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Designing an ADP planning process
Designing an ADP Planning Process
43
Designing an ADP Planning Process D. L. SportP
A great deal has been written about the frustrations of carrying out long range planning in large organizations. Although far less has been written about ADP planning, similar frustrations (as well as benefits) have been suggested. The case study described in this article deals with the recent experiences of a large, federalregulatory agencythe Food and Drug Administration-in the design and implementation of an ADP planning process from 7974 to the present. Although the process was designed to meet the Agency’s specific needs, many of the lessons learned will be useful to others contemplating a process for their organization (public or private).
*
generated
‘wish lists’ instead of realistic plans;
f-? lacked year-to-year
changes formats;
in the and
continuity due to frequent planning data elements and
ir required
sign&cant amounts of time and generated voluminous amounts of paper. (One plan, affectionately referred to by some FDA managers as ‘the doorstop,’ was 3f inches thick.)
(4
A Congressional survey of FDA’s ADP activities in 1974 had been critical of the Agency’s ADP planning efforts.
(3)A
‘new’ FDA computer center had been created through the merger of its ‘old’ center and the computer center of another federal agency. The merger caused a degree of dissension and confusion that many Agency managers felt seriously impaired their ability to plan, develop and operate ADP system applications.
The Environment ADP systems play a key role in the day-to-day operation of FDA’s consumer protection programs and represent an expenditure of several million dollars each year. Planning and implementation of specific ADP applications occurs on a decentralized basis at the Agency’s seven operating divisions. Computer operations, however, are the responsibility of a central computer center under the Agency’s Of&e of Administration. At the time FDA decided to develop its ADP planning process, the overall data processing environment was extremely negative. This environment posed significant psychological barriers to the acceptance of any process by the Agency’s ADP managers. (1) Past experiments with Agency-wide ADP planning processes had disenchanted most FDA managers. Generally these processes : were imposed by higher level federal offices and failed to serve any clearly defined need ; were not timed to coincide with FDA’s regular program planning and budgeting process; were impersonal since planning instructions usually came via memorandum (The people requesting the information were unknown to the people providing it.) ;
* The author is on the staff of the Food 8 Drug Administration, Rockville, Maryland.
The Objectives Even though ‘ADP planning’ was au unpopular term in the Agency, top management felt the importance and cost of ADP applications clearly warranted an internal planning process. Discussions were held with top management to determine their needs and expectations. Based on these discussions it was decided that the most desirable process was one that would: *
alert top management to the present status and future outlook of FDA’s system applications;
*
increase communications and cooperation among ADP managers in FDA’s operating divisions as well as between ADP and program managers ; and
-A integrate
and align ADP plans more closely with FDA’s consumer protection plans generated through the Agency’s regular program planning and budgeting process.
The Design The two part design phase of the ADP planning process was iointly conducted by the planning and administration-staffs- over a nine-month period. The first part identified the ‘minimum’ characteristics the process required if it was to have any chance of succeeding. It was agreed that the new process must:
44
Long Range Planning Vol. 11
February
1s address FDA’s unique needs and macagement
1978
style;
d
attempt to minimize paper work (Previous experience suggested an inverse relationship between the amount of paper generated and the quality of planning.) ;
*
focus on limited objectives (It could not be all things to all people and still have credibility as a planning process.) ; and finally,
*
be implemented gradually. for the full implementation seemed reasonable.)
Step 1-A significant amount of time and effort was expended locating and reviewing documents and studies relating to the Agency’s ADP activities over the preceding years. Through this rather painstaking effort, the planners slowly began to piece together a picture of FDA’s systems applications. ‘Data elements’ which might uniformly describe each application in non-technical terms were identified and intensely scrutinized for relevancy to management’s needs.
(A 3-5 year time frame of the planning process
This step also served as a ‘self-education’ mechanism for the planners. They became much more knowledgeable about each division’s ADP activities. Thus, when each ADP manager was finally contacted, he would only be asked for information about his ADP applications which was not available elsewhere. By minimizing the information reporting burden of each manager, it was hoped that they would be supportive of whatever process was finally recommended.
minimum characteristics, In addition to identifying knowledge of FDA’s AD? system applications on a macro (top-down) basis was considered essential to the design of a creditable planning process. This knowledge would help hone in on ADP trends, problems, and activities to be addressed by the planning process. In turn, this would help assure that the process was future, not past, oriented.
Ste Z-This step involved extracting, reorganizing an B reformatting the information in such a way that non-ADP managers could easily understand the nature and extent of the Agency’s ADP systems and how they support its consumer protection activities. The format developed for displaying this information is shown in Figure 1.
