2.100.2  Integrated Process Management Standardization Process (Cont. 1)

2.100.2.1 
Process Description

2.100.2.1.3 
IPM Standardization Process Steps

2.100.2.1.3.4 
Step 4: Validate and Approve Documents

2.100.2.1.3.4.2  (03-27-2014)
Roles and Responsibilities

  1. The Author is responsible for complying with the IPM requirements prior to finalizing and approving the documents.

  2. The IPMO Analyst is responsible for ensuring that the documents are in compliance with the IPM standard documentation requirements.

2.100.2.1.3.4.3  (03-27-2014)
Entry Criteria

  1. Generally, the Validate and Approve Documents step occurs after the following event has occurred:

    • Required documents have been completed.

2.100.2.1.3.4.4  (03-27-2014)
Input

  1. The following are inputs to this process step:

    • Completed DIR, PD and/or PR document.

    • IPM Feedback Form.

    • IT Business Process List.

2.100.2.1.3.4.5  (03-27-2014)
Process Activity

  1. Review completed documents for IPM compliance.

  2. Update and send for final approval.

2.100.2.1.3.4.6  (03-27-2014)
Output

  1. The following are outputs to this process step:

    • Final DIR, PD and/or PR document.

    • IPM Feedback Form - All comments closed.

    • Updated IT Business Process list, as needed.

2.100.2.1.3.4.7  (03-27-2014)
Exit Criteria

  1. This process step is complete when:

    • The documents have been approved and signed.

2.100.2.1.3.5  (03-27-2014)
Step 5: Tailor the Process

  1. Tailor the Process

2.100.2.1.3.5.1  (03-27-2014)
Purpose

  1. The purpose of this process step is to tailor or modify existing core process and define it based on the operational use for each environment.

2.100.2.1.3.5.2  (03-27-2014)
Roles and Responsibilities

  1. The Process Manager is responsible for obtaining approval and collaborating with the Process Owner on the change.

  2. The Process Owner is responsible for approving and oversight on the change in their process.

2.100.2.1.3.5.3  (03-27-2014)
Entry Criteria

  1. Generally, the Tailoring the Process step occurs after the following events have occurred:

    • The enterprise or core process has been approved and institutionalized.

2.100.2.1.3.5.4  (03-27-2014)
Input

  1. The following are inputs to this process step:

    • IRM 2.xxx.x.

    • IPM Procedure template.

    • IRM Feedback Form template.

2.100.2.1.3.5.5  (03-27-2014)
Process Activity

  1. Process Activity

    1. Review the policy and process requirements.

    2. Identify the changes and tailor the procedure.

    3. Collaborate, update, and approve the changes/

2.100.2.1.3.5.6  (03-27-2014)
Output

  1. Output will vary depending on what is being updated and/or created and may include:

    • Approved and signed Tailored Procedure.

    • Completed IPM Feedback Form.

2.100.2.1.3.5.7  (03-27-2014)
Exit Criteria

  1. This process step is complete when:

    • The Tailored Procedure has been approved and signed.

2.100.2.1.3.6  (03-27-2014)
Process Measurement

  1. Management will regularly review quantifiable data related to different aspects of the IPM process in order to make informed decisions and take appropriate corrective action, if necessary.

2.100.2.1.3.7  (03-27-2014)
Training

  1. IPM Training (Process and Templates)

  2. Business Process Modeling Notation

2.100.2.1.4  (03-27-2014)
Procedure

  1. Introduction

2.100.2.1.4.1  (03-27-2014)
Administration

  1. All proposed changes to this document should be directed to the Enterprise Process Management Office (EPM), Business Relationship and Service Delivery, Enterprise Services under Information Technology. EPM is the owner of this procedure and it can be pursued via the IPM process to clearly define interfaces, roles, responsibilities, and coordination of participation and collaboration between stakeholders.

