UNITED STATES DEPARTMENT OF THE TREASURY

FEDERAL INFORMATION TECHNOLOGY ACQUISITION REFORM ACT (FITARA)

COMMON BASELINE IMPLEMENTATION PLAN

1. TREASURY MISSION AND FITARA PURPOSE 2

1.1. PURPOSE OF THE FITARA COMMON BASELINE IMPLEMENTATION PLAN 2

1.2. INTRODUCTION 2

1.3. DEPARTMENT STRUCTURE 3

1.4. SCOPE 3

2. SENIOR AGENCY OFFICIALS’ ROLES AND RESPONSIBILITIES 3

3. CIO ASSIGNMENT PLAN 7

4. GOVERNANCE STRUCTURES 7

5. COMMON BASELINE 9

5.1. BUDGET FORMULATION AND PLANNING 9

5.2. ACQUISITION AND EXECUTION 12

5.3. ORGANIZATION AND WORKFORCE 17

Attachment 1 22

UPDATED: March 18, 2016
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

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1. TREASURY MISSION AND FITARA PURPOSE 

Treasury’s mission is to maintain a strong economy and create economic and job 

opportunities by promoting conditions that enable economic growth and stability at home and 

abroad; strengthen national security by combating threats and protecting the integrity of the 

financial system; and manage the U.S. government’s finances and resources effectively. 

Treasury is comprised of the Headquarters (Departmental Offices) and bureaus of wideranging size, with varying technology needs and complexities. 

Throughout its rich history, Treasury’s core mission has not changed. Today, with 

approximately 100,000 employees in its ranks, Treasury remains the steward of the U.S. 

economy — taking in revenue, meeting financial obligations, and, when appropriate, 

borrowing and investing public funds. Treasury is a leader in safeguarding and growing the 

nation’s economy.

1.1. PURPOSE OF THE FITARA COMMON BASELINE IMPLEMENTATION PLAN

Information technology is essential to the Treasury Department’s success. The Federal 

IT Acquisition Reform Act (FITARA) was enacted on December 19, 2014, and outlines 

specific requirements related to Federal IT.

OMB issued the Management and Oversight of Federal IT memoranda (M-15-14) to 

provide specific guidance on the implementation of this act across the federal sector, 

including the establishment of a Common Baseline that all agencies must achieve. This 

document represents the Common Baseline Implementation Plan for the Department of 

the Treasury. It describes current practices and policies that support the baseline 

requirements, as well as the necessary new activities that were substantially implemented 

by December 31, 2015. This plan explains the role and responsibilities, and governance 

bodies and structures that are at the core of the department’s FITARA compliance and 

that institutionalize the CIO’s and other CXOs’ direct engagement in:

 Budget Formulation and Planning,

 Acquisition and Execution, and

 Organization and Workforce.

1.2. INTRODUCTION

FITARA provides Treasury leadership the opportunity to document and strengthen 

practices that are supportive of FITARA and sustainable within Treasury’s culture. A 

guiding principle of FITARA’s implementation at Treasury has been to utilize 

established and proven processes rather than to create redundancies that would be 

inefficient to maintain and unlikely to last over time. IT is at the core of our operations 

and IT Acquisition is more than a discrete set of tasks and is not performed in isolation at 

Treasury. Treasury manages IT across the Department in a collaborative way that 

leverages coordinated action on commodity technology areas such as finance and budget, 

procurement, and human capital management, while largely delegating mission specific 

decision making on IT to the bureaus. This approach allows Treasury to take advantage 
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

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of the economies of scale in common areas while leveraging bureau expertise when 

making specific mission and strategy information technology and information rights 

management (IT/IRM) decisions. 

1.3. DEPARTMENT STRUCTURE

Treasury is organized into the Departmental Offices (DO), seven bureaus, and three 

inspectors general. The operating bureaus are: Alcohol Tobacco Tax and Trade Bureau 

(TTB), Bureau of Engraving and Printing (BEP), Bureau of the Fiscal Service (BFS), 

Financial Crimes Enforcement Network (FinCEN), Internal Revenue Service (IRS), 

Office of the Comptroller of the Currency (OCC), and the United States Mint. 

The Departmental Offices are primarily responsible for policy formulation, while the 

bureaus are the operating units of the organization. However, a handful of operational 

functions are housed within DO. They include: Community Development Financial 

Institution Fund (CDFI), Office of Financial Research (OFR), Office of Foreign Assets 

Control (OFAC), Office of Intelligence and Analysis (OIA), Office of Technical 

Assistance (OTA), Small Business Lending Fund (SBLF), State Small Business Credit 

Initiative (SSBCI), and Treasury Executive Office of Asset Forfeiture (TEOAF).

1.4. SCOPE 

Treasury’s FITARA Common Baseline Implementation Plan applies to all of the 

Treasury Department but shall not be construed to interfere with or impede the authorities 

or independence of the Department’s inspectors general or the Office of the Comptroller 

of the Currency. 

2. SENIOR AGENCY OFFICIALS’ ROLES AND RESPONSIBILITIES

Treasury has taken a multi-stakeholder approach to FITARA and formed a cross-disciplinary 

team to oversee its planning and implementation, including senior executives from 

Information Technology, Acquisitions, Human Resources, and Budget—under the leadership 

of the Assistant Secretary for Management. This team ensures that the right decision makers 

have visibility and accountability in IT Acquisitions. The leadership team includes the 

following:

2.1. DEPUTY SECRETARY 

The Treasury Deputy Secretary is responsible for a broad range of substantive and 

organizational issues, including serving as Chief Operating Officer of the department. 

The Deputy Secretary also focuses on the macroeconomic impact of student loan 

borrowing and cyber security, as well as drivers that bolster and sustain U.S. and global 

economic growth and recovery. 
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2.2. ASSISTANT SECRETARY FOR MANAGEMENT (ASM)

The Treasury ASM is the principal advisor to the Secretary and Deputy Secretary for the 

financial, budgetary, and management matters of the Treasury Department. The ASM 

also serves as the department’s Performance Improvement Officer (PIO) and Chief 

Acquisition Officer (CAO).

