Department of the Treasury 

Office of the Comptroller of the 

Currency

FY 2019

Capital Investment Plan
2

Table of Contents

Major IT Investments...................................................................................................................... 3

OCC IT Infrastructure End User Services and Support (EUSS) ................................................ 3

OCC IT Infrastructure Server Support Services (SSS)............................................................... 5

OCC IT Infrastructure Telecommunications Services and Support (TSS)................................. 6

Cyber Security ............................................................................................................................ 8
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The OMB FY 2019 IT Budget – Capital Planning Guidance changed how certain IT Investments 

should be categorized. The Agency IT portfolio summary consists of Part 1: IT Investments for 

Mission Delivery; Part 2: IT investment for Administrative Services and Support Systems, and Part 

3, IT Investments for IT infrastructure, IT Security, and IT Management. The guidance no longer 

requires Part 3 investments to be reported as major or non-major investments. However, the 

Department of the Treasury’s Capital Investment Plan will continue to report these investments 

as well as the non-IT investments included in prior-year plans. 

Treasury guidance requires five years of investment data for most IT investments. However, 

cybersecurity and non-major IT investments are not required to provide this level of detail. In 

addition, Treasury gives discretion to Bureaus on what level of detail to provide for out-year cost 

data. Due to this, there is some variability in the presentation of out-year cost estimates in this 

document.

Major IT Investments

OCC IT Infrastructure End User Services and Support (EUSS)

(Previously reported as a major IT investment but now categorized as a part 3 investment)

Description:

This investment includes help desk/customer service support, personal computer hardware and 

software operations and maintenance, asset management, and desktop engineering and image 

management. 

Investment Anticipated Outlay: ($000,000s): 

Type 2016 and 

Prior 

Actual

2017 

Actual

2018 

Estimated

2019 

Estimated

2020 

Estimated

2021 

Estimated

2022 

Estimated

2023 and 

Beyond 

Estimated

Total

Sub-Total DME (Including 

Internal labor (Govt. FTE) 

Costs)

NA NA NA NA NA NA NA NA NA

Sub-Total O&M Costs 

(Including Internal Labor 

(Govt. FTE) Costs)

228.43 46.80 49.90 51.40 51.40 51.40 51.40 51.40 582.13

Total Costs 228.43 46.80 49.90 51.40 51.40 51.40 51.40 51.40 582.13

Number of FTE 442.00 61.60 61.60 61.60 61.60 61.60 61.60 61.60 873.20

Summary of Purpose, Goals, and Benefits: 

This investment provides the basic automated IT tools and technical support needed by the 

examination workforce to complete its core mission of supervising the National Banking System. 

EUSS includes help desk/customer service support, personal computer hardware and software 

operations and maintenance, asset management, and desktop engineering and image 

management. 
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Return on Investment: 

The Return on Investment value for OCC IT Infrastructure End User Services and Support 

(EUSS) investment is not applicable.

Requirements/ Benefits/ Mandates: 

Legislative mandates, Outstanding audit findings or Material weakness, Presidential 

Directive: N/A.

Accomplishments and Future Objectives: 

Continue to refresh OCC PC equipment and plan for upcoming PC refresh cycles.

Details of Useful Life Period: 

Year the investment began: 1999

End Year of the current planning cycle: 2025

Description of why the investment is not consistent with life cycle model defined in OMB 

Circular A-131.: The End User Support Services investment provides desktop engineering and 

user help desk support to the agency. It does not follow a life-cycle cost model because these 

services are on-going and critical to enable the agency to carry out its mission.

