Capital Planning and Investment Control CPIC Advance

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Capital Planning and Investment Control (CPIC)
Advance

• ITIM Self-Assessment Outcomes
• January 26, 2005

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Todays Discussion

• Recap
• DOI ITIM Goals
• ITIM Overview
• ITIM Activities To Date
• ITIM Self-Assessment General Findings
• General Recommendations
• Next Steps
• Questions and Answers

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DOI ITIM Goals

• The DOI ITIM goals are reflected on page 56
  in the DOI ITIM Strategic Plan FY 2003-2008
• Improve the Department/Bureau IT Management
  Process to reach Level 2 along GAOs ITIM
  framework by FY 2005 and Level 3 by FY 2008.
• As of December 30, 2004, neither the
  Department nor any of the Bureaus have been
  independently certified as having achieved ITIM
  Stage 2.

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GAOs ITIM Framework

• Information Technology Investment Management
  (ITIM) A Framework for Assessing and Improving
  Process Maturity (GAO-04-394G March 2004
  Version 1.1)
• GAO developed ITIM as a maturity model, to guide
  agencies in improving IT investment processes
• ITIM is a tool for standardizing internal and
  external assessments of an agencys IT investment
  management process
• ITIM is a framework for consistently reporting
  assessment results to agency executives, the
  Congress, and other interested parties

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GAOs ITIM Model Measures CPIC Process Maturity
GAO-04-394G, GAO IT Investment Management, A
Framework for Assessing Improving Process
Maturity, March 2004.
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Critical Processes 5 ITIM Stages of Maturity
End of FY 2008
End of FY 2005
Today
GAO-04-394G, GAO IT Investment Management, A
Framework for Assessing Improving Process
Maturity, March 2004.
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ITIM Activities To Date

• September 2003 GAO assessed DOIs and BLMs ITIM
  maturity
• Based on exposure draft of the ITIM Framework
• Determined DOI is executing 7 of the 38 key
  practices1
• Determined BLM is executing 32 of the 38 key
  practices2
• September 2003 DOI set ITIM goals for the
  Department and the Bureaus
• November 2004 PMD provided ITIM Self-Assessment
  Orientation
• December 2004 Bureaus completed their ITIM
  Self-Assessments
• December 2004 Bureaus completed their ITIM
  Stage 2 Gap Closure Plans
• January 2005 CPIC Advance held

1GAO-03-1028, Department Leadership Crucial to
Success of Investment Reforms at Interior,
September 2003. 2GAO-03-1025, Plan Needed to
Sustain Progress in Establishing IT Investment
Management, September 2003.
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ITIM Self-Assessment General Findings

• BLM and OST Achieve ITIM Stage 2 Progress Varies
  at Other Bureaus
• ITIM Foundation Largely Established, Resource
  Constraints Hinder Progress
• General Weakness in the Selecting an Investment
  Critical Process
• Localized Weakness in the Providing Investment
  Oversight Critical Process
• Self-Assessment Scores Appear Biased

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General Finding 1 BLM and OST Achieve ITIM
Stage 2 Progress Varies at Other Bureaus

• BLM and OST report they have already achieve ITIM
  Stage 2
• MMS and BOR should achieve ITIM Stage 2 easily
• NPS and FWS report low scores and risk not
  achieving ITIM Stage 2 by FY 2005
• Remaining Bureaus and the Department scores range
  from 17 to 21. Some risk of not achieving ITIM
  Stage 2 by FY 2005

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General Finding 1 (Continued)

• Department-wide 146 key practices not fully
  executed. 115 (79) are partially executed. This
  suggests significant progress is underway.
• OSM and USGS each report 17 partially executed
  key practices. Indicates a greater ability to
  meet the FY 2005 deadline than their executed
  scores suggest.
• BIA and the Department each report a significant
  number of key practices are not executed.
  Indicates some risk in meeting the FY 2005
  deadline.
• NPS and FWS each report a large number of
  partially executed practices. Indicates that ITIM
  Stage 2 activities are broadly established but
  much work remains.

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General Finding 2 ITIM Foundation Largely
Established, Resource Constraints Hinder Progress

• Organizations are Instituting the Investment
  Boards and Meeting Business Needs
• Laying a governance foundation by establishing
  charters, boards, rules
• However, lagging in implementing more tangible
  and practical CPIC practices
• Bureaus share a common prerequisite constraint
  that spans multiple critical processes
• Inadequate resources (people, funding, and tools)
• Resulting in a low number of executed key
  practices

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General Finding 3 General Weakness in the
Selecting an Investment Critical Process

• A significant number of key practices are not
  executed, which suggests weaknesses in
• Aligning selection criteria with broader
  strategic goals
• Analyzing projects to determine whether they
  should be reselected
• Aligning selection criteria with the Enterprise
  Architecture or in the understanding,
  communicating, or enforcing policies concerning
  the target Enterprise Architecture

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General Finding 4 Localized Weakness in the
Providing Investment Oversight Critical Process

• Documenting policies and procedures for IT
  project management oversight and in maintaining
  approved project management plans.
• Understanding and/or implementing of Earned Value
  principals. This weakness is also perceptible in
  the activities in the Capturing Investment
  Information critical process.

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General Finding 5 Self-Assessment Scores Appear
Biased

• Bureaus performed a self-assessment while the
  Department was independently assessed
• 8 (31 out of the 380) key practices were scored
  not executed, 10 of the 31 were from the
  Department.
• Some evidence cited is not sufficient to justify
  the score.
• Bureaus noted key practice executed, however
  identified gaps.
• Does not invalidate self assessment results, but
  independent ITIM Assessment might not result in
  similar conclusions.

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General Recommendations

• Finalize Plans at Bureaus to Close Gaps
• All Organizations Address Resource Issues
• Monitor Progress Monthly
• Provide Earned Value Training/Briefing to Boards
  Members and Project Managers
• Amend Departmental CPIC Guide to Require Annual
  ITIM Assessments
• Prepare for Independent ITIM Certifications

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Next Steps

• Bureaus finalize plans to close ITIM Stage 2 gaps
  
• Department provide Bureaus with specific findings
  and recommendations
• Department coordinate with Bureaus to define a
  ITIM Stage 2 Certification Package
• Department prepare monthly reporting specifics
  for the gap closure plan
• All organizations execute gap closure plans and
  report on progress to the Department monthly
  starting in Q3 FY 2005 (April).

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Questions