2.3. DEPUTY ASSISTANT SECRETARY FOR INFORMATION SYSTEMS (DAS-IS) 

AND CHIEF INFORMATION OFFICER (CIO)

The Treasury DAS-IS and CIO (here after referred to as CIO) manages the Department’s 

Information Technology portfolio as well as the governance structure the Department 

has in place, working with the bureaus, to ensure sound IT decision-making and 

delivery. The Treasury DAS-IS and CIO is accountable for meeting the IT/IRM needs of 

the Departmental Offices, and actively oversees Bureau IT/IRM activities, with special 

attention to advancing enterprise-wide objectives. Responsibility for IT/IRM 

management is shared among the Treasury DAS-IS and CIO and Bureau-level CIOs, 

who focus on the unique mission and needs of their individual organizations. 

Accountability ultimately rests at the Department level. Since the Treasury mission is 

broad and its IT portfolio complex, Treasury’s governance and oversight model allows 

for robust governance practices and collaborative mechanisms to facilitate the Treasury 

CIO’s significant involvement in technology-related budget, acquisition, and workforce 

matters.

2.4. COMPONENT LEVEL CIO

The component (bureau and office) CIOs report to their respective management 

structures within their individual organizations. 

2.5. CHIEF ACQUISITION OFFICER (CAO)

The Treasury CAO is accountable for the overall program management and acquisition 

investments of IT acquisitions. The CAO is further accountable for the development of 

an acquisition career management program to ensure that there is a skilled professional 

acquisition workforce capable of executing and managing IT-centric acquisitions. The 

CAO delegates the policy and oversight aspects of IT acquisitions, along with the 

Acquisition Career Management (ACM) function, to the Senior Procurement Executive 

(SPE). Operational aspects of IT procurement are delegated to the bureau leadership by 

the SPE to the Heads of Contracting Activities (HCAs) who are responsible for ensuring 

IT procurements under their purview comply with applicable laws, regulations, 

guidance, and procedures.
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2.6. SENIOR PROCUREMENT EXECUTIVE (SPE)

The Treasury SPE is responsible for establishing department wide policy regarding the 

acquisition of IT products and services, and ensuring that appropriate controls are in 

place for operational aspects of IT procurement via delegated procurement authority to 

the HCAs and Bureau Chief Procurement Officers (BCPOs), who ensure that IT

procurements comply with applicable laws, regulations, guidance, and procedures. The 

SPE collaborates with the CIO to issue FITARA-based policy related to the acquisition 

of IT products and services. The SPE, in collaboration with the CIO, assesses Spend 

under Management (SUM) to ensure that IT product and service investments are made 

consistently and applicable acquisition vehicles are leveraged appropriately. The SPE is 

responsible for establishing Department wide policy regarding the use of Category 

Management and has established mandatory use policies for Government-wide 

acquisition vehicles. The SPE is further responsible to conduct an assessment of existing 

IT services contracts to ensure that Department and Bureau acquisition vehicles are not 

duplicative of existing Government-wide vehicles and appropriate strategies are 

developed to off-ramp to Government-wide vehicles in compliance with the Office of 

Management and Budget, Office of Federal Procurement Policy (OFPP) direction. 

2.7. CHIEF HUMAN CAPITAL OFFICER (CHCO)

The Treasury CHCO is responsible for policy and oversight of department-wide human 

capital regulatory compliance, planning, development, and management. The Treasury 

CHCO collaborates with the Treasury SPE on compliance with OFPP requirements 

relating to effective management of the Treasury acquisition workforce. In addition, the 

Treasury CHCO works closely with the Treasury CIO and other management officers to 

address workforce planning, development, and management, with specific attention to 

mission-critical occupations in federal management communities. In addition to 

collaborating with other CXOs and management officials at the Treasury headquarters 

level, the CHCO chairs the Department’s Human Capital Advisory Council (HCAC). 

2.8. DEPUTY ASSISTANT SECRETARY FOR MANAGEMENT AND BUDGET 

(DASMB)

The Treasury Management and Budget Office, overseen by the DASMB, is responsible 

for strategic planning, budget formulation, budget execution, organizational performance 

and program evaluation. As the principal deputy to the ASM, the DASMB’s 

responsibilities include overseeing the implementation of the Government Performance 

and Results Act Modernization Act of 2010 (GPRAMA) and FITARA. The DASMB is 

charged to ensure that Treasury’s annual performance supports the Department’s 

strategic plan and to advocate execution of the budget efficiently and effectively toward 

the achievement of optimal performance levels across all Treasury bureaus. 
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2.9. TREASURY BUDGET DIRECTOR

The Treasury Budget Director oversees the Office of Performance Budgeting (OPB), 

which prepares and coordinates with CXOs the annual budget submission for the 

Department to OMB, works with OMB on the Department’s portion of the President’s 

Budget and is responsible for budget execution oversight for the Department. This 

responsibility includes making recommendations to Departmental Offices and bureaus 

on budget priorities and strategies. 

2.10. CHIEF RISK OFFICER (CRO)

The Treasury CRO position, established in FY 2015, leads the Office of Risk 

Management and the Treasury Risk Program, including the Risk Committee. The Chief 

Risk Officer participates in all quarterly performance reviews and annual budget review 

sessions. 
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3. CIO ASSIGNMENT PLAN

The Treasury Department has adopted procedures that meet the requirements of the FITARA 

Common Baseline in a manner tailored to the high volume and complex type of work 

necessary to meet our mission. These procedures provide for the CIO’s direct involvement in 

all major acquisitions (greater than $10 million), inclusive of IT, and CPIC major 

investments. In addition, the CIO Assignment Plan contains a framework approved by the 

CIO with clear rules on the procedures by which decisions are made on IT matters for which 

the CIO has indirect involvement. This framework indicates where the CIO plans to delegate 

to other agency officials and defines evidence that the CIO will retain accountability in these 

areas. In all matters, the CIO remains responsible and accountable for CIO decisions 

required by the Common Baseline. The assignment plan will continue to be updated as roles 

and responsibilities evolve, and Treasury’s governance continues to mature. 

