CPIC Process 101
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  • Develop Mission Needs Statement Develop Concept (performance measures and selection criteria) Develop minimal 300-1 (budget estimates and cost benefit analysis) Submit for approval (Bureau and DOI Investment Review Boards)

CPIC Process 101 CPIC Process 101 Presentation Transcript

  • Capital Planning and Investment Control Course 1.01 Presented to the DOI CPIC Advance January 25, 2005 Judy Snoich and Cyndy Anderson IT Investment Management (ITIM)
  • Legislative Direction
    • Chief Financial Officer Act of 1990
    • Government Performance and Results Act of 1993
    • Federal Acquisition Streamlining Act of 1994
    • Paperwork Reduction Act of 1995
    • Clinger-Cohen Act of 1996
    • Government Paperwork Elimination Act of 1998
    • Federal Information Security Management Act
    • E-Gov Act of 2002
    • “ The Head of each executive agency shall design and implement in the executive agency a process for maximizing the value and assessing and managing the risk of the information technology acquisitions of the executive agency.”
    • Clinger-Cohen Act
  • Circulars, Manual Chapters, Maturity Models
    • OMB A-11 – Provide a full and accurate accounting of Major and Non-major IT investments
      • Section 53
      • Section 300
    • OMB A-130 – Use Capital Planning and Investment Control process
    • GAO IT Investment Management Framework
    • Departmental Manuals
      • 375 DM 6, Information Resources Life Cycle Management, 1989
      • 375 DM 7, Benefit/Cost Analysis in Support of IRM Decision making, 1993
      • 376 DM 4, Information Technology Investments, 1996
    • DOI Capital Planning and Investment Control Guide, January 2005
  • Major IT Investments : (meet at least one of the following criteria)
    • Any investment previously reported to OMB
    • $5M annual cost or > $35M lifecycle cost
    • Importance to the mission or its significant role in administration of programs, finances, property, or other resources
    • Is an integral part of the Department’s modernization blueprint (EA)
    • Mandated by legislation or executive order, or identified by the Secretary as critical
    • All financial systems with an annual cost greater than $500,000.
    • High risk as determined by OMB, GAO, Congress and or the CIO.
    • Directly Supports the President’s Management Agenda Items of “high executive visibility”
    • E-Government, Departmental, cross-cutting (across more than one office or Bureau)
    • Links to the first two layers of the FEA. (This is meant to imply the first two layers of the BRM: Services to Citizens and Mode of Delivery
  • Key Decision Makers
    • DOI CIO
      • Secretary’s delegated agent for IT investments
    • DOI Investment Review Board
      • Manage DOI portfolio (select, control, evaluate)
      • Select decision criteria and make technical decisions
      • Approve, disapprove, or defer judgment
    • Bureau Investment Review Boards
      • Manage Bureau portfolio (select, control, evaluate)
      • Manage project management deficiencies
      • Approve, disapprove final investment decisions
  • GAO IT Investment Management Stages Stage 1 Creating an Investment Awareness Stage 4 Improving the Investment Process Stage 5 Leveraging IT for Strategic Outcomes Stage 3 Developing a Complete Investment Portfolio Stage 2 Building the Investment Foundation
  • DOI CPIC Guide V2.0 (IT and Construction)
  • CPIC Process Entry/Exit Criteria Entry Criteria: Concept   Exit Criteria: Mission Needs Statement, Concept, Exhibit 300-1 Entry Criteria: Exit Criteria: IRB Approved MNS Charter 300-1 Full Exhibit 300 Project Plan Entry Criteria: IRB Approved 300 IRB Approved Project Plan Supporting Project Documents   Exit Criteria: Updated 300 Updated Project Plan Control Documents Quarterly Reports PIR Schedule Entry Criteria: Implementation complete DOI IRB approval   Exit Criteria: Updated 300 Completed PIR O&M Review Schedule Entry Criteria: DOI IRB approval to enter Steady State   Exit Criteria: Updated 300 Yearly Operational Analysis
  • DOI CPIC Guide V2.0 (IT and Construction)
  • DOI CPIC Guide – Pre Select
  • Pre-Select Actions
    • CPIC Guide:
      • Policy and procedures for submitting and approving new investments
    • GAO ITIM Stage 2, Critical Process 3: Selecting an Investment
      • CP3-C1: The organization has documented policies and procedures for selecting new IT proposals.
