The document outlines a proposed IT governance model and program management office (PMO) for an organization called OIM. It describes the key elements and functions of the PMO, including project execution, process management, vendor management, financial management, and customer relationship management. It proposes implementing these elements in 4 phases, with the most critical elements in phase 1. The PMO aims to improve project delivery, investment decisions, resource management, and customer satisfaction through implementing standardized processes, tools, and training across the organization.

1. Author William Cox, MBA, QPM, PMP Partners OIM-PMO IT Governance Model

2. OIM-PMO IT Governance Model “ Creating the High Performing Organization”

3. What this Presentation Provides A list of key operational elements that OIM must accomplish to achieve its fundamental mission including: Execution of key projects (build-outs, etc.); Management of key processes; Oversight of projects to correct immediate deficiencies within existing processes (draw-down, working capital fund management, etc); Disaster Recovery A “functional” list of key project management support elements for the OIM PMO needed to support the project management community including: Internal Controls – Statutory requirements Project Control – Financial Management of Project Data including Earned Value Management Customer Relationship Management – The “Storefront” Methodology – Policies, procedures, guidelines, forms, templates needed to support project teams Vendor Management (including IV&V processes and tools) Professional Development (creating and sustaining the PM workforce) Tools Support – Software, implementation, support, administration A partial list (work in progress) of key activities that each element accomplishes A description of the mission, outputs, roles, skills, knowledge, and abilities, and responsibilities of each of these elements

4. OIM-PMO is Part of a “Governance System” The PMO Governance places “pressure” on project teams via methodology, policies, procedures, and training, and influences the way these teams accomplish their project management responsibilities. Friction created by this pressure can positively affect the organization’s results, whether in terms of project delivery, (and associated improvements in investment decisions and results), competitive position for resources, and customer satisfaction and support. This is a system of people, processes, and tools that collectively manage the selection, control, and evaluation of projects. In most cases, these tools are technologies such as project planning or enterprise-level portfolio management tools) working in harmony, to create synergy, higher performance, and strategic results. Other functions within the PMO (such as Project Control, Internal Controls, CRM, Vendor Management) provide critical supporting components. The Governance System Select Control Evaluate

5. Visual Representation of the “PMO Governance System” PMO Governance exerts a multi-directional, cross-functional influence across the targeted enterprise to “raise the bar” on project management and resource control. The graphic below illustrates the numerous interactions and interfaces that occur within and across this system. The outcome is an organization performing at a high level manifest by excellent technical results and high customer satisfaction. Tools Training Policies Procedures Professional Development Projects Projects Projects Projects Projects Components Components Project Delivery Customer Satisfaction Customer Support Performance Management Capital Investment Management Mission Performance PMO

6. PMO Governance Functional Structure PMO Director CRM Storefront Vendor Management Project Control-EVM Tools Support Professional Development Contract Mgt Disaster Recovery Process Mgt Project Oversight Process Mgt Project Oversight Notes: Functions left of the dotted line are operational and the PMO provides an oversight and participative role in their execution. Functions right of the dotted line are core processes that the PMO must execute to accomplish the intended mission. This functional chart was used to derive the organizational chart needed to accomplish the PMO’s mission (see next page). Internal Controls Draw Down Del Order Supply Mgt Work Cap Chargeback ITMS Build-out Network Mgt Hardware Spt Testing Help Desk Asset Mgt Bus Cont Security Assess Reporting FMFIA GPRA SLAs Assessing Reporting Policies Procedures Measures Cust Profile Analysis R’qmts Mgt Criteria Selection Evaluation IV&V Reporting Policies Procedures Data Analysis Reports Project M Portfolio M EPM KM Admin Training Mentoring Certs Document Archiving Policies Procedures Formats Templates Practices Contract Management Services (CO, COTR) Operations IT Services Manager

7. Essential Foundation of the OIM PMO Organization and IT Governance Model “ The OIM PMO: Affects the way we govern project execution; Affects the way we deliver services to customers; Affects the way we measure our operational effectiveness; Affects the way we manage and control resources; Affects the way we support the CPIC process.” Matrix (1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13)