Please see Attachment 1 for the CIO Assignment Plan (February 2016). 

4. GOVERNANCE STRUCTURES

The following are the core structures by which the Treasury Department ensures the 

alignment of information technology funding and support with people and processes to meet 

the department’s strategic goals.

4.1. Treasury CIO Council

The Treasury CIO Council is the single IT/IRM governance body chaired by the CIO 

and made up of component level CIOs. The council meets on a monthly basis and 

establishes, oversees, and reviews the entire Treasury IT/IRM portfolio with a special 

emphasis on shared and enterprise-wide services, commodity IT, and cyber security. The 

Treasury CIO Council includes various sub-committees such as the Cyber Security SubCouncil and the CPIC Working Group. 

4.2. Capital Planning and Investment Control (CPIC) Program

Through the Treasury IT/IRM CPIC program the Department has a Government 

Accountability Office (GAO) and Office of Management and Budget (OMB) recognized 

best practice approach to efficient and effective review of its IT/IRM investments. Each 

component reports execution data to the CIO monthly, including project status on major

IT/IRM investments and operational metrics on systems in use. The CIO then reviews 

all investments with month-to-month performance issues in project execution and 

conducts a detailed program review (TechStat) on selected investments. Treasury uses 

this framework to ensure consistent practices and further policy and process 

development in a continuous improvement approach.
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4.3. TechStat 

A TechStat is a face-to-face, evidence-based review of an IT investment. Treasury 

requires that a TechStat review be held at the Treasury component level for any 

investment that exhibits cost, schedule, or operational metric variance of 10 percent or 

greater. The Treasury CIO hosts a TechStat for an investment in any instance where 

cost, schedule, or operational metric variance equals or exceeds 30 percent. TechStat 

reviews result in a formal action plan to address investment underperformance.

4.4. Treasury Acquisition Council (TAC)

The TAC is a monthly meeting conducted with the Department-level CXOs and with 

Bureau Chief Procurement Officers (BCPOs). These sessions address ProcureStat 

metrics, small business goals, and leveraged spend. Additionally, the meetings are an 

arena for the CXO and BCPO communities to discuss planned and ongoing Treasury 

enterprise-wide acquisitions as well as government-wide OMB-sponsored initiatives that 

will impact bureau contract execution.

4.5. Major Acquisition Program (MAP) Reviews 

The SPE, in collaboration with the CIO, conducts MAP Reviews on a quarterly basis, 

meeting monthly when necessary. These reviews ensure sound acquisition strategies and 

elimination of duplicative contract actions. Invitees to the reviews include the CIO, legal 

counsel, small business office, the program owner, and other key stakeholders. While all 

participants have an opportunity to influence the acquisition strategy, the CIO or 

delegate, in particular, has an opportunity to marry the strategies for IT related projects 

to the CPIC and QPR discussions. 

MAP Reviews are conducted of:

 any acquisition valued at greater than $10 million,

 any acquisition supporting OMB major CPIC IT investments,

 any IT contract regardless of value with a period of performance greater than five 

years, and

 any other action the SPE or CIO determine to be critical or high-visibility. 
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4.6. Quarterly Performance Reviews (QPR)

Treasury’s organizational performance reviews, referred to as Quarterly Performance 

Reviews (QPRs), provide a regular forum for open dialogue and coordination between 

Department and bureau and office leadership, bringing together different perspectives to 

set and align priorities, identify and solve problems, review agency performance goals, 

and drive results. The cycle integrates statutory requirements to conduct quarterly 

performance reviews of agency goals and a Strategic Objective Annual Review (SOAR), 

which analyzes cross-cutting performance. The QPR sessions focus on management 

goals, priority projects, and Treasury-wide and government-wide strategic goals. These 

meetings are designed to drive accountability, align expectations and resources, set 

priorities, understand budget requirements, and encourage data-driven decision-making. 

QPRs are a critical part of the Department’s budget formulation process. 

4.7. Human Capital Advisory Council (HCAC) HR Stat Sessions

The HCAC conducts bi-monthly HR Stat Sessions to track operational performance and 

progress in achieving human capital strategic goals. The HCAC membership includes 

Bureau-level leaders in four main areas: Human Resources (HR); Equal Employment 

Opportunity (EEO) and Inclusive Diversity; Learning and Development; and HR IT. 

The HR IT sub-group includes bureau representatives who advise on and help oversee 

Treasury’s HR shared services, data stewardship, data analytics, HR systems and tools, 

and similar programs. The HR IT group has primary responsibility for implementation 

of Treasury Human Capital Strategic Goal 5, “Pursue Continuous Improvement: Create 

a 21st Century approach to human capital management in government.” 

5. COMMON BASELINE

5.1. BUDGET FORMULATION AND PLANNING

A. Visibility of IT resource plans and decisions to CIO. 

As part of the annual budget submission to OMB and Congress the Treasury IT 

Capital Plan indicates what Treasury plans to spend by project and is approved by 

both the budget and CIO offices. This document is developed through the CPIC 

process run by the CIO in close coordination with the budget office. In practice, as 

documented in the Treasury Management and Budget Office annual Budget 

Guidance, the CIO and Department Budget Officer issue joint instructions 

regarding the level of detail with which IT resource levels are described. 

B. CIO role in pre-budget submission for programs that include IT and overall 

portfolio. 

The CIO participates in the quarterly performance review budget stat sessions 

devoted to budget formulation and planning for each office and bureau. These 

sessions are the primary venues for vetting component budget requests with the 
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Assistant Secretary for Management. The requests provide an overview of 

projects and initiatives that include IT resources as well as more traditional IT 

projects. The QPRs also include specific information on IT investments. 

Discussions regarding IT related spending are informed by the CPIC process. The 

CIO also approves the budget submission documents through the clearance process 

prior to submission to OMB and Congress. As noted above, these budget 

submissions include dedicated capital exhibits. Similarly, the CIO is consulted on 

the OMB passback prior to the Secretary’s appeal.

The processes described here are documented in Budget Policy Guidance and the 

Quarterly Performance Review Charter. 