2.100.2.1.4.1.1  (03-27-2014)
Purpose of Procedure

  1. This document defines the step-by-step instructions on how to conduct the activities used to implement the IPM Standardization procedure. The purpose of a procedure document is to institutionalize and formalize the preferred method of performing tasks that staff is using. The objective is to have everyone using the same tools and techniques and follow the same repeatable steps so that the organization can quantify how well the procedure is working and train future staff members who may not know the process. Ensuring consistency is a critical component for ensuring optimum efficiency.

  2. Tailoring of this procedure in order to meet the individual needs of each project is covered in the Tailoring Guidelines section of this document.

2.100.2.1.4.1.2  (03-27-2014)
IPM Procedure Overview

  1. IPM Procedure Overview

2.100.2.1.4.1.3  (03-27-2014)
Purpose

  1. The purpose of this procedure is to outline the steps required to create a standard procedure document for all types of processes. Standardizing documentation of procedures in the same format and structure helps to enable and facilitate the impact and assessment review of related processes.

2.100.2.1.4.1.3.1  (03-27-2014)
Related Process Artifacts

    • None

2.100.2.1.4.1.3.2  (03-27-2014)
Related Directives

  1. Related Directives are:

    • IRM 2.100.1 Integrated Process Management Guidance and Procedures

    • IRM 1.11.1 Internal Management Documents (IMD) Program and Responsibilities

2.100.2.1.4.1.4  (03-27-2014)
Entry Criteria

  1. Generally, the IPM Standardization procedure occurs after the following events have occurred:

    • Corresponding Process Description has been completed.

2.100.2.1.4.1.5  (03-27-2014)
Input

  1. The following are inputs to this IPM Standardization procedure:

    • IPM Directive (DIR) template, as applicable

    • IPM Process Description (PD) template, as applicable

    • IPM Procedure (PR) template

    • IPM Feedback Form

    • IT Business Process List (located under Integrated Process Management in the IT PAL, IT PAL

2.100.2.1.4.1.6  (03-27-2014)
Activities

  1. This Procedure covers activities as follows

  2. Activities

    A1 Establish the Policy, as applicable
    A2 Design and Model the Process, as applicable
    A3 Document the Process, as applicable
    A4 Validate and Approve Documents, as applicable
    A5 Tailoring the Process

2.100.2.1.4.1.7  (03-27-2014)
Output

  1. The primary outputs of this IPM Standardization procedure are:

    • Approved Directive

    • Approved Process Description

    • Approved Procedure

    • Completed IPM Feedback Form

2.100.2.1.4.1.8  (03-27-2014)
Exit Criteria

  1. This IPM Standardization procedure is exited when

    • The DIR, PD and PR satisfy the IPM Compliance Review

2.100.2.1.4.2  (03-27-2014)
Procedure Flow Diagram

  1. The procedure flow diagram is illustrated under Section 5, Activity and Steps

2.100.2.1.4.3  (03-27-2014)
Activity and Steps

  1. This section delineates the activity steps, including roles and tools or templates, needed to perform each step of this Procedure.

    Figure 2.100.2-3a
    A1: Establish the Policy This activity is applicable to establishing the Directive (DIR) document as outlined in the steps below and is depicted in the Figure 2.100.2-3b diagram.  
    Steps Roles
    .
    • If new policy or directive will be created, go to Step 1 below.

    • If a new process will be added to the existing policy or directive, go to A2 Design and Model the Process.

    • If an existing core process will be tailored or modified, go to A5 Tailoring the Process.

    • If a new or existing procedure asset will be created or updated, go to A5 Develop and/or Update Process or Procedure Asset

    • If existing procedure will be created or revised, go to the IRM process.

    • If existing process or process description will be revised, go to IRM process.

    Author
    1. Define new policy requirements.
    • Obtain organizational policy mandates from Process Owner

    • Identify process (es) that will support the policy.

      • If process aligns with an industry key process area (such as CMMI or ITIL) or another Federal process, leverage from its documented best practices and tailor for the IRS IT organization.