Due to the decentralized nature of the Agency’s ADP applications and the environmental factors previously mentioned, this macro view did not exist in 1974. FDA essentially did not know how many applications existed, what they cost, or what they did. Concerns about possible system duplication among operating divisions and other potential problems could not be addressed knowledgeably. This information gap raised the anxiety level among a number of FDA managers and executives.
Step 3-The planners then met individually with each ADP manager to discuss the reformatted information and to explain why such information would be useful to the Agency. Each manager and his staff reviewed the information and revised it where necessary to assure it accurately and fairly reflected their ADP activities.
The second part of the design phase, therefore, focused on developing a macro view of FDA’s system applications. The mechanism for developing this view was the ‘situational analysis.’ The steps followed in conducting the analysis are summarized below.
In addition, the ADP managers were asked to try to identify ‘potential’ applications that had a reasonable
FY 78 Ionizing
Radoation
Food and Drug Adminrstraton
- Products
and Devka
2 itL?! 1
ixpendit
status
Svstem
menl
wi
To :ompletl )peratio”al
CR
intie.
1Medical Image A”alys15
M&e NOW
5100,001
This Syrtam Oparetes and Controls Laboratory Equipment Used to Evaluate the Parformance of Diegnortic Radiology lmsga Receptor Systems. Tha Equipment is Alw Used to Help Develop Radiographic Film Standards. $75,0x Thin System Maintains Files of Information Diagnostic X-Ray Systems as Reported by
on
EDRO
Perscnal Identifiers
Mini:omputer
NO”a
Batch/ 0”. Damend
None
Computer-Aided Analysis Will Then Help the Bureau Determine the Appropriate Allocation of Inspection Resources The System Also Maintains Files on a Number of Other Electronoc Products.
Specific
Problems
and Future Plans
3suslopmer
FOI
Initiation Data
Exempt
NO
Plans Include(atl”vestigation of Less Costly Procas$ing Altanwtki. (bl Expansio” to Utilin Organ Doss Estimates and Qualm, Aswance Criteria and ICI Development of Ability to Directly Accept an Transmit Data to tha Field.
FY 74
NO
FY 75
No
i kvalopmmtal
lonizmg Radiatlon Facll~ty
575,ooo
This System Will Oparate and Control Laboratory Equipment Used to Conduct Product Testing Activities on X-Ray CompMlsnts. The Equipment Will Also be Usad to Help lnvaetigata Speciiic X-Ray Systems or Components which are in Potenhal Na”comp&“w wrth the Diagnostic X.Ray Srandara otential
NO”0
Figure11 . Format for displaying ADP systems applications.
Under s5o.ax
Ml”l. :omputer
None
Designing an ADP Planning Process chance of being developed in the future. These applications might, for example, be required to support implementation of a consumer protection law being considered in Congress. Potential applications were not identified in the old planning processes.
served as a kind of ‘pilot’ run for parts of the proposed process. Management agreed with the recommendations and approved the process for full implementation. Immediately after approval of the process, the results of the situational analysis were distributed to ADP and program managers throughout the Agency. The ADP managers were, therefore, able to weigh the usefulness of the information derived against its cost to them. In doing this, it was hoped the managers would convince themselves of the value of supporting the new process.
0 Step &An
analysis of the data base generated in Step 3 was then conducted to provide clear, concise insights into the Agency’s ADP activities. For example, it was learned that most of the Agency’s 161 ADP applications supported programmatic rather than administrative activities. Also, there was no evidence of wide spread duplication .of effort as some people had feared (whew !).
Implementation
Step 5-The key phases of the Agency’s program planning process were then reviewed to determine the most appropriate timing for the ADP process. Proper timing was considered essential if the ADP managers were to be able to make maximum use of FDA’s program plans in determining demands for future systems support. The current timing of the two processes is shown in Figure 2. The results of the situational analysis and planning process recommendations (format, data elements, and timing) were then presented to top management.
Guidelines for Planners
Several lessons have emerged or were confirmed by FDA’s experiences with its ADP planning process. These lessons are stated here as guidelines for consideration by anyone charged with designing an ADP planning process for their organization.
The format and data elements recommended were basically identical to those used to conduct the situational analysis. They had generated a good bit of useful information about where the Agency was at and where it was going. In addition, this information was obtained at a relatively low-cost in terms of the ADP managers’ time. Inadvertently, then, the situational analysis had
Agency Strategic ISSI es Considered
2? The process must be designed within the framework of the organization’s unique needs, management style, and political sensitivities. There is no ‘off the shelf’ process that will support all organizations.
