DAI_SOP_DAI_Implementation_4_January_2019_Redacted.pdf

Defense Logistics Agency

STANDARD OPERATING

PROCEDURES

SOP 1422-0119

January 4, 2019

DLA, Defense Agencies Initiative (DAI), J62A

SUBJECT: DAI Agency Implementation Team Planning and Execution (SOP)

1. PURPOSE. This Standard Operating Procedure (SOP) assigns responsibility, implements proceedures, and defines the process for all activities needed to prepare the agency infrastructure of the implementation of DAI in the DAI Program Management Office (PMO).

2. APPLICABILITY. This SOP applies to all DLA, DAI J62A Implementation Team activities.

3. DEFINITIONS. Roadshow environment – an instance of the DAI system, a clone of Production with personal identifiable information scrambled, used to test and verify configurations prior to moving them to DAI Production. The instance is frequently used for testing, training, and demonstration for new agencies.

4. RESPONSIBILITIES

a. EXECUTIVE SPONSOR, OFFICE OF THE SECRETARY OF DEFENSE (OSD), BUSINESS INTEGRATION OFFICE, must:

1) Provide initial approval for the implementation of DAI

2) Provide final approval for the implementation of DAI based on the recommendation of the DAI PM.

b. PROGRAM MANAGER (PM), J62A must:

3) Direct the administration of this SOP.

4) Ensure all DAI Stakeholders adhere to the DAI Implementation process

5) Make the final DAI implementation recommendation after receiving input from the other Stakeholders.

c. DAI IMPLEMENTATION TEAM, J62A must:

1) Provide agencies preparing to deploy on DAI with the guidance and structure needed to prepare the agency infrastructure of the implementation of DAI.

2) Provide agencies preparing to deploy on DAI with the guidance and structure needed to prepare for agency business process reengineering in support of the

SOP 1422-0119

implementation of DAI.

3) Provide agencies preparing to deploy on DAI with the guidance for navigating the DAI Configuration Management (CM) process for any possible Software Change Proposals needed to prepare the agency for the implementation of DAI.

4) Provide agencies preparing to deploy on DAI with required DAI configurations and multiple iterations for demonstrations to ensure the agency is prepared to conduct its business on DAI.

d. DAI INFRASTRUCTURE TEAM, J62A must: Provide technical support to the Implementation Team, including but not limited to: Roadshow environment setup (i.e., copies from Production or other environments when requested), user account creation, database setup, and troubleshooting defects (e.g., system latency issues or database errors).

e. DAI REQUIREMENTS MANAGEMENT TEAM, J62A must: Maintain the latest requirements traceability matrix and work with the Implementation Team to leverage and modify this document as needed to ensure that during the fit/gap analysis, all of the implementing agencies unique business rules, requirements, and practices can be mapped to and met in DAI.

f. DAI MAJOR DEVELOPMENT TEAM, J62A must:

1) Provide support to the Implementation Team during the fit/gap analysis and possible Software Change Proposal (SCP) development process to identify and resolve business process gaps leading to possible DAI SCPs.

2) Design and develop all implementation critical SCPs prior to the agencies planned fiscal year begin deployment date.

3) Support testing of implementation critical SCPs prior to the agencies planned fiscal year begin deployment date.

4) Assist in training of staff for all implementation critical SCPs prior to the agencies planned fiscal year begin deployment date.

g. DAI WORKFORCE PREPARATION (WFP) TEAM, J62A must: Work with the Implementation Team to train the new agency Trainers on the Global functionality of DAI. This is to be accomplished via Train the Trainer sessions for each process area of DAI. In addition, the DAI WFP will assist the agencies in preparing their Training Plan document.

h. DAI SUSTAINMENT TEAM, J62A must: Work with the Implementation Team as needed in order to adequately prepare for bringing new agencies on DAI. This includes, but is not limited to assisting the agency with preparing their Help Desk Plan document and participation in Process Mocks, System Integration Test (SIT), and User Acceptance Test

(UAT).

i. DAI INTERFACE TEAM, J62A must:

1) Manage the DAAS functionality during demonstration and test events.

2) In conjunction with the DAI Test Team, the Interface Team coordinates the testing of DAI interfaces with partner systems.

j. DAI DATA CONVERSION TEAM, J62A must: Manage the conversion of the agency’s legacy data to DAI.

k. DAI TEST TEAM, J62A must:

1) Ensure all test planning, test execution, and test reporting activities are in accordance with the DAI testing process for SIT and UAT prior to agency deployment

2) Perform quality control checks during and after testing process execution.

5. PROCEDURES. See Enclosure 1.

6. INFORMATION REQUIREMENTS Each agency must be approved for implementation on DAI by the Executive Sponsor, Office of the Secretary of Defense (OSD) Business Integration Office.