8. PHASE 1- The Most Critical Project and Program Oversight Priority 1A Resources Required: 5 FTEs Internal Controls Priority 1B Resources Required: 5 FTEs Vendor Management Priority 1C Resources Required: 5 FTEs Financial Management Priority 1D Resources Required: 5 FTEs Objective: Establish effective Program and project oversight of all programs and projects within the Office of Infrastructure Management. Benefits: Effective execution of all OIM projects and Programs; better resource Management and control Risks: Poor mission results; Loss of resources; unhappy Customers Objective: Effective internal Controls within OIM. Benefits: Effective control of All resources and compliance With statutory mandates. Risks: Material weaknesses and inability to certify Statement of Assurance at end of FY. Objective: Effective vendor management. Benefits: Improved asset Management, better control of Vendor performance Risks: Poor mission results; Loss of resources; unhappy Customers Objective: Effective financial Management of all assigned Resources. Benefits: Visibility into source And expenditures of financial Resources. Risks: Mission degradation. Functions in this Phase are critical and must be addressed first .

9. PHASE 2 – The Next Most Critical Program Control Priority 2A Resources Required: 5 FTEs Disaster Recovery Priority 2B Resources Required: 3 FTEs Methodology Development Priority 2C Resources Required: 3FTEs Objective: Establish effective Control of all project and Program-related financial data Including earned value management Benefits: Predictability of Program and project success; Management of budgets Risks: Program and project Failure; loss of visibility Objective: A comprehensive Disaster recovery plan for all Infrastructure-related Requirements Benefits: Ability to quickly Recover and reconstitute Following interruption of capabilities Risks: Failure to reconstitute Mission capabilities following interruptions Objective: A comprehensive project management method that drives consistency and high performance across the entire project and program management community. Benefits: Consistent project management of all infrastructure projects and programs. Risks: Project and program failure. Functions in this Phase are critical and must be addressed as quickly as possible.

10. PHASE 3 – The Next Most Critical Professional Development Priority 3A Resources Required: 2 FTEs Objective: Build an effective process to enable creation of an efficient and capable workforce. Benefits: A fully-capable workforce Risks: Lack of qualified project and program management staff to meet mission critical needs. Functions in this Phase are important and should be addressed as staff and other resources permit. Process Management Priority 3B Resources Required: 2 FTEs Objective: Complete definition of core OIM processes Benefits: Improved mission Performance, higher customer satisfaction Risks: Mission failure Contract Management (Project-related) Priority 3C Resources Required: 1 FTE Objective: A comprehensive set of policies and procedures for managing the project and program outsourcing system in support of all project and program teams. Benefits: Improved outsourcing results greater project completion. Risks: Poor vendor selection, unsuccessful projects, excess costs

11. PHASE 4 – The Next Most Critical Vendor Management Priority 4A Resources Required: 2 FTEs Tools Support Priority 4B Resources Required: 2 FTEs Customer Relationship Management Priority 4C Resources Required: 5 FTEs Objective: A comprehensive vendor management system that enables effective acquisition of contract services and control of vendor performance. Benefits: A complete set of contract outsourcing vehicles that enable effective selection and management of outsourcing alternatives. Risks: Inability to manage and control vendors, with resulting failure of the internal control system. Objective: A comprehensive set of project, program, and portfolio management tools enabling automation of PMO processes, performance measures, and senior leader dashboards and portfolio management. Benefits: Visibility into all current and prospective IT investments, with substantial savings in labor and other capital investments. Risks: Failure to capitalize on data and analysis that can ultimately determine success or failure of project investments. Objective: Creation of a Storefront that supports, enables, and facilitates delivery of superior services to the entire OIM customer community. Benefits: Higher mission success; better customer analysis; higher customer satisfaction. Risks: Failure to meet customer needs; loss of confidence by customers and leaders in the infrastructure management system. Functions in this Phase are necessary to successfully implement a fully-functioning Program Management Office.

