Appendix A-9: Office of the Chief Information Officer (OCIO)

FY 2000 Performance Report
Goal & Performance Indicators Checklist

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OPM STRATEGIC PLAN GOAL I

PROVIDE POLICY DIRECTION AND LEADERSHIP TO RECRUIT AND RETAIN THE FEDERAL WORKFORCE REQUIRED FOR THE 21ST CENTURY.

OCIO Goal 1 -- M

With the Associate Director for Employment Services, leadership and support is provided to the Human Resources Technology Council (HRTC) so that Governmentwide human resources business process redesign, systems modernization efforts, and planning initiatives to fully exploit the use of modern automated technologies are pursued. [See ES Goal 2.]

This program goal was established under Strategic Goal I to reflect OPM’s leadership role in human resource technology development and deployment, which will in turn assist in recruiting and retaining the Federal workforce. There are two indicators to assess whether or not this goal is achieved. Of these, the second indicator was identified at the beginning of the year as most critical for achieving the goal. We met this goal by the HRTC taking positive actions to support the development of the Human Resources Data Network project.

In addition, during FY 2000, the HRTC realigned its leadership structure to enhance agency commitment and involvement in the activities of this key interagency technology group. An agency HR Director and a Senior Advisor to OPM’s Director were selected as the new co-chairs. This change acknowledges the Governmentwide HR impact of the HRTC while retaining senior level OPM policy attention. To maintain OPM’s technology coordination and oversight role, OPM’s CIO remains active in the HRTC as a member of the HRTC’s key strategic Planning Committee. The Planning Committee is also the primary steering body for the Human Resources Data Network project, which is the vehicle through which the HRTC will develop and deploy Governmentwide automated HR technologies.

M Satisfaction of HRTC members with the results of the HRTC studies and services, and their opportunity for involvement in the Council policy-making will increase over FY 1998 (or maintain at 90% or higher) as measured in the percentage of favorable ratings in the DCSS and/or through informal customer feedback.

Reported levels of satisfaction as expressed in the DCSS by HRTC members were as follows:

The DCSS was not conducted in FY 1999. In FY 2000, we determined that the DCSS was not an appropriate vehicle to measure success on this goal. The real measure is agency commitment to and involvement in HRTC sponsored projects. The leadership change of the HRTC to formally include a senior agency HR Director clearly shows the continued commitment and involvement of the agencies in the HRTC. The strong and continuing agency support for the HRTC’s primary technology project, the Human Resources Data Network, is another clear indicator of the success of the HRTC in garnering Governmentwide support and approval. This measure will be modified in FY 2001.

M Actions are initiated as a result of HRTC policy discussions. [Critical indicator]

This is the critical indicator because the key role of the HRTC is to take positive actions to implement their policy discussions. The purpose of the HRTC is to produce measurable results.

As noted above, the HRTC has strongly endorsed the Human Resources Data Network project. This is the clearest indication of Governmentwide HR support for the work of the HRTC. In addition to reviewing project plans and deliverables, HRTC member agencies have taken action to provide key staff on detail to support the project.

OCIO Goal 2a-- N

Through the HRTC, OPM will begin the delivery of the initial capabilities that implement the Governmentwide vision of a Virtual Federal Human Resources Data Repository (VHRDR). The VHRDR will result in prompt access to current and accurate HR data in a less labor-intensive and costly environment for HR processing, recordkeeping, and reporting.

This program goal was established under Strategic Goal I to reflect OPM’s leadership role in human resource technology development and deployment, which will in turn assist in recruiting and retaining the Federal workforce. There are five indicators to assess whether or not this goal is achieved. Of these, the second indicator was identified at the beginning of the year as most critical for achieving the goal. Because we did not meet this critical indicator, we failed to meet the overall goal.

The initial plans for this effort, now known as the Human Resources Data Network (HR-DN), envisioned limited development of prototypes during FY 2000. As the full scope and scale of this Governmentwide project became apparent and work began on a Capital Asset Plan, it was clear that these initial plans were too optimistic. Under the direction and leadership of the HRTC, the focus in FY 2000 was changed to establishing an adequately staffed project office with a senior project manager to ensure that this multi-year effort could be carried out successfully. In addition, contractor assistance was obtained to begin the detailed requirements development and analysis efforts that will lead to successful project completion. In FY 2001, we will redefine the indicators to align them with the evolving project schedule and Capital Asset Plan.

