Information Technology Capital Planning and Investment Control
This directive provides the roles, responsibilities, and authorities for implementing the FSIS Information Technology (IT) Capital Planning and Investment Control (CPIC) program. This directive also introduces and provides access to the FSIS CPIC Guide developed by the Office of the Chief Information Officer (OCIO).
A. CPIC is a systematic approach to selecting, managing, and evaluating IT investments. CPIC is mandated by the Clinger-Cohen Act of 1996 (CCA), and requires Federal agencies to focus more on the results achieved through IT investments. The Federal IT Acquisition Reform Act (FITARA) and the CCA requires that Chief Information Officers (CIOs) improve the way agencies plan, select, fund, control, and evaluate IT initiatives. In addition, the CPIC process, prescribed by OMB Circular A-130, emphasizes careful analysis and selection of information technology investments and seeks to ensure that senior management obtains and reviews information on a timely basis regarding the progress of an investment in terms of its milestones, cost, and its capability to meet specified mission objectives.
B. The CPIC process is a structured, integrated approach. It ensures that all IT investments align with the USDA and FSIS goals, missions and support business needs while minimizing risks and maximizing returns throughout an investment’s lifecycle. The CPIC process includes four phases:
- Control; and
C. This ongoing evaluation process ensures that each investment’s objectives support the business and mission needs of USDA and FSIS.
III. TYPES OF IT INVESTMENTS
A. The Executive Information Technology Investment Review Board (E-Board) reviews all new and Major IT investments. The E-Board ensures that the proposed investments contribute to the USDA Secretary’s strategic vision and mission requirements, employ sound IT investment methodologies, and comply with the Department’s Enterprise Architecture. There are two types of IT investments, Major and Non-Major. he FSIS CPIC Guide contains detailed descriptions and criteria regarding these two types of investments.
B. Major IT investments are strategic for the Department and are reported to the Office of Management and Budget (OMB) through the annual IT Budget and Management Report process and to the public on the Federal IT Dashboard. They are also included in the FSIS E-Board executive portfolio. Per OMB’s guidance, a Major IT investment refers to an IT investment requiring special management attention because of its importance to the mission or function to the Government; has significant program or policy implications; has high executive visibility; has high development, operating, or maintenance costs; has an unusual funding mechanism; or is defined as Major by USDA’s CPIC process. In addition, Major IT investments have more stringent limitations in terms of varying from planned spending levels than minor IT investments do. Congressional notification is required when spending deviations from planned spending occurs above certain thresholds, e.g., $500,000 or 10 percent of the baseline (whichever is less). Failure to notify Congress in such instances is a potential violation of the Anti-Deficiency Act.
C. The E-Board in coordination with FSIS CIO and OCIO Capital Planning & IT Governance Division (CPITGD) determines the investment category as Major or Non-Major. If the investment is determined to be Non-Major, the FSIS Project Manager is to follow the FSIS governance process. If the investment is Non-Major in the FSIS IT portfolio, Project Managers are to follow the Non-Major reporting process throughout the entire CPIC process.
IV. FSIS CAPITAL PLANNING AND INVESTMENT CONTROL GUIDE
A. The FSIS CPIC Guide describes the FSIS OCIO IT CPIC process. It outlines a framework for FSIS to manage its IT investment portfolio more effectively. Part of that process is making sure IT investments are aligned to functional lines of business that focus on achieving an interrelated set of organizational goals and objectives in support of USDA’s mission and in accordance with the direction set by USDA’s target architecture.
B. The FSIS CPIC Guide provides specific instructions for FSIS OCIO to use when entering information technology investments into the CPIC process.
V. ROLES AND RESPONSIBILITIES
A. Under the direction of the FSIS CIO and Associate Chief Information Officer (ACIO), the FSIS OCIO Investment Planning and Control Branch (IPCB) oversees FSIS CPIC responsibilities. The IPCB team works collaboratively with the USDA Capital Planning and IT Governance Division (CPITGD) and the FSIS OCIO Program Management Branch (PMB) to provide oversight and performance reporting on FSIS IT investments. The following outlines the roles and responsibilities of each participant in the CPIC process:
B. The FSIS Administrator:
- Serves as voting member on the E-Board;
- Provides executive management oversight to all FSIS IT investments; and
- Recommends and supports IT investments that align with and promote the FSIS mission, FSIS Strategic Plan, FSIS Business Technology Plan, USDA Enterprise Architecture, and ensures FSIS meet budget requirements.
C. The FSIS CIO and Deputy CIO:
- Serve, or designate a representative to serve, as the principal liaison with the USDA CIO;
- Work with the USDA CIO to align Agency CPIC processes and procedures with USDA policies and Federal regulations and guidelines;
- Establish new or maintain existing IT investment and acquisition review thresholds based on criteria to include, but not limited to: initial cost, annual cost, total life cycle cost, risk and performance metrics;
- Serve as the signatory for all official CPIC-related correspondence with USDA;
- Identify opportunities to utilize shared IT services;
- Work with program managers to identify IT solutions that can be delivered to customers incrementally or in a modular manner;
- Establish a process to turn around or terminate poorly performing IT investments;
- Develop plans of action and milestones that clearly describe corrective actions to be taken to revitalize poorly performing projects;
- Provide IT discipline expertise, such as cybersecurity oversight throughout the duration of the program;
- Help program and project managers identify and recruit employees with the knowledge, experience, credentials, and skill sets needed to successfully manage IT investments;
- Jointly validates and approves submission of Acquisition Approval Requests (AAR) Cover Memos and Investment Change Memos prior to requesting FSIS Administrator signature in coordination with FSIS Chief Financial Officer (CFO);
- Serve as the FSIS decision authority and signatory for CPIC packages submitted to the Department;
- Oversee the monitoring and reporting of cost, schedule, and performance of all IT projects;
- Brief FSIS and Mission Area executives on the performance of the FSIS IT investment portfolio; and
- Work within the CIO’s role as Chair of the Agency’s Enterprise Architecture Board of the FSIS Enterprise Investment Board to leverage the FSIS Enterprise Governance process and policy.
