Department of Commerce FITARA Actions and Milestones Table - 11-30-16

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Element Area

Milestone Number

Actions and Milestones

extracted from Agency FITARA Action Plan

Target Completion Date

Status

Status Description

Not Started,

In Progress, Completed, Deferred

Describe in detail agency responses to status (e.g. ongoing actions, dependencies, partial milestones).

Budget Formulation

(A-D)

1

Relates to Element A

The Budget Formulation process will be modified to allow the CIO to expand his review of proposed IT investments to cover the entire IT Portfolio Report (formerly known as the exhibit 53).

February 2016

Updated date – September, 2016

Completed October 2016

11/30/2016 Updated status -  Once the CIO reviews the FY 18 budget with the CFO, they will jointly sign the budget on December 1.  In support of this, for budget formulation and all FITARA actions, the CFO and CIO have issued a call for each bureau head to name an “Executive Sponsor” to assure that each bureau CIO and each bureau CFO (and procurement and personnel offices) work together on the budget, personnel and acquisition processes that involve IT.  The memo is attached (Appendix A) and the executive sponsors have been named.

 

8/30/2016 Updated status – The DOC budget office is waiting for OMB guidance for FY18 before providing final process and plan.  OMB guidance came out in June; DOC guidance was provided to all in July along with several training sessions.  The Budget office and CIO will do a ‘test’ run of process during this budget submission and then provide a documented process/policy to satisfy this requirement.  In the interim, the Budget and CIO offices are working closely together on the formulation of the FY 18 budget submission to assure FITARA compliance.

 

4/30/2016 - The CIO and Budget Office will develop a process to both allow the CIO to gain access to IT spend during the formulation process and also the CIO will expand his current budget review to include the entire IT portfolio.  We expect a draft to be ready for review by May 15th and the process to be in place by June 1st.

2

Relates to Element B

Separate IT portfolio reviews are being scheduled with each bureau within Commerce.  The CFO and CIO offices are preparing guidance documents to this effect and they should be signed by February 2016.

February 2016

Updated date – September, 2016

Completed October 2016

11/30/2016 – Updated status – the CFO and CIO have issued guidance when they issued the call for the FY 18 budget in May 2016 concerning the CIO’s office’s participation in budget formulation. The DOC CIO has received a copy of each Bureau’s IT spend plan for FY 17 and is reviewing it with each CIO and others. 

 

8/30/2016 Updated status– pending guidance from DOC Budget office as stated above.

 

4/30/2016 - Our budget office will issue policy and procedure guidance when they issue the call for the FY 18 budget in May 2016 concerning the CIO’s office’s participation in budget formulation.

3

Relates to Element C

The CIO is expanding his/her review of the Department’s IT portfolio to include IT investment reviews, based on the IT baseline that covers both major and non-major IT projects, IT project reviews, IT portfolio reviews, Techstat and Portfolio stats.  For bureaus Techstats and internal review, the Office of the CIO will be invited and will attend and participate.  Processes and policies to implement these actions are being prepared and will be implemented starting in February 2016.

February 2016

Updated date – 4QFY16

Completed – November 2016

11/30/2016 – Updated status - The CIO has issued policy and process documents to modify the existing Commerce IT Review Board policies to include a budget review, as well as IT programmatic reviews for major investments and CIO reviews for non-major investments that are high risk, involve new technology, are public facing, or involve other factors that the CIO feels require a separate review at the Departmental level.  This new policy is attached (Appendix B). 

 

8/30/2016 Updated status – the CIO office drafted an updated charter and process of new reviews by the CIO.  New reviews include a C review and Programmatic Reviews triggered by various elements.  4 CIO reviews have been held since May 2016.  Additional presentation slides have been added to these reviews to include EA and budget crosswalks.

 

4/30/2016 -  The CIO has prepared draft policy and process documents to modify the existing Commerce IT Review Board policies to include a budget review, as well as IT programmatic reviews for major investments and CIO reviews for non-major investments that are high risk, involve new technology, are public facing, or involve other factors that the CIO feels require a separate review at the Departmental level.   We expect these to be issued by June 30 2016.

4

Relates to Element D

DOC will provide a plan to include documentation that affirms the CIO has reviewed and approved major IT investments.  The policy documents that govern the Department Budget process will be modified to reflect this by April 30th 2016 or earlier, and will be implemented in the FY 18 budget formulation documents provided to OMB in September 2016.

April 30, 2016

In progress; expected completion December 1, 2016.

