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SBA FITARA Implementation

The Federal Information Technology Acquisition Reform Act (FITARA) enhances the  responsibility and authority of agency CIOs so as to increase their efficiency in managing and overseeing IT resources and assets. These responsibilities and authorities include, but are not limited to: IT portfolio review; budget formulation and approval of IT budgets; CIO appointing authority; enhanced transparency and risk management of IT investments; IT workforce planning; strategic sourcing; and consistency in reporting to strengthen accountability and manage cost, schedule, and performance measures for IT programs.

Implementation Plan

SBA’s FITARA Implementation Plan describes the policies, processes, and guidance that require updates or revisions to meet Office of Management and Budget (OMB) objectives and comply with FITARA requirements.
 

SBA's FITARA Implementation Plan

Milestones

SBA's FITARA Milestones track the agency's progress in implementing FITARA.
 

SBA's FITARA Milestones (JSON format)

Milestone #

Milestone Description

Target Completion Date

Status

Status Description

Baseline Area

DCOI Area

1

Moving forward, the CIO and the CFO will develop a process to ensure effective advanced integration with the AAS process.

12/31/2016

Complete

SBA’s acquisition process has been designed to evaluate and provide for CIO approval of IT contracts early in the budget and acquisition planning processes. SBA’s IT governance processes and budget formulation / execution processes support the FITARA Budget Formulation requirements. The OCFO has drafted its FY 2017 Budget Guidance and completed and approved the development of Government Acquisition Program SOP 20 21 for the purpose of formalizing these processes and controls.

Budget Formulation

 

CIO Leadership

2

The process for reviewing new and existing IT investments via the SBA IRB is detailed in SBA 90-82 Procedure for Managing SBA IT Investments-Investment Review Board (IRB).  The process will be revised to include CIO reviews earlier in the pre-budget formulation process to ensure better consonance of effort across the agency.

2016-09-30

Complete

The current version of SBA 90-82 Procedure for Managing SBA IT Investments-Investment Review Board (IRB) details the Agency’s IT governance process.  The IT governance process, already considered an essential part of the CFO’s pre-budget formulation process, provides the CIO with significant early awareness and influence through its facilitation and participation in all IRB activities.  As a result of the IRB’s existing incorporation into the CFO’s budgeting process, it has been determined that no update to SBA 90-82 is required at this time.

Budget Formulation

 

CIO Leadership

3

SBA will modify our governance process to incorporate early stage planning. [W]e anticipate that the CIO’s office will complete the planning process for our proposed modification by 3QFY16 and execute any proposed changes to our processes with agency program offices by September 30, 2016.

2016-12-31

Complete

SBA’s acquisition process has been designed to evaluate and provide for CIO approval of IT contracts early in the budget and acquisition planning processes. SBA’s IT governance processes and budget formulation / execution processes support the FITARA Budget Formulation requirements.  The OCFO has drafted its FY 2017 Budget Guidance and completed and approved the development of Government Acquisition Program SOP 20 21 for the purpose of formalizing these processes and controls.

Budget Formulation

 

CIO Leadership

4

SBA will move the CIO evaluation and concurrence earlier in the budgeting process to ascertain how best to provision the required capability (build, buy, or leverage existing technology).

2016-11-30

Complete

A new Acquisition SOP 20 21 was put into agency-wide clearance in August 2016. Reviewer comments and feedback are being incorporated or resolved, and we expect to present the policy for Administrator’s consideration in October 2016.  As a result of the IRB’s existing incorporation into the CFO’s budgeting process, it has been determined that no update to SBA 90-82 is required at this time.

Budget Formulation

 

CIO Leadership

5

An outcome of these review sessions is the CIO’s ability to leverage the TechStat to determine if an investment should be halted, modified or terminated. This process can be strengthened by leveraging various investment and project management automated tools to provide early indications of performance issues.  SBA plans to analyze options for improvement throughout FY16 to enable a budget request (if needed) for the FY18 budget submission.