1
I’
I
and Evaluatiort
FDA has gone through two complete cycles of its ADP planning process since its initial design. At the end of each cycle, the process is ‘critiqued’ by a propriate ADP and program managers to help identi Py both its strengths and weaknesses. When warranted, the process is changed to keep it relevant to its users and to reinforce its tie to the Agency’s program planning process. Thus far all changes have been of an evolutionary nature. For example, efforts are also now underway to mom accurately translate the results of system application plans into their impact on FDA’s central computer center. This effort will eventually provide a more systematic link among the plans for FDA’s consumer protection programs, system applications, and computer center operations and services.
These insights also helped make a final determination of the data elements and display formats to be used in the new process. *
I
I
I
I
Agency Priorities Discussed Consumer Protection Plans, Resource Levels and Tentative
I
I
Figure 2. Timing
7mpact on 1 Cc‘mputer Cen er Assessed
I
Aug. ’ Sept.’
sequence for program
I Oct.
Nov.
Dec.
45
Jan.
Feb.
March.
planning and ADP planning processes.
April.’
’ May.
Long Range Planning Vol. 11
February
The presence of a mature corporate (or agency) planning process upon which the ADP planning process can build significantly enhances the relevancy of the ADP process. Linking the two processes rovides the ADP manager with an awareness o P his organization’s objectives over a longer planning horizon than would otherwise be the case. Knowledge of an organization’s ADP systems applications on a macro basis is needed to help identify data elements or other factors to be included in the process. A ‘situational analysis’ may be used to derive this knowledge if it does not already exist. Personal, face-to-face communication &ith ADP managers (particularly in a large organization) in both the design and implementation of the process is essential. Planning guidance issued solely via memorandum is impersonal and may fail to detect
1978 organizational plans.
sensitivities
which
impact
on ADP
Q The design effort is never
truly complete. To keep it relevant to the needs of the organization it should be re-examined periodically by both managers and planners to decide what, if any, changes are needed.
References T. Freiser,ADP Planning in an Uncertain World, Computer Decisions, January (1976). 0. Knowles, Jr., Get Ready for Long Range ADP Planning, Computer Decisions, January (1977). F. W. McFarlan, Problems in Planning the Information System. Hervard Business Review, March-April (1971). J. V. Soden, Pragmatic Guidelines for EDP Long Range Planning, Data Manegement, September (1976).
43
Designing an ADP Planning Process D. L. SportP
A great deal has been written about the frustrations of carrying out long range planning in large organizations. Although far less has been written about ADP planning, similar frustrations (as well as benefits) have been suggested. The case study described in this article deals with the recent experiences of a large, federalregulatory agencythe Food and Drug Administration-in the design and implementation of an ADP planning process from 7974 to the present. Although the process was designed to meet the Agency’s specific needs, many of the lessons learned will be useful to others contemplating a process for their organization (public or private).
*
generated
‘wish lists’ instead of realistic plans;
f-? lacked year-to-year
changes formats;
in the and
continuity due to frequent planning data elements and
ir required
sign&cant amounts of time and generated voluminous amounts of paper. (One plan, affectionately referred to by some FDA managers as ‘the doorstop,’ was 3f inches thick.)
(4
A Congressional survey of FDA’s ADP activities in 1974 had been critical of the Agency’s ADP planning efforts.
(3)A
‘new’ FDA computer center had been created through the merger of its ‘old’ center and the computer center of another federal agency. The merger caused a degree of dissension and confusion that many Agency managers felt seriously impaired their ability to plan, develop and operate ADP system applications.
The Environment ADP systems play a key role in the day-to-day operation of FDA’s consumer protection programs and represent an expenditure of several million dollars each year. Planning and implementation of specific ADP applications occurs on a decentralized basis at the Agency’s seven operating divisions. Computer operations, however, are the responsibility of a central computer center under the Agency’s Of&e of Administration. At the time FDA decided to develop its ADP planning process, the overall data processing environment was extremely negative. This environment posed significant psychological barriers to the acceptance of any process by the Agency’s ADP managers. (1) Past experiments with Agency-wide ADP planning processes had disenchanted most FDA managers. Generally these processes : were imposed by higher level federal offices and failed to serve any clearly defined need ; were not timed to coincide with FDA’s regular program planning and budgeting process; were impersonal since planning instructions usually came via memorandum (The people requesting the information were unknown to the people providing it.) ;
* The author is on the staff of the Food 8 Drug Administration, Rockville, Maryland.
