# Presentation: 064351

## CPIC ADVANCEbyHarriet Brown

##  Collaboration: Portfolio Planning 

**CPIC Guide**

**Alignment with Business **

** ****Collaboration: Portfolio Planning **

**E-Gov Scorecards **

**IT Strategic Plan**

**Capitol Planning & Investment Control**

**IT Security**

**IT Records**

**IT EA**

##  The Roadmap 

_**Vision statement**_** – the compelling image of what the OCIO organization aspires to become (affects the values & behaviors)**
_**Values**_** –Principles & Philosophies  that guide our actions, decision making, & conduct  in carrying out the mission. *****Teamwork, innovation, integrity.***
_**Goals**_** ****– Long term, overarching desired end results (statements of aim or purpose) *****Operate as a leading edge, performance-based organization that consistently meets objectives***
_**Objectives**_** - Measurable and achievable short term targets  by which we define our progress towards achieving the desired results.  *****Conduct all Security C&As by 3******rd****** quarter.***
_**Strategies**_** – the “approach” ... ”how to’s”  for reaching our goals & achieving our vision.**

- Definitions:  OMB Circular A-11; part 6, section 200-2 (6/02)

** ****The Roadmap **

**Notes:**
The Strategic Management Committee (SMC) exists to ensure the success of our journey.  The SMC is responsible for defining the initiatives, goals, and strategies.  It is also responsible for working together throughout the OCIO organization and with our customers to build support and to ensure we are heading in the right direction.  This group will meet monthly to review progress towards achievement of our goals and to align our strategies with our ultimate destination.

The SMC membership includes:
 Wes Gewehr (Deputy CIO for Systems Modernization)
 Ron Hack (Deputy CIO for IT Services)
 Kay Melvin (Executive for Information Dissemination Services)
 Barbara Fleming (Director of Technical Policy and Planning Staff)
 Randy Bender (Office of Customer Support Services)
 Susan Callis (CIO Chief of Staff)
 Larry Cogut (Office of System Architecture and Engineering)
 Bruce Cox (Information Products Division)
 Ken Giese (Office of Acquisition Management)
 Holly Higgins (Office of Data Management)
 Tom Kenton (Office of Systems and Network Management)
 Rob Porter (Office of Systems Development and Maintenance)
 Jeff Wolfe (Office of System Product Assurance)
 Cindy Wright (SEPG Chair)

## ITIM GAO Maturity Model – Stage 2
Life Cycle – alignment with CPIC life cycle
Execution of EVM and OA 
Streamline HW and SW acquisitions to achieve technical standardization and realize cost savings
IP V6

**Secretary of Interior**

**E-GOV Team**

**MEC**

**Bureau IT Investment Review Boards**

**IT Strategic Planning**

***E-Gov Initiatives Team ***

***Web Council***

***IBAT – Interior Bus. Arch. Team***

**IT Governance Framework  – Bridge to Effective IT Management**

***Bureau CIOs***

**ITMC**

**MIT**

**IRB**

- ITIM GAO Maturity Model – Stage 2
- Life Cycle – alignment with CPIC life cycle
- Execution of EVM and OA
- Streamline HW and SW acquisitions to achieve technical standardization and realize cost savings
- IP V6

- GAO ITIM Framework Maturity Model
- Self assessment – ID gaps
- Project Plan - close gaps
- IV&V - validate ITIM
- CPIC Quarterly Report

- OMB Scorecard
- Secretary’s Tracking System
- CPIC Quarterly Report
- Variance Dashboard
- Corrective actions if >5%

