DOI IT Capital Planning and Investment Control

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DOI IT Capital Planning and Investment Control

• Lessons Learned from BY06 Budget Formulation
• Cyndy Anderson, PMP
• IT Capital Planner, Portfolio Management Division
  (PMD)

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Overview

• Background
• Accomplishments
• Issues
• Action Items
• Training
• Investment Management
• Business Case Review, Scoring, and Ranking
• Communications and Administration
• Work Group strategy and plan

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Lessons Learned - Background

• Highlight areas for improvement
• Support of the BY07 Budget Formulation effort.
• Both Accomplishments and Lessons Learned.
• Bureau submissions were integrated into an
  overall package and then summarized for
  discussion purposes

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Objective

• Derive action items from the lessons learned as
  input on which workgroups can focus.
• Keeping in mind
• the goal is reaching ITIM Level Two by
  September, 2005

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Accomplishments

• CPIC workshop was an excellent vehicle for
  providing training and disseminating information
• Having discipline-focused training from SMEs and
  other players was useful for all participants.
• Department and Bureaus were able to improve
  Exhibit 300 scores due to the support from PMD,
  SMEs, and Bureau CPIC Coordinators.
• Rating and Ranking effort was useful as a means
  to involve Bureau IRBs in the CPIC process,
  although criteria might need to be revisited and
  available earlier in the cycle for BY07.
• Overall recommendation is to continue using eCPIC
  for BY07 activities and plans for a new tool
  should target implementation to support BY08
  activities.

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Issues

• Poor planning/not enough time to respond to data
  calls and other exercises, such as rating/ranking
  effort.
• Possibility of biased or inflated final Exhibit
  300 self scoring by the bureaus.
• Unclear guidance and lack of coordination for
  Departmental Exhibit 300s, including
  Infrastructure business case.
• Late delivery of Departmental business cases and
  WCF requests to the bureaus which limited
  analysis of the effects to their portfolios.
• Operating independent databases for the Exhibit
  53 and the Exhibit 300s which required
  additional effort to ensure synchronization
  between them.

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Action Items - Training

• Provide EVMS and other focused training for
  Project Managers.
• Bureau CPIC Staff to develop training sessions
  and incorporate business case reviews as part of
  their effort.
• Define a BY07 training schedule providing
  training sooner in the cycle for critical Exhibit
  300 sections/areas.
• Provide monthly training for generic Exhibit 300
  areas/sections.
• Make BY07 tool decision early as to facilitate
  training.
• Develop a How to.. guide or expert system for
  producing an Exhibit 300 that can provide better
  guidance for PRM section. Prioritize areas of
  Exhibit 300 according to importance.
• Develop guidance earlier rather than on a
  responsive basis. Clarify requirements for IH
  section and how they can support quarterly
  reporting (useful segments).
• Clarify PIA guidelines and reporting
  requirements.
• Establish a team to review eCPIC documentation to
  provide hints, etc. to the rest of the community.

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Action Items Investment Management

• Review process and timeline for submitting new
  investments into the CPIC cycle. (Mission Need
  Stmts)
• Develop 300-1 Form in eCPIC or Excel.
• Bureaus to consider grouping non-majors into
  enclave (umbrella) investments. Determine the
  impact of such changes to the FISMA and EA
  inventories.
• Bureaus to review allocation of investments
  between the different Exhibit 53 parts. Provide
  guidance to bureaus on how to accomplish this.
  Address OMB requirement that 60 of IT
  Investments are reported via Exhibit 300s.
• Provide/distribute DOI-wide major investments to
  the bureaus earlier in the process to ensure
  their review by the various boards.
• Schedule meetings, earlier in the budget cycle,
  between DOI-wide PMs and bureau CPIC personnel.

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Action Items Investment Management

• Ensure through planning and enforcement that
  departmental initiatives adhere to the same due
  dates as the rest of the investments.
• Ensure that WCF estimates are provided earlier in
  the budget cycle to allow bureau IRBs to
  analyze/coordinate changes.
• Improve DOI-Wide Exhibit 300 Coordination.
• Review 300-2 process, including how to collect
  the information, what information is needed.
• Work towards ensuring system inventory
  consistency (FISMA/CPIC/EA).
• Better plan maintenance and support for the DOI
  Infrastructure business case by defining a
  schedule, establishing reporting requirements and
  coordination channels, and providing clear
  guidance.

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Action Items Business Case Review/Scoring/Rankin
g

• Consider performing a virtual workshop for
  conducting Exhibit 300 reviews.
• Rework scoring spreadsheet to limit tendency to
  inflate scores. Review criteria so it is aligned
  with OMB requirements.
• Assign scoring of Exhibit 300s to bureaus other
  than the originator. Self-scoring could introduce
  bias to the results. One recommendation would be
  to follow the same approach as used during the
  CPIC workshop for producing the final scores
  while also incorporating an appeal process.

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Action Items Business Case Review/Scoring/Rankin
g

• Define a Ranking and Rating timeline for BY07
  to be included in the overall schedule. Review
  existing framework and provide a proposal for
  BY07 and possibly test as well. Ensure there is
  proper lead time for business case review,
  especially when asking to rate and rank the
  entire portfolio. Suggestion for DOI to establish
  weights rather than bureaus.
• Incorporate the bureau BITSMs in the
  production/review of Exhibit 300s.
• Schedule meetings with GPEA, privacy, security,
  EA, and other experts to ensure they know their
  roles and the information needed for the Exhibit
  300.

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Action Items Communications/Administrative

• Formalize and standardize interface with budget
  personnel.
• Develop process and guidance to facilitate
  Exhibit 300 versus Exhibit 53 verification.
• Develop and identify process for relaying board
  decisions in a timely manner.
• Schedule checkpoints for Exhibit 300 reviews
  throughout the year, including early in the cycle
  to motivate authors and IPTs to maintain their
  business cases.
• Enforce a cut-off date for Exhibits 53 and 300
  updates to prevent any further changes. Establish
  a mechanism to notify bureaus of changes
  performed at the Dept after a freeze has been
  imposed.

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Action Items Communications/Administrative

• Combine project management and CPIC offices.
• Establish formal issue management process.
• Establish formal archiving procedures (bureau and
  departmental).
• CPIC work schedule too detailed, needs clearer
  roles and responsibilities.
• Determine and define the need for an OS CPIC
  Board as a prelude to the DOI IRB.
• Perform adequate planning and reflect such in the
  overall schedule. Ensure that plan can provide a
  major milestone road map for executive review.

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Questions?
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Objective

• Common understanding of the goal
• Appoint a team leader
• Schedule of meetings
• Measures of success
• Contact Information
• Goal - ITIM Level Two by September 30th.

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Workgroups