The Objectives Even though ‘ADP planning’ was au unpopular term in the Agency, top management felt the importance and cost of ADP applications clearly warranted an internal planning process. Discussions were held with top management to determine their needs and expectations. Based on these discussions it was decided that the most desirable process was one that would: *
alert top management to the present status and future outlook of FDA’s system applications;
*
increase communications and cooperation among ADP managers in FDA’s operating divisions as well as between ADP and program managers ; and
-A integrate
and align ADP plans more closely with FDA’s consumer protection plans generated through the Agency’s regular program planning and budgeting process.
The Design The two part design phase of the ADP planning process was iointly conducted by the planning and administration-staffs- over a nine-month period. The first part identified the ‘minimum’ characteristics the process required if it was to have any chance of succeeding. It was agreed that the new process must:
44
Long Range Planning Vol. 11
February
1s address FDA’s unique needs and macagement
1978
style;
d
attempt to minimize paper work (Previous experience suggested an inverse relationship between the amount of paper generated and the quality of planning.) ;
*
focus on limited objectives (It could not be all things to all people and still have credibility as a planning process.) ; and finally,
*
be implemented gradually. for the full implementation seemed reasonable.)
Step 1-A significant amount of time and effort was expended locating and reviewing documents and studies relating to the Agency’s ADP activities over the preceding years. Through this rather painstaking effort, the planners slowly began to piece together a picture of FDA’s systems applications. ‘Data elements’ which might uniformly describe each application in non-technical terms were identified and intensely scrutinized for relevancy to management’s needs.
(A 3-5 year time frame of the planning process
This step also served as a ‘self-education’ mechanism for the planners. They became much more knowledgeable about each division’s ADP activities. Thus, when each ADP manager was finally contacted, he would only be asked for information about his ADP applications which was not available elsewhere. By minimizing the information reporting burden of each manager, it was hoped that they would be supportive of whatever process was finally recommended.
minimum characteristics, In addition to identifying knowledge of FDA’s AD? system applications on a macro (top-down) basis was considered essential to the design of a creditable planning process. This knowledge would help hone in on ADP trends, problems, and activities to be addressed by the planning process. In turn, this would help assure that the process was future, not past, oriented.
Ste Z-This step involved extracting, reorganizing an B reformatting the information in such a way that non-ADP managers could easily understand the nature and extent of the Agency’s ADP systems and how they support its consumer protection activities. The format developed for displaying this information is shown in Figure 1.
Due to the decentralized nature of the Agency’s ADP applications and the environmental factors previously mentioned, this macro view did not exist in 1974. FDA essentially did not know how many applications existed, what they cost, or what they did. Concerns about possible system duplication among operating divisions and other potential problems could not be addressed knowledgeably. This information gap raised the anxiety level among a number of FDA managers and executives.
Step 3-The planners then met individually with each ADP manager to discuss the reformatted information and to explain why such information would be useful to the Agency. Each manager and his staff reviewed the information and revised it where necessary to assure it accurately and fairly reflected their ADP activities.
The second part of the design phase, therefore, focused on developing a macro view of FDA’s system applications. The mechanism for developing this view was the ‘situational analysis.’ The steps followed in conducting the analysis are summarized below.
In addition, the ADP managers were asked to try to identify ‘potential’ applications that had a reasonable
FY 78 Ionizing
Radoation
Food and Drug Adminrstraton
- Products
and Devka
2 itL?! 1
ixpendit
status
Svstem
menl
wi
To :ompletl )peratio”al
CR
intie.
1Medical Image A”alys15
M&e NOW
5100,001
This Syrtam Oparetes and Controls Laboratory Equipment Used to Evaluate the Parformance of Diegnortic Radiology lmsga Receptor Systems. Tha Equipment is Alw Used to Help Develop Radiographic Film Standards. $75,0x Thin System Maintains Files of Information Diagnostic X-Ray Systems as Reported by
on
EDRO
Perscnal Identifiers
Mini:omputer
NO”a
Batch/ 0”. Damend
None
Computer-Aided Analysis Will Then Help the Bureau Determine the Appropriate Allocation of Inspection Resources The System Also Maintains Files on a Number of Other Electronoc Products.
Specific
Problems
and Future Plans
3suslopmer
FOI
Initiation Data
Exempt
NO
Plans Include(atl”vestigation of Less Costly Procas$ing Altanwtki. (bl Expansio” to Utilin Organ Doss Estimates and Qualm, Aswance Criteria and ICI Development of Ability to Directly Accept an Transmit Data to tha Field.