    .
    Author
    2. .Document the policy using IPM Directive (DIR) template:
    • Obtain latest copy of IPM DIR template in the IT PAL website.

    • Document or update the policy using the DIR template.

    • Note:

      Instructions for completing the DIR is embedded in the template

    Author
    3. Send DIR for review and concurrence to Process Owner.
    • Note: Once concurrence is obtained from the Process Manager, go to A4: Validate and Approve Documents.

    Author

    Figure 2.100.2-3b
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 2.100.2-3c
    A2: Design and Model the Process This activity is applicable to establishing both the Process Description (PD) and Procedure (PR) documents as outlined in the steps below and depicted in the Figure 2.100.2-3d diagram.  
    Steps Roles
    1. Determine frame or boundaries of the process:
    • Review the policy and requirements.

    • Clearly define where the process starts (input) and ends (final output).

    Author
    2. Define or determine primary steps in the process:
    • Identify major activities, inputs, outputs, and decisions from beginning of the process to the end.

    • Label process activities:

      • Using words that are understandable to everyone

      • With a VERB-NOUN convention and must be brief. For example, “Submit Work Request” or “Send for Review”.

      • Assign step numbers to each activity based on the sequence flow of the process.

    • Limit the process from 4 to 7 primary steps:

      • Control the detail and know where to collapse or combine with the primary step.

    Author
    3. Sequence the steps:
    • Arrange the primary steps in order of the way they are carried out.

    Author
    4. Identify external processes:
    • Identify external processes that directly interface with the primary steps in the process (Applicable only for the PD Process Flow Diagram).

      Note:

      This will be used for linking all the IT processes from end-to-end. No core process should be a stand-alone. These are not counted as part of the primary steps of your process.

    Author
    5. Draw the Process Flow Diagram (PFD):
    • Draw the PFD using the appropriate BPMN standard symbols.

      Note:

      See Exhibit C for the Business Process Modeling Notation (BPMN) standard symbols.

    • Keep the PFD simple using basic symbols.

    • Use either high-or- intermediate-level process flow diagram for the PD. Intermediate-level flowchart will show action and decision points or gateways.

      Note:

      See Exhibit D for example.

    • Add arrows to show the direction of the flow of steps in the process.

      Note:

      Arrows will sequence the order and flow of the process.

    • Label the PFD. Include the title of the process, the date the diagram was made, and the author or organization.

    Author
    6. Test and validate the PFD:
    • Test the PFD for completeness:

      • Ensure the symbols are used correctly.

      • Ensure the process steps (inputs, outputs, actions, decisions) are identified clearly and correctly.

      • Make sure every feedback loop is closed, i.e., every path takes you either back to or ahead to another step.

      • Ensure that each activity box has one output arrow. If there is more than one arrow, you may need a decision diamond or gateway.

    • Validate the PFD:

      • Validate the process flow against the requirements.

      • Validate interfaces with external process(es).

      • Ensure that there are no more than 7 activity boxes for each process. If so, collapse or combine some of the activities together.

      • Reduce or eliminate obvious complexities or redundancies.

      Note:

      Once testing and validation is complete, go to A3: Document the Process.

    Author

    Figure 2.100.2-3d
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 2.100.2-3e
    A3: Document the Process This activity is applicable to establishing both the Process Description (PD) and Procedure (PR) documents as outlined in the steps below and is depicted in the Figure 2.100.2-3f diagram.  
    Steps Roles
    1. Document the PFD using the IPM Process Description (PD) or Procedure template:
    • Obtain latest copy of IPM PD on the.IT PAL website

    • Review the PD or PR.

    • Identify the actors or practitioners and their roles and responsibilities.

    • Determine key input, activities, and output for each step.

    • Document or update the process using the PD or PR template.

      Note:

      Instructions for completing the PD or PR are embedded in the template.

    Author
    2. Test and validate the document against the PFD:
    • Review and validate the steps for each primary activity.