**Performance Measures**

## DOI MISSION

**DOI MISSION**

**IT - MISSION**

**IT – GOALS & OBJECTIVES**

**IT – STRATEGIES TO MEET GOALS**

**LAWS, GUIDANCES**

**BUSINESS -BUREAUS**

**Resource Protection****  ****Recreation  ****Resource Use****  Serving Communities**

**FUTURE VISION – DOI IT – FY 05 - 10**

** ****How it Ties Together **

## GOAL

**GOAL**
***- What You Want to Do***

**STRATEGIES – *****How to’s****** ***

- Provide On-Going Monitoring and Evaluation

- To effectively manage program or project & Achieve set targets

- Check-ups / Reviews
- Scorecard Results
- Milestones

**Strategies, Objectives & Goals:****  ****How Does It All Relate**** ?**

## Articulate Mission / Vision

**Articulate Mission / Vision**

**Assess Organization / Environment**

**Agree on Goals, Objectives, Strategies**

**Write Strategic Plan**

**Link Plan to Budget/Performance**

**Monitor/Evaluate**

**Define Challenges**

**Set the Course**

**Keep the Plan Relevant**

** ****How to Plan Strategically **

## Covering the Bases 

**Goals**
**Strategies**
**“****Roadmap”                            to Desired Outcomes**

**FACTORS INFLUENCING **
**DOI OCIO **
**Strategic Planning **

**Fed. Records Act**

**A-130**

**E-Gov Strategy**

**CPIC**

**Clinger-Cohen**

**NIST**

**GISRA**

**GPEA**

**GPRA**

**GAO Models**

**MISSION**

**VISION**

**BUREAUS**

**CUSTOMERS & External Stakeholders**

**Covering the Bases **

##  Rules of the Road 

**Federal Acquisition Streamlining Act of 1994**
- Established “simplified acquisition threshold” of $100,000
- Created the category of the “micro-purchase” less than $2,500
- Mandated a network for spreading e-commerce

**Government Management Reform Act of 1994**
- Audited financial statements
- Consistent financial reporting principles, standards, and  requirements
- Simplified financial management reports

**Government Performance and Results Act of 1993**
- Hold Federal agencies accountable for achieving program results
- Focus on results, service quality, and customer satisfaction
- Require a 5-year strategic plan
- Annual performance plans and reports

**Chief Financial Officer Act of 1990**
- Established Chief Financial Officer
- Strengthen internal controls
- Improve financial performance
- Annual financial statements

**Paperwork Reduction Act of 1995**
- Minimize paperwork burden for constituents
- Uniform Federal information resource management policies and practices
- GPEA Amendments 2003 deadline for eCommerce

**Information Technology Management Reform Act of 1996**
- Established the Chief Information Officer
- Better planning and management of information and technology assets
- Analyze, track, and evaluate the risks/benefits associated with information management investments
- Annual report on net program performance benefits relative to Agency goals
- Performance-based and results-based management of information systems
- Establish information management performance measures
- Develop, maintain, and facilitate the implementation of a sound and integrated information management architecture
- Standard information management policy

**Government Information Security Reform Act (GISRA)**
- Requires agency head to ensure integrity and availability of information resources
- Requires program evaluations and certification
- Specific IT security program requirements
- OMB reports to Congress

**A-130 OMB Guidance**

**GAO Maturity Framework**

**Federal Records Act of 1995**
**Freedom of Information Act**
**Privacy Act**

**NIST Guidance**

**E-Gov Act of 2002**

** ****Rules of the Road **

**Notes:**
	While the business challenges present significant requirements for the technology infrastructure, the Legislative and International environments also present significant requirements for the USPTO and its information management program.

Paperwork Reduction Act of 1995
Established uniform information resource management policies and practices
Set 2003 deadline for transition to eCommerce
IT Management Reform Act of 1996 (Clinger-Cohen)
Defined standard information management policies
Required an integrated information management architecture
Set planning and risk/benefit investment analysis expectations
Government Information Security Reform Act (GISRA)
Required risk assessments, security plans, accreditation for all AISs
Called for separation of duties to limit risk exposure
Required user and technology training programs be established
Implications for budgeting – OMB requirements

	Along with these requirements, additional guidance has been provided via OMB circulars such as A-130.  This circular requires the development of an Enterprise Architecture Framework, and the alignment of the IT Investment Management process and this Enterprise Architecture.

## Mission

***To provide world class, citizen centric information products and services ***

**OCIO Vision**
***Technology for Citizen-Centered, integrated, secure services ... To provide leadership for a dynamic, state-of-the-art information technology management program throughout the Department.  Enhance the use of information and technology by providing high quality services in a timely, accurate and professional manner throughout the enterprise.***

**OCIO Values –**
**Valuing Employees****	**We support our employee’s need to balance their personal and professional aspirations.  We treat each other with dignity, respecting individual and cultural differences.  We communicate frequently and with candor, listening to each other regardless of level or position.
**Teamwork****	**We are committed to** **working together and communicating with one another to live the mission and achieve the vision.
**Integrity****	**We are honest and ethical in all that we do.  We keep our promises and learn from our mistakes.
**Responsiveness**	We do what needs to be done, when it needs to be done.
**Quality**	We focus on improving our processes, products and services.
**Security**	We want to maintain a secure environment.

**Customer/Bureau Values?**

** ****Mission, Vision, Values Guiding Daily Actions & Decisions **

**Notes:**
	Our collective success requires that the OCIO Mission, Vision, and Values be in alignment with the USPTO Vision.  If not, then organizational conflict will proliferate resulting in missed opportunities to achieve our goals.  

