The Strategic Management Committee (SMC) exists to ensure the success of our journey. The SMC is responsible for defining the initiatives, goals, and strategies. It is also responsible for working together throughout the OCIO organization and with our customers to build support and to ensure we are heading in the right direction. This group will meet monthly to review progress towards achievement of our goals and to align our strategies with our ultimate destination. The SMC membership includes: Wes Gewehr (Deputy CIO for Systems Modernization) Ron Hack (Deputy CIO for IT Services) Kay Melvin (Executive for Information Dissemination Services) Barbara Fleming (Director of Technical Policy and Planning Staff) Randy Bender (Office of Customer Support Services) Susan Callis (CIO Chief of Staff) Larry Cogut (Office of System Architecture and Engineering) Bruce Cox (Information Products Division) Ken Giese (Office of Acquisition Management) Holly Higgins (Office of Data Management) Tom Kenton (Office of Systems and Network Management) Rob Porter (Office of Systems Development and Maintenance) Jeff Wolfe (Office of System Product Assurance) Cindy Wright (SEPG Chair)
While the business challenges present significant requirements for the technology infrastructure, the Legislative and International environments also present significant requirements for the USPTO and its information management program. Paperwork Reduction Act of 1995 Established uniform information resource management policies and practices Set 2003 deadline for transition to eCommerce IT Management Reform Act of 1996 (Clinger-Cohen) Defined standard information management policies Required an integrated information management architecture Set planning and risk/benefit investment analysis expectations Government Information Security Reform Act (GISRA) Required risk assessments, security plans, accreditation for all AISs Called for separation of duties to limit risk exposure Required user and technology training programs be established Implications for budgeting – OMB requirements Along with these requirements, additional guidance has been provided via OMB circulars such as A-130. This circular requires the development of an Enterprise Architecture Framework, and the alignment of the IT Investment Management process and this Enterprise Architecture.
Our collective success requires that the OCIO Mission, Vision, and Values be in alignment with the USPTO Vision. If not, then organizational conflict will proliferate resulting in missed opportunities to achieve our goals. The USPTO corporate vision is to maintain our global leadership position in providing customer-valued intellectual property rights. We all know that the market protection we provide fosters innovation and investment in technological advancements that sustain the economic growth and viability of this country. To achieve this vision, both the Patents and Trademarks business units have focused on the same two strategic goals: enhancing quality and minimizing application processing time. OCIO must be positioned as an enabler for the accomplishment of the USPTO Strategic Goals. It is through the OCIO Mission, Vision, and Values that this positioning is achieved. OCIO Mission : To provide quality information products and services for our customers. OCIO Vision : We deliver information excellence that fuels the economy. OCIO Values : Valuing Employees, Teamwork, Integrity, Responsiveness, Quality. To get the most from these guiding principles, we must use them to guide our strategic and daily activities.
Transactional relationships are very simple and based on “request and respond” interactions. Very little business knowledge is required. Business Partner relationships are more collaborative. Requirements are explored together and solutions deliver the requirements as defined. Only basic knowledge of the business is required. Consultative relationships are more complex. They extend the characteristics of the Business Partner relationship. The Consultative organization also provides advice regarding how OCIO can move the business forward, explains new technologies in the context of business goals, and is a trusted advisor. Solid understanding of the business is required. Strategic Leadership extends the characteristics of the Consultative relationship. In a strategic relationship, the OCIO organization is engaged in the development of business strategies that seek to leverage technology to achieve business objectives. OCIO is a contributor to business strategies in such a way that yields improved business results. This requires deep understanding of the business. Why change at all? We’re already an example for others! If we rest on our laurels, we won’t be setting the example for long! New assessment of the environment and the value delivered. Under pressure to do more with less. Budget justification is required. OCIO’s budget is 18% of the USPTO budget. Government wide average is more like 10%. The differential must continue to be justified through the value proposition. We must establish ourselves as preferred to outsourcing alternatives. Response to the need for a roadmap
