ITIM Process Assessment by malj

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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
                ?
         How do you
         know you have
         selected the
         best projects?
                                            Select   • Screen
                                            Phase    • Rank
                                                     • Select
                          Evaluate
                           Phase
                          • Conduct
                            reviews                                        ?
                          • Make                                     How are you
                            adjustments                   Control    ensuring that
                          • Apply lessons                 Phase     projects deliver
                            learned                                    benefits?
                                             • Monitor progress
          ?
                                             • Take corrective
    Are the systems
                                               actions
    delivering what
    you expected?



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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
                                Stage 5        Investment benchmarking and IT-enabled change
Enterprise and
                           Leveraging IT for   management techniques are deployed to
Strategic Focus           Strategic Outcomes   strategically share business outcomes.



                              Stage 4          Process evaluation techniques focus on improving
                           Improving the       the performance and management of the
                        Investment Process     organization's IT investment portfolio.


                                               Comprehensive IT investment portfolio selection
                           Stage 3
                                               and control techniques are in place that incorporate
                    Developing a Complete
                                               benefit and risk criteria linked to mission goals and
                     Investment Portfolio      strategies.


                         Stage 2               Repeatable investment control techniques are in
                       Building the            place and the key foundation capabilities have been
                  Investment Foundation        implemented.



                        Stage 1                There is little awareness of investment management
    Project-
                  Creating Investment          techniques. IT management processes are ad hoc,
    Centric           Awareness                project-centric, and have widely variable outcomes.


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        What ITIM Means to the Gov’t CIO
       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

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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
                                      Enterprise
                                     Architecture
                                                       Information
                     Budget and                          Security
                      Planning




           Hardware,
           Software &                                              Software
            Services                                             Development
           Acquisition
                                     IT Investment
                                      Management




                                                             Operations
                Human
                                                                 and
                Capital
                                                             Maintenance




                                Data            Records
                             Management        Management




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     Approach Provides a Framework for
     Continuous Process Improvement

                     Evaluate
                     Progress        Plan
                                    Project




           Execute
            Plan                              Assess
                                              Current
                                               State




                    Plan
                                Envision
               Implementation
                                 Future
                                  State



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           Phases of ITIM Assessment
           Methodology
                               PHASE 1                                  PHASE 2               PHASE 3             PHASE 4

                                                                          Create               Execute           Monitor and
                           Assess Current        Envision Future
       Plan Project                                                     Transition            Transition          Evaluate
                               State                  State
                                                                         Strategy              Strategy           Progress

     Identify and Scope                            Identify Best
       Processes to be      Define Standards                                               Educate/Train on
                             and Establish           Practices                            Processes, Policies,
          Analyzed
                           Measurable Criteria                                            Procedures & Tools
                                                      Define            Determine
      Obtain Executive                                                Transition Rate                              Monitor
                                                  Policy/Process
       Management                                                       Constraints                              Performance
                                                  Requirements
          Support
                            Evaluate Current
                                                                                             Institute and
                            Policy/Processes         Define                               Execute Processes
      Confirm Strategic    and Documentation      Organizational
         Objectives                               Requirements


                                                 Define Technology
     Select Project Team   Identify Gaps and       Requirements                              Institute and
                           Key Improvement
                                                                                           Execute Policies
                             Opportunities
                                                                     Develop Transition                            Evaluate
         Identify Key                             Define Benefits
                                                                         Strategy                                Performance
        Stakeholders
                               Assess
                                                                                             Institute and
                            Organizational           Finalize
      Develop Project                                                                     Execute Procedures
                           Change Readiness      Recommendations
           Plan



                                                            Manage Change

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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 Hyland
             The Orkand Corporation
             Program Manager
             (703) 648-5938
             shyland@orkand.com
        Steven Tauber
             BearingPoint
             Manager, Federal eGovernment
             (703) 747-7131
             stauber@bearingpoint.net


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