M HRTC approval of the HR Information Vision, Concept of Operation, and Implementation Plan.

During FY 2000, the HRTC approved the HR Information Vision, Concept of Operations and Implementation Plan for the HR-DN project. These are the key documents that provide the essential structure for this Governmentwide project and are the basis for the Capital Asset Plan being developed for FY 2002.

N HRTC approval of the initial HR-DN design and prototypes. [Critical indicator]

This is the critical indicator because under the initial project plan we expected to have achieved the key project milestone of being at the prototype stage during FY 2000.

The HR-DN is a long-term Governmentwide project and the initial target dates for design and prototype development were not met. A project vision, concept of operations and implementation plan were developed and approved, however. This indicator and similar indicators will be incorporated in subsequent OPM Annual Performance Plans based on HR-DN project’s approved Capital Asset Plan.

N Prototypes demonstrate a positive cost benefit return to the Government.

We did not produce a HR-DN prototype in FY 2000 and therefore this indicator was not met. This indicator is now planned for completion in FY 2001/2002 and subsequent years as defined in the project’s Capital Asset Plan.

N HRTC support for pilot tests of selected HR-DN modules.

We did not conduct any pilot tests of HR-DN modules in FY 2000 and therefore this indicator was not met. This indicator is planned for completion in FY 2001/2002 and subsequent years as defined in the project’s approved Capital Asset Plan.

N HRTC agreement for HR-DN operational modules for future implementation.

We did not achieve this stage in the project’s development during FY 2000 and therefore this indicator was not met. This indicator is planned for completion in FY 2001/2002 and subsequent years as defined in the project’s approved Capital Asset Plan.

OCIO Goal 2b

Under the direction of the HRTC, HR information flow between agencies, OPM and other relevant parties is improved through an expanded, centralized delivery mechanism (“data hub”).

This program goal was established under Strategic Goal I to reflect OPM’s leadership role in human resource technology development and deployment, which will in turn assist in recruiting and retaining the Federal workforce. There are two indicators to assess whether or not this subgoal is achieved. Of these, the second indicator was identified at the beginning of the year as most critical for achieving the goal. We met this goal by expanding the use of the “data hub.”

During FY 2000, OPM has clearly been successful in increasing the use of the “data hub” as the preferred mechanism to electronically submit various data (e.g., Central Personnel Data File) to OPM. Initially developed for and sponsored by the HRTC, this capability has now become a standard OPM electronic submission option.

NX Evaluate qualitative feedback from the HRTC members on satisfaction with the operation of the “data hub.”

While anecdotal evidence is available concerning agency/HRTC members satisfaction with operation of the “data hub,” based in part on the increased use of this capability to submit data to OPM, there is no formal qualitative data available to substantiate this assessment. The responsibility for managing the “data hub” for most submissions to OPM was realigned from the Employment Service to the Office of the Chief Information Officer at the end of FY 2000. This is now a routine operational activity and consequently both the subgoal and measure will be dropped from OPM’s FY 2001 and subsequent Annual Performance Plans.

M Increase the scope of the centralized delivery mechanism (“data hub”) to accommodate Governmentwide requirements. [Critical indicator]

This is the critical indicator because the most effective way to increase the use of the “data hub” capability is to increase its utility by adding functionality.

As noted in Goal 2c below, OPM has continued to expand the uses of the “data hub” in conjunction with self-service systems. In addition to increasing use for CPDF submissions, we are now using the “data hub” for collection and dissemination of Federal Employee Health Benefits information. The “data hub” is also the model for submissions for the Retirement System Modernization data exchange gateway and eventually for the Human Resources Data Network system. OPM and the agencies will continue to explore means to improved electronic interchange of data, but because this is now a routine operational capability, this measure will be dropped from OPM’s FY 2001 and subsequent Annual Performance Plans.

OCIO Goal 2c

Through the encouragement of the HRTC, an increased number of agencies are using self-service benefits selection systems (such as OPM’s Employee Express).

This program goal was established under Strategic Goal I to reflect OPM’s leadership role in human resource technology development and deployment, which will in turn assist in recruiting and retaining the Federal workforce. There are two indicators to assess whether or not this subgoal is achieved. Of these, the first indicator was identified at the beginning of the year as most critical for achieving the goal. We met this goal by expanding the use of self-service systems such as Employee Express.