	The USPTO corporate vision is to maintain our global leadership position in providing customer-valued intellectual property rights.  We all know that the market protection we provide fosters innovation and investment in technological advancements that sustain the economic growth and viability of this country.  To achieve this vision, both the Patents and Trademarks business units have focused on the same two strategic goals: enhancing quality and minimizing application processing time.  OCIO must be positioned as an enabler for the accomplishment of the USPTO Strategic Goals.  It is through the OCIO Mission, Vision, and Values that this positioning is achieved.

	OCIO Mission: To provide quality information products and services for our customers.

	OCIO Vision: We deliver information excellence that fuels the economy.

	OCIO Values: Valuing Employees, Teamwork, Integrity, Responsiveness, Quality.

	To get the most from these guiding principles, we must use them to guide our strategic and daily activities.

## 		CHANGE

**OCIO Sphere of Influence**

**Increased Value as Attributed to OCIO   **

**Business Partner**

**Transactional**

**Consultative**

**Strategic **
**Leadership**

**What protocols are effective with ITMC, other governing bodies?**

**How can we better partner with DOI  business owners**

**What factors define “Success” – **

**Are we functioning as a “best in practice” a provider of business solutions?**

**Where do we envision our role along the continuum? **

**Is success mapped to our business mission?**

**Culture**** ****Process Structure**

** ****Adding Value – Where do we want to be? **

**Notes:**
Transactional relationships are very simple and based on “request and respond” interactions.  Very little business knowledge is required.
Business Partner relationships are more collaborative.  Requirements are explored together and solutions deliver the requirements as defined.  Only basic knowledge of the business is required.
Consultative relationships are more complex.  They extend the characteristics of the Business Partner relationship.  The Consultative organization also provides advice regarding how OCIO can move the business forward, explains new technologies in the context of business goals, and is a trusted advisor.  Solid understanding of the business is required.
Strategic Leadership extends the characteristics of the Consultative relationship.  In a strategic relationship, the OCIO organization is engaged in the development of business strategies that seek to leverage technology to achieve business objectives.  OCIO is a contributor to business strategies in such a way that yields improved business results.  This requires deep understanding of the business.
Why change at all?  We’re already an example for others!  If we rest on our laurels, we won’t be setting the example for long!
  New assessment of the environment and the value delivered.  
  Under pressure to do more with less.
  Budget justification is required.  OCIO’s budget is 18% of the USPTO budget.  Government wide average is more like 10%.  The differential must continue to be justified through the value proposition.
  We must establish ourselves as preferred to outsourcing alternatives.
  Response to the need for a roadmap

##  Strategic Layers? 

** ****Strategic Layers? **

## CUSTOMER SERVICE

**KEY -- Linking**
**Business**
**Value**
**& IT**

**Life-Cycle**
**Management**

**Security**

**E-Government**

**IT CAPITAL **
**PLANNING**

**World Class**
**Operations**

**Architecture**
** ****& Standards**

**Information Management**

**CUSTOMER SERVICE**

** ****Linking the Business Values & IT Strategies – Ultimate keys to portfolio “success” **

## Technology for Citizen-Centered, integrated, secure services ...

- 1) Budget and performance integration; 2) Strategic management of human capital; 3) Competitive sourcing; 4) Improve financial performance; and 5) Expand E-government

**President’s Management Agenda**

**DOI STRATEGIC PLAN - VISION**

**DOI STRATEGIC PLAN – FOUR MISSION AREAS**

- Secretary’s Four “C’s”: Conservation, Cooperation, Consultation, Communication

**Resource Protection**

**Resource Use**

**Recreation**

**Serving Communities**

**DOI IT STRATEGIC GOALS**

- GOAL 1:  Leverage EA to improve DOI’s mission performance and realize its strategic goals and objectives.

- Goal 2: To protect the availability, confidentiality and integrity of DOI information technology resources.

- Goal 3: Improve the efficiency and effectiveness of DOI business processes. (E-Gov)

- Goal 4: Improve the  Planning, Execution, and Management of IT Investments

- Goal 6: Create and safeguard records cost effectively and apply retention schedules according to federal regulations and system enforced rules.

- Goal 5: Improve the quality, access and sharing of data between DOI and its customers and stakeholders.

