# Presentation: 704311

## Indian Affairs’ Comments –DOI CPIC Guide V 2.0

- Significant Observations and Recommendations

- Eric McDonnellIT Capital Assets Planning Support Team

- CPIC Advance
- January 22, 2005

## Comments Outline

**Process**
**Exhibit 300 Usage**
**Exhibit 300-1 Usage**
**CPIC Domain Boundary Creep**
**Single Model Usage**
**Structure**
**Chapters Set & Organization**
**Concepts**
**Exhibit 300 Supporting Documents**
**Content – General**
**Project & System Bias**

## Process Comments

**Process**
***Exhibit 300 Usage***
**Exhibit 300-1 Usage**
**CPIC Domain Boundary Creep**
**Single Model Usage**
**Structure**
**Chapters Set & Organization**
**Concepts**
**Exhibit 300 Supporting Documents**
**Content – General**
**Project & System Bias**

**Observation** – Use of Exhibit 300 as the process’s central artifact introduces problems.

**Recommendation** – Introduce DOI standard business case as CPIC artifact; relegate Exhibit 300 to budget use only.

## Process Comments

**Process**
**Exhibit 300 Usage**
***Exhibit 300-1 Usage***
**CPIC Domain Boundary Creep**
**Single Model Usage**
**Structure**
**Chapters Set & Organization**
**Concepts**
**Exhibit 300 Supporting Documents**
**Content – General**
**Project & System Bias**

**Observation** – Dual use of Exhibit 300-1 as project concept and non-major business case confusing.

**Recommendation** – Introduce DOI standard project concept as CPIC artifact; relegate Exhibit 300-1 to budget use only.

## Process Comments

**Process**
**Exhibit 300 Usage**
**Exhibit 300-1 Usage**
***CPIC Domain Boundary Creep***
**Single Model Usage**
**Structure**
**Chapters Set & Organization**
**Concepts**
**Exhibit 300 Supporting Documents**
**Content – General**
**Project & System Bias**

**Observation** – CPIC domain encroaching on other domains interdependent with CPIC.

**Recommendation** – Restrict *Guide* main body to CPIC and its interfaces; move non-CPIC information to “temporary” appendices.

## Process Comments

**Process**
**Exhibit 300 Usage**
**Exhibit 300-1 Usage**
**CPIC Domain Boundary Creep**
***Single Model Usage***
**Structure**
**Chapters Set & Organization**
**Concepts**
**Exhibit 300 Supporting Documents**
**Content – General**
**Project & System Bias**

**Observation** – Use of a single model for multiple disparate process components makes explanations awkward.

**Recommendation** – Present investment management, budget formulation, and portfolio management separately.

## DOI and Federal Capital Planning Models

_*Select*_

- _Budgeting_

- _Procurement_

- _Management In Use_

*Pre-**Select*

*Steady-**State*

_*Control*_

_*Evaluate*_

- _Under-__line_

*Italic*

- =	Capital Programming [OMB A-11]

- =	IT Investment Approach [GAO/AIMD-10.1.13]

- =	Capital Planning & Investment Control (CPIC) [OMB A-130]

- =	DOI Capital Planning & Investment Control (CPIC)

## Investment Lifecycle Model

**Capital Asset**

**Notes:**
DME	= Development, Modernization, Enhancement
EA	= Enterprise Architecture
EVA	= Earned Value Analysis
OA	= Operational Analysis
PIR	= Post-Implementation Review
RME	= Replacement, Modernization, Enhancement
SS	= Steady-State

## Federal Budget Process

- Formulation

- Congressional

- Execution

- Fiscal Year (XX)

- Expired

- Congress

- OMB

- Interior

- Indian Affairs

- Program Activities

*Biz*

*IT*

- Agency Planning Guidance

- President’s Budget

- Budget Resolution

- Budget Submission

- 10/1/(XX-1)

- 9/30/(XX+5)

- 9/30/XX

- Spring XX-2

- Jan/Feb XX-1

- Budget Justification

- Exhibit 53

- Budget Justifications & Performance Information

## Budget Formulation Phases & Artifacts

- PfM

- Performance Budget

- Working Capital Fund Requirements

**Exhibit 53**

**Notes:**
DME 	= Development, Modernization, Enhancement
PfM	= Portfolio Management

## Portfolio Management Activities

- Exhibit 53

- Budgeting

**PfM**

- Strategic Plan
- IT Strategic Plan
- eGov Implementation Plan
- EA Transition Plan
- Capital Asset RME Needs
- Out-of-the-blue Ideas

**Notes:**
DME 	= Development, Modernization, Enhancement
EA	= Enterprise Architecture
EVA	= Earned Value Analysis
OA	= Operational Analysis
PfM	= Portfolio Management
RME	= Replacement, Modernization, Enhancement
SS	= Steady-State

## Structure Comments

**Process**
**Exhibit 300 Usage**
**Exhibit 300-1 Usage**
**CPIC Domain Boundary Creep**
**Single Model Usage**
**Structure**
***Chapters Set & Organization***
**Concepts**
**Exhibit 300 Supporting Documents**
**Content – General**
**Project & System Bias**

**Observation** – Portfolio Management chapter appears to be out of place.

**Recommendation** – Restructure *Guide* into three parts: IT Investment Lifecycle, IT Capital Budget Formulation, and Portfolio Management.