C. CIO role in planning program management. 

The CIO is included in the internal planning process that informs how Treasury 

uses its IT resources to achieve its objectives. At a strategic level, the CIO and 

SPE participate in the organizational performance reviews led by the Deputy 

Secretary (Chief Operating Officer) and Assistant Secretary for Management

(Performance Improvement Officer). 

In 2015, this process included specific engagement on cyber security. Effective in 

FY 2016, the review also includes a specific focus on high risk acquisitions and 

FITARA compliance. The QPR sessions enable an overall discussion regarding the 

alignment of organizational resources to organizational priorities, with a focus on 

projects that are often reliant on IT support. 

In addition, the CIO runs the agency-wide quarterly review process that is 

documented through Treasury’s CPIC process. This program calls bureau IT 

investment processes to feed up to the department-wide level CPIC program. The 

CIO formally delegated IT/IRM program management processes to component 

CIOs on February 1, 2016. 

On a more tactical level, the CIO established a LCM process creating end-to-end 

processes including intake, reviews, approvals, and reporting for each program 

management step.
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D. CIO reviews and approves Major IT investment portion of budget request.

The processes that institutionalize meaningful CIO involvement with and visibility 

into budget formulation and planning are described in A, B, and C, above. We rely 

on these processes to support the affirmations required in this section. 

Beginning with the FY 2017 budget submission to OMB the ASM and CIO jointly 

affirm that the CIO had a significant role in reviewing planned IT support for 

major program objectives and significant increases and decreases in IT resources; 

and there will be an affirmation that the IT Portfolio (formerly Exhibit 53) includes 

appropriate estimates of all IT resources included in the budget request.

Similarly, the CIO approved the information technology portions of Treasury’s FY 

2017 passback appeal through the Departmental clearance process prior to 

submission to OMB. 

Budget Formulation and Planning Milestones

DATE MILESTONE

December 

31, 2015

Treasury formalized guidance that documents the existing process in 

which the CIO and Department Budget Officer issue joint instructions 

stating the level of detail with which IT resource levels are described as 

a part of the CPIC process 

This milestone is complete and addressed in Budget Policy Guidance 

16-01 promulgated on December 21, 2015. 

Beginning with the FY 2017 OMB budget submission the ASM and 

CIO jointly affirmed that the CIO had a significant role in reviewing 

planned IT support for major program objectives and significant 

increases and decreases in IT resources

This milestone for the FY 2017 submission is complete

The CIO formally delegated IT/IRM program management processes 

to component CIOs as reflected in the assignment plan and post these 

policies publicly and share them with OMB through the IDC

Q2 FY 

2016 

QPRs shall include specific slides relating to high risk acquisitions 

and FITARA
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5.2. ACQUISITION AND EXECUTION

E. Ongoing CIO engagement with program managers. 

Treasury guidance requires component CIOs and program managers to regularly 

report project and operational performance (including risk information) through 

the Department’s CPIC program. All data is self-reported by component CIOs. The 

Departmental CIO desk officers provide a summary review of this information. 

Component organizations will begin to attest to the accuracy of this data in FY 

2016.

All major IT investments are aligned to strategic objectives through OMB’s 

existing IT Business Case submission. Treasury regularly submits project and 

operational performance information, as directed in OMB guidance, for inclusion 

in the public facing Federal IT Dashboard. 

The CIO is revising existing planning and execution guidance to include:

 Explicit references to modification, pausing and/or termination of 

activities, projects, and investments through the TechSTAT process (this 

requirement was addressed in updates to the Treasury CPIC guide sections 

4 and 5 on December 29, 2016), 

 Specific requirements for coordination of annual planning activities with 

budget activities, and

 Additional emphasis on risks as an element of IT portfolio monthly 

reporting.

F. Visibility of IT planned expenditure reporting to CIO.

The SPE, in cooperation with the CIO, conducts Major Acquisition Program 

(MAP) Reviews. MAP Reviews are conducted on a quarterly basis, meeting 

monthly when necessary depending on criticality. Reviews ensure sound 

acquisition strategies and elimination of duplicative contract actions.

Invitees to the reviews include the CIO, legal counsel, small business office, the 

program owner, and other key stakeholders. While all participants have an 

opportunity to influence the acquisition strategy, the CIO or delegate, in particular, 

has an opportunity to marry the strategies for IT related projects to the CPIC and 

QPR discussions. 

In addition, IT investment and execution reviews are being conducted in a three 

phased approach: 

 phase one, Departmental Offices (FY 2015);

 phase two, 57 major IT investments across the enterprise (FY 2016); and

 phase three, all IT/IRM acquisitions across the enterprise (FY 2017) 
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In FY 2015, the SPE and CIO successfully reviewed and completed phase one: 

620 IT Acquisitions ($219 million) of the Departmental Offices IT acquisitions.

In the second quarter of 2016, the CIO and SPE will implement an acquisition 

planning tool (eg: SharePoint) to track all planned acquisitions from identification 

of the need through post-award reviews. This tool will provide for visibility into all 

major IT investment related acquisitions in Treasury’s portfolio. This tool will also 

provide visibility into the all stages/phases throughout the IT acquisitions lifecycle. 

Also in the second quarter of 2016, the SPE and CIO will develop guidelines for 

quarterly component notification to the Treasury SPE and CIO of all planned and 

executed acquisitions below the MAP threshold.

G. CIO defines IT processes and policies 

The Department sets Treasury-wide policy for Cyber Security, Identity 

Management, Acquisition, IT capital planning, portfolio management, and LCM. 

Currently, the component CIOs define the development processes, milestones, 

review gates, and the overall policies for all project management, enterprise 

architecture, and reporting for IT resources. The CIO formally delegated IT/IRM 

program management processes to component CIOs on February 1, 2016. 

Treasury has recently completed two efforts:

1) assessed the present status of its IT policies and processes through a Quick 

Look Assessment (QLA) that has been applied across a number of government 

agencies; and, 

2) developed a Governance Framework and LCM process.

