6.2.1 Option 1 – Status Quo The Status Quo option represents the continuation of Integrity Operations using the current suite of applications including SharePoint and the Compliance legacy application, the National Integrity Investigation System (NIIS) to provide basic tombstone and case data. Enforcement needs will continue to be addressed as follows: • Enforcement functions will continue to be managed through a SharePoint site where case workload is assigned manually to regions; • Minimal Business Intelligence (BI) and reporting capacity will be available as it is a manual process; • Manual processes will need to be created to support work between Enforcement and Compliance; • Manual processes will need to be created to satisfy the legal requirements for a successful prosecution when files are referred to PPSC or external police forces; Changes will be required to SharePoint and Excel to support the new manual processes.   Option Dependencies: • Current business needs are treated on a case-by-case fashion and limited to a defined scope of schedule, assigned resource level (less than $500K) and limited complexity. This is to limit the disruption impact on the legacy system, regional resources and Innovation, Information and Technology Branch (IITB) resources; • The current SharePoint site and Excel sheets continue to operate properly; • IITB are able to assign staff to create new SharePoint capabilities; • The SharePoint and Excel capabilities are approved by the legal group as sufficient to support Enforcement moving forward; any new requirements can be met with SharePoint and Excel. Option Assumptions: • There are sufficient IITB staff available to perform the work efforts required to maintain and enhance the systems; • Individuals with obsolete skill sets can be retained; • Additional developmental requirements can be identified; and • SharePoint and Excel can provide sufficient capabilities to match legal requirements. Option Constraints: • The SharePoint site is not robust enough to handle all enforcement-related requirements including standardization, case automation objectives, and legal requirements necessary for referral to PPSC when prosecution is suitable; • Without a modern toolset the National Enforcement and Intelligence Division (NEID) business process re-engineering might not fully achieve its expected level of outcome; • There may not be sufficient IITB staff available to maintain or change the legacy systems; • Although a very flexible tool, SharePoint and Excel may not be able to support the rigours required by the legal aspects of each case; and • The Department’s plan does not include using SharePoint as a tool to support program level solutions. Feasibility: Not feasible Reasoning: Option 1 – Status Quo, does not meet the criteria for supporting the commitment to implementing a robust enforcement system for the programs under ISB Integrity control. The cost to implement would require increasing staff within IITB and there could be scale-ability and adaptability issues by adding new features. It is not aligned with the strategic commitments of ISB and ESDC, and is not a sustainable model. It is therefore not a viable option. The use of the current system requires investigators to report multiple times, in different places, the same information for tracking and reporting purposes. This is not an efficient use of valuable resources and a drain on efficiency and morale. ISB needs to be agile and be able to keep abreast of technology evolution and adapt its internal functions accordingly. Furthermore, as previously indicated, ISB’s investigations function continues to grow, particularly in the area of Enforcement. With the recent federal governments COVID-19 response plan, there will be increased opportunities for fraud and ISB will require robust systems and processes to discover and make referrals to LE for eventual prosecution of such individuals. The existing SharePoint and Excel implementation has not been sufficient to handle the workload and many resources have been borrowed from the regions to deal with capacity. This demostrates and urgent need for a new system as the manual interventions required by the current system far outweigh the resources to manage them. The status quo poses significant challenges to workload management of investigation, intelligence gathering and security of information. Use of different systems impedes regional standardization and the ability to have a consistent approach for Integrity Operations across Canada, both increase the risk to successful prosecutions, and were challenges identified in the 2014 OAG audit of ESDC’s investigations framework. Option 1 rating against the evaluation criteria: 1. Delivery of an Enforcement solution by March 31, 2022 – some basic capabilities would be available by the due date but the development of SharePoint based Enforcement capabilities will continue after this date, there is uncertainty about the time required to deliver the entire solution; 2. Cost to implement, operate and retire solution –the cost to develop a solution may be higher than estimated as we do not know the entire timeframe for implementation; 3. Degree and timeliness of benefits realization – the implementation of a basic enforcement solution by the TBS due date will support some, but, not all of the outlined benefits within the required timeframe; 4. Risk associated with solution implementation and benefits realization – developing new code to provide a solution on the SharePoint product will have the additional risk to the project timeframe of having to test all new code and reject code that does not pass testing leading to a longer development schedule; 5. Implementation considerations – the IITB team will have to ensure sufficient knowledgeable resources are available to fulfill the Enforcement requirements on SharePoint; 6. Organizational readiness to adopt and take full advantage of solution – the Enforcement functionality within ISB is being revised, based on recommendations and the introduction of a new software solution will have to support the new business process revisions; 7. Ability to deliver on the following requirements : audit trail, data security, evidence security and compatibility with external agencies – the status quo does not support these requirements; and 8. Scalability of the solution and the adaptability to add new features in the future – the SharePoint system would use the newest technologies that have scalability and adaptability built in. New features will be added during subsequent releases of the solution. Option Cost Identification The following table defines the estimated costs to proceed with this option. Major Cost Item Lifecycle Type – Goods, services or salary Estimated Value Assumptions Project Costs for ISB staff and consulting to support business initiatives Planning, Implementation, Testing, Training, and Closure Salary & Services $TBD Project Costs for IITB staff and consulting for system configuration Planning, Development, Testing, Implementation Salary and Services $TBD Training of user community Implementation Services $TBD Total Costs $TBD Option Cost Summary The Option Cost Summary takes the implementation and annual operating costs and divides them by the number of years that the solution will be in use to get an Average Annual Lifecycle costs. Cost Category Cost ($) Cost Assumptions Implementation Cost (IC) TBD Assumptions for Implementation, based on information in previous table Annual Operating Cost (AOC) TBD From IITB Cost Work Book Decommissioning Cost (DC) N/A Assumptions for Decommissioning Cost Total Lifecycle Cost (TLC) TBD Assumptions for Total Lifecycle Cost based on Implementation cost + yearly operating costs over the 10-year life span – will be adjusted once the Financial Management Advisor (FMA) approved costing received Average Annual Lifecycle Costs (AALC) TBD Assumption for Average Life Cycle Cost, based on a 10-year life span of the new solution – will be adjusted once FMA approved costing is received. Benefits Analysis This area will be completed once the FMA provides us the cost workbook for both ISB and IITB.  