12. Essential Foundation – PMO Governance

13. Professional Development Role: Build the PMO Workforce Responsibilities: Provide all human capital to enable the PMO to staff and run its operations with highly-skilled personnel. Methodology Management Role: Manage Project Control Systems Responsibilities: Design, implement, and oversee all project control systems Customer Relationship Management Role: Manage Vendor Support Responsibilities: Design, Implement, and Oversee all Vendor Management Systems Vacant (Fed) PMO Business Support Role: Manage all business support. Responsibilities: Provide resources and leadership to enable execution of critical business support functions. Training Role: Responsibilities: Guidelines, Policies Role: Responsibilities: Demand Management Role: Responsibilities: Certification Role: Responsibilities: Standards, Forms, Templates Role: Responsibilities: Product Management Role: Responsibilities: Reporting and Role: Responsibilities: Procedures Development and Management Role: Responsibilities: Service Catalog Role: Responsibilities: “ The OIM PMO: Affects the way we govern project execution; Affects the way we deliver services to customers; Affects the way we measure our operational effectiveness; Affects the way we manage and control resources; Affects the way we support the CPIC process.” Contract Management Role: Responsibilities: Project Tools Development Role: Responsibilities: Outsourcing Methods, tools Role: Responsibilities: Policies Development Role:. Responsibilities: Tools Management and Support Role: Manage and Support Automated Tools Responsibilities: Define requirements, Write solicitations, evaluate alternatives, Support implementation, maintain tools Requirements Management Role: Responsibilities: Evaluation and Selection Role: Responsibilities: Support Services Role: Responsibilities: Customer Demand Analysis Role: Responsibilities: Service Catalog Marketing Role: Responsibilities: Product Services Portfolio Role: Responsibilities: Recognition Role: Responsibilities: Lessons Learned Role: Responsibilities: Knowledge Management Role: Responsibilities: Mentoring Role: Responsibilities: Essential Foundation – PMO Business Support

14. Internal Controls Management Role: Manage Internal Control Systems Responsibilities: Design, Implement, and Oversee all Internal Control Systems Project Control Management Role: Manage Project Control Systems Responsibilities: Design, implement, and oversee all project control systems Vendor Management Role: Manage Vendor Support Responsibilities: Design, Implement, and Oversee all Vendor Management Systems Vacant (Fed) PMO Control Systems Role: Manage Control Systems Responsibilities: Design, Implement, and Oversee all Control Systems Federal Mandate Compliance Role: Establish a tracking system to make sure that all mandates are complied with. Responsibilities: Design, update, and manage data base system to track compliance activities. Earned Value Management Role: Develop EVMS policies and procedures. responsibilities: Implement an EVMS system that fully complies with OMB requirements for data integrity and control. Vendor Policies and Procedures Role: Develop VM Policies and Procedures Responsibilities: Create a comprehensive set of policies and procedures to govern how vendors will be managed. Policies and Procedures Role: Develop comprehensive set of Policies and procedures addressing Federal mandates. Responsibilities: Oversee all Federal mandate compliance activities. EVMS Data Base Design Role: Develop and manage EVMS data base systems. Responsibilities: Enable collection, validation, analysis, and use of EVMS data for project control. Contract Vehicles Role: Develop VM Contract vehicles Responsibilities: Design contract vehicles to support project outsourcing efforts. Reporting Role: Create and manage all Federal mandate reporting requirements. Responsibilities: Develop report formats, templates, and other enabling support for reporting compliance with Federal mandates. Reports Design/Management Role: Provide custom reports to Managers and customers as needed. Responsibilities: Design, deploy, and support all EVMS reporting system requirements. Oversight and Performance Role: Create Service Level Agreements Role: Develop a complete set of Vendor-based service level Agreements (SLAs) to control Vendor performance and to Support contractual actions. “ The OIM PMO: Affects the way we govern project execution; Affects the way we deliver services to customers; Affects the way we measure our operational effectiveness; Affects the way we manage and control resources; Affects the way we support the CPIC process.” Essential Foundation – PMO Governance Control Systems