7. INTERNAL CONTROLS

a. PM must sign and approve the following documents for each agency’s implementation:

1. Implementation Agreement

2. CIO Letter

3. Phase 0 Checklist

4. Phase 1 Checklist

5. Phase 2 Checklist

6. Post Production Support Agreement - OTL

7. Post Production Support Agreement - Financials

8. RELEASEABILITY. UNLIMITED. Distribution of this SOP is not restricted.

9. EFFECTIVE DATE. This SOP is effective upon signature and must be reviewed at least annually to ensure that it reflects current procedures. This SOP must automatically expire 5 years from its signature date unless it is superseded earlier.

Enclosures:

1. DAI Implementation Procedures

2. Glossary

ENCLOSURE 1

ENCLOSURE 1

DAI Implementation Procedures

DAI Implementation Process

1. Phase 0

a. Kick-Off – The DAI Implementation Team along with the DAI PM or a representative meet with the client executives to discuss the value proposition of DAI and to go over the Implementation methodology, plan and approach.

b. Site Survey – The DAI Implementation Team will provide the site survey template to the implementing agency. The site survey provides insight into the business process needs of the agency across all process areas in addition to transaction volume, intricacies about the agency, and other insights that allow DAI to begin to prepare for their impending go-live.

c. Infrastructure Site Survey – The DAI Implementation Team will provide the infrastructure site survey in order to plan for the locations and required setups/configurations needed to support running the software specific to DAI (i.e., Oracle Federal Financials)

d. Staffing Plan – The DAI Implementation Team provides the agency with the government implementation lead point of contact (POC), implementation team POC, and agency-specific implementation lead POC information in addition to subject matter exper support for all process areas for DAI. The agency and Defense Finance and Accounting Service (DFAS) then add their counterpart POCs for all areas.

e. Department of Defense (DoD) Enterprise Portal Service (DEPS) Access – For each agency implementation, an agency folder is created with subdirectories for each phase of the implementation (0 through 4) and all major events and deliverables required to support each phase. DAI PMO, agency and DFAS access is then granted to this folder for collaboration through the implementation process. All documents templates mentioned in this SOP are included in the initial directory setup by the DAI PMO agency implementation lead and subsequently tailored for the respective implementing agency. The initial directory structure is based on a copy of the “Implementation 101” folder on DEPS.

f. Integrated Product Team (IPT) Meetings – from the start of the agency’s initial implementation through cutover, communication is imperative. To set the tone of urgency and to ensure that issues are handled in a timely manner, the DAI PMO agency implementation lead will lead a weekly meeting to discuss any current or past due tasks, issues and action items and to look at the two week out plan. DAI notes these working sessions to be integral to the successful implantation of Defense Agencies on DAI. The meeting format template is kept in the DEPS directory structure; edits are provided by the DAI Risk/Issues/Action Items spreadsheet. The DAI Risk/Issues/Action Items spreadsheet is also kept in the DEPS directory and managed by the DAI PMO agency implementation lead. The

ENCLOSURE 1

lead POC, as identified in the Staffing Plan, for each entity are required to attend these meetings. Additional supporting representatives from the DAI PMO, the agency, and DFAS should also be included as needed.

g. Immersion Event – For the Immersion Event, the DAI Implementation Team will prepare a presentation using both slides and hands-on system access demo in Roadshow to provide the agency with an overview of each DAI End to End (E2E) process area:

i. Budget to Report (B2R)

ii. Projects/Cost Accounting (CA)

iii. Order to Cash (O2C)

iv. Procure to Pay (P2P)

v. Acquire to Retire (A2R)

vi. Oracle Time and Labor (OTL) For the initial demonstration, an existing agency configuration is used.

h. Implementation Plan Agreement – As part of the initial agency kick-off, the DAI Implementation Team uses an Implementation Plan Agreement to document the concurrence between the DAI PMO, the agency and DFAS as to the plan and schedule for implementation. All parties sign this agreement.

i. Agency Implementation Integrated Master Schedule (IMS) – a byproduct of the Implementation Plan Agreement is the Agency Implementation IMS. With the sign-off of the plan, the DAI PMO and DFAS work with the agency to go through the more detailed plan of events as they are laid out in the Agency Implementation IMS. The IMS is used as the guiding document for day to day activities throughout the agency’s implementation to ensure that all tasks are planned and completed in a timely manner in order to ensure a successful implementation at the agreed upon fiscal year cutover.

j. Phase 0 Checklist – At the beginning and end of each implementation phase the checklist of items for that phase is reviewed. It is reviewed at the beginning of the phase in order to baseline the objectives of the phase and again at the end in order to document concurrence that all objectives have been met.