2016-09-30

Complete

As stated in our implementation plan, we are strongly committed to leveraging the TechStat as a tool to rectify underperforming IT investments.  SBA has already taken steps to identify two investments this fiscal year that required TechStat reviews.  We will continue to utilize the TechStat tool as the CIO determines such a review is warranted.  SBA will continue to leverage current automated tools we have procured to monitor investments (eCPIC) and continue to seek others that may be helpful to identify performance issues as soon as possible.

Budget Execution

CIO Leadership

6

The CIO will update and formally approve the SDM policy in FY 2016 to address requirements for incremental development.

2017-12-31
 

In Progress

The OCIO’s updated SDM is currently in development with a target date for approval by the end of Q1, FY 2018.  The OCIO has expanded the scope of its SDM to incorporate the essential elements of multiple system and software development documents.  This inclusive approach better ensures the updated document will provide the guidance and support needed to identify and deliver IT solutions that support the agency’s strategic vision.  The updated SDM will include selection criteria and paths for utilization of the Agile project management methodology and, where applicable, the continued use of Waterfall type project management methodologies.  The updated SDM will also include updated project management and project scheduling requirements necessary to ensure all major IT investments, at a minimum, deliver functionality every 6 months.

Budget Execution

CIO Leadership

7

Through the agency investment governance process, the CIO has the ability to review project plans and contracting plans and will use these reviews to ensure appropriate incremental development methodologies are being used. Key monitoring metrics and measures will be defined by June 30, 2016.

2017-12-31

In Progress

The OCIO’s updated SDM is currently in development with a target date for approval by the end of Q1, FY 2018.  The OCIO has expanded the scope of its SDM to incorporate the essential elements of multiple system and software development documents.  This inclusive approach better ensures the updated document will provide the guidance and support needed to identify and deliver IT solutions that support the agency’s strategic vision.  The updated SDM will include selection criteria and paths for utilization of the Agile project management methodology and, where applicable, the continued use of Waterfall type project management methodologies.  The updated SDM will also include updated project management and project scheduling requirements necessary to ensure all major IT investments, at a minimum, deliver functionality every 6 months.

Budget Execution

CIO Leadership

8

The CIO will work with agency leadership and the CFO to determine what other possible boards would merit CIO participation to identify shadow or hidden IT.  Review and revision of membership (if required) will be complete by September 30, 2016.

2016-09-30

Complete

Existing integration of the CIO led IT Governance process and the CFO led budget and acquisition processes provides significant insight and control into IT across all SBA divisions.  As a result, the Agency’s CIO and CFO have not identified any additional boards at SBA requiring CIO membership for the purpose of identifying shadow or hidden IT.

Budget Execution

CIO Leadership

9

The CIO and CFO will work together to develop a process to document CIO review and approval of acquisition strategies and plans, IGCEs for IT acquisitions, and issue guidance to program offices and acquisition staff to communicate the requirements

2017-03-31

Complete

SBA’s acquisition process has been designed to evaluate and provide for CIO approval of IT contracts early in the budget and acquisition planning processes. SBA’s IT governance processes and budget formulation / execution processes support the FITARA Budget Formulation requirements.  The OCFO has drafted its FY 2017 Budget Guidance and completed and approved the development of Government Acquisition Program SOP 20 21 for the purpose of formalizing these processes and controls.  The OCIO has also implemented an intake process for all IT acquisitions to ensure they are reviewed and evaluated for required approval by the CIO prior to being executed.  Additionally the OCIO is currently considering opportunities for the automation of this process.

Acquisition

 

CIO Leadership

10

SBA is also investigating automated tools to enforce the process.  Specifically, SBA is engaged in conversations with vendors to determine the potential to leverage asset management tools.  The acquisition of a supporting tool will be analyzed in FY16 with a target of acquisition and implementation by the end of FY17

2017-03-31

Complete

SBA’s has identified internal resources to design and develop an IT Acquisition Tracking System with implementation targeted for end of FY17.

Acquisition

CIO Leadership

11

Combined with the overall agency IT support requirements, the CIO will collect capability requirements from all SBA program managers

2018-06-30

In Progress

The OCIO and the Office of Human Resources Solutions (OHRS) CHCO will develop an IT Strategic Workforce Plan that allows for full Agency-wide deployment of FITARA elements related to Organization and Workforce.  Activities will include the collection of IT capability requirements, development of a holistic approach to determine IT personnel requirements and development of an IT competency and workforce strategy.  OCIO, in collaboration with the Office of Human Resources Solutions (OHRS), developed a task order, prepared an acquisition, obtained funding and are kicking off this initiative on September 7, 2017.   In addition, OCIO submitted and received congressional approval for its reorganization plan to align the SBA’s Digital Services Team under the CIO.