15. PMO Governance Relationship Structure

16. Benefits of Establishing PMO Governance Improved information to senior leadership for decision-making (performance measures, dashboards); Greater value from investment dollars; improved positioning for obtaining needed resources; Improved requirements analysis of capital investment-related decisions (CPIC); Improved management across individual projects, programs, and portfolios (project, programs, and portfolios via customized performance measures); Improved communications within and across business units via collaboration, knowledge management, and sharing of best practices; Improved capability to share information and knowledge within and across organization portals using COTS and tailored tools; Greater collaboration capabilities via communities of interest; Ability to rapidly deploy the latest project management methods, processes, and training to business owners and customers;

17. Consequences of Not Having PMO Governance Loss of critical decision-making information for leadership; Loss of capital investment dollars; Failed projects Sub-optimized mix of projects Inconsistent execution of project management activities Loss of synergies across all projects Loss of historical data for project planning and past performance Inadequate risk management

18. Mission of the PMO and Governance The mission of the OIM-PMO Governance is to provide strategic value to DHS by Creating and maintaining a project, program, and portfolio management and internal control system, That produces the highest quality results in all aspects of the organization’s IT support effort and That is scalable and portable to the entire DHS enterprise.

19. Vision of OIM PMO Governance The OIM-PMO will lead the effort to integrate the DHS into a smoothly functioning customer oriented service organization that effectively meets the nation’s mandate to protect the Homeland. To accomplish this, we will effectively and efficiently manage all resources for which we are responsible, and measure and monitor our performance across the HSD enterprise.

20. “ Closing the Gap” The OIM PMO Governance as a Tool The OIM PMO Governance provides the tools needed to close this gap and move toward the vision level (i.e., higher performance) of the organization. “ The Gap" Mission Vision Process A Process B Process C Process D Process E Process F

21. Operational Elements of PMO Governance Project Oversight: Mission – Create and oversee all projects within OIM: All build-out projects; Working Capital Fund Management; Draw-down accounts; Delivery order management; Supply Account Management; Asset Management Vendor Management Financial Management Output: Elimination of gaps in core mission processes so that we are fully capable of effectively accomplishing the mission.

22. Operational Elements of PMO Governance Process Management: Mission – Oversees all internal OIM business processes to make sure that service delivery is occurring as intended, high customer satisfaction is being achieved, and resources are being effectively managed. Output : Clear repeatable process definition, resource accountability and control, and performance measurement for all core processes.

23. Operational Elements of PMO Governance Projects providing immediate attention to operational issues: Draw-down account – automate financial approval process; Supply account management; Improve delivery order process; Improve charge-back process; Improve collaboration management.

24. Strategic Functions of PMO Governance Internal Controls Support: Mission – Establish, maintain, and guide implementation of a comprehensive set of internal controls to enable all managers to effectively manage and control the resources within their sphere of responsibility. Output : An effective system of internal controls that enables all OIM resource managers to easily and effectively meet all Federal resource management mandates (FMFIA, GPRA, Clinger-Cohen, etc.)

25. Program Control “The Financial Experts” Mission : Establish, maintain, and oversee the program control function enabling effective management of all financial matters relating to and supporting projects, programs, and portfolios. This includes earned value principles, practices, processes, procedures, and reports. Output : A system that enables useful analysis of all financial information needed to effectively manage project and program execution, and that provides senior leadership with information and data needed to effectively manage the organization’s capital investment.

26. Program Control “The Financial Experts” Staffing Considerations: Role – To provide a wide range of project, program, and portfolio related financial information and analyses to enable effective control of expenditures and earned value management. Skills, Knowledge, and Abilities (KSAs) – Must have strong skills in analysis of financial data; strong knowledge of earned value management principles and practices; ability to effectively present results to senior leadership for timely decision making.

27. Program Control “The Financial Experts” Staffing Considerations: Responsibilities: Collect project, program, and portfolio management financial data from all relevant sources; Validate origin and integrity of data; Analyze data to determine its effect upon the portfolio; Create reports of underlying financial behavior to assess advisability of continuation; Create and present results to senior leaders along with recommendations for moving forward or terminating the project or program.

