and desired quality of the section’s products, including their ability to fulfill the section’s and the company’s needs. The purpose should be related to the outside world need that is covered by the section and the section’s own quality requirements.
2. Available information and its usage
For each of the section’s responsibilities/main functions it is described how the required information is obtained, used, and released to/from other sections and other organizations.
3. Required information, which is currently not available
It is described how additional or better information can improve the efficiency of responsibilities/main functions of the section, including the quality of products supplied to other sections or company stake-holders, such as owners, customers, and suppliers.
All the expressed wishes must be justified; WHY must be answered accurately with indication of the benefits obtained.
4. The value of the required information
The specific advantages that can be obtained from availability of the required information are listed, including their value to the organization if it can be estimated.
5. Information Flows
Examples shown:
Information received by section |
from section/others |
Application form |
Potential tenant |
Information maintained by section |
|
Tenancy agreement |
|
Information delivered from section |
to section/others |
Tenancy agreement |
Tenant |
6. Suggested improvements to available IT and functional solutions Wishes for better procedures, both manual and IT-based, that could support the generation and maintenance of better information and communication.
Also inconveniences in existing information systems are highlighted. A detailed review of existing solutions is not sought unless it is a prerequisite to understanding why the solution is inappropriate.
All the expressed wishes must be justified; WHY must be answered accurately with indication of the benefits obtained.
7. Suggested integration of systems
The need for the establishment of communication where it does not exist and for improvements to existing communication where there are problems of quality, timing, or information content.
Highlight problems associated with duplication of registration or lack of access to consistent information that currently is spread over disconnected “islands.”
All the expressed wishes must be justified; WHY must be answered accurately with indication of the benefits obtained.
8. Expected value of improvements
The specific advantages of better information systems and business procedures and integration are listed, including their value for the company if it can be estimated. The value is allocated on benefits and savings.
9. Suggested (new) IT solutions
Here is free play for the section’s interview participants and interviewers; your imagination can be used to the best effect. However, it must be remembered that all the expressed wishes must be justified; WHY must be answered accurately with indication of the benefits obtained.
10. The following types of annexes can be attached:
• Descriptions of all identified objects attributes and usage
• DFD for the section
• ERD
E1.7.2 Department Report
1. Scope, Products, and Purpose
Scope describes the extent of the department’s responsibilities and functions, including who the principal “suppliers” and “customers” are.
Product describes the services and physical products that the department’s activity results in. This product can be described more qualitatively than the related sections; it is often a framework for these.
Purpose describes the expected and desired quality of the department’s products, including their ability to fulfill the section’s and the company’s needs.
2. Wishes for improved information
Need for information related to the essential decisions that are the primary product, for which the department level is responsible.
3. Potential improvements in decision support
It is specified here how improved information creates better overview, more consistent information, and more valid information, which together reduces uncertainty and risk in the department’s decision making and budgeting/planning of business operations and Strategic Initiatives.
4. Expected benefits from improvements
The specific advantages that can be obtained from availability of the improved information are listed, including their value to the organization even if the advantage is intangible.
E1.7.3 Executive Board Report
1. The company’s overall business objectives
• Scope (business area/industry)
• Product (market)
• Purpose (quality, market share, growth)
2. Wishes for improved information
Need for information related to the essential decisions that are the primary product, for which the executive level is responsible.
3. Potential improvements in decision support
It is specified here how improved information creates better overview, more consistent information, and more valid information for the governance of current business and strategic initiatives.
4. Expected benefits from improvements
The specific advantages that can be obtained from availability of the improved information.
E1.8 Quality Assurance and Review
The interviewees will normally receive the resulting IRS section or management report within 2 days after the interview.
The interviewees have at least two days to review and suggest corrections to the report before they participate in one or more review meetings, where the report is finally written and approved. The IRS Workgroup and the IRS Reference group members support the interviewees in their review process.
The final report whether written by the IRS facilitator or the interviewees themselves is approved by the interviewees and is regarded as property of the interviewees that are listed on the section and management report front page.
E1.9 Conclusion and Recommendations
Consolidation of the different interview reports into the IRS Consolidated Report is solved using Object Lifecycle Analysis (OLA), which is a method with its own document standard.
OLA uses the different objects that were identified during the interviews:
• Action objects (Sale, Purchase, Fee, Corporate actions, Claims, etc.)
• Structure objects (Client, Location, Security, Dealer, Custodian, etc.)
OLA ensures complete requirements in the form of business processes, action information objects, and structure information objects.
The IRS Reference group supported by the IRS project manager and the IRS facilitator participate in the OLA workshop.
The IRS consolidation workshop establishes a common terminology, which is used in the IRS Consolidated Report. This terminology is documented in the Vocabulary, which contains the following:
• Term (word or abbreviation)
• Definition
• Usage example
The IRS Consolidated Report describes the structure and contents of required information, and it describes the information systems, the technology, and the business functions and procedures, which are required in order to ensure availability, reliability, validity, security, and consistency of this information in the conduct of the corporate business covered by the IRS.
The solution requirements documented in the IRS Consolidated report are in classic text, but graphics elements are used as well:
• DFD
• Workflows
• ERD
• Input/output matrices
• Role/Responsibility diagrams
The OLA method is also used for solution design, where it is supplemented with user interface design based on technological opportunities and other documents standards such as described in Chapter 5. Detailed solution design is not in the scope of IRS.
E1.10 Annexes to the IRS Introduction
The IRS interview participants before the interview must be informed about the IRS project objectives, the IRS Scope. It is therefore important that the following material from Process Quality Assurance (PQA) in the IRS Reference group is attached to this introduction to the interview participants:
• IRS Reference group visions
• Critical Success Factors
• PQA Matrix
• Guide to Object Description
• Forms for Object Description and vocabulary elements
In the IRS introduction meeting, a copy of the PowerPoint presentation used should be available.