    • Ensure that there are no more than 7 step boxes for each primary activity. If so, collapse or combine some of the steps together.

    • Validate interfaces with external process(es).

    • Reduce or eliminate obvious complexities or redundancies.

    • Update documents, as necessary.

      Note:

      Once testing and validation is complete, go to A4 Validate and Approve Documents.

    Author

    Figure 2.100.2-3f
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 2.100.2-3g
    A4: Validate and Approve Documents This activity is applicable to reviewing and approving all the documents, Directive (DIR), Process Description (PD), and Procedure (PR) outlined in the steps below and is depicted in the Figure 2.100.2-3h diagram.  
    Steps Roles
    1. Send document(s) to the *IT_IPMO mailbox for IPM Compliance Review.

    Note:

    The DIR, PD, and PR documents will be reviewed by the IPMO Analyst for format and structure, not content. This is to ensure compliance with the standardization of process documentation across IT. Findings will be returned to the Author via the IPM Feedback Form. Any action items identified will need to be corrected and returned to the IPMO Analyst via the *IT_IPMO mailbox within 10 business days. A no response will be escalated to the next management level every 5 business days. A final disposition will be returned to the Author when the IPM Compliance Review is satisfied and completed.

    Author
    2. Review and provide comments using the IPM Feedback Form.
    • If Action Items are identified, go to Step 3 below.

    • If no Action Items are identified and all the documents (DIR, PD, and PR) have been completed, go to Step 4 below.

      Note:

      For A5 Tailoring the Process, only the PR is required.

    • If no Action Items are identified but not all the documents (DIR, PD, and PR) have been completed, go to A2: Design and Model the Process.

    Note:

    For A5 Tailoring the Process, this step is not applicable.

    IPMO Analyst
    3. Update the documents.
    • Review comments on the IPM Feedback Form and take corrective action.

    • Provide response on the IPM Feedback Form and return the form with the updated documents via the *IT_IPMO mailbox.

    Author
    4. Send completed documents for approval and signature:
    • Obtain signature on the DIR document from the Process Owner

    • Obtain signature on the PD and PR documents from the Process Manager.

      Note:

      For A5 Tailoring the Process, only the signature for the PR is required.

    • Submit all approved and signed documents to the IT PAL.

      Note:

      Refer to IT PAL Posting Instructions for submitting to the IT PAL. Refer to IRM 2.100.3 IT Process Asset Library for the process and procedures.

    Author
    5. Follow-Up and Obtain Deliverable Date
    • Conduct follow-up if process documents are not in the IT PAL after three (3) weeks of IPM concurrence.

    • Obtain anticipated deliverable date for process documents to be submitted to the IT PAL.

    • Conduct follow-up on anticipated deliverable date.

    • If process documents are in the IT PAL, follow-up action ends.

    • If process documents are not in the IT PAL, escalate to Process Manager (IPMO). Go to S1: Escalation Procedure.

    .
    IPMO Analyst

    Figure 2.100.2-3h
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 2.100.2-3i
    A5: Tailoring the Process This activity is applicable for tailoring or modifying an existing core process that have been approved by the CTO for Information Technology (IT). This activity requires approval and close collaboration with the enterprise process owner to ensure and maintain the standards and best practices defined by the enterprise process owner for IT. (See Figure 2.100.2-3j diagram)  
    Steps Roles
    1. Contact and obtain approval from the Process Owner:
    • Identify approved processes on the IT Business Process List located in the IT PAL.

    • Contact the Process Owner and obtain approval to tailor their process.

    • If Process Owner approves, go to Step 2 below.

    • If Process Owner does not approve, exit.

    Process Manager
    2 Send process documents to Process Manager for review Process Owner
    3. Review and obtain PR template:
    • Review the process description and procedure under the process section in the IRM:

      • If available, obtain a copy of the procedure document in Microsoft Word from the Process Owner:

      • Obtain a copy of the IPM PR template in the IT PAL

      • Go to Step 4 below.