FY 74
NO
FY 75
No
i kvalopmmtal
lonizmg Radiatlon Facll~ty
575,ooo
This System Will Oparate and Control Laboratory Equipment Used to Conduct Product Testing Activities on X-Ray CompMlsnts. The Equipment Will Also be Usad to Help lnvaetigata Speciiic X-Ray Systems or Components which are in Potenhal Na”comp&“w wrth the Diagnostic X.Ray Srandara otential
NO”0
Figure11 . Format for displaying ADP systems applications.
Under s5o.ax
Ml”l. :omputer
None
Designing an ADP Planning Process chance of being developed in the future. These applications might, for example, be required to support implementation of a consumer protection law being considered in Congress. Potential applications were not identified in the old planning processes.
served as a kind of ‘pilot’ run for parts of the proposed process. Management agreed with the recommendations and approved the process for full implementation. Immediately after approval of the process, the results of the situational analysis were distributed to ADP and program managers throughout the Agency. The ADP managers were, therefore, able to weigh the usefulness of the information derived against its cost to them. In doing this, it was hoped the managers would convince themselves of the value of supporting the new process.
0 Step &An
analysis of the data base generated in Step 3 was then conducted to provide clear, concise insights into the Agency’s ADP activities. For example, it was learned that most of the Agency’s 161 ADP applications supported programmatic rather than administrative activities. Also, there was no evidence of wide spread duplication .of effort as some people had feared (whew !).
Implementation
Step 5-The key phases of the Agency’s program planning process were then reviewed to determine the most appropriate timing for the ADP process. Proper timing was considered essential if the ADP managers were to be able to make maximum use of FDA’s program plans in determining demands for future systems support. The current timing of the two processes is shown in Figure 2. The results of the situational analysis and planning process recommendations (format, data elements, and timing) were then presented to top management.
Guidelines for Planners
Several lessons have emerged or were confirmed by FDA’s experiences with its ADP planning process. These lessons are stated here as guidelines for consideration by anyone charged with designing an ADP planning process for their organization.
The format and data elements recommended were basically identical to those used to conduct the situational analysis. They had generated a good bit of useful information about where the Agency was at and where it was going. In addition, this information was obtained at a relatively low-cost in terms of the ADP managers’ time. Inadvertently, then, the situational analysis had
Agency Strategic ISSI es Considered
2? The process must be designed within the framework of the organization’s unique needs, management style, and political sensitivities. There is no ‘off the shelf’ process that will support all organizations.
1
I’
I
and Evaluatiort
FDA has gone through two complete cycles of its ADP planning process since its initial design. At the end of each cycle, the process is ‘critiqued’ by a propriate ADP and program managers to help identi Py both its strengths and weaknesses. When warranted, the process is changed to keep it relevant to its users and to reinforce its tie to the Agency’s program planning process. Thus far all changes have been of an evolutionary nature. For example, efforts are also now underway to mom accurately translate the results of system application plans into their impact on FDA’s central computer center. This effort will eventually provide a more systematic link among the plans for FDA’s consumer protection programs, system applications, and computer center operations and services.
These insights also helped make a final determination of the data elements and display formats to be used in the new process. *
I
I
I
I
Agency Priorities Discussed Consumer Protection Plans, Resource Levels and Tentative
I
I
Figure 2. Timing
7mpact on 1 Cc‘mputer Cen er Assessed
I
Aug. ’ Sept.’
sequence for program
I Oct.
Nov.
Dec.
45
Jan.
Feb.
March.
planning and ADP planning processes.
April.’
’ May.
Long Range Planning Vol. 11
February
The presence of a mature corporate (or agency) planning process upon which the ADP planning process can build significantly enhances the relevancy of the ADP process. Linking the two processes rovides the ADP manager with an awareness o P his organization’s objectives over a longer planning horizon than would otherwise be the case. Knowledge of an organization’s ADP systems applications on a macro basis is needed to help identify data elements or other factors to be included in the process. A ‘situational analysis’ may be used to derive this knowledge if it does not already exist. Personal, face-to-face communication &ith ADP managers (particularly in a large organization) in both the design and implementation of the process is essential. Planning guidance issued solely via memorandum is impersonal and may fail to detect
1978 organizational plans.
sensitivities
which
impact
on ADP
Q The design effort is never
truly complete. To keep it relevant to the needs of the organization it should be re-examined periodically by both managers and planners to decide what, if any, changes are needed.
References T. Freiser,ADP Planning in an Uncertain World, Computer Decisions, January (1976). 0. Knowles, Jr., Get Ready for Long Range ADP Planning, Computer Decisions, January (1977). F. W. McFarlan, Problems in Planning the Information System. Hervard Business Review, March-April (1971). J. V. Soden, Pragmatic Guidelines for EDP Long Range Planning, Data Manegement, September (1976).