2. Phase 1

a. Agency Solution Review (ASR) – The ASR event is the major milestone associated with Phase 1. After the Phase 0 Immersion Event, a series of smaller immersion presentations and workshops are given in order to begin to document the full scope of the agency’s business processes and to gain a better understanding of how those processes either do or do not fit the current DAI Global Model. In looking at the business process fits and gaps, the Implementation Team works with the agency to see where possible business process reengineering (BPR) can be done in order to allow the agency to smoothly transfer their business to DAI. Where BPR is not possible due to the uniqueness of that process, then SCPs can be developed and submitted. The outcome of this fit/gap analysis is the ASR where the agency’s business processes are demonstrated in a working instance of DAI with that agency’s specific

ENCLOSURE 1

configurations to support it. During the ASR, each business process is reviewed and demonstrated for that agency.

b. Workforce Preparation – during this portion of Phase 1, the DAI PMO WFP Team prepares and presents a briefing in tandem with the Implementation Team to discuss the program’s train the trainer approach and logistics.

c. System Change Proposals – Coming out of the business process analysis, each agency could have unique processes or interfaces that would require a potential change to the DAI system as a whole. When a system change is needed, the change must be documented and submitted for approval by the requirements Review Board for OSD Business Integration Office approval and Configuration Control Board (CCB) for DAI agency approval. The agency works with both the Implementation Team and the Requirements Team to prepare and submit any possible SCPs.

d. Chief Information Officer (CIO) Letter – The CIO Letter template is provided to the agency for completion. The primary purpose of the CIO letter is for the Agency CIO to attest and verify identification and validation of user access to the DAI Systems; this includes preparing, collecting, and approving the System Authorization Access Request (SAAR), also known as DD Form 2875, for the DAI Training, Development and Production environments. It is the responsibility of each agency to maintain their own SAARs for DAI.

e. Phase 1 Checklist – At the beginning and end of each implementation phase, the checklist of items for that phase is reviewed. It is reviewed at the beginning of the phase in order to baseline the objectives of the phase and again at the end in order to document concurrence that all objectives have been met.

3. Phase 2

a. Process Mocks – To support three Process Mock events, the DAI Implementation Team prepares Concept of Operations (ConOps) documents for each process area based on templates. The ConOps documents provide guidance on how the agency will be doing business on DAI and will serve as the basis for the agency to develop its own DAI SOPs and Work Instructions (WIs). The ConOps documents are delivered prior to each process mock and updated based on the outcome of each Process Mock. The Process Mocks are a series of workshops and hands-on events led by the DAI PMO for Process Mock 1&2 and led by DFAS for the 3rd and final Process Mock. Process Mock 1 is a series of workshops addressing the gaps identified in the ASR which will be handled by BPR in the DAI system.

During these working sessions, the issues and resolutions are discussed and documented in detail. Process Mock 2 is a series of hands-on sessions primarily for the agency in which the agency executes the activities in DAI which have been documented in the ConOps, with a focus on those addressed in the BPR in Process Mock 1. Process Mock 3 has both DFAS and the agency on the keyboards, creating transactions and mimicking the hand-offs and coordination that will be required between them once they are on DAI’s Production environment. The outcome of the Process Mock is a clear understanding between agencies and DFAS as to what is required and expected in order to do business.

b. Help Desk Plan – the DAI Sustainment Team, together with the Implementation Team present a Help Desk Plan template to the agency which gives the outline for the necessary considerations each agency must give to providing its user base with the necessary Tier 1 support. The purpose of the agency’s DAI Help Desk plan is to outline the processes and procedures necessary to support incident identification, information gathering, escalation, troubleshooting and closure of incidents. It is the responsibility of the agency to complete this document and provide it to the Sustainment and Implementation Teams for review.

c. Infrastructure Plan – The DAI Implementation Team, together with the

Infrastructure Team as needed, present an Infrastructure Plan template to the agency which gives the outline for the necessary considerations each agency must give to ensuring the proper connectivity to the DAI system. The Infrastructure Plan contains the timeline and location details for validation connectivity at all applicable locations for the agency. It is the responsibility of the agency to complete this document and provide it to the Implementation Team for review.

d. SOPs – Each agency must develop its own SOPs. The SOPs are developed in part based on the ConOps documents and in part based on prior SOPs that the agency had used to accomplish the same business objectives.

e. End User Templates (EUT) – EUTs are an Excel-based spreadsheet document provided by the DAI Implementation Team for agencies to collect the required user data in order to define their users in the DAI system. It is the agency’s responsibility to maintain a SAAR for each of thier users.

f. Communication Plan – The agency communication plan for DAI is based on a standard template provided by the DAI PMO Implementation Team. The communication plan lays out the timeline and activities that will occur to communicates to and prepare the workforce for the system transition to DAI.

g. Data Conversion Plan – The DAI Data Conversion Plan is initiated by DFAS and presented to the agency for sign-off. The Data Conversion Plan documents the scope and objects for migrating that agencies data from their legacy financial system to DAI. Integral to the conversion process is the cleansing of the legacy data so that it can be brought into DAI and to ensure that follow-on transaction processing can continue in DAI against converted data without issue. The data cleansing, collection, and conversion to DAI, as laid out in the Data Conversion Plan provide a clear path for a successful conversion to DAI.

h. Interfaces – The Agency Implementation IMS provides direction for interface planning and preparation tasks in Interface Control Agreement (ICA) updates, partner system notifications, and various levels of testing. DAI’s approach to interfaces for each agency is to include all possible interfaces in the initial IMS and to address the possible applicability of each, noting where any do not apply.