28. “ The Storefront” Customer Relationship Management Demand Management – Product Manager Mission: Create and support the OIM “Storefront” initiative by identifying and supporting the creation of necessary and desired elements enabling customers to readily and easily identify and obtain available services from the OIM delivery system. Output: A “Storefront” that supports, enables, and facilitates the delivery of services to the OIM customer community, and that is easy to access, use, and understand.

29. “ The Storefront” Customer Relationship Management Demand Management – Product Manager Staffing Considerations: Role – To provide a complete and efficient access structure for obtaining services and supplies for all customers; to gather intelligence about customers needs, preferences, and supporting systems. Skills, Knowledge, and Abilities (KSAs) – Must have strong customer relationship management skills; strong knowledge of OIM’s core business processes and operational capabilities; strong knowledge of sources of supplies and services; knowledge of contract vehicles; knowledge of participant responsibilities; knowledge of marketing principles and practices.

30. “ The Storefront” Customer Relationship Management Demand Management – Product Manager Staffing Considerations: Responsibilities: Collect information about all customers and their unique needs, business processes, desired methods of delivery of supplies and services; Understand and apply funding processes to enable creation of accounts and reports needed by customers; Track quality and status of delivery activity for each customer; Identify and oversee process improvement initiatives to improve customer satisfaction; Assist in designing customer satisfaction measures.

31. Vendor Management “The Outsourcing Team” Mission: Establish policies, procedures, and processes that enables effective management of vendors including: Criteria for selecting vendors; Criteria for projects and programs requiring extraordinary oversight; Identification of IV&V vendors and supporting contract vehicles (statements of work, evaluation processes, etc); Sources of funding for vendor management support Output: A comprehensive vendor management system that enables effective acquisition of contract services and control of vendor performance.

32. Vendor Management “The Outsourcing Team” Staffing Considerations: Role – To provide a comprehensive set of policies, procedures, and tools to enable effective management and control of vendor selection, evaluation, and reporting. Skills, Knowledge, and Abilities (KSAs) – Strong knowledge of vendor management tools including assessments, independent verification and validation methods, contract vehicles, and performance measures.

33. Vendor Management “The Outsourcing Team” Staffing Considerations: Responsibilities – Understand and evaluate: Vendor Past Performance Financial capability Experience profile Capacity to perform work Availability of key staff Thought leadership Bench strength Reputation Knowledge of client environment and public mandates

34. Disaster Recovery “The Contingency Planners” Mission: Establish and maintain appropriate policies and procedures to make sure that effective disaster recovery procedures and structures are in place to respond to unforeseen contingencies. Output: A comprehensive plan for responding to unforeseen contingencies that enables quick and effective reestablishment of operations.

35. Disaster Recovery “The Contingency Planners” Staffing Considerations: Role – Provide a comprehensive set of policies, procedures, tools, and measures for creating a disaster recovery system that optimizes system availability, and maximizes response capability and options. Skills, Knowledge, and Abilities (KSAs) – Strong skills in identifying, selecting, and applying state-of-the-art tools and best practices; expert knowledge of evolving technologies for DR; excellent ability to integrate technology and business requirements to meet the highest standards for business continuity.

36. Disaster Recovery “The Contingency Planners” Staffing Considerations: Responsibilities : Integrate the latest technologies and methodologies into the enterprise disaster recovery system; Monitor performance of all system components; Monitor policies, procedures, tools, and behavior within all elements of the Department; Analyze overall system integrity and advise functional managers on opportunities for improvement; Create reports for senior leadership on the overall health of the enterprise-level disaster recovery capability.

37. Professional Development “Building the Workforce” Mission: Establish and maintain professional development policies, procedures, and processes to enable the systematic growth of professionals within the OIM project management community including: Education and Training Certification Programs Mentoring Skills Documentation Career Broadening Output: A highly skilled cadre of project, program, and portfolio management professionals.