Performance Evaluation and Metrics: 

Metric Description

Performance 

Measurement 

Category Mapping

Measurement

Condition

Reporting 

Frequency Unit Of Measure CY Target

Latest 

Actual 

Result

Date of Latest 

Actual Result

Software Packages Are Ready For 

Computer Deployment on 

Schedule

Strategic and 

Business Results Under target Quarterly

Number of 

Packages Not 

Delivered On 

Schedule

0.00 0.00 06/30/2017

Major Software Releases and 

Service Packs Deployed with No 

Service Disruption

Strategic and 

Business Results Over target Monthly

Percentage of 

Updates Deployed 

without Disruption

99.00 100.00 07/31/2017

Interest penalties on EUSS vendor 

invoices subject to the Prompt Pay 

Act as a percentage of the ITS 

approved budget

Financial 

Performance Under target Quarterly Percentage 0.50 0.00 06/30/2017

Continuous monitoring of flaw 

remediation and vulnerability 

awareness

Strategic and 

Business Results Over target Monthly

Percentage of end 

user device 

scanned for vulns

95.00 98.00 07/31/2017

Mobile Device Enterprise Server 

Availability

Customer Satisfaction 

(Results) Over target Quarterly Percentage Uptime 99.95 98.50 06/30/2017

Replace and Repair existing 

Mobile Device within 15 business 

days of Request

Customer Satisfaction 

(Results) Over target Quarterly Percentage 90.00 100.00 06/30/2017
5

OCC IT Infrastructure Server Support Services (SSS)

(Previously reported as a major IT investment but now categorized as a part 3 investment)

Description:

This investment supports the OCC’s server Operations and Maintenance. This investment 

includes operations and maintenance to support server technology refresh, business resiliency, 

and enterprise storage capacity.

Investment Anticipated Outlay: ($000,000s): 

Type 2016 and 

Prior 

Actual

2017 

Actual

2018 

Estimated

2019 

Estimated

2020 

Estimated

2021 

Estimated

2022 

Estimated

2023 and 

Beyond 

Estimated

Total

Sub-Total DME (Including 

Internal labor (Govt. FTE) 

Costs)

NA NA NA NA NA NA NA NA NA

Sub-Total O&M Costs 

(Including Internal Labor 

(Govt. FTE) Costs)

83.93 21.20 15.30 15.80 15.80 15.80 15.80 15.80 199.43

Total Costs 83.93 21.20 15.30 15.80 15.80 15.80 15.80 15.80 199.43

Number of FTE 120.00 21.40 21.40 21.40 21.40 21.40 21.40 21.40 269.80

Summary of Purpose, Goals, and Benefits: 

This investment supports the OCC’s server Operations and Maintenance. This investment 

includes operations and maintenance to support server technology refresh, business resiliency, 

and enterprise storage capacity. 

Return on Investment: 

The Return on Investment value for OCC IT Infrastructure Server Support Services (SSS) 

investment is not applicable.

Requirements/ Benefits/ Mandates: 

Legislative mandates, Outstanding audit findings or Material weakness, Presidential 

Directive: N/A.

Accomplishments and Future Objectives: 

Continue to refresh server and storage infrastructure to maximize uptime and ensure maintenance 

as well as improve the security of OCC server platforms.

Details of Useful Life Period: 

Year the investment began: 1999

End Year of the current planning cycle: 2025

Description of why the investment is not consistent with life cycle model defined in OMB 

Circular A-131.: The Server System Support investment provides for the operations and 

maintenance of the agency's data center services and as such does not specifically follow a 
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traditional life-cycle cost model with a specified end date. The OCC uses benchmark information 

to determine the cost effectiveness of the SSS investment.

Performance Evaluation and Metrics: 

Metric Description

Performance 

Measurement 

Category Mapping

Measurement 

Condition

Reporting 

Frequency Unit Of Measure CY Target

Latest 

Actual 

Result

Date of Latest 

Actual Result

Platform Availability for Email 

Servers

Strategic and 

Business Results Over target Quarterly Percent Uptime 99.95 99.95 06/30/2017

Availability of OCC Production 

Application and Infrastructure 

Servers Systems

Strategic and 

Business Results Over target Quarterly Percentage Uptime 99.80 99.10 06/30/2017

Time to Respond to Production 

Server incidents

Customer 

Satisfaction (Results) Under target Quarterly

Number of 

incidents exceeding 

1 hour response

0.00 0.00 06/30/2017

Hours of Service Coverage and 

Support for Server Systems

Customer 

Satisfaction (Results) Over target Monthly Hours Per Day 24.00 24.00 08/31/2017

Enterprise SAN Availability. Customer 

Satisfaction (Results) Over target Monthly Uptime Percentage 99.00 100.00 08/31/2017

Interest penalties on SSS vendor 

invoices subject to the Prompt Pay 

Act as a percentage of the ITS 

approved budget.