ENCLOSURE 1

i. Production Support Agreement – Leading up to an agency’s cutover to DAI, the DAI PMO uses the standard Production Support Agreement template to lay out the following key items to set expectations for procedures to follow and the level of service to expect:

1. The level of support, timeline and scope of service the DAI PMO will provide to the Agency

2. The measurements to determine when an Agency will progress from one post implementation phase to another

3. Process for requesting support from the DAI PMO

4. The roles and responsibilities of the Agency, the DAI PMO and DFAS

j. User Management Plan – A User Management Plan template is presented to each agency by the DAI PMO Implementation and Sustainment Teams in tandem.

With each agency’s SAAR responsibility comes the need to manage user access and roles in DAI. The User Management Plan defines the expected user management people, processes, and events in the DAI Program over the full lifecycle of the agency’s DAI implementation and post go-live, including the capture of agency-specific processes necessary to accomplish user management workforce preparation tasks. Although the template is provided by the DAI PMO, the plan is owned and maintained by the implementing agency.

k. Training Plan – The Training Plan template is provided to each agency as a baseline for the planning and preparation needed in order to successful prepare the workforce for the impending DAI implementation. The DAI planned training approach is to have each agency develop and design a custom training plan for their individual agency. The agency training program will provide agency end-users with initial end-user training, and supports ongoing training and performance needs. The DAI Training program is designed to train the agency trainers with a global solution of how to perform business tasks using the DAI System. Agencies then customize the global training materials to suit their agency’s unique training needs and training configuration.

l. Phase 2 Review Checklist – At the beginning and end of each implementation phase, the checklist of items for that phase is reviewed. It is reviewed at the beginning of the phase in order to baseline the objectives of the phase and again at the end in order to document concurrence that all objectives have been met.

4. Phase 3

a. Cutover Plan – The DAI Cutover Plan is developed and delivered by the DAI PMO Major Development Team to document the final preparation document leading up to the agency’s new operation on the DAI system. The purpose of this document is to provide an agency with a sense of scope and activities for DAI cutover. This document should be used in conjunction with the FY Cutover Calendar and the FY Cutover Schedule to provide guidance on cutover activities for Defense Agencies deploying onto the DAI Enterprise Resource Planning (ERP) system. The Cutover Calendar provides a summary view of activities over the six-month period of scheduled activities that support cutover, while the Cutover Schedule provides a more detailed list of the activities that are planned with the associated dependencies and resource assignments.

5. Phase 4

a. Post Production Metric Briefs – at cutover for each agency, the DAI PMO agency implementation lead along with the designated Sustainment Team Account Manager for the agency will receive the final metrics regarding data cleansing from DFAS. The metrics as well as new DAI system metrics will then be monitored and measured to ensure that agency operations are progressing at the expected pace and to ensure that interfaces are functioning as expected. Once on DAI, any unresolved data cleansing issues are expected to be worked to closure along with any new potential processing issues. The Post Production Metric Briefs, which take the place of the weekly IPT planning sessions after cutover, are the forum for reviewing the most current metrics and laying out the appropriate courses of corrective action. These briefs are also based on the template copied from the Implementation 101 folder.

GLOSSARY

GLOSSARY

PART I. ABBREVIATIONS AND ACRONYMS

A2R Acquire to Retire ASR Agency Solution Review B2R Budget to Report CCB Configuration Control Board CIO Chief Information Officer CM Configuration Management ConOps Concept of Operations CA Cost Accounting DAI Defense Agencies Initiative DEPS Department of Defense Enterprise Protal Service DFAS Defense Finance and Accounting Services DoD Department of Defense E2E End to End EUT End User Templates GEX Global Exchange ICA Interface Control Agreement IPT Intigrated Product Team O2C Order to Cash OSD Office of the Secretary of Defense OTL Oracle Time and Labor P2P Procure to Pay PM Program Manager PMO Program Management Office POC Point of Contact SAAR System Access Authorization Request SCP Software Change Proposal SIT System Integration Test SOP Standard Operating Procedure UAT User Acceptance Test WFP Workforce Preparation