Organization and Workforce

CIO Leadership

12

The CIO and CHCO will work with the agency leadership to develop a holistic approach to determine IT personnel requirements

2018-06-30

In Progress

The OCIO and the Office of Human Resources Solutions (OHRS) CHCO will develop an IT Strategic Workforce Plan that allows for full Agency-wide deployment of FITARA elements related to Organization and Workforce.  Activities will include the collection of IT capability requirements, development of a holistic approach to determine IT personnel requirements and development of an IT competency and workforce strategy.  OCIO, in collaboration with the Office of Human Resources Solutions (OHRS), developed a task order, prepared an acquisition, obtained funding and are kicking off this initiative on September 7, 2017.   In addition, OCIO submitted and received congressional approval for its reorganization plan to align the SBA’s Digital Services Team under the CIO.

Organization and Workforce

CIO Leadership

13

The CIO will coordinate with the CHCO and build an agency-wide working group to develop an IT competency and workforce plan during FY 2016. The required framework will be completed by the end of FY16

2018-06-30

In Progress

The OCIO and the Office of Human Resources Solutions (OHRS) CHCO will develop an IT Strategic Workforce Plan that allows for full Agency-wide deployment of FITARA elements related to Organization and Workforce.  Activities will include the collection of IT capability requirements, development of a holistic approach to determine IT personnel requirements and development of an IT competency and workforce strategy.  OCIO, in collaboration with the Office of Human Resources Solutions (OHRS), developed a task order, prepared an acquisition, obtained funding and are kicking off this initiative on September 7, 2017.   In addition, OCIO submitted and received congressional approval for its reorganization plan to align the SBA’s Digital Services Team under the CIO.

Organization and Workforce

CIO Leadership

14

The results of the analysis and proposed changes should be formalized by the end of FY17

2018-09-30

Not Started

In FY 2018, OCIO will complete the IT Workforce Strategic Plan  and initiate the implementation.  This plan will complete a horizontal integration to ensure the proper level of involvement by all stakeholders in the strategic development and use of the IT workforce, competencies models, and critical elements definition.

Organization and Workforce

CIO Leadership

15

Any resultant work force changes would start to occur in FY18

2018-09-30

Not Started

Execution of the IT Strategic Workforce Plan will begin upon finalization and approval by appropriate stakeholders.

Organization and Workforce

CIO Leadership
16 The SBA CIO and enterprise architecture team will actively work with key program offices to refine our annual DCOI strategic plan by required deadlines outlined in M-16-19 2017-04-30 Complete

SBA submitted its updated DCOI Strategic plan by the required deadline outlined in M-16-19.

non Common Baseline

Other
17

The SBA CIO will continue to support and enhance energy conservation procedures and metrics that will emphasize to the maximum extent practicable energy monitoring, metering and reducing technologies, processes, and procedures at our existing data centers.

2017-12-30

In Progress OCIO has assembled a team of engineers and analysts to move forward with the Data Center Optimization Initiative in earnest. This team is actively installing agents on all SBA servers to monitor, verify, validate, and report our energy usage and other mandated metrics. In addition, this group is currently re-baselining our existing metrics, revising our data center closure plans, integrating those plans with our cloud migration roadmap, and rewriting the DCOI Strategic Plan to ensure full compliance with M16-19. These activities are on track for completion no later than the end of calendar year 2017.

non Common Baseline

Optimization
18

The SBA CIO will continue to work to close the OCIO data center located at SBA HQ.

2017-12-30

In Progress

The SBA established Cloud Initiative Working Group (SCIWG) to close HQ Data Center and move the capability in the Microsoft Azure Cloud. The Working group is currently architecting and planning to complete the move by 4Q, FY 2017. This milestone continues to be heavily dependent on obtaining adequate funding.

non Common Baseline Optimization