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Standards in Government IT Management Process Improvement

Road Map to IT Success

Presented by Stephen Hyland and Steven Tauber

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Agency is Responsible for Meeting Legislative and Regulatory Mandates

Government Performance and Results Act of 1993 (GPRA)

– Is the primary legislative framework through which agencies are required to set strategic goals, measure performance, and report on the degree to which goals were met.  It requires each federal agency to develop strategic plans that cover a period of at least 5 years and include the agency's mission statement; identify the agency's long-term strategic goals, and describe how the agency intends to achieve those goals through its activities and through its human capital, information, and other resources.

Information Technology Management Reform Act of 1996 (Clinger-Cohen Act)

- Link IT investments to agency accomplishments and establish and measure processes for selecting, managing, and controlling IT investments

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Agency is Responsible for Meeting Legislative and Regulatory Mandates (cont’d)

OMB Circular A-130: Management of Federal Information Resources

- Monitor and evaluate the performance of information resource investments through a capital planning and investment control process, and provide advice on whether to continue, modify, or terminate a program or project

- Advise the agency head on budgetary implications of information resource decisions

- Be an active participant throughout the annual agency budget process in establishing investment priorities for agency information resources

E-Government Act of 2002 (FISMA)– To enhance the management and promotion of electronic Government

services and processes, and by establishing a broad framework of measures that require using Internet-based information technology to enhance citizen access to Government information and services.

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OMB’s Circular A-11 Requires the Annual Filing of Information

Exhibit 300 -- Planning, Budgeting, Acquisition and Management of Capital Assets

– used to report Major System Acquisitions– Is the basis for OMB approved funding

Exhibit 53 – Information Technology and E-Government

– OMB IT budget approval is based on this report. – Is one of the reports OMB uses to ensure that Capital projects are in

compliance with the Capital Planning and Investment Control requirements.

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GAO Established an Approach for Life Cycle Management of IT Investments

SelectPhase

• Screen• Rank• Select

ControlPhase

• Monitor progress• Take corrective

actions

EvaluatePhase

• Conduct reviews

• Make adjustments

• Apply lessons learned

?How are you ensuring that

projects deliver benefits?

?Are the systems delivering what you expected?

?How do you know you have selected the best projects?

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GAO’s ITIM Vision: Framework for Organizational Improvement Improve the likelihood that IT investments will be

completed on time and on budget Promote a better understanding and management

of IT-related risks Ensure that IT investments are selected based on

their merits by a well-informed decision-making body

Implement process management improvement ideas and innovations

Increase the business value and mission performance improvements of IT investments

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GAO’s ITIM Vision: Framework for Organizational Improvement

Investment benchmarking and IT-enabled change management techniques are deployed to strategically share business outcomes.

Process evaluation techniques focus on improving the performance and management of the organization's IT investment portfolio.

Comprehensive IT investment portfolio selection and control techniques are in place that incorporate benefit and risk criteria linked to mission goals and strategies.

Repeatable investment control techniques are in place and the key foundation capabilities have been implemented.

There is little awareness of investment management techniques. IT management processes are ad hoc, project-centric, and have widely variable outcomes.

Project-Centric

Enterprise and Strategic Focus

Stage 5Leveraging IT for

Strategic Outcomes

Stage 4Improving the

Investment Process

Stage 3Developing a Complete

Investment Portfolio

Stage 2Building the

Investment Foundation

Stage 1Creating Investment

Awareness

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Enterprise-wide focus on IT investment management

Evaluates all areas of CIO activities Rigorous, standardized tools for evaluations of an IT

investment management strategy Identifies policy deficiencies and efficient corrective

actions Simplifies the completion of required filings for

funding of IT investments: OMB Exhibit 300B Consistent and understandable mechanism for

reporting results to agency executives, Congress, GAO, and other interested parties

What ITIM Means to the Gov’t CIO

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What is an ITIM Assessment? Objectively evaluates the existing information

technology investment maturity Produces a road map for prioritizing and meeting

legislative and regulatory mandates (GAO and OMB) and meeting mission goals

Establishes strategies for effectively managing information resources across the enterprise and identifies areas with maximum ROI

Fosters collaboration through the adoption of standards that bridge functional and organizational boundaries

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Holistic Approach to ITIM Maturity Assessment

Records Management

Data Management

Human Capital

Hardware, Software &

Services Acquisition

Operations and

Maintenance

Software Development

Enterprise Architecture

Budget and Planning

Information Security

IT Investment Management

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Approach Provides a Framework forContinuous Process Improvement

PlanProject

AssessCurrent

State

EnvisionFutureState

PlanImplementation

ExecutePlan

EvaluateProgress

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Phases of ITIM Assessment Methodology

PHASE 4PHASE 3PHASE 2

Monitor and Evaluate Progress

Execute Transition Strategy

Create Transition Strategy

Envision Future State

Assess Current State

Evaluate Performance

Institute and Execute Policies

Institute and Execute Procedures

Develop Transition Strategy

Identify and Scope Processes to be

Analyzed

Obtain Executive Management

Support

Confirm Strategic Objectives

Select Project Team

Identify Key Stakeholders

Develop Project Plan

Define Standards and Establish

Measurable Criteria

Evaluate Current Policy/Processes

and Documentation

Identify Gaps and Key Improvement

Opportunities

Assess Organizational

Change Readiness

Identify Best Practices

Define Policy/Process Requirements

Define Organizational Requirements

Define Technology Requirements

Finalize Recommendations

Define Benefits

Institute and Execute Processes

Monitor Performance

Educate/Train on Processes, Policies, Procedures & Tools

Determine Transition Rate

Constraints

Plan Project

Manage Change

PHASE 1

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Enterprise Architecture

Measure compliance with legislative and regulatory standards Provide integration with Federal Government EA Frameworks