38. Professional Development “Building the Workforce” Staffing Considerations: Role – To provide comprehensive management of human capital needed to staff and support the PMO organization. Skills, Knowledge, and Abilities (KSAs) – Strong skills in defining position requirements; knowledge of Federal personnel requirements (OMB, CPO, ADA, etc.); ability to research, recruit, evaluate, and recommend superior candidates to selecting managers.

39. Professional Development “Building the Workforce” Staffing Considerations: Responsibilities : Assist in assessing human capital needs; Research sources of available human resources; Create necessary classification documentation to support needs; Support managers during the recruiting and evaluation process; Support the creation of training, certification, mentoring, and other professional development initiatives.

40. Methodology Services “Creating Consistent Performance” through “Repeatable Processes” Mission: Create, maintain, and oversee the creation and application of the project and program management methodology that will include: Policies, procedures, processes Guidelines and standards Forms, templates, tools Performance measures (project, program, PMO) Reports Output: A methodology that embodies all widely accepted principles and practices advocated by the Project Management Institute and other Federal mandates, and that promotes and enables consistent performance.

41. Methodology Services “Creating Consistent Performance” Staffing Considerations: Role – To provide a comprehensive project management methodology that will “drive” consistency and high-performance throughout the DHS project management community. Skills, Knowledge, and Abilities (KSAs) – Skills in designing and creating PM methodologies; knowledge of industry best practices as advocated by the Project Management Institute; ability to assist customers in applying the methodology to their projects.

42. Methodology Services “Creating Consistent Performance” Staffing Considerations: Responsibilities : Create policies, procedures, guidelines, templates, forms, etc., to support the project management community; Develop standard sets of performance measures for projects, programs, and portfolio level assessments Assist project and program managers in understanding how the methodology should be applied; Assist other work groups in the PMO in incorporating the methodology into their areas of responsibility (e.g., building the content into the enterprise level tool).

43. Tools Support Mission: Provide all tools needed to support the project management community including: Project management software Portfolio management software Demand management software Resource management software Facilities Hardware Output: A comprehensive set of project, program, resource, and portfolio management tools enabling high performance across the project management community.

44. Tools Support Staffing Considerations: Role – To provide a “tool set” that enables all project and program managers to effective control the execution of their projects. Skills, Knowledge, and Abilities (KSAs) – Must be skilled in current technologies within the project, program, and portfolio management space; knowledge of configuration, attribute structures, resource management policies, system interfaces, and governance processes; ability to effectively implement large-scale tool sets in complex organizations.

45. Tools Support Staffing Considerations: Responsibilities : Identify tool requirements for the DHS project management community; Evaluate prospective solutions; Develop functional requirements documents with inputs from customers; Develop appropriate requests for proposal to solicit COTS solutions; Participate in the selection process; Manage implementation activities; Oversee system administration of enterprise tools; Assist customers in understanding tool functionality and capabilities; Train customers as needed; Measure effectiveness of tool support to PMO and customers.

46. Contract Management Mission: Create and oversee a comprehensive process for managing all internal contract services supporting outsourced fulfillment including: Working Capital Fund Management PR Generation and Tracking Project Financial Reporting Output: A contract management process that supports the OIM service delivery process and that results in high customer satisfaction.

47. Contract Management Staffing Considerations: Role – To provide a complete set of processes, guidelines, templates and forms to promote and enable effective contract support to project teams. Skills, Knowledge, and Abilities (KSAs) : Strong skills in project management of vendors; Knowledge of RFP development, solicitation evaluation, vendor scoring methods, and contract administration. Ability to participate in RFP development, negotiations with vendors, and vendor oversight tools and methods.

48. Contract Management Staffing Considerations: Responsibilities : Assist in all contract management activities that support project and program work; Support contract teams; Assist contracting officers in developing project management related language for impending outsourcing initiatives; Advise contracting officer on project issues affecting contract status (scope change control, risk response, issues management, customer feedback, etc.)

49. Level One Milestone Chart – First Phase PMO Stand-up Effort