Part 2. Information Technology

Chapter 100. Integrated Process Management

Section 2. Integrated Process Management Standardization Process

2.100.2  Integrated Process Management Standardization Process

Manual Transmittal

March 27, 2012

Purpose

(1) This transmits new IRM 2.100.2, Integrated Process Management (IPM), Integrated Process Management Standardization Process.

Material Changes

(1) This Process Description (PD) and Procedure (PR) establishes the IT standards in documenting processes across the IT organization. The PD applies to processes that are unique best practices in the IT organization. The PR establishes the IT standards in documenting procedures across the IT organization.

Effect on Other Documents

Integrated Process Management Interim Guidance dated May 04, 2011, is superseded.

Audience

This process description is applicable to all Information Technology (IT) organizations, contractors, and other stakeholders having responsibility for developing IT business processes.

Effective Date

(03-27-2012)

Terence V. Millholland
Chief Technology Officer, Information Technology

2.100.2.1  (03-27-2012)
Process Description

  1. Integrated Process Management Standardization

2.100.2.1.1  (03-27-2012)
Introduction

  1. Introduction

2.100.2.1.1.1  (03-27-2012)
Administration

  1. All proposed changes to this document should be directed to the Integrated Process Management Office (IPMO), Business Operations, Enterprise Services under Information Technology (IT) owner of this process description and be pursued via the IPM process to clearly define interfaces, roles, responsibilities, and coordinate participation and collaboration between stakeholders.

2.100.2.1.1.2  (03-27-2012)
Purpose of Process Description

  1. This IPM Standardization process description describes what happens within the IPM process and provides an operational definition of the major components of the process. This description specifies, in a complete, precise, and verifiable manner, the requirements, design, behavior characteristics of the IPM process. The PD is a documented expression of a set of activities performed to achieve a given purpose. Tailoring of this process in order to meet the individual needs of each project is covered in the Tailoring Guidelines section of this document.

  2. For the purpose of this document, roles such as Author, Associate Chief Information Officer (ACIO) Point of Contact (POC), etc. are provided to describe a set of responsibilities for performing a particular set of related activities.

2.100.2.1.1.3  (03-27-2012)
Document Overview

  1. This document describes a set of interrelated activities, which transform inputs into outputs, to achieve a given purpose and states the guidelines that all projects should follow regarding the IPM process. The format and definitions used to describe each of the process steps of the IPM process are described below:

    • Purpose – The objective of the process step.

    • Roles and Responsibilities – The responsibilities of the individuals or groups for accomplishing a process step.

    • Entry Criteria – The elements and conditions (state) necessary to trigger the beginning of a process step.

    • Input – Data or material needed to perform the process step. Input can be modified to become an output.

    • Process Activity – The list of activities that make up the process step.

    • Output – Data or material that are created (artifacts) as part of, produced by, or resulting from performing the process step.

    • Exit Criteria – The elements or conditions (state) necessary to trigger the completion of a process step.

2.100.2.1.1.4  (03-27-2012)
Document Hierarchy

  1. The process document hierarchy is derived from the International Business Machines (IBM) Line of Visibility Enterprise Management (LOVEM) model. It consists mainly of a policy or directive, process, and procedure. The directive is the formal and mandatory order or official pronouncement on a policy, process, or procedure that establishes the organizational expectations. The directive may consist of one or more processes facilitated by process areas or business areas, and its process characteristics are defined by its process descriptions which may include one or more procedures for determining whether its provisions have been satisfied. The procedure document provides details of each activity and connects with other procedures. An example of the process document hierarchy is illustrated below.

    Figure 2.100.2-1a
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 2.100.2-1b
    This image is too large to be displayed in the current screen. Please click the link to view the image.

2.100.2.1.1.5  (03-27-2012)
Process Classification

  1. This section describes the four (4) types of processes for classifying IT processes. Process classification is used for determining what is in-scope of IPM. The following are:

    • Core Process. Critical to the mission of the organization

    • Tailored Process. Core process adapted to fit the need of the organization

    • Cross-functional Process. Non-Core/Non-tailored process with cross-functional impact.

    • Local Process. Non-core/Non-Tailored process with impact isolated to the functional area.

  2. Core processes are sanctioned by the Chief Technology Officer to establish and deploy the IT organization set of standard processes. These are processed through the IPM for standardization, centralization, and integration and facilitated through the IRM for institutionalization across the IT organization. Majority of the core processes align with the industry standards such as Capability Maturity Model Integration (CMMI), Information Technology Infrastructure Library (ITIL), and other federal processes. Tailored processes are modified versions of the core processes and require approval by the core process owner to maintain the defined organizational process requirements and consider deviations from the standards. Directives and process descriptions for tailored processes are defined under the core processes. Core and tailored processes are in-scope of the IPM initiative.