H. CIO role and other CXO participation with CIO on program governance boards.

The CIO participates on several governance boards, including as chair of the 

Treasury CIO Council and co-chair of the DO Investment Review Board (IRB) 

which establishes and reviews mission specific IT/IRM programs for the 

Departmental Offices. The CIO also participates in the QPRs of all Treasury 

bureaus and offices. Additionally, the CIO participates in the following 

Department-level CXO boards and councils: HR/IT Council; Treasury Acquisition 

Council; CFO Council and the Federal CIO Council led by the Federal CIO. 

I. Shared acquisition and procurement responsibilities.

In addition to the quarterly CPIC process and MAP reviews, the SPE issues 

mandatory use policy for government-wide vehicles as appropriate. In FY 2016, 

the SPE formalized the process for implementing Category Management and 

Strategic Sourcing initiatives; in this process, any Treasury-wide acquisition 

vehicle requires SPE approval to avoid duplication of efforts already available on a 

government-wide basis.
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The SPE included use of mandatory contract vehicles in BCPO FY 2016 CXO 

commitments.

The SPE, in collaboration with the CIO is consolidating and standardizing the 

following requirements across the enterprise by the fourth quarter of FY 2016:

 Adobe Licenses

 Microsoft Licenses

 Wireless Device Services

 Managed Print Services (MPS)

 Mobile Device Management (MDM)

While OCIO and OPE are working with Treasury bureaus/offices to achieve these 

mandatory use Treasury-wide use contract vehicles in FY16, the joint OPE/OCIO 

policies to standardize related licenses and services will continue into FY17.

The SPE and CIO are partnering through the FAC-P/PM program to ensure that 

Treasury has skilled program and project managers who are critical to ensuring 

well defined requirements and performance standards, and who are capable of 

managing contractor activities to ensure the intended outcomes are achieved. The 

SPE issued draft FAC-P/PM policy across the Department in June 2015. The CIO 

provided an implementation plan on February 16, 2016.

Additionally, in the second quarter of FY 2016 the SPE, in collaboration with the 

CIO, will communicate guidelines for consistent use of Product Service Codes 

(PSCs) that align with six IT Categories. Finally, by the second quarter of FY 

2016 the CIO will assign a category manager for each of the 6 IT categories for the 

Department and request related component level category management POCs. 

The majority of the Treasury IT Portfolio is currently managed within components. 

While some components have established formal cost estimation guidelines, in the 

third quarter of FY16, the SPE, in collaboration with the CIO, will establish formal 

cost estimation guidelines at the Department level.

J. CIO role in recommending modification, termination, or pause of IT projects or 

initiatives.

The Department fully complies with OMB’s PortfolioStat, TechStat, and 

CyberStat reviews. OMB has supported Treasury’s governance of IT/IRM. GAO 

and OIG have reviewed the Department’s governance framework with no major 

findings. 

Component CIOs and program managers self-report project and operational 

performance through the existing Departmental CPIC procedures and Federal IT 

Dashboard. The CIO has implemented a rigorous CPIC process for reviewing 

project and operational performance on a monthly basis. This process fully meets 

the OMB guidance and identifies investments, projects, activities and acquisitions 

that are at risk and drives the TechStat process for a more detailed review at both 
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the Department and component levels. This process requires specific outcomes 

that are tailored to the particular situation. Incorporated in the approach is the 

ability to modify, terminate, or pause these investments, projects, or activities.

K. CIO review and approval of acquisition strategy and acquisition plan. 

The SPE is responsible for ensuring contract actions that contain IT are consistent 

with CIO approved acquisition strategies and plans. The MAP Reviews provide 

the CIO insight into the acquisition strategy and plan for each Major Acquisition. 

The SPE issues mandatory use policy for Government-wide vehicles that requires 

SPE approval. In FY 2015, the CIO initiated and maintained an IT Acquisitions 

List for Departmental Offices.

L. CIO approval of reprogramming.

Effective with the last budget year (FY 2015), the CIO approves the movement 

of IT resources that requires congressional notification. Specifically, the CIO 

approves reprogrammings, 50% balance requests, and the annual operating plans 

that are sent to Congress. The CIO’s approval is required for all budget items, 

except in cases where no IT resources are involved (e.g. plans for our 

international assistance programs (150s)). The CIO’s approval is obtained 

through the Departmental clearance process and documented in Budget Policy 

Guidance.

Acquisition and Budget Execution Milestones

DATE MILESTONE

December 

31, 2015 

The CIO revised existing guidance that describes current planning 

and execution practices to include:

 Explicit references to modification, pausing and/or 

termination of activities, projects, and investments through 

the TechSTAT process (this deliverable was complete as of 

updates to Treasury CPIC Guide sections 2 and 3 on 

December 29, 2015.)

 Incorporating specific requirements for coordination of 

annual planning activities with budget activities (this 

deliverable was complete as of promulgation of Budget 

Policy Guidance 16-01 on December 21, 2015.)

 Add additional emphasis on risks as an element of IT 

portfolio monthly reporting 

The CIO formally delegated IT/IRM program management 

processes to component CIOs as reflected in the assignment plan 

and post these policies publicly and share them with OMB through 

the IDC

This deliverable is complete. On February 1, 2016, the CIO
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distributed Treasury-wide a Memorandum “Assignment of IT/IRM 

Responsibilities”.

The CIO notified OMB of governance board participation via 

Treasury’s IDC submission on December 23, 2015.

The CIO provided an implementation plan for the FAC-P/PM 

policy. 

Q2 FY 

2016 

The SPE and CIO issued joint policy for FY 2016, addressing the 

MAP reviews, and implementing post-award MAP Reviews to 

ensure compliance with cost, schedule and performance contract 

parameters.

In addition to self-reporting project and operational performance 

through the existing Departmental CPIC procedures and Federal IT 

Dashboard, component CIOs and program managers will begin to 

attest to the accuracy of this data in FY 2016.

CIO and SPE are currently testing and will implement an acquisition 

planning tool) to track all planned acquisitions from identification of 

the need through post-award reviews. 

The SPE and CIO will communicate guidelines for consistent use of 

Product Service Codes (PSCs) that align with six IT Categories. 