11/30/2016 Updated status – the CFO and CIO have issued guidance when they issued the call for the FY 18 budget in May 2016 concerning the CIO’s office’s participation in budget formulation. The DOC CIO has received a copy of each Bureau’s IT spend plan for FY 17 and is reviewing it with each CIO and others. The document affirming this will be signed December 1, 2016 by the CFO and CIO. 

 

8/30/2016 Updated status – The DOC budget office is waiting for OMB guidance for FY18 before providing final process and plan.  OMB guidance came out in June; DOC guidance was provided to all in July along with several training sessions.  The Budget office and CIO will do a ‘test’ run of process during this budget submission and then provide a documented process/policy to satisfy this requirement.  In the interim, the Budget and CIO offices are working closely together on the formulation of the FY 18 budget submission to assure FITARA compliance.

 

4/30/16 - Our budget office will issue policy and procedure guidance when they issue the call for the FY 18 budget concerning the CIO’s office’s participation in budget formulation.

Budget Execution

(E-H, J, L)

5

Relates to Element E

The CIO will conduct program reviews of all Red and Yellow Program teams, and will require the development and monitoring of corrective action plans.

April 30, 2016

Updated date – July 2016

Completed November 2016

11/30/2016 Updated status – The CIO has issued policy and process documents to modify the existing Commerce IT Review Board policies to include a budget review, as well as IT programmatic reviews for major investments and CIO reviews for non-major investments that are high risk, involve new technology, are public facing, or involve other factors that the CIO feels require a separate review at the Departmental level.  This new policy is attached (Appendix B).  The policy calls for the program reviews as specified.

 

8/30/2016 Updated Status- starting with the July CIO Ratings meetings, all red and yellow programs are highlighted and a CIO review is scheduled.  The process is described in the review Board charter still in draft format.

 

4/30/2016 - Draft has been  produced for review and it should be signed and implemented by June 30th 2016

Relates to Element E

The DOC will document a formal process or policy that explicitly identifies the CIO's role in verifying and confirming on a regular basis that non-major legacy and on-going investments are meeting program and agency strategic objectives. This process will be developed in coordination with the Department Budget and Acquisition offices and the offices of each bureau CIO.

April 30, 2016

Updated date – September, 2016

Completed November 2016

11/30/2016 Updated status – The CIO has issued policy and process documents to modify the existing Commerce IT Review Board policies to include a budget review, as well as IT programmatic reviews for major investments and CIO reviews for non-major investments that are high risk, involve new technology, are public facing, or involve other factors that the CIO feels require a separate review at the Departmental level.  This new policy is attached.  In addition, new policy sent earlier requires the CIO to review all acquisitions over 10 million dollars in life cycle cost. 

 

8/30/2016 – Deferred due to new hire in Policy Office, expect draft policy to be issued by September 30 2016.

 

4/30/2016 - A draft policy and process will be produced for internal review by April 30th . The process and policy will both address the reviews of specific investments and projects of interest to the CIO, as well as a triennial review of all investments in the IT Portfolio.

7

Relates to Element F

The DOC CIO will work with the CFO and CAO to add a DOC CIO signature block to the acquisition plan approval page by December 31, 2015.

December 31, 2015

Completed December 2015

4/30/2016 – A signature block for the CIO has been added to the acquisition plan approval page by the Office of Acquisition Management (OAM).

8

Relates to Element G

The DOC CIO will develop a draft formal process on when that authority is delegated to Bureau CIOs by December 15th 2015 and that process will be reviewed and coordinated with the DOC CIO Council and completed by April 15, 2016.

April 15, 2016

Completed April 2016

11/30/2016 Updated status – the CIO Assignment Page was updated to include a process on the issuance of the delegation memo (Appendix C).  The CIO Assignment Page will be reviewed for any necessary changes in FY172Q.

 

4/30/2016 - The process is defined within the CIO Assignment Page.

9

Relates to Element G

The CIO has announced that there will be a review of all DOC and Operating Administration policies and processes to bring them into compliance with FITARA both in policy and process and in action.

May 2016

 

In progress and ongoing

11/30/2016 Updated status - Ongoing.  Existing outstanding issues are being resolved and the CIO continues to issue guidance and/or a policy regarding FITARA as indicated above.  We expect these will be summarized in a joint document that will be issued by the CFO and CIO in December.