Financial 

Performance Under target Quarterly Percentage 0.50 0.00 06/30/2017

Continuous monitoring of flaw 

remediation and vulnerability 

awareness

Strategic and 

Business Results Over target Monthly

Percentage of 

servers scanned for 

vulnerabilies

95.00 100.00 08/31/2017

OCC IT Infrastructure Telecommunications Services and Support (TSS)

(Previously reported as a major IT investment but now categorized as a part 3 investment)

Description:

This investment includes telecommunications Wide Area Network (WAN) and Local Area 

Network (LAN) infrastructure. Remote access to the OCC systems is facilitated via a virtual 

private network, dial-in, and cellular wireless access using two-factor authentication. This also 

includes messaging services supporting highly mobile bank examiners and the OCC staff. 

Investment Anticipated Outlay: ($000,000s): 

Type 2016 and 

Prior 

Actual

2017 

Actual

2018 

Estimated

2019 

Estimated

2020 

Estimated

2021 

Estimated

2022 

Estimated

2023 and 

Beyond 

Estimated

Total

Sub-Total DME (Including 

Internal labor (Govt. FTE) 

Costs)

NA NA NA NA NA NA NA NA NA

Sub-Total O&M Costs 

(Including Internal Labor 

(Govt. FTE) Costs)

153.30 23.90 27.50 28.30 28.30 28.30 28.30 28.30 346.20

Total Costs 153.30 23.90 27.50 28.30 28.30 28.30 28.30 28.30 346.20

Number of FTE 117.00 24.70 24.70 24.70 24.70 24.70 24.70 24.70 289.90
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Summary of Purpose, Goals, and Benefits: 

TSS includes telecommunications Wide Area Network (WAN) and Local Area Network (LAN) 

infrastructure. Remote access to the OCC systems is facilitated via a virtual private network, 

dial-in, and cellular wireless access using two-factor authentication. This also includes 

messaging services supporting highly mobile bank examiners and the OCC staff..

Return on Investment: 

The Return on Investment value for OCC IT Infrastructure Telecommunications Services and 

Support (TSS) investment is not applicable.

Requirements/ Benefits/ Mandates: 

Legislative mandates, Outstanding audit findings or Material weakness, Presidential 

Directive: N/A.

Accomplishments and Future Objectives: 

Continue to refresh telecommunication infrastructure to maximize uptime and ensure 

maintenance and security is maintained. In FY 2018, the OCC will continue an on-going effort to 

upgrade the headquarters and field office phone systems and telecom infrastructure including 

LAN/WAN hardware, Video Tele-Conferencing and Voice Over Internet Protocol.

Details of Useful Life Period: 

Year the investment began: 1999

End Year of the current planning cycle: 2025

Description of why the investment is not consistent with life cycle model defined in OMB 

Circular A-131.: The Telecommunications System Support investment provides WAN/LAN 

telecommunications, remote access, wireless access, and landlines to support the agency's 

mission. This investment does not follow a life-cycle approach as the support does not have a 

specified end date because telecommunications support is on-going and essential to the agency 

mission.
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Performance Evaluation and Metrics: 

Metric Description

Performance 

Measurement 

Category Mapping

Measurement 

Condition

Reporting 

Frequency Unit Of Measure CY 

Target

Latest 

Actual 

Result

Date of Latest 

Actual Result

WAN Network Availability Strategic and 

Business Results Over target Quarterly Percentage Uptime 99.80 100.00 06/30/2017

Telephone System Availability 

After the Completion of Office 

Moves, Office Renovations, or 

Opening of New Offices

Strategic and 

Business Results Over target Quarterly Telephone System 

Availability 100.00 100.00 06/30/2017

Interest penalties on TSS vendor 

invoices subject to the Prompt Pay 

Act as a percentage of the ITS 

approved budget.