    Process Manager
    4. Tailor the procedure
    • Identify the changes to be made on the procedure document and collaborate with the Process Owner.

      Note:

      The primary activities of the process cannot be modified.

    • Incorporate the modifications using the IPM PR template.

    • Send to the Process Owner for review and approval.

    • Go to Step 5 below.

    Process Manager
    5. Review and approve.
    • Review the changes on the tailored procedure.

    • Ensure that the primary activities defined in your process have not been modified.

    • Concur and approve on the tailored procedure.

    • Go to Step 6 below.

    Process Owner
    6.Send the tailored procedure for IPM Compliance Review,
    • Go to A4: Validate and Approve Documents.

    Process Manager

    Figure 2.100.2-3j
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 2.100.2-3k
    S1: Escalation Procedure (See Figure 2.100.2-3l diagram below) This activity is triggered when the process documents are not submitted to the IT PAL within three (3) weeks after IPM Compliance Review approval.  
    Steps Roles
    1.Contact Author’s Process Manager.
    • Identify and contact Author’s Process Manager.

    • Discuss issues and concerns on proceeding through the IT PAL.

    • Go to Step 2 below.

    Process Manager (IPM)
    2.Send Request for Extension Form to Complete
    • Prepare and send Request for Extension Form to Process Manager.

    • Review completed form and expected deliverable date.

    • Ensure form is signed by the Process Owner or Process Manager.

    • Submit form to Process Owner (IPM) for signature and disposition.

    • Return the form to the Process Manager

    • Go to Step 3 below.

    .
    Process Manager (IPM)
    3.Conduct Follow-Up.
    • Follow-up on the expected deliverable date from the approved Request for Extension Form.

    • If process documents are in the IT PAL, follow-up action ends.

    • If process documents are not in the IT PAL, escalate to IPM Process Owner. Go to Step 4 below.

    Process Manager (IPM)
    4.Contact Process Owner.
    • Discuss issues and concerns on proceeding through the IT PAL.

    • Go to Step 5 below.

    Process Manager (IPM)
    5.Agree on Deliverable Date.
    • Obtain expected deliverable date to deliver process documents to IT PAL.

    • Coordinate to Process Manager (IPM) of the expected date that was agreed.

    • Go to back to Step 2.

    Process Manager (IPM)

    Figure 2.100.2-3l
    This image is too large to be displayed in the current screen. Please click the link to view the image.

2.100.2.2  (03-27-2014)
Tailoring Guidelines

  1. This procedure may be tailored contingent to review and approval by the IPM process owner.

2.100.2.3  (03-27-2014)
CMMI, ITIL, PMI Compliance

  1. The Capability Maturity Model Integration (CMMI) can be used to judge the maturity of an organization’s processes and related procedures and process assets and can be used to plan further improvements. CMMI sets the standard for the essential elements of effective and mature processes, improved with quality and efficiency.

  2. The Information Technology Infrastructure Library (ITIL) contains a collection of best practices, enabling organizations to build an efficient framework for delivering IT Service Management (ITSM) and ensuring that they are meeting business goals and delivering benefits that facilitate business change, transformation, and growth.

  3. The Project Management Institute (PMI) organization advances the project management profession through globally recognized standards and certifications.

  4. This process asset is used to indicate that all artifacts are developed or acquired, incorporating CMMI, ITIL and/or PMI requirements to meet the business objectives of the organization. Thus, ensuring investments by organization are providing current and future business value to the IRS.