The SPE and CIO will establish formal cost estimation guidelines at 

the Department level.

Q3 CIO will assign a category manager for each of the 6 IT categories 

for the Department and request related component level category 

management POCs

Q4 IT investment and execution reviews of 57 major IT investments 

across the enterprise

The TAC and Treasury CIO Council will conduct a joint review of 

acquisition strategy, policy and processes

FY 2017 IT investment and execution reviews of all IT/IRM acquisitions 

across the enterprise
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

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5.3. ORGANIZATION AND WORKFORCE

M. CIO approves bureau CIOs.

Treasury has developed and implemented processes whereby the Treasury CIO is 

involved in the recruitment of and approves new bureau CIO candidates and 

presents them for final approval by the Assistant Secretary for Management. The 

Deputy Secretary issued a policy memorandum titled “Promoting Managerial 

Effectiveness” on March 5, 2010, which provided that the ASM and Treasury 

CXOs (CIO, CFO, CAO/SPE, CHCO, and EEO/Diversity Officer) will review 

and approve final candidates for vacancies in corresponding bureau positions. To 

implement the Deputy Secretary’s policy memo, the CHCO published policy 

guidance under the Human Capital Issuance System (HCIS), titled “Departmental 

Oversight of Management Functions.”

This guidance specifies responsibilities of headquarters and bureau officials, and 

establishes procedures for bureaus to follow in applying for approval of new 

bureau CXOs (including bureau CIOs). Before announcing or filling any bureau 

CIO vacancy, the bureau head must notify the Treasury CIO and provide a 

recruitment strategy and plan, taking into account succession planning efforts. 

The plan must address certain elements, including the: 

 proposed method(s) for filling (e.g., new appointment, promotion, 

reassignment),

 area of consideration (e.g., bureau-wide, Department-wide, all sources),

 length of open period for vacancy announcement,

 targeted outreach (e.g., through diverse professional networks),

 qualification requirements, and

 participants in selection process (e.g., make-up of rating panel, 

interviewers, etc.).

The Treasury CIO may request additional information, direct modifications, or 

concur with the recruitment strategy and plan as proposed.

Upon identifying a final candidate for a bureau CIO position, the bureau head 

must submit a request to the CHCO to obtain ASM approval. The request must 

include a memo from the bureau head that 

 summarizes the duties and qualification requirements for the position,

 describes how the final candidate was identified (description of recruiting 

process, how selectee compared with other candidates, etc.), and

 provides a brief description of the candidate’s qualification (with resume 

attached).

The CHCO reviews and coordinates the request and obtains clearance from the 

CIO before transmitting to the ASM for action. The CIO may request additional 

information, consult with bureau officials, and/or interview one or more final 

candidates, as the CIO deems appropriate, before recommending or not 
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

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recommending the candidate. Upon CIO action, the CHCO forwards the request 

to the ASM. The ASM reserves the right to consult with the bureau head and/or 

interview one or more final candidates before making a final decision. Under the 

Treasury policy, the above procedures also apply to appointments of new bureau 

CFOs and senior officials for procurement, human resources, and EEO/diversity. 

N. CIO role in ongoing bureau CIOs' evaluations.

Treasury has developed and implemented processes by which the Treasury CIO 

annually issues specific performance elements and goals to be included in bureau 

CIO performance plans, provides periodic performance reviews to bureau CIOs 

and their reporting seniors, and participates in the final annual appraisal process. 

The Deputy Secretary’s policy memorandum titled “Promoting Managerial 

Effectiveness” (March 5, 2010), also prescribed that the ASM and Treasury 

CXOs will ensure that performance commitments of incumbents in bureau CXO 

positions are aligned with Department-wide strategic goals. The CHCO’s 

implementation guidance, titled “Departmental Oversight of Management 

Functions”, specifies responsibilities of headquarters and bureau officials relating 

to establishment of performance plans and appraisals of bureau CXOs’ 

performance, including bureau CIOs.

At the beginning of each fiscal year and other times as appropriate, the ASM 

establishes Department-wide strategic goals and objectives to be incorporated into 

the performance plans of bureau CXOs. The ASM collects from each Treasury 

CXO (including the CIO) a set of standard commitments and goals for all 

corresponding bureau CXOs. As the performance year progresses, Treasury 

CXOs have multiple occasions to provide performance feedback to their bureau 

CXO counterparts and supervisors of bureau CXOs. In the case of the CIO, this 

includes monthly CIO Council meetings, Bureau Heads and Deputies Council 

meetings, Quarterly Performance Reviews, and other types of reviews. The 

guidance also provides that supervisors of bureau CXOs must consider input from 

the appropriate Treasury CXO prior to deriving and communicating initial 

summary ratings to their bureau CXOs. 

As described above, all Treasury CXOs jointly establish annual sets of Treasurywide critical elements and goals to be included in the performance plans of bureau 

CXO counterparts. In addition, the CHCO coordinates the overall process of 

incorporating Treasury-wide commitments in bureau CXO performance plans 

(both SES and non-SES) by distributing the standard text of agency-wide critical 

elements to be loaded into Treasury’s electronic performance management 

systems and providing advice and consultation to bureau CXOs and their 

supervisors on how to implement the requirements. 
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

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O. Bureau IT Leadership Directory.

Treasury CHCO and CIO surveyed all bureau CIOs and human resources officers 

and published a dataset identifying all bureau officials with the title of CIO or 

duties of a CIO. The dataset was posted as a public dataset per IDC instructions 

by December 31, 2015. The posting is maintained by the CIO and will be updated 

as changes occur.

The CIO and CHCO collaborated in surveying the Bureau IT Leadership 

Directory.

P. IT Workforce.

Treasury is working to develop plans and processes by which CIO and CHCO 

— and SPE where relevant — will develop a set of competency requirements 

for IT staff, including IT leadership positions, and develop and maintain a 

current workforce planning process to ensure the department can (a) anticipate 

and respond to changing mission requirements, (b) maintain workforce skills 

in a rapidly developing IT environment, and (c) recruit and retain the IT talent 

needed to accomplish the mission.