Preliminary Risk Identification The following preliminary risks have been identified for this option: Source of Risk Risk Definition / Context Internal – Business Requirements The existing solution may not have the capabilities to meet all standard business requirements as the internal processes mature. Internal – Data migration This option does not plan for any data migration. There is a risk that some migration may be required and has not been planned. Internal – Loss of Data There is a risk that data may be lost if issues occur with the existing legacy systems before the replacement solution is available. Internal – Impact on Business (change management) Implementing new system changes will modify existing operational processes, embedded culture and may disrupt established networks for staff. External – Interconnectivity Program management between the Transformation Management Branch (TMB), Benefits and Integrated Services Branch (BISB) and the project-sponsoring branch must align to ensure interconnectivity between ongoing projects is in place. External – Interoperability The existing solution does not have the capabilities to link to other datasets, systems and their existing state may cause some dis-benefits or require major workarounds for business operations. External – Stakeholder Engagement Adopting an agile approach to support optimal documentation requires continued stakeholder involvement and is dependent on evolving priorities. Implementation and Capacity Considerations Stakeholder Impacts: 1. ESDC and ISB will not receive any costs savings by modifiying the existing application; 2. Canadian Citizens will not experience increased fairness; 3. IITB Development staff will obtain no new skills; 4. ESDC Personnel – ISB-NHQ and regional staff will continue to spend more time processing each case and have minimal case management with supported automation, reporting, and business rules; 5. ESDC personnel – Regional Integrity Operations will have no consistency in the delivery of services and processes; 6. ESDC Personnel will be using an outdated application that does not provide the following software product qualities – Functional Suitability, Reliability, Performance efficiency, Operability, Security, Compatibility, Maintainability and Portability; 7. IITB Development staff will be impacted by the inability to retain programmers and systems analyst talent; 8. Benefit Delivery Service Branch will have minimal reliability on the data provided by the existing Application; and 9. External LE Agencies will see minimal improvement in the cases provided by ESDC. Project Management Capacity: Over the last fiscal year, ISB has created a Project Delivery Office (PDO) to centralize the function and to help increase its overall maturity level in Project Management (PM). Specifically, for this project, ISB has assigned a Project Manager, two Deputy Project Managers, change management and business analysis staff to this effort. Between them, the project will have over thirty years of project experience and more than ten years of ISB experience. The project will be tracked using the ESDC PM framework, with the associated support from ESDC’s Enterprise Project Management Office (EPMO). ESDC executives will be kept informed of the project progress by monthly dashboard reporting and the necessary project-gating process. The solution development will be undertaken by IITB, who will be assigning a technical manager to coordinate the development efforts. A project governance approach between IITB, ISB and regional executives will be implemented with a focus on team integration, transparency between enablers, and decisive issue resolution approach between responsible executives. The solution will be developed using an Agile PM approach. The list of user requirements will be tracked and software development will occur during a series of “Sprints”. The timeframes for each sprint will be defined by IITB and new software will be provided at the end of each sprint. Using an Agile process allows the development team to provide a solution quicker to the user community and tailor their development efforts on the most critical or required changes. Lessons learned from the development and deployment of the TFWP/IMP ICMS system has, and will continue to be leveraged. One of the key project success points was the high integration between program, project and technical resources. Based on the implementation and capacity listed above, the ability to implement the option is rated as High.   Organizational Readiness Analysis The following concerns have been identified regarding readiness of ISB to adopt and take full advantage of this solution option: Organizational Readiness Considerations 1. ISB is currently executing an initiative to define the business model to process Enforcement cases; 2. Involvement from the ISB regional community, with the ongoing enforcement project, has been at the levels and effort that ISB requires to complete the work. Regional and NHQ staff have bought into the proposed changes to support the new Enforcement model and ISB expects this level of commitment to continue; 3. Within the ISB department, this project and associated Enforcement Maturity Model work, has a high priority and staff are available as required and sufficient funding is in place to support both efforts; and 4. The ISB team has a dedicated Change Management group who will ensure that the end-user community will be informed of the proposed changes and will have the necessary training to support the system moving forward. Based on the organizational readiness considerations above, the organizational readiness to adopt this option is rated as High. • Enforcement function Currently, the Enforcement division utilizes a SharePoint site developed as a response to the critical shortcomings and abandonment of the Major Investigation and Sensitive Case Information System (MISCIS) as a case management system. MISCIS was an MS-Access database with limited functionality that did not meet business objectives. In addition, this solution had no workflow management and was not designed to be a case management system or a long-term solution to respond to current operational risks. An internal audit conducted by ISB in 2014 outlined the immediate need to develop and implement a robust and comprehensive case management system to manage the increase of enforcement investigations, aligned to key stages of the investigation workflow, and to help provide a framework for the separation of Enforcement and Compliance functions§. The report also highlighted the importance in consistency of evidence building in our processes.