M The number of agencies and employees covered by self-service benefits selection systems is increased by 10% over the number covered in FY 1999. [Critical indicator]

This is the critical indicator because the most direct way to measure the use of self-service systems is to track and evaluate actual customer use statistics.

Many agencies use Employee Express, an automated system that uses the Internet, telephones and touchscreen computers to enable employees to make direct changes to their personnel files. In FY 1999, participation in the Employee Express system for automated self-service of benefits included 18 large agencies, a consortium of 13 small agencies and coverage of more than 770,700 employees. In FY 2000, Employee Express increased coverage to 17 large agencies, a consortium of 18 small agencies, 13 other small agencies, and more than 800,000 employees. This was an increase of more than 50 percent in agencies. DOD moved from Employee Express to Employee/Member Self-Service, another automated self-service payroll system developed by OPM. This new system covers 3.5 million DOD civilian employees and military retirees and annuitants. In FY 2001, Employee/Member Self-Service will cover an additional 2 million military active and reserve members.

M The scope of OPM data delivery systems is increased to accommodate diverse agency self-service benefits selection systems requirements. Self-service benefits systems allow for the direct entry of transactions once processed in operating HR offices, saving valuable resources and at the same time, increasing employee access to their own data.

In FY 2000, new options for the Combined Federal Campaign, pre-tax insurance waiver, and earnings and leave statements were added to Employee Express. In FY 2001, we plan to add a retirement estimator, a W4 worksheet and an enter-on-duty process. We also built a system modeled after Employee Express, Employee/Member Self-Service, for DOD. The options include Federal taxes, direct deposit, financial allotments and home address changes, as well as the ability to view and print the leave and earning statement.

OPM STRATEGIC PLAN GOAL V

ESTABLISH OPM AS A LEADER IN CREATING AND MAINTAINING A SOUND, DIVERSE, AND COOPERATIVE WORK ENVIRONMENT.

OCIO Goal 3 -- M

The IT management mandates of the Clinger-Cohen Act are met through the prudent application of technology in support of OPM’s core mission accomplishment.

This goal in support of OPM’s IT corporate management strategy was established under Strategic Goal V to reflect OCIO’s contribution to enhancing the productivity of OPM’s work environment through improved management of IT. There are four indicators to assess whether or not this goal is achieved. Of these, the first indicator was identified at the beginning of the year as most critical for achieving the goal. We met this goal by ensuring that OPM’s IT Architecture standards are followed.

The Clinger-Cohen Act has a number of requirements, but in essence they translate to measures to improve investment in and management of IT projects. The Office of the Chief Information Officer (OCIO) provides the essential oversight to OPM IT initiatives to ensure compliance with Clinger-Cohen. This is accomplished directly through the provision of most Agencywide IT services (e.g., desktop and network technology and infrastructure support) and indirectly through review and approval of major IT development plans. During FY 2000, OCIO was a key participant in all of OPM’s major IT projects, e.g., the Retirement System Modernization, Human Resources Data Network and Financial System Modernization.

M OPM’s IT initiatives conform with OPM’s IT architecture standards prior to committing funds for IT projects. [Critical indicator]

This is the critical measure because development of and compliance with the IT Architecture is the corner stone of the Clinger-Cohen Act.

One of the most critical aspect of our Clinger-Cohen compliance is the review and approval process for all new OPM IT initiatives to ensure that they are and remain compliant with OPM’s IT Architecture. In addition, as customer requirements change as identified in these projects, the architecture must be updated to reflect current business needs. To ensure conformance with the existing IT Architecture standards and to ensure that the Architecture accurately reflects business needs, OCIO provides oversight of all major OPM IT initiatives and sits on the technical evaluation panels for all major IT procurements.

M System development projects follow OPM’s Systems Development Life Cycle (SDLC) methodology and remain on schedule and within budget.

The Office of the Chief Information Officer has developed a final test version of a common Agencywide SDLC and we are in the process of prototype implementation. Nevertheless, all of OPM’s major IT initiatives are already following acceptable SDLCs. These major initiatives are being supported by contractors and development methodologies are a standard part of the contractor’s proposed approach to meeting OPM’s requirements. As a result, our major projects have remained on schedule and within budget during FY 2000. A prime example is the Retirement System Modernization project whose Capital Asset Plan clearly demonstrates progress within the schedule and budget performance measures.