 

8/30/2016 Updated status – DOC Bureau CIOs conducted own self assessments which were reviewed by the DOC CIO office.  Each bureau received ratings which was reflected in the CIO Assignment Plan and delegation memos.  Following each delegation, the bureau CIOs are working to improve their processes and provide documentation to move their ratings from a ‘2’ to a ‘3’.  We expect all assessments will be completed by October 31 2016 when the DOC CIO will review and re-issue delegation memos.

 

4/30/2016 - Ongoing.  Existing outstanding issues are being resolved and the CIO will issue guidance and/or a policy by May 30 2016.

10

Relates to Element G

 The DOC OCIO will provide documented criteria and the process used to review non-CITRB projects by December 31st 2015.

December 31, 2015

Updated date -4QFY16

Completed November 2016

11/30/2016 Updated status – The CIO has issued policy and process documents to modify the existing Commerce IT Review Board policies to include a budget review, as well as IT programmatic reviews for major investments and CIO reviews for non-major investments that are high risk, involve new technology, are public facing, or involve other factors that the CIO feels require a separate review at the Departmental level.  This new policy is attached (Appendix B).

 

8/30/2016 Updated status – an updated charter has been drafted to include appendices for process of each type of review for investments.

 

4/30/2016 - A draft policy and process has been produced for and a policy and process will be put in place by June 30 2016.

11

Relates to Element L

The DOC CIO will work with the DOC CFO to develop a policy and formal approval process to show evidence of this requirement [CIO approval of reprogramming requests].  We expect this to be in draft form ready for review by December 31st 2015 and to be completed by April 15th 2016.

April 15, 2016

Expected completion December 2016

11/30/2016 Updated status – The Budget office has this action and we expect a policy to be issued from the Budget Office in early May 2016 as part of a revision to Department Administrative Order.  Since the Department Budget office only currently reviews reprogramming requests over 5%, the policy has to be made effective at the bureau level as well.  This should be accomplished by working through the Commerce’s CIO and CFO Councils, and will be summarized in the letter issued by the CFO and CIO in December 2016.

 

8/30/2016 Updated status - The DOC Budget office updated guidance and policy (see above) will address the reprogramming authority of the CIO.

 

4/30/2016 - The budget office has this action and we expect a policy to be issued from the Budget Office in early May.  Since the Department budget office only currently reviews reprogramming requests over 5% the policy has to be made effective at the bureau level as well.  This should be accomplished by working Commerce’s CIO and CFO Councils.

Acquisition

(I, K)

12

Relates to Element K

The DOC CIO will work with the DOC CFO and CAO to update the policies to add the DOC CIO as an additional signatory to indicate approval of acquisition plans for IT investments. The CIO’s signature will indicate that the CIO has approved the expenditure of funds for the investment.

December 31, 2015

Completed December 2015

4/30/2016 - The Office of Acquisition Management (OAM) has updated the Commerce Acquisition Manual (CAM) to reflect the CIO signature for the approval of acquisition plans on IT investments.

Organization and Workforce

(M-Q)

13

Relates to Element M

The DOC CIO will work with the DOC CHCO to implement a formal written process to incorporate the review/approval from the DOC CIO during the hiring for any DOC Bureau CIO.

April 15, 2016

Completed February 2016

8/30/2016 Updated status – 2 Bureau CIOs and 2 Deputy CIOs have been hired; the DOC CIO has approved the hiring of all of these positions.

 

4/30/2016 - HR Bulletin 206 incorporates this change.

14

Relates to Element

P

The DOC CIO will work with the DOC CHCO and the Principal Human Resource Managers (PHRMS) to provide draft competency requirements for IT staff and leadership positions by December 31st 2015. A team of HR specialists will also be chartered by December 31st 2015 to work with the CIO to review the draft and provide an update by April 30th 2016.

December 31, 2015

Deferred but expect it to start Fy172Q concurrent with Federal CIO Council and OMB initiatives.

11/30/2016 Updated status – a team within the Office of the CIO is creating an IT Workforce Management Integrated Product Team; initiated work on an IT Workforce Management and Planning Framework Baseline Assessment and created a draft DOC IT Workforce Action Plan.

 

8/30/2016 Updated status - Documents describing core competencies have been distributed, need to be reviewed and updated.   The taskforce will be jointly led by HR and CIO offices and will be aligned and support Federal CIO Council and OMB initiatives.

 

4/30/2016 - Documents describing core competencies have been distributed, need to be reviewed and updated.   No task force yet put in place since we have not determined if there is a need for new workforce competencies in IT or elsewhere.

 
Last updated: 2016-11-29 16:24

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