– OMB’s FEA, Federal CIO Council’s FEAF, Treasury’s TEAF, and DoD’s C4ISR

– E-Gov Common Reference Model Establish a baseline for conducting future Enterprise

Architecture self-assessments to measure progress– GAO’s A Framework for Assessing and Improving Enterprise

Architecture Management, Version 1.1– CIO Council’s Practical Guide to Federal Enterprise Architecture

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Information Security

Measure compliance with legislative and regulatory standards– Government Information Security Reform Act (GISRA)– Computer Security Act– Paperwork Reduction Act

Identify opportunities for effectively managing Information Security at an enterprise level

Establish a baseline for conducting future Information Security self-assessments to measure progress

– CIO Council’s Federal Information Technology Security Assessment Framework

– NIST Security Self-Assessment Guide for Information Technology Systems (NIST SP 800-26)

– NIST Contingency Planning Guide for Information Technology Systems (NIST SP 800-34)

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Budget and Planning

Measure compliance with legislative and regulatory standards– OMB Circular A-11, Part 7: Planning, Budgeting, Acquisition and

Management of Capital Assets

– OMB Program Assessment Rating Tool (PART)

– President’s Management Agenda: Agency Scorecards

Identify opportunities for effectively managing Budget and Planning across the enterprise

Establish a baseline for conducting future Budget and Planning self-assessments to measure progress

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IT Human Capital

Measure compliance with legislative and regulatory standards– Clinger-Cohen Act– OMB Circular A-130– GAO IT Investment Management Framework

Identify opportunities for effectively managing Human Capital at an enterprise level

Establish a baseline for conducting future Human Capital self-assessments to measure progress

– Office of Personnel Management Human Capital Framework– Software Engineering Institute’s People Capability Maturity Model

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Software Development

Measure compliance with legislative and regulatory standards– Clinger-Cohen Act– OMB Circular A-130– GAO IT Investment Management Framework

Identify opportunities for effectively managing Software Development life cycle at an enterprise level

Establish a baseline for conducting future Software Development self-assessments to measure progress

– Software Engineering Institute Capability Maturity Model (SEI CMM)

– Software Engineering Institute Capability Maturity Model Integration (SEI CMMI)

– ISO 9000

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IT Hardware, Software & Services Acquisition

Measure compliance with legislative and regulatory standards– Clinger-Cohen Act– OMB Circulars A-11, A-130, and A-109– Federal Acquisition Streamlining Act (FASA)

Identify opportunities for effectively managing Hardware/Software Acquisition across the enterprise

Establish a baseline for conducting future HW/SW Acquisition self-assessments to measure progress

– GAO IT Investment Management Framework– Software Engineering Institute Software Acquisition Capability

Maturity Model (SEI SA-CMM)

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Records Management

Measure compliance with legislative and regulatory standards– Government Paperwork Elimination Act – 5 USC Sec. 522 - Freedom of Information Act– 40 CFR Part 16 - Privacy Act

Identify opportunities for effectively managing Records Management at an enterprise level

Establish a baseline for conducting future Records Management assessments to measure progress

– NARA Records Management Self-Evaluation Guide

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Data Management

Measure compliance with legislative and regulatory standards– Section 515 of P.L. 106-554: Data Quality Act

Identify opportunities for effectively managing Data and Information at an enterprise level

Establish a baseline for conducting future Data Management self-assessments to measure progress

– Michael Brackett’s Ten Best Practices for Effective Data Quality– Larry English’s Improving Data Warehouse and Business

Information Quality

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Operations and Maintenance

Measure compliance with legislative and regulatory standards Identify opportunities for effectively managing Operations and

Maintenance activities at an enterprise level Establish a baseline for conducting future Operations and

Maintenance self-assessments to measure progress– IT Service Capability Maturity Model (ITS CMM)– Software Engineering Institute Software Engineering Capability

Maturity Model (SEI SE-CMM)

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ITIM Process Improvement Methodology

Provides an adaptable methodology based on needs and objectives

Evaluate status against legislative and regulatory requirements – Define Evaluation Criteria/Standards– Perform Gap Analysis and produce detailed Recommendations

Provides roadmap for achieving your IT vision– Produce Transition Strategy, including Communications, Quality

Assurance, and Risk Management Plans– Provide ROI basis for decisions

Execute Transition Strategy– Provide execution assistance, specifically in areas of business process

re-engineering, and template and tool evaluation and selection– Metrics of success

Implement and Evaluate– Support planning and execution of ongoing monitoring strategies,

processes, and tools (self-assessments or independent)

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Presenters

Stephen HylandThe Orkand CorporationProgram Manager(703) 648-5938shyland@orkand.com

Steven TauberBearingPointManager, Federal eGovernment(703) 747-7131stauber@bearingpoint.net