Treasury as a whole has not yet adopted a set of competency requirements for IT 

staff; however, the Internal Revenue Service (IRS) CIO staff has made significant 

progress in identifying a set of IT competencies. IRS employs over 80 percent of 

Treasury’s IT (Series 2210) workforce; therefore, we believe the IRS project will 

provide a substantial foundation for assembling a Treasury-wide IT competency 

set. 

Treasury has established a policy of adopting a Treasury-wide strategic workforce 

planning (WFP) model under Human Capital Issuance System (HCIS) 250, 

“Treasury Strategic Workforce Planning Program Policy” (TN-14-006, October 

25, 2014). To carry out this enterprise-wide WFP endeavor, the CHCO 

established a network of WFP champions representing all bureaus and major 

offices. Having adapted a WFP tool obtained from the Department of the Interior, 

Treasury implemented a pilot program starting in 2013 to conduct WFP studies of 

mission-critical occupations (MCOs) on an enterprise-wide basis. 

Treasury has deferred conducting a WFP study of the IT occupation pending a 

review of the IRS IT competency set and assessment tool. Treasury’s WFP tool 

calls for managers to provide an estimate of the competency levels and gaps in 

their organizations. The ability to incorporate data-based competency 

assessments, as the IRS tool is designed to produce, would improve the utility of 

the WFP tool. 

Next steps planned are as follows: When the IRS is able to produce initial IT 

competency assessments and gap analyses, the Treasury CHCO and IRS HRO 
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

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will review the results, in consultation with the Treasury and IRS CIOs. If the 

IRS IT competency set and assessment tool appear suitable for Treasury-wide 

adoption, the Treasury CHCO will coordinate the IRS-developed IT competency 

set across all Treasury bureaus, including both bureau HROs and bureau CIOs. 

This would produce a Treasury-wide set of IT competencies and enable 

assessments of the Treasury IT workforce. The Treasury CHCO and bureau 

HROs will also evaluate whether the IT competency assessment data can be 

readily incorporated into Treasury’s existing WFP tool and whether other options 

for including competency data into a workforce planning tool may be available 

and preferable. Based on this evaluation, the Treasury CHCO will provide a 

recommendation to the Treasury CIO for a process and tools to conduct a 

competency-based WFP study of the Treasury IT workforce. 

The timing of these steps is difficult to estimate. Each decision point depends on 

the outcome of the prior review and decision. Performing the competency 

assessments and participating in the WFP study require time commitments from 

both IT staff and managers, which must be coordinated with other demands on 

their time. In addition to the plans and processes described above, consistent with 

current OFPP policy, Treasury’s CIO, CHCO, and CAO/SPE are collaborating on 

implementation of the FAC-P/PM IT Specialization to develop competencies for 

workforce members performing acquisition functions.

Q. CIO reports to agency head (or deputy/COO). 

Treasury Order 102-10, “Designation of Chief Information Officer for the 

Department of the Treasury,” dated January 13, 1999, specifies that the CIO shall 

have direct access to the Secretary with respect to responsibilities of the 

Department under chapter 35 of title 44, U.S.C., titled “Coordination of Federal 

Information Policy.”

The component CIOs report to their separate management structures at their 

individual bureaus. The Treasury CIO Council, which is made up of these bureau 

CIOs and is chaired by the Treasury CIO, brings this group together as a single 

IT/IRM governance body. This body is responsible for selecting and overseeing 

all shared or enterprise-wide services.
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Workforce Milestones

DATE MILESTONE

December 

31, 2015 

Treasury has publically posted the IT Leadership Directory on 

treasury.gov/digitalstrategy

FY 2016 / 

FY 2017 

(specific 

milestones 

TBD)

Treasury CHCO and IRS HRO will review results of IRS’s initial 

IT competency assessments and gap analyses, in consultation with 

the Treasury and IRS CIOs. 

Treasury CHCO will coordinate the IRS-developed IT competency 

set across all Treasury bureaus, to develop Treasury-wide set of IT 

competencies. 

Treasury CHCO and bureau HROs will evaluate whether the IT 

competency assessment data can be readily incorporated into 

Treasury’s existing WFP tool (or a different tool).

Treasury CHCO will provide a recommendation to the Treasury 

CIO for a process and tools to conduct a competency-based WFP 

study of the Treasury IT (Series 2210) workforce. 
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

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Attachment 1:

Department of the Treasury CIO Assignment Plan 

The following CIO Assignment Plan details decisions about certain IT resources included in the 

Common Baseline that the Treasury CIO plans to delegate to other agency officials as well as 

evidence that the Treasury CIO retains accountability in these areas.

On February 1, 2016, the CIO distributed Treasury-wide a Memorandum “Assignment of 

Information Technology Resources Management (IT/IRM) Responsibilities” delegating listed 

authorities to the CIO or equivalent lead official at each Treasury bureau, office or organization. 

FITARA

section Assignment Plan Evidence that the CIO retains accountability

B

CIO role in 

pre-budget 

submission for 

programs that 

include IT and 

overall 

portfolio

The Treasury CIO assigns responsibility for 

developing proposed IT planning, 

programming, and budgeting artifacts to 

Component (Bureau and Office) CIOs, who 

will coordinate with their respective 

leadership, including CXOs. 

The Treasury CIO shall assign to

Component CIOs the responsibility for 

ensuring the accuracy of information 

reported to the Department.

The Treasury CIO will 

approve IT planning, 

programming, and budget 

artifacts before they are 

submitted to OMB. The 

Treasury CIO approves 

artifacts based on Component 

attestation of accuracy of 

reporting.

OMB budget submissions will 

include information 

technology resource statements 

that affirm the CIO’s review 

and approval of IT investments 

in the budget request and 

changes to IT programs and 

resources.
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

23

FITARA

section Assignment Plan Evidence that the CIO retains accountability

C

CIO role in 

planning 

program 

management

The Treasury CIO assigns responsibility for 

developing proposed IT planning, 

programming, and budgeting artifacts to 

Component (Bureau and Office) CIOs, who 

will coordinate with their respective 

leadership, including CXOs. 