Financial 

Performance Under target Quarterly Percentage 0.50 0.00 06/30/2017

Continuous monitoring of flaw 

remediation and vulnerability 

awareness

Strategic and 

Business Results Over target Monthly

Percentage of 

telecom equipment 

scanned for vulns

95.00 100.00 08/31/2017

Availability of Wireless WAN 

Connectivity

Customer 

Satisfaction (Results) Over target Monthly Percentage Uptime 99.80 100.00 08/31/2017

Cyber Security

(Previously reported as a major IT investment but now categorized as a part 3 investment)

Description:

This investment supports technologies, processes and practices aligned to protect networks, 

computers, programs and data from attack, damage or unauthorized access. In alignment with 

Federal and Treasury requirements, this investment supports the transition of Agency's systems 

and applications into Information System Continuous Monitoring (ISCM) and Ongoing 

Authorization (OA) to include governance frameworks, completing assessment & authorizations, 

and the deployment of required tools. This investment also includes Enterprise Disaster 

Recovery (eDR) to provide a highly reliable, secure, expandable, and cost-effective eDR solution 

for OCC’s critical business systems.

Investment Anticipated Outlay: ($000,000s): 

Type 2016 and 

Prior 

Actual

2017 

Actual

2018 

Estimated

2019 

Estimated

2020 

Estimated

2021 

Estimated

2022 

Estimated

2023 and 

Beyond 

Estimated

Total

Sub-Total DME (Including 

Internal labor (Govt. FTE) 

Costs)

NA NA NA NA NA NA NA NA NA

Sub-Total O&M Costs 

(Including Internal Labor 

(Govt. FTE) Costs)

15.40 29.40 30.30 31.20 31.20 31.20 31.20 31.20 231.10

Total Costs 15.40 29.40 30.30 31.20 31.20 31.20 31.20 31.20 231.10

Number of FTE represented 

by costs 27.00 32.00 32.00 32.00 32.00 32.00 32.00 32.00 251.00
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Summary of Purpose, Goals, and Benefits: 

This investment supports technologies, processes and practices aligned to protect networks, 

computers, programs and data from attack, damage or unauthorized access. In alignment with 

Federal and Treasury requirements, this investment supports the transition of Agency's systems 

and applications into Information System Continuous Monitoring (ISCM) and Ongoing 

Authorization (OA) to include governance frameworks, completing assessment & authorizations, 

and the deployment of required tools. This investment also includes Enterprise Disaster 

Recovery (eDR) to provide a highly reliable, secure, expandable, and cost-effective eDR solution 

for OCC’s critical business systems.

Return on Investment: 

N/A.

Requirements/ Benefits/ Mandates: 

Legislative mandates, Outstanding audit findings or Material weakness, Presidential 

Directive: N/A.

Accomplishments and Future Objectives: 

OCC's implementation of ISCM and OA will enhance and further automate existing continuous 

network monitoring capabilities, correlate and analyze critical security-related information, 

counter emerging threats and enhance risk-based decision making at the OCC. In FY 2018, the 

Enterprise Disaster Recovery (eDR) facility will be brought online to provide highly reliable, 

secure, expandable, and cost-effective eDR solution for OCC’s critical business systems.

Details of Useful Life Period: 

Year the investment began: 2011

End Year of the current planning cycle: 2022

Description of why the investment is not consistent with life cycle model defined in OMB 

Circular A-131.: This investment provides technologies, processes and practices aligned to 

protect networks, computers, programs and data from attack, damage or unauthorized access. It 

does not follow a life-cycle cost model because these services are on-going and critical to enable 

the agency to carry out its mission.