2.100.2.4  (03-27-2014)
Definition, References

  1. Definitions, References

2.100.2.4.1  (03-27-2014)
Definitions

  1. A Glossary is available on the IT Process Asset Library ( PAL)

2.100.2.4.2  (03-27-2014)
References

  1. The following resources were used to create or references in this document.

    • IRM 2.100.1 Integrated Process Management Guidance and Procedures

    • IRM 2.100.3 IT Process Asset Library

    • IRM 1.11.1 Internal Management Documents System, IMD Program and Responsibilities

    • IRM 1.11.2 Internal Revenue Manual (IRM) Process

    • IRM 1.11.9 Clearing Internal Management Documents (IMDs)

2.100.2.5  (03-27-2014)
Exhibits

  1. Exhibits A-D

2.100.2.5.1  (03-27-2014)
Exhibit A: Glossary

  1. Glossary

    Terms Definition
    Activity Measurable amount of work performed to convert inputs into outputs.
    Artifact A work product created by a process and procedure.
    Business Process (or Process) A collection of related, structured activities or tasks that produce a specific service or product for a customer or customers.
    Business Process Modeling Notation A graphical notation for expressing business processes in business process diagrams.
    Directive Formal and mandatory order or official pronouncement on a policy, process, or procedure that establishes organizational expectations.
    Internal Management Documents Official communications that designate authorities and/or disseminate instructions to staff for IRS officials and employees. See IRM 1.11.1.2.
    Internal Revenue Manual Primary official source of IRS “instructions to staff” relating to the organization, administration, and operation of the Service. See IRM 1.11.1.2.1.
    Procedure A written description of a course of action to be taken to perform a given task. A procedure contains how-to, step-by-step information, and comes with various types of implementation assets such as forms, checklists, step/action tables, and tools for facilitating or automating procedure activities.
    Procedure Asset Implementation asset such as form, checklist, step/action table, procedure template (e.g., Project Management Plan template, Configuration Management Plan template, etc.) or other tool for facilitating or automating procedure activities.
    Process Asset Anything an organization considers useful in attaining the goals of a process area and relates to describing, implementing, and improving a process. This includes procedure assets. Examples include policies, measurement descriptions, process descriptions, implementation tools (i.e., templates, checklists, plans, training materials, and procedures).
    [Organizational] Process Asset Library A library of information used to store, and make available, process assets that are useful to those who define, implement, and manage processes in an organization.
    Process Description A documented expression of a set of activities performed to achieve a given purpose and provides an operational definition of the major components of a process.
    Practitioner Those that have assigned roles and responsibilities in the process to perform.
    Standard A formal requirement created and prescribed in order to provide a consistent approach to service or development.
    Task Work to be done or a piece of work to be undertaken.

2.100.2.5.2  (03-27-2014)
Exhibit B: Abbreviation and Acronyms

  1. Abbreviations and Acronyms

    Acronyms Definition
    ACIO Associate Chief Information Office
    BPMN Business Process Modeling Notation
    CMMI Capability Maturity Model Integration
    DIR Directive
    IMD Internal Management Document
    IPM Integrated Process Management
    IPMO Integrated Process Management Office
    IRM Internal Revenue Manual
    IRS Internal Revenue Service
    IT Information Technology
    ITIL Information Technology Infrastructure Library
    ITSM Information Technology Service Management
    IT PAL Information Technology Process Asset Library
    PD Process Description
    PFD Process Flow Diagram
    PMI Project Management Institute
    PR Procedure

2.100.2.5.3  (03-27-2014)
Exhibit C: Standard Business Process Modeling Notation (BPMN) Elements for Process Diagrams.

  1. Standard Business Process Modeling Notation (BPMN) Elements for Process Diagrams

    Figure 2.100.2-4
    This image is too large to be displayed in the current screen. Please click the link to view the image.

2.100.2.5.4  (03-27-2014)
Exhibit D: Example of an Intermediate-Level Flow Chart

  1. Example of an Intermediate-Level Flow Chart

    Figure 2.100.2-5
    This image is too large to be displayed in the current screen. Please click the link to view the image.

2.100.2.5.5  (03-27-2014)
Exhibit E: Example of a Swim Lane Diagram

  1. Example of a Swim Lane Diagram

    Figure 2.100.2-6
    This image is too large to be displayed in the current screen. Please click the link to view the image.

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