The Treasury CIO shall assign to 

Component CIOs the responsibility for 

ensuring the accuracy of information 

reported to the Department.

The Treasury CIO will 

approve planning and project 

management artifacts before 

they are submitted to OMB or

implemented. The Treasury 

CIO approves artifacts based 

on Component attestation of 

accuracy of reporting through 

the OCIO and Treasury-wide 

clearance processes.

The Treasury CIO participates 

in the Deputy Secretary’s 

Quarterly Performance Review 

(QPR) process for all 

Department components. 

The Treasury CIO leads 

agency Quarterly and Monthly 

IT portfolio reviews as part of 

the CPIC process.

The Treasury CIO Council 

meets on a monthly basis 

discussing a wide range of IT 

matters including planning and 

program management. Meeting 

records are documented on the 

Treasury CIO council intranet 

site.

D

CIO reviews 

and approves 

major IT 

investment 

portion of 

budget request

The Treasury CIO assigns responsibility for 

developing proposed IT planning, 

programming, and budgeting artifacts to 

Component (Bureau and Office) CIOs, who 

will coordinate with their respective 

leadership, including CXOs. 

The Treasury CIO shall assign to

Component CIOs the responsibility for 

ensuring the accuracy of information 

reported to the Department.

The Treasury CIO will 

approve planning, 

programming, and budget 

artifacts before they are 

submitted to OMB or 

implemented. The CIO 

approves artifacts based on 

bureau attestation of accuracy 

of all Department level 

reporting.
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

24

FITARA

section Assignment Plan Evidence that the CIO retains accountability

E

Ongoing CIO 

engagement 

with program 

managers

The Treasury CIO will assign responsibility 

for reporting capital planning and 

investment control (CPIC) information 

through the Treasury CPIC process to the IT 

Dashboard to Component CIOs. The 

Treasury CIO will assign responsibility for 

ensuring the accuracy of reported 

information as well as participating in 

regular portfolio and investment level 

reviews at the discretion of the Treasury 

CIO.

The Treasury CIO maintains 

accountability through the 

Treasury IT governance 

structure and CPIC process. 

F

Visibility of IT 

planned 

expenditure 

reporting to 

CIO.

Treasury CIO will assign responsibility to 

ensure complete and accurate IT planned

expenditure reporting to the ACIOs and 

Component CIOs for all IT acquisitions 

except:

• Major Acquisitions (>$10M), inclusive 

of IT. 

• Pending expenditures required for 57 

CPIC Major Investments

• Controversial or otherwise sensitive such 

that it warrants the attention of the SPE, 

BCPO, CIO or other executive 

stakeholders.

IT expenditure data will be 

reconciled quarterly with 

FPDS, Financial Systems and 

CPIC reporting.

G

CIO defines IT 

processes and 

policies

The Treasury CIO assigns responsibility for 

defining development processes, milestones, 

review gates, and overall policies for project 

management and reporting for IT resources 

at the component level to component CIOs 

who should coordinate with their respective 

leadership and CXOs. These elements must 

remain in full compliance with Treasury 

development processes, milestones, review 

gates, and overall policies for project 

management and reporting for IT resources 

defined by the CIO.

The Treasury CIO issues 

department-wide guidance that 

defines development processes, 

milestones, review gates, and 

overall policies for project 

management and reporting for 

IT resources. Components 

must fully comply with this 

guidance when developing 

component level processes, 

milestones, review gates, and 

overall policies for project 

management and reporting for 

IT resources. OCIO posts 

Department-wide IT policies 

and processes to the Treasury 

intranet.
TREASURY FITARA COMMON BASELINE IMPLEMENTATION PLAN

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FITARA

section Assignment Plan Evidence that the CIO retains accountability

H

CIO role on 

program 

governance 

boards

The Treasury CIO assigns responsibility for 

chairing and maintaining component level 

IT governance bodies to component CIOs. 

Each component will report regularly on its 

full IT governance structure. 

Each component will report 

regularly to the Treasury CIO

on its full IT governance 

structure. 

I

Shared 

acquisition and 

procurement 

responsibilities.

Treasury CIO will assign responsibility for 

the following to ACIOs and Component 

CIOs:

 Designate IT Category Managers that 

will actively participate in Treasury IT 

Category Management responsibilities

 Review and pre-approval of FAC P/PM 

and IT Core-Plus Specialization 

applications submitted for CIO approval

 Review of acquisition & contracts 

sections in CPIC Business Cases 

including reporting when these sections 

are complete and accurate

ACIOs and Component CIOs 

will provide evidence to the 

Treasury CIO that reviews have 

been completed and issues 

identified are being monitored 

& reported.

Assignments were discussed 

and accountability 

communicated in a joint 

Treasury Acquisition Council 

and CIO Council meeting on 

Jan. 21, 2016

J

CIO role in 

recommending 

modification, 

termination or 

pause of IT

The Treasury CIO establishes thresholds for 

mandatory agency and component level 

TechStat reviews as well as mandatory 

criteria for modification, termination, or 

pause of IT unless specifically exempted by 

the Treasury CIO. The Treasury CIO assigns 

responsibility for component level actions to 

component CIOs and assigns responsibility 

for auditing and ensuring the accuracy of all 

information reported to the Department for 

CIO.

The Treasury CIO establishes 

thresholds for mandatory 

agency and component level 

TechStat reviews as well as 

mandatory criteria for 

modification, termination, or 

pause of IT unless specifically 

exempted by the Treasury 

CIO.

K

CIO review 

and approval of 

acquisition 

strategy and 

acquisition 

plan.

Treasury CIO will assign responsibility for 

the following to ACIOs and Component 

CIOs:

Review of acquisition & contracts sections 

in CPIC Business Cases including reporting 

when these sections are complete and 

accurate with all pending expenditures 

required

The Treasury CIO maintains 

accountability by monitoring 

and reporting on the artifacts 

provided by ACIOs and 

Component CIOs attesting to 

the accuracy of reporting on 

completion of acquisition 

strategy reviews.