M OPM’s IT initiatives attain planned performance measures and meet customer expectations.

OPM has several major IT initiatives underway. During FY 2000, none had reached the implementation stage so it was too early to assess achievement of performance measure and customer satisfaction. Performance measures are being established for these systems, however, so that attainment can be assessed at the appropriate time.

M OPM makes progress toward achievement of Capability Maturity Model (CMM) level 3 based on benchmarking of OPM system development practices against the CMM standards.

During FY 2000, one of the major applications development components in OPM (the Systems Modernization and Maintenance Division in the Retirement and Insurance Service) in coordination with the OCIO began the process of benchmarking their development processes against the CMM. The results of this effort will be used to further refine Agencywide standards and procedures in our long-term effort to improve our system development practices. In addition, during FY 2000 the OCIO developed the organizational structure and funding requirements necessary to support CMM-related activities in the newly formed Applications Development Center within OCIO. This Center will lead the development of CMM compliant process within OPM.

OCIO Goal 4 -- M

OPM has a sound and integrated Agencywide IT Architecture that provides a standards-based, interoperable, and secure technology environment to facilitate and support the cost-effective accomplishment of OPM’s core mission and goals.

This goal in support of OPM’s IT corporate management strategy was established under Strategic Goal V to reflect OCIO’s contribution to enhancing the productivity of OPM’s work environment through improved management of IT. There are four indicators to assess whether or not this goal is achieved. Of these, the first and second indicators were identified at the beginning of the year as most critical for achieving the goal. We met this goal by ensuring that OPM’s infrastructure was Year 2000 compliant and compliant with our IT Architecture standards.

The Office of the Chief Information Officer developed an Agencywide IT Architecture Vision in FY 1997 and began a multi-year project to migrate to this architecture. During FY 2000, we oversaw the completion of major components of this effort as we transitioned OPM to the Microsoft Office suite for standard desktop applications, to the Exchange/Outlook email system and to Ethernet connectivity from Token-Ring. We also continued the process of Agencywide technology refreshment to maintain the currency of our infrastructure. In addition, we established and filled a position of IT Architect and began a formal process to update our IT Architecture document, with emphasis on updating the Technical Reference Model, which provides the technical standards.

M OPM’s IT infrastructure, including personal computer (PC) hardware/software and Local Area Network/Wide Area Network (LAN/WAN) components meet the needs of OPM staff and are Year 2000 compliant. [Critical indicator]

This is a critical measure because Year 2000 compliance was essential for OPM to meet its other FY 2000 goals.

During FY 2000, we have continued to refresh our installed technology to ensure the technical currency of our hardware/software and to ensure that the infrastructure was meeting customer needs. This was particularly critical in anticipation of Year 2000 (Y2K). As part of our Y2K preparation, all hardware and software was inventoried and assessed for Y2K compliance. Where non-compliance items were identified, compliant hardware or software was obtained as replacements. All of our IT infrastructure functioned flawlessly on and after January 1, 2000. During this fiscal year, operational management of OPM’s infrastructure was realigned under the Office of the Chief Information Officer to further facilitate integration and support for our IT Architecture.

M OPM’s IT infrastructure and hardware and software inventory comply with the IT architecture. [Critical indicator]

This is a critical measure because compliance with our IT Architecture is essential to ensuring an interoperable and secure computing environment.

During FY 2000, we continued our process of migration to our standard IT Architecture and as we accomplish this we will ensure that our infrastructure complies with the architecture. New IT applications and systems are only approved by the OCIO if they comply with the IT Architecture.

N Central management of workstations and servers is provided through the ERM system to achieve operational and cost efficiencies.

During FY 2000, we made significant strides towards implementation of an enterprise resource management (ERM) system. Contractors assisted us in establishing a fully functional live operational test environment covering 100 workstations and servers as a proof of concept for the technology that we have selected. Based on this successful test implementation, we are planning full implementation during FY 2001.

M OPM’s HELP Desk provides prompt and effective customer support to OPM staff and meets defined service level agreements.

OPM’s HELP Desk operation, as well as all other Agencywide desktop and network support, was realigned under the Office of the Chief Information Officer during FY 2000 to improve overall customer support. New staffing support standards and funding were established for this function and a new management structure was put in place. HELP Desk response metrics are now being collected and tracked to ensure adequate performance is achieved and tailored customer service level agreements are in the process of being developed to further enhance customer support.