      • CP3-C3: The organization has documented policies and procedures for integrating funding with the process of selecting an investment.
  • DOI CPIC Guide V2.0 (IT and Construction)
  • DOI CPIC Guide – Select
  • Select Actions
    • CPIC Guide:
      • Policy and procedures for selecting investments using Rating and Ranking Criteria
        • DOI: Value, IEA alignment, Risk, Quality of documents, Project Health
        • USGS: unique Rating & Ranking Criteria
      • Policy and procedures to review investment documents: charter, full 300, acquisition plan, risk management plan, performance measures, and project plan.
  • Select Actions (continued)
    • GAO ITIM Stage 2, Critical Process 3: Selecting an Investment
      • CP3-C2: Documented policies and procedures for re-selecting new IT proposals.
      • CP3-P2-3: Established criteria for analyzing/prioritizing/ selecting and re-selecting IT investments opportunities
      • CP3-P4: A mechanism exists to ensure that the criteria continue to reflect organizational objectives.
      • CP3-A1-2: The organization uses its defined selection/re-selection process, including predefined selection criteria.
      • CP3-A3: Executives’ funding decisions are aligned with selection decisions.
  • DOI CPIC Guide V2.0 (IT and Construction)
  • DOI CPIC Guide – Control
  • Control Actions
    • CPIC Guide:
      • Policy and procedures to review investment control documents and recommend appropriate action
        • Monthly monitoring of Project Costs, Schedule, Benefits, Risks and Technical Baselines
        • Quarterly reporting to IRB for Control Review decisions
    • GAO ITIM Stage 2, Critical Process 1: Instituting the Investment Board
      • CP1-A3: Established management controls for ensuring that the investment boards’ decisions are carried out.
    • GAO ITIM Stage 2, Critical Process 2: Meeting Business Needs
      • CP2-A3: Users participate in project management throughout an IT Investment’s life cycle.
  • Control Actions (continued)
    • GAO ITIM Stage 2, Critical Process 4: Investment Oversight
      • CP4-C1: Documented policies and procedures for management oversight.
      • CP4-P2: Investments maintain approved project management plans.
      • CP4-A2: Verified data is used by the IRB to review investment performance.
      • CP4-A3: Actions are taken to correct underperforming IT investments.
      • CP4-A4: IRB tracks implementation of corrective actions until completed.
  • Control Actions (continued)
    • GAO ITIM Stage 2, Critical Process 5: Capturing Investment Information
      • CP5-C1: Documented policies and procedures for identifying and collecting information about IT investments.
      • CP5-C2: An official is assigned responsibility for ensuring investment information collected is sufficient.
      • CP5-P1: Adequate resources, including people, funding, and tools are provided for identifying IT investments and collecting and analyzing investment information.
      • CP5-A1: IT investments are identified, and specific information is collected to support decisions about them.
      • CP5-A2: Collected IT investment information is easily accessible and understandable to decision makers.
      • CP5-A3: Collected IT information is used by investment decision makers to support investment management.
  • DOI CPIC Guide V2.0 (IT and Construction)
  • DOI CPIC Guide – Evaluate
  • Evaluate Actions
    • CPIC Guide:
      • Policy and procedures for Post Implementation Reviews (PIRs):
        • Impact to Stakeholders
        • Ability to deliver quantitative and qualitative IT performance measures
        • Ability to meet baseline goals
      • Policy and procedures to evaluate the IT Capital Management Investment Management Process
      • Policy and procedures to move investments to Steady State
  • DOI CPIC Guide V2.0 (IT and Construction)
  • DOI CPIC Guide – Steady State
  • Steady State Actions
    • CPIC Guide:
      • Policy and procedures for conducting yearly Operational Analysis of Steady State investments
        • Investment continues to effectively support mission requirements
        • Operation and Maintenance costs are within expected range
  • Questions?