CPIC ADVANCE by Harriet Brown
CPIC Guide Alignment with Business Collaboration: Portfolio Planning E-Gov Scorecards IT Strategic Plan Capitol Planning & Investment Control IT Security IT Records IT EA
<ul><li>Mission statement - the primary purpose for the OCIO organization. Provide quality information products & services for our customers </li></ul><ul><li>Vision statement – the compelling image of what the OCIO organization aspires to become (affects the values & behaviors) </li></ul><ul><li>Values –Principles & Philosophies that guide our actions, decision making, & conduct in carrying out the mission. Teamwork, innovation, integrity. </li></ul><ul><li>Goals – Long term, overarching desired end results (statements of aim or purpose) Operate as a leading edge, performance-based organization that consistently meets objectives </li></ul><ul><li>Objectives - Measurable and achievable short term targets by which we define our progress towards achieving the desired results. Conduct all Security C&As by 3 rd quarter. </li></ul><ul><li>Strategies – the “approach” … ”how to’s” for reaching our goals & achieving our vision. </li></ul>Definitions: OMB Circular A-11; part 6, section 200-2 (6/02) The Roadmap
<ul><li>ITIM GAO Maturity Model – Stage 2 </li></ul><ul><li>Life Cycle – alignment with CPIC life cycle </li></ul><ul><li>Execution of EVM and OA </li></ul><ul><li>Streamline HW and SW acquisitions to achieve technical standardization and realize cost savings </li></ul><ul><li>IP V6 </li></ul>Secretary of Interior E-GOV Team MEC Bureau IT Investment Review Boards IT Strategic Planning E-Gov Initiatives Team Web Council IBAT – Interior Bus. Arch. Team IT Governance Framework – Bridge to Effective IT Management Bureau CIOs ITMC MIT IRB <ul><li>GAO ITIM Framework Maturity Model </li></ul><ul><ul><li>Self assessment – ID gaps </li></ul></ul><ul><ul><li>Project Plan - close gaps </li></ul></ul><ul><ul><li>IV&V - validate ITIM </li></ul></ul><ul><li>CPIC Quarterly Report </li></ul><ul><li>OMB Scorecard </li></ul><ul><li>Secretary’s Tracking System </li></ul><ul><li>CPIC Quarterly Report </li></ul><ul><ul><li>Variance Dashboard </li></ul></ul><ul><ul><li>Corrective actions if >5% </li></ul></ul>Performance Measures
DOI MISSION <ul><li>IT - MISSION </li></ul><ul><li>IT – GOALS & OBJECTIVES </li></ul><ul><li>IT – STRATEGIES TO MEET GOALS </li></ul>LAWS, GUIDANCES BUSINESS -BUREAUS Resource Protection Recreation Resource Use Serving Communities FUTURE VISION – DOI IT – FY 05 - 10 How it Ties Together IT Investments IT Info Mgt E A IT HR IT Security
GOAL - What You Want to Do STRATEGIES – How to’s Provide On-Going Monitoring and Evaluation To effectively manage program or project & Achieve set targets Check-ups / Reviews Scorecard Results Milestones Strategies, Objectives & Goals: How Does It All Relate ? OBJECTIVE - Why Do it
Articulate Mission / Vision Assess Organization / Environment Agree on Goals, Objectives, Strategies Write Strategic Plan Link Plan to Budget/Performance Monitor/Evaluate Define Challenges Set the Course Keep the Plan Relevant How to Plan Strategically
<ul><li>Goals </li></ul><ul><li>Strategies </li></ul><ul><li>“ Roadmap” to Desired Outcomes </li></ul>FACTORS INFLUENCING DOI OCIO Strategic Planning Fed. Records Act A-130 E-Gov Strategy CPIC Clinger-Cohen NIST GISRA GPEA GPRA GAO Models MISSION VISION BUREAUS CUSTOMERS & External Stakeholders Covering the Bases
<ul><li>Federal Acquisition Streamlining Act of 1994 </li></ul><ul><li>Established “simplified acquisition threshold” of $100,000 </li></ul><ul><li>Created the category of the “micro-purchase” less than $2,500 </li></ul><ul><li>Mandated a network for spreading e-commerce </li></ul><ul><li>Government Management Reform Act of 1994 </li></ul><ul><li>Audited financial statements </li></ul><ul><li>Consistent financial reporting principles, standards, and requirements </li></ul><ul><li>Simplified financial management reports </li></ul><ul><li>Government Performance and Results Act of 1993 </li></ul><ul><li>Hold Federal agencies accountable for achieving program results </li></ul><ul><li>Focus on results, service quality, and customer satisfaction </li></ul><ul><li>Require a 5-year strategic plan </li></ul><ul><li>Annual performance plans and reports </li></ul><ul><li>Chief Financial Officer Act of 1990 </li></ul><ul><li>Established Chief Financial Officer </li></ul><ul><li>Strengthen internal controls </li></ul><ul><li>Improve financial performance </li></ul><ul><li>Annual financial statements </li></ul><ul><li>Paperwork Reduction Act of 1995 </li></ul><ul><li>Minimize paperwork burden for constituents </li></ul><ul><li>Uniform Federal information resource management policies and practices </li></ul><ul><li>GPEA Amendments 2003 deadline for eCommerce </li></ul><ul><li>Information Technology Management Reform Act of 1996 </li></ul><ul><li>Established the Chief Information Officer </li></ul><ul><li>Better planning and management of information and technology assets </li></ul><ul><li>Analyze, track, and evaluate the risks/benefits associated with information management investments </li></ul><ul><li>Annual report on net program performance benefits relative to Agency goals </li></ul><ul><li>Performance-based and results-based management of information systems </li></ul><ul><li>Establish information management performance measures </li></ul><ul><li>Develop, maintain, and facilitate the implementation of a sound and integrated information management architecture </li></ul><ul><li>Standard information management policy </li></ul><ul><li>Government Information Security Reform Act (GISRA) </li></ul><ul><li>Requires agency head to ensure integrity and availability of information resources </li></ul><ul><li>Requires program evaluations and certification </li></ul><ul><li>Specific IT security program requirements </li></ul><ul><li>OMB reports to Congress </li></ul>A-130 OMB Guidance GAO Maturity Framework Federal Records Act of 1995 Freedom of Information Act Privacy Act NIST Guidance E-Gov Act of 2002 Rules of the Road
Mission To provide world class, citizen centric information products and services OCIO Vision Technology for Citizen-Centered, integrated, secure services … To provide leadership for a dynamic, state-of-the-art information technology management program throughout the Department. Enhance the use of information and technology by providing high quality services in a timely, accurate and professional manner throughout the enterprise. OCIO Values – Valuing Employees We support our employee’s need to balance their personal and professional aspirations. We treat each other with dignity, respecting individual and cultural differences. We communicate frequently and with candor, listening to each other regardless of level or position. Teamwork We are committed to working together and communicating with one another to live the mission and achieve the vision. Integrity We are honest and ethical in all that we do. We keep our promises and learn from our mistakes. Responsiveness We do what needs to be done, when it needs to be done. Quality We focus on improving our processes, products and services. Security We want to maintain a secure environment. Customer/Bureau Values? Mission, Vision, Values Guiding Daily Actions & Decisions
CHANGE OCIO Sphere of Influence Increased Value as Attributed to OCIO Business Partner Transactional Consultative Strategic Leadership What protocols are effective with ITMC, other governing bodies? How can we better partner with DOI business owners What factors define “Success” – Are we functioning as a “best in practice” a provider of business solutions? Where do we envision our role along the continuum? Is success mapped to our business mission? Culture Process Structure Adding Value – Where do we want to be?
Strategic Layers? Strategy Planning Budgeting Initiate Concept Design Develop Deploy Operate People Process Customer Financial Control Evaluate Select Balanced Scorecard Life-Cycle Management Portfolio Management Process Integrated Strategic Planning Pre-Select Steady State
KEY -- Linking Business Value & IT Life-Cycle Management Security E-Government IT CAPITAL PLANNING World Class Operations Architecture & Standards Information Management CUSTOMER SERVICE Linking the Business Values & IT Strategies – Ultimate keys to portfolio “success”
DOI STRATEGIC PLAN OUTCOME GOALS 1) Budget and performance integration; 2) Strategic management of human capital; 3) Competitive sourcing; 4) Improve financial performance; and 5) Expand E-government President’s Management Agenda DOI STRATEGIC PLAN - VISION DOI STRATEGIC PLAN – FOUR MISSION AREAS Secretary’s Four “C’s”: Conservation, Cooperation, Consultation, Communication Resource Protection Resource Use Recreation Serving Communities DOI IT STRATEGIC GOALS GOAL 1: Leverage EA to improve DOI’s mission performance and realize its strategic goals and objectives. Goal 2: To protect the availability, confidentiality and integrity of DOI information technology resources. Goal 3: Improve the efficiency and effectiveness of DOI business processes. (E-Gov) Goal 4: Improve the Planning, Execution, and Management of IT Investments Goal 6: Create and safeguard records cost effectively and apply retention schedules according to federal regulations and system enforced rules. Goal 5: Improve the quality, access and sharing of data between DOI and its customers and stakeholders. Goal 7: Ensure IT Human Capital is sufficient and capable to meet our IT goals and DOI Mission challenges DOI IT MISSION To provide world class, citizen centric information products and services Technology for Citizen-Centered, integrated, secure services … DOI IT VISION