OCIO Goal 5 -- M

OPM’s IT systems operate properly on and after January 1, 2000, and an effective Year 2000 Business Continuity and Contingency Plan is in place.

This goal in support of OPM’s IT corporate management strategy was established under Strategic Goal V to reflect OCIO’s contribution to enhancing the productivity of OPM’s work environment through improved management of IT. There are two indicators to assess whether or not this goal is achieved. Both indicators were identified at the beginning of the year as critical for achieving the goal. We met this goal by ensuring that OPM’s infrastructure and systems were Year 2000 compliant and that tested plans were in place to cover contingencies.

As in most agencies, our preparation for the Year 2000 (Y2K) date change was one of the largest, most expensive and most complex technical and management tasks ever undertaken by OPM. This highly successful, multi-year, Agencywide effort to remediate the impact of the Y2K date change was managed and tracked by the Office of the Chief Information Officer. Due to extensive planning and coordination, adequate resources and priorities were applied to the many tasks to complete all of the remediation on schedule. Success was ensured by extensive end-to-end testing and compliance verification, and as a result, all OPM systems operated properly on and after January 1, 2000.

M OPM is able to perform its mission on and after January 1, 2000, supported by appropriate information technology resources. [Critical indicator]

This is a critical measure because Year 2000 compliance was essential for OPM to meet its other FY 2000 goals.

All OPM information technology systems operated successfully on and after the roll over to calendar year 2000.

M Y2K-related IT failures, if any, are promptly resolved, and IT-related business continuity and contingency plans mitigate any problems. [Critical indicator]

This is a critical measure because Year 2000 compliance was essential for OPM to meet its other FY 2000 goals.

OPM experienced no Y2K-related IT failures. OPM had developed and tested comprehensive IT-related business continuity and contingency plans (BCCP), but they were not required to be executed. These plans, however, have been invaluable in developing broader continuity of operations plans (COOP).

OCIO Goal 6 -- M

OPM’s information security program provides adequate computer security commensurate with the risk and magnitude of harm that could result from loss or compromise of mission-critical IT systems.

This goal in support of OPM’s IT corporate management strategy was established under Strategic Goal V to reflect OCIO’s contribution to enhancing the productivity of OPM’s work environment through improved management of IT. There are three indicators to assess whether or not this goal is achieved. Of these, the first indicator was identified at the beginning of the year as most critical for achieving the goal. We met this goal by ensuring that no loss or compromise of mission-critical OPM IT systems occurred in FY 2000 as a result of security issues or lapses.

In addition, to ensure the continued safe operation of OPM’s IT resources, the OCIO has contracted for assistance in developing a more comprehensive entity-wide security policy and program. We have also reorganized our IT support to further consolidate computer security responsibilities within OCIO.

M Few security problems are identified during internal and external evaluations and those that are identified are not material weaknesses and are rectified promptly. [Critical indicator]

This is the critical measure because the number and severity of computer security problems has a direct affect on provision of IT services to OPM program offices and thus program office goal accomplishment.

During FY 2000, we experienced only one notable security problem, which resulted from an infection by the “I Love You” virus, a virus that attacked many Federal agency email systems. Using in-place and newly developed procedures, we were able to rapidly respond to and contain this virus before any extensive damage was done to our IT resources. This experience allowed us to test and strengthen our computer security practices and procedures and resulted in the prevention of several subsequent virus related incidents. As part of OPM’s Inspector General-sponsored audit of OPM’s FY 1999 financial reports and systems, several non-material security-related weaknesses were identified. These findings have been or are being addressed as part of our ongoing security plans and program.

M Staff are trained, as necessary, based on assessment of needs.

The Office of the Chief Information Officer is responsible for OPM’s entitywide computer security program. Early in FY 2000, we completed the annual computer security awareness training program, which is mandatory for all OPM staff, begun at the end of FY 1999. We subsequently assessed training needs for FY 2000 and initiated a new Agencywide computer security awareness program focusing on computer virus protection, a high priority security issue.

M A tested disaster recovery capability is in place for OPM’s general support and major financial benefits and workforce information application systems.

During FY 2000, we again successfully tested our disaster recovery procedures for our mainframe/enterprise server based systems. This test clearly demonstrated our ability to recover rapidly and fully our mission critical systems (including our financial benefits and workforce information applications) at our disaster recovery hot site.