## Representative Guide Outline

**Part I – IT Investment Lifecycle**
- Chapter 2 – Pre-Select Phase
- Chapter 3 – Select Phase
- Chapter 4 – Control Phase
- Chapter 5 – Evaluate Phase
- Chapter 6 – Steady-State Phase

- Chapter 1 – Introduction

**Part II – IT Capital Budget Formulation**
- Chapter 7 – DOI Submission Phase
- Chapter 8 – OMB Review Phase
- Chapter 9 – DOI Passback Revision Phase
- Chapter 10 – OMB Submission Phase
- Chapter 11 – DOI Enacted Revision Phase

**Part III – Portfolio Management**
- Chapter 12 – Business Case Development Projects
- Chapter 13 – DME Projects
- Chapter 14 – Capital Assets
- Chapter 15 – Annual IT Investment Portfolio (Exhibit 53)

## Concepts Comments

**Process**
**Exhibit 300 Usage**
**Exhibit 300-1 Usage**
**CPIC Domain Boundary Creep**
**Single Model Usage**
**Structure**
**Chapters Set & Organization**
**Concepts**
***Exhibit 300 Supporting Documents***
**Content – General**
**Project & System Bias**

**Observation** – Perception that Exhibit 300 data sources are instead auxiliary documents.

**Recommendation** – Emphasize executive summary nature of Exhibit 300; identify *source* documents.

## IT Investment Related Lifecycles Alignment

- Select

- Control

- Evaluate

- Steady State

- Steady State

- Indian AffairsSystem Life Cycle

- System ConceptDevelopment

- Planning

- RequirementsDefinition

- Design

- Development

- Test

- Implementation

- O&M

- Disposition

- GenericProject Lifecycle

- Initiation

- Planning

- Execution& Control

- Closure

- OMB A-11Investment Stages

- Initial Concept

- Planning

- Full Acquisition

- NIST“Basic” SLC

- Initiation

- Development/Acquisition

- Implementation

- Operation/Maintenance

- Disposal

- Business CaseDevelopment Project

- Budgeting

- Exhibit 300

- Budgeting

- Exhibit 300

- Budgeting

- Exhibit 300

- (Mixed Life Cycle)

- DOICPIC Cycle

**Notes:**
NIST	= National Institute for Standards & TechnologyO&M	= Operations & Maintenance
OMB	= Office of Management and Budget

## Exhibit 300 Inferred Source Documents

***EA Management***

***Budget Formulation***

**Exhibit 300 (2004)**
- Investment Description
- Justification
- Performance Goals/Measures
- Project Management
- Alternatives Analysis
- Risk Inventory/Assessment
- Acquisition Strategy
- Project & Funding Plan
- Enterprise Architecture
- Security & Privacy
- GPEA

- EATransitionPlan

- EA ImpactAssessment

***System Development***

- Concept ofOperations(ConOps)

- SensitivityAssessment

- Cost/BenefitAnalysis

- GPEA Plan

- PrivacyImpactAssessment

- PRAInformationCollection

-   If  applicable

- If  applicable

***Project Management***

**Project Mgmt Plan**
- Performance Mgmt
- Staff/Organization

- RiskResponsePlan

- RiskManagementPlan

- ProcurementManagementPlan

- Or

- May be included in

**Notes:**
EA	= Enterprise Architecture
GPEA	= Government Paperwork Elimination Act
PRA	= Paperwork Reduction Act

## Content Comments

**Process**
**Exhibit 300 Usage**
**Exhibit 300-1 Usage**
**CPIC Domain Boundary Creep**
**Single Model Usage**
**Structure**
**Chapters Set & Organization**
**Concepts**
**Exhibit 300 Supporting Documents**
**Content – General**
***Project & System Bias***

**Observation** – Content reflects a bias toward projects and systems.

**Recommendation** – Validate usage of “all investments” versus a specific investment type.

## OMB A-11 Definitions

- Non-majorIT Investment

- MajorIT Investment

- Equipment

- Structure

- Land

- Intellectual Property

- Software

- Information Technology

- System

- Investment

- Initiative

- Investment

- Capital Project (Investment)

- IT Service Contract

- System

- Equipment

- Computers

- Ancillary Equipment

- Software

- Firmware

- Services

- Support Services

- acquires then manages

## IT Investment Types & Management Roles

- Project

- Operations

- System

- Other Operations

- System Operations

- MajorIT Investment

- Non-majorIT Investment

- operates & maintains

- develops,modernizes,
- enhances

- ProjectManager

- OperationsManager

- CPIC Quarterly Report

- Software

- Service Contract

- supports

- Service Contract

- BusinessOwner

- SystemOwner

- COTR

- InvestmentManager

**Notes:**
COTR	= Contracting Officer’s Technical Representative

## More in the written comments

- Coming 1/28/05 on CD-R?