IT PORTFOLIO MANAGEMENT STRATEGIC PLANNING – CPIC (VERSION 2 – CORNERSTONE) Life Cycle Alignment with the Capital Planning Investment Control (CPIC) life cycle <ul><li>GAO ITIM Framework Maturity Model </li></ul><ul><li>Self assessment which identifies gaps </li></ul><ul><li>Project Plan is created to close gaps </li></ul><ul><li>IV&V to validate ITIM fulfillment </li></ul>Reach IT Investment Maturity (ITIM) Stage II of GAO Standard <ul><li>Secretary’s Tracking System </li></ul><ul><li>Monitor the Selection, Control, and Evaluation of IT investments </li></ul><ul><li>Demonstrate Accountability </li></ul><ul><li>OMB Scorecard </li></ul><ul><li>Acceptable business cases for major systems </li></ul><ul><li>Cost / schedule / performance adherence for major IT _ overruns / shortfalls < 30 % </li></ul><ul><li>EVMS shows overruns / shortfalls < 10 % </li></ul><ul><li>E-Gov Scorecard </li></ul><ul><li>Earned Value Management - variance </li></ul><ul><li>Percentage of Business Cases that go through the CPIC process </li></ul><ul><li>Number of Business Cases at cost variances </li></ul><ul><li>CPIC Quarterly Report </li></ul><ul><li>Using a dashboard approach to demonstrate investment variances </li></ul><ul><li>Require corrective action reports for investment variances exceeding 5% </li></ul>Improve the planning, execution, and management of IT investments Goal 4: Improve the Planning, Execution, and Management of IT Investments IT MEASURES and MILESTONES IT STRATEGY IT OBJECTIVE IT GOAL
<ul><li>OCIO Office of Departmental Architecture Lead Strategies): </li></ul><ul><li>Ensure IT investments adhere to approved modernization blueprints. </li></ul><ul><li>Integrate all aspects of infrastructure (e.g., platform, storage, etc.) into Infrastructure Exhibit 300. </li></ul><ul><li>Ensure TRM is current and accessible via on-line product catalog. </li></ul><ul><li>Coordinate with ERM Program to establish Enterprise Agreements based on TRM. </li></ul><ul><li>Perform Architecture evaluations on all IT Investments. </li></ul><ul><li>OCIO Office of Departmental Architecture Lead Objectives: </li></ul><ul><li>Increase the linkage between the IEA and CPIC Program. </li></ul><ul><li>Increase the timeliness and accessibility of the TRM updates to ensure real time investment decision making. </li></ul><ul><li>Reduce the percentage of duplicate IT investment proposals. </li></ul>OCIO Office of Departmental Architecture Lead Areas for Goal: Implement Internet Protocol (version 6) in IT investments Streamline Hardware and Software acquisitions to achieve technical standardization and realize cost savings
<ul><li>System Owners perform post-deployment reviews on deployed systems </li></ul><ul><li>"OCIO and IRB finalize the process for post-deployment reviews and steady state system operational analysis </li></ul>Evaluate IT Investments <ul><li>OCIO and IRB monitor remedial action accomplishment on an ongoing basis, but not less than quarterly </li></ul><ul><li>System owners develop and implement remedial action plans for projects with greater than 5% variance in measured criteria within 30 days of the reported variance </li></ul><ul><li>Project managers complete quarterly reviews for all major IT investments within three weeks of the end of each fiscal year quarter </li></ul>Control IT Investments <ul><li>"Bureau and DOI IRB’s finalize FY 2007 Investment portfolios " </li></ul><ul><li>Bureau and DOI IRB’s select initial FY 2007 IT Investment portfolios </li></ul>Select IT Investments <ul><li>OCIO and IRB finalize the IT portfolio investment selection process </li></ul>Perform Information Technology (IT) Capital Planning and Investment Control Review Interior Strategic Plan End Outcome Goal: Accountability
Business cases (Exhibit 300’s) score 4 or better overall and 4 or better in IT security for all major system investments using OMB scoring criteria (Circular A-11, part 7 Planning, Budgeting, Acquisition and Management of Capital Assets) <ul><ul><li>Business cases for all major systems investments (as gauged by security, measures of success linked to the Enterprise Architecture, program management, risk management, and cost, schedule, and performance goals) </li></ul></ul><ul><ul><li>Manage IT project effectively addressing cost, schedule, and performance (at a metric of an average of less than 10% shortage or overrun for all major IT projects using EVM or operational analysis) </li></ul></ul>Interior Scorecard “Proud to be” Goal: Effective IT Portfolio Management
Next Steps <ul><li>Complete Strategic Plan </li></ul><ul><li>Next CPIC Planning Phase </li></ul><ul><li>Leverage Working Groups </li></ul><ul><li>Set priorities, milestones, and metrics </li></ul><ul><li>Work together! </li></ul>