  3. Cross-functional and local processes support the operational needs of the functional or business organization. Directives and process descriptions are not required under IPM, but are highly encouraged for cross functional processes that impact other IT organizations. Cross-functional and local processes are not in-scope of IPM but can use the IPM standard templates to document their process.

  4. The table below illustrates the types of process assets by process classification.

  5. Types of Process Assets by Process Classification

    Types of Process Assets Core Tailored Cross-Functional Local
    IRM Yes No No No
    Directive Yes Optional Optional No
    Process Description Yes No Optional No
    Procedure Yes Yes Yes Yes
    Procedure Assets (e.g., procedure templates, checklist, forms, other tools) Yes Yes Yes Yes
    Process Aides (e.g., guides, manuals, training materials) Yes Yes Yes Yes
    Repository IT PAL and Link to IRM IT PAL Local Local

2.100.2.1.2  (03-27-2012)
Process Overview

  1. Process Overview

2.100.2.1.2.1  (03-27-2012)
Work Products

  1. This section describes the work products needed to execute the process (known as inputs) as well as those produced by the IPM process (known as outputs).

2.100.2.1.2.1.1  (03-27-2012)
Work Products Used by this Process (Inputs)

  1. The following work products are used to assist in the implementation of the IPM process:

    • Form 2061 (Document Clearance Record)

    • IRM Feedback Form

    • IPM Directive (DIR) template

    • IPM Process Description (PD) template

    • IPM Procedure (PR) template

    • IPM New Process Disposition Form

2.100.2.1.2.1.2  (03-27-2012)
Work Products Produced by this Process (Outputs)

  1. The following work products (artifacts) are produced by the IPM process and may be used as inputs to other processes, such as Internal Revenue Manual (IRM) and IT Process Asset Library:

    • Form 2061 – completed

    • IRM Feedback Form – consolidated and completed

    • IPM DIR – approved

    • IPM PD – completed

    • IPM PR – completed

    • IPM New Process Disposition Form - approved

    • IRS IT Business Process list – updated

2.100.2.1.2.2  (03-27-2012)
Roles and Responsibilities

  1. Many roles are involved in the IPM process. This section defines the roles used throughout this document in terms of their responsibilities.

  2. Roles and Responsibilities

    Role Description Definition of Responsibility
    Associate Chief Information Officer (ACIO) Executive owner for the process.
    ACIO Point of Contact (POC) Serves as the coordinator or focal point for their directorate (or ACIO organization), including ensuring that their Authors follow the IPM process through review and validation of their process documentation
    Author Develops and maintains documentation of their process and procedure using the IPM process. Conducts impact of, or assessment to, affected stakeholders or Reviewers, and dispositions all comments. Responsible for initiating escalation process when comments cannot be reconciled with the Reviewer.
    Executive Sponsor Person ultimately responsible for IPM. Responsibilities include approval of new processes into the IT Core Business Process and escalation management
    Integrated Process Management Office (IPMO) Analyst Provides coaching and facilitation of the IPM process. Conducts review of work products for compliance with IPM standards. Validates and classifies process for Executive Sponsor review. Updates IT Business Process List. Facilitates escalation to the Executive Sponsor.
    Integrated Process Management (IPM) Process Owner Person responsible for management of the IPM process
    Process Owner Person that is responsible and accountable for the workings and improvement of the organization’s defined processes and their related sub-processes.
    Reviewer Reviews and assesses impact of changes sent by the Author and provides feedback and comments.
    Team Member Internal staff in the functional area organized to work together.

2.100.2.1.2.3  (03-27-2012)
Process Flow Diagrams

  1. Process Flow Diagrams

    Figure 2.100.2-2
    This image is too large to be displayed in the current screen. Please click the link to view the image.

2.100.2.1.3  (03-27-2012)
IPM Standardization Process Steps

  1. Process Steps

2.100.2.1.3.1  (03-27-2012)
Step 1: Create Directive

  1. Create Directive

2.100.2.1.3.1.1  (03-27-2012)
Purpose

  1. The purpose of this process step is to establish and implement a policy for a new IT business process that will be institutionalized and become a best practice or an enterprise standard in the Internal Revenue Service (IRS) IT organization.