D. The FSIS ACIO and OCIO Program Management Division:
- Support and maintain an effective FSIS CPIC program;
- Assist in conducting Annual IT Portfolio reviews with the Department;
- Ensure program areas and staff offices have training opportunities and assistance in capturing the Major and Non-Major IT investment data needed for discussion in portfolio reviews;
- Support the budget process by coordinating with FSIS OCIO and OCFO to capture Major and Non-Major IT investment data that comprise the annual appropriated IT budget request (to be signed off by the FSIS CIO and CFO);
- Support the acquisition process by coordinating AAR submissions within OCIO and OCFO;
- Integrate the CPIC framework and data into the Agency’s Enterprise Governance processes to the greatest extent possible;
- Use approved USDA and FSIS tools and processes to support CPIC reporting activities;
- Ensure individuals assigned to manage Agency Major and Non-major investments are trained, qualified, and appropriately certified as IT Project and Program Managers;
- Ensure individuals assigned as IT investment analysts are properly trained, qualified, and certified, as appropriate;
- Ensure CPIC-related program deliverables are properly incorporated into the Agency’s Enterprise Governance process for further deliberation by USDA governance boards, including the Integrated Advisory Board and the E-Board, as detailed in DR 3130-010;
- Assist the FSIS ACIO for Governance and Quality Assurance and the FSIS Budget Director in preparing the annual appropriated budget request to ensure accuracy of data and estimates; and
- Serve as the primary point of contact with the Department regarding the planning and execution of CPIC functions.
E. The FSIS IPCB Branch Chief:
- Manages a cadre of CPIC Analysts who are aligned to specific program areas and staff offices to lend support and assistance, as needed;
- Directs efforts to capture the Major and Non-Major IT investment data needed for presentation and discussion at IT portfolio reviews;
- Receives, reviews, and provides an initial approval determination to any waiver request memoranda submitted by a program area or staff office;
- Reviews and validates acquisition requests by submitting a memo to the ACIO;
- Supports tools used to capture Major and Non-major IT investment data that will be presented in the USDA response to OMB Circular A-11;
- Ensures IPCB staff members are available to assist program areas and staff offices with preparing the IT investment business cases;
- Provides training and assistance to FSIS program areas and staff offices in capturing the Major and Non-Major IT investment data needed for presentation and discussion at IT portfolio reviews;
- Collaborates with the FSIS Branch Chief for Governance and Information Management and the FSIS Budget Director in preparing the annual budget request; and
- Assists and provides guidance to program areas and staff offices with the preparation of Major and Non-Major IT investment business cases and related materials.
F. FSIS Program and Project Managers:
- Possess the requisite certifications (i.e., Federal Acquisition Certification for Program and Project Managers) required to manage an FSIS Major or Non-major IT investment;
- Comply with all Federal, USDA, and FSIS CPIC guides;
- Plan, execute, monitor, and report the IT investment to achieve approved cost, schedule, and scope baselines;
- Ensure IT investment project teams comply with CPIC legislation, regulations, and other FSIS and USDA guidance;
- Adhere to and execute CPIC procedures detailed in the FSIS CPIC Guide to ensure CPIC milestones are met;
- Manage IT investment risk and alert the CPIC Analyst of significant issues and planned corrective action;
- Support the established USDA IT governance framework, processes, and structure for Major USDA IT investments; and
- Share information with FSIS OCFO to ensure project resources are appropriately reflected in budget materials.
G. FSIS Program Areas:
- Work with their designated FSIS CPIC Analyst to plan, execute, monitor, and report on the IT investment to achieve approved cost, schedule, and scope baselines;
- Work with their designated FSIS CPIC Analyst to ensure at least three (3) fiscal years of scope and risks are properly identified and estimated within established timeframes to meet IT investment, budget, and procurement cycle deadlines;
- Coordinate with their designated FSIS CPIC Analyst in the current fiscal year to develop complete AARs for the next fiscal year;
- Participate in program area and Agency investment and portfolio reviews;
- Ensure all IT-related acquisitions are procured through approved AARs; and
- Work with their CPIC Analyst and OCIO staff to identify investment-funding requirements to ensure the Agency’s Enterprise Governance process and policies are followed; and to ensure investment information is shared with the OCFO Budget Division so it is accurately reflected in Agency budget materials.
Refer questions regarding CPIC to the OCIO, Program Management Division (PMD), Investment Planning and Control Branch (IPCB) at 202-772-6073 or to OCIOITInvestment@fsis.usda.gov.