- Goal 7: Ensure IT Human Capital is sufficient and capable to meet our IT goals and DOI Mission challenges

**DOI IT MISSION**

***To provide world class, citizen centric information products and services***

***Technology for Citizen-Centered, integrated, secure services ...***

**DOI IT VISION**

## IT PORTFOLIO MANAGEMENT STRATEGIC PLANNING – CPIC (VERSION 2 – CORNERSTONE)

| 
IT GOAL | IT OBJECTIVE | IT STRATEGY | IT MEASURES and MILESTONES  |
| --- | --- | --- | --- |
| Goal 4: Improve the Planning, Execution, and Management of IT Investments | Improve the planning, execution, and  management of IT investments |  | CPIC Quarterly Report
Using a dashboard approach to demonstrate investment variances 
Require corrective action reports for investment variances exceeding 5% |
|  |  |  | E-Gov Scorecard
Earned Value Management - variance
Percentage of Business Cases that go through the CPIC process
Number of Business Cases at cost variances |
|  |  |  | OMB Scorecard
Acceptable business cases for major systems
Cost / schedule / performance adherence for major IT _ overruns / shortfalls < 30 % 
EVMS shows overruns / shortfalls < 10 % |
|  |  |  | Secretary’s Tracking System
Monitor the Selection, Control, and Evaluation of IT investments
Demonstrate Accountability |
|  |  | Reach IT Investment Maturity (ITIM) Stage II of GAO Standard | GAO ITIM Framework Maturity Model  
Self assessment which identifies gaps 
Project Plan is created to close gaps
IV&V to validate ITIM fulfillment  |
|  |  | Life Cycle Alignment with the Capital Planning Investment Control (CPIC) life cycle |  |

## Slide 16

|  |  | Streamline Hardware and Software acquisitions to achieve technical standardization and realize cost savings |  |
| --- | --- | --- | --- |
|  |  | Implement Internet Protocol (version 6) in IT investments |  |
| OCIO Office of Departmental Architecture Lead Areas for Goal: | OCIO Office of Departmental Architecture Lead Objectives:
Increase the linkage between the IEA and CPIC Program.
Increase the timeliness and accessibility of the TRM updates to ensure real time investment decision making.
Reduce the percentage of duplicate IT investment proposals. | OCIO Office of Departmental Architecture Lead Strategies):
Ensure IT investments adhere to approved modernization blueprints.
Integrate all aspects of infrastructure (e.g., platform, storage, etc.) into Infrastructure Exhibit 300.
Ensure TRM is current and accessible via on-line product catalog. 
Coordinate with ERM Program to establish Enterprise Agreements based on TRM. 
Perform Architecture evaluations on all IT Investments.  |  |

## Slide 17

| Interior Strategic Plan End Outcome Goal: Accountability  | Perform Information Technology (IT) Capital Planning and Investment Control Review | OCIO and IRB finalize the IT portfolio investment selection process |  |
| --- | --- | --- | --- |
|  | Select IT Investments | Bureau and DOI IRB’s select initial FY 2007 IT Investment portfolios |  |
|  |  | "Bureau and DOI IRB’s finalize FY 2007 Investment portfolios " |  |
|  | Control IT Investments | Project managers complete quarterly reviews for all major IT investments within three weeks of the end of each fiscal year quarter |  |
|  |   | System owners develop and implement remedial action plans for projects with greater than 5% variance in measured criteria within 30 days of the reported variance |  |
|  |   | OCIO and IRB monitor remedial action accomplishment on an ongoing basis, but not less than quarterly |  |
|  | Evaluate IT Investments | "OCIO and IRB finalize the process for post-deployment reviews and steady state system operational analysis |  |
|  |   | System Owners perform post-deployment reviews on deployed systems  |  |

## Slide 18

|  |  |  |  |
| --- | --- | --- | --- |
| Interior Scorecard “Proud to be” Goal: Effective IT Portfolio Management | Business cases for all major systems investments (as gauged by security, measures of success linked to the Enterprise Architecture, program management, risk management, and cost, schedule, and performance goals)
Manage IT project effectively addressing cost, schedule, and performance (at a metric of an average of less than 10% shortage or overrun for all major IT projects using EVM or operational analysis) | Business cases (Exhibit 300’s) score 4 or better overall and 4 or better in IT security for all major system investments using OMB scoring criteria (Circular A-11, part 7 Planning, Budgeting, Acquisition and Management of Capital Assets) |  |

## Next Steps 

**Complete Strategic Plan**
**Next CPIC Planning Phase **
**Leverage Working Groups **
**Set priorities, milestones, and metrics**
**Work together!**