2.100.2.1.3.1.2  (03-27-2012)
Roles and Responsibilities

  1. The Process Owner and Author are responsible for understanding their IT business process content requirements.

  2. The Author is responsible for documenting the policy and requirements.

  3. The Process Owner is responsible for reviewing the documented policy and requirements and providing concurrence.

2.100.2.1.3.1.3  (03-27-2012)
Entry Criteria

  1. Generally, the Create Directive step occurs after the following events have occurred:

    • New IT business process has been approved by Author’s ACIO organization.

    • New IT business process is equivalent to an industry standard process, Federal government process, or an IRS IT organization process that will be institutionalized and become the enterprise standard or best practice in the IRS IT organization.

2.100.2.1.3.1.4  (03-27-2012)
Input

  1. The following are inputs to this process step:

    • IPM Directive (DIR) template

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

2.100.2.1.3.1.5  (03-27-2012)
Process Activity

  1. Document the policy and requirements using the IPM Directive template.

  2. Review and obtain concurrence.

2.100.2.1.3.1.6  (03-27-2012)
Output

  1. The following are outputs to this process step:

    • Completed Directive.

2.100.2.1.3.1.7  (03-27-2012)
Exit Criteria

  1. This process step is complete when:

    • A review and concurrence of the Directive document is complete.

2.100.2.1.3.2  (03-27-2012)
Step 2: Design and Model the Process

  1. Design and Model the Process

2.100.2.1.3.2.1  (03-27-2012)
Purpose

  1. The purpose of this process step is to define the scope and key activities of the process from beginning to end, including significant events, inputs, and outputs, using business process modeling.

2.100.2.1.3.2.2  (03-27-2012)
Roles and Responsibilities

  1. The Author is responsible for understanding the scope and requirements of the process in order to design and model it.

  2. The Team Member(s) are responsible for reviewing and concurring with the process model, as applicable.

2.100.2.1.3.2.3  (03-27-2012)
Entry Criteria

  1. Generally, the Design and Model the Process step occurs after the following events have occurred:

    • The Directive has been completed

2.100.2.1.3.2.4  (03-27-2012)
Input

  1. The following are inputs to this process step:

    • Completed Directive.

    • Business Process Modeling Notation (BPMN) standard diagram elements.

2.100.2.1.3.2.5  (03-27-2012)
Process Activity

  1. Review the Directive requirements.

  2. Design and develop an intermediate-level process model.

  3. Test and validate the process model.

2.100.2.1.3.2.6  (03-27-2012)
Output

  1. The following are outputs to this process step:

    • Completed intermediate-level process diagram.

2.100.2.1.3.2.7  (03-27-2012)
Exit Criteria

  1. This process step is complete when:

    • Test and validation satisfy the requirements.

2.100.2.1.3.3  (03-27-2012)
Step 3: Document the Process

  1. Document the Process

2.100.2.1.3.3.1  (03-27-2012)
Purpose

  1. The purpose of this process step is to document the process from the intermediate-level process diagram

2.100.2.1.3.3.2  (03-27-2012)
Roles and Responsibilities

  1. The Author is responsible for creating the Process Description.

  2. The Process Owner is responsible for review and approval of the Process Description

  3. The ACIO POC is responsible for the review and concurrence of the Process Description.

  4. The Author and/or ACIO POC are responsible for submitting the new Directive and Process Description documents to IPMO for review.

  5. The Team Member(s) are responsible for reviewing and concurring with the Process Description, as applicable.

2.100.2.1.3.3.3  (03-27-2012)
Entry Criteria

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

    • The intermediate-level process diagram has been approved

2.100.2.1.3.3.4  (03-27-2012)
Input

  1. The following are inputs to this process step:

    • Completed Directive.

    • Intermediate-level process diagram.

    • IPM Process Description (PD) template.

2.100.2.1.3.3.5  (03-27-2012)
Process Activity

  1. Review the Directive and intermediate-level process diagram.

  2. Document the process using the IPM PD template.

  3. Review and obtain concurrence.

2.100.2.1.3.3.6  (03-27-2012)
Output

  1. The following are outputs to this process step:

    • Completed Process Description

2.100.2.1.3.3.7  (03-27-2012)
Exit Criteria

  1. This process step is complete when:

    • A review and concurrence of the Process Description is complete and submitted.

2.100.2.1.3.4  (03-27-2012)
Step 4: Validate and Approve Documents

  1. Validate and Approve Documents

2.100.2.1.3.4.1  (03-27-2012)
Purpose

  1. The purpose of this process step is to validate and approve the new IT Business Process and establish it as a best practice for the IRS IT organization.


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