Office of the Chief Information Officer
Sections

• Mission and Responsibilities
• Organization
• Order of Succession
• Functions and Responsibilities of the Office of the Chief Information Officer (OCIO) Components
• Immediate Office
• Information Technology Services
• Information Assurance Services
• Information Technology Program Services
• Financial System Services

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I. Mission and Responsibilities
The Office of the Chief Information Officer (OCIO) provides advice and assistance to the Secretary and other senior officials to ensure that information technology is acquired and information resources are managed in a manner that is consistent with the requirements of:

• the Information Technology Management Reform Act of 1996 (The Act),
• the Federal Information Security Management Act of 2002,
• Chapter 35 of Title 44 USC,
• 40 U.S.C. 11315(b) and (c),
• and Executive Order 13011,

The agency's Chief Information Officer (CIO) is charged with implementing the operative principles established by legislation and regulation, establishing a management framework to improve the planning and control of information technology investments, and leading change to improve the efficiency and effectiveness of Departmental operations.
The CIO reports directly to the Secretary of Education and provides leadership and direction to:

• Develop, maintain, and implement a sound and integrated information technology enterprise architecture;
• Provide enterprise-wide IT services that include technical infrastructure support, enhanced infrastructure services, and centrally supported application services;
• Promote the effective and efficient design and operation of major Departmental information resource management processes and recommend, as appropriate, improvements to agency business processes;
• Manage agency information resources to improve the productivity, efficiency, and effectiveness of Federal programs inclusive of information dissemination initiatives and efforts to reduce information collection burdens;
• Develop information technology and information assurance requirements, completing cost/benefit analysis of proposed solutions, managing projects in accordance with sound systems life cycle management procedures and establishing performance standards and measures to assess success of short and long term solutions;
• Define and manage capital planning and investment management processes to ensure their successful implementation and integration with the Department's budget, acquisition and planning processes;
• Monitor the performance of the agency's information technology and information assurance programs and investments, evaluating them against performance and other applicable measures, and advising the Secretary regarding their continuation, modification or termination;
• Assess information technology, information assurance, and information management competencies defined for agency personnel to ensure that Departmental employees are technologically prepared to achieve the Department's strategic goals;
• Manage the agency's Information Assurance Program, developing agency-wide policy for the protection and control of information;
• Deploy and maintain all enterprise-wide information technology;
• Develop recommendations and implement information technology solutions designed to enhance and enable agency business processes;
• Develop and provide technology standards to assure business alignment and promote a viable enterprise technology framework;
• Provide administrative and technical support to the agency's Data Integrity Board and monitor the Department's compliance with the Computer Matching and Privacy Protection Act.
• Manage the agency's participation and implementation of Federal CIO Council Initiatives and coordinate Council activities throughout the Department.
• Coordinate all eGov Initiatives and their status reporting to the Office of Management and Budget (OMB).
• Develops and maintains an integrated Departmental accounting and financial management system, including internal controls in accordance with the Chief Financial Officers Act of 1990 and the Federal Financial Management Improvement Act of 1982.
• Establishes Departmental travel policy and procedures, administers and monitors the agency’s travel system and program, and conducts training to ensure ED compliance with the Federal Travel Regulations.

II. Organization
The Office of the Chief Information Officer (OCIO) is under the immediate supervision of the Chief Information Officer (CIO) who reports directly to the Secretary.
III. Order of Succession
In the event that the Chief Information Officer dies, resigns or is otherwise unable to perform the functions and duties of the office, and the office is thereby deemed to be vacant, the Deputy Chief Information Officer shall temporarily perform the functions and duties of the office in an acting capacity.
In instances where the office is not vacant, but the Chief Information Officer is absent, the following officials, in the order shown, shall perform the functions and duties of the office:
Deputy Chief Information Officer;
Director, Information Technology Services;
Director, Information Assurance Services;
Director, Information Technology Program Services

IV.  Functions and Responsibilities of the OCIO Components

A. IMMEDIATE OFFICE OF THE CHIEF INFORMATION OFFICER

The Immediate Office of the Chief Information Officer provides overall direction, coordination, and leadership to the following elements:

Information Technology Services
Information Assurance Services
Information Technology Program Services

B. INFORMATION TECHNOLOGY SERVICES

Information Technology Services (ITS) supports all enterprise-wide initiatives that reside on the agency’s network (EDUCATE) to include network security, network and telecommunications design and operations, end user services, production server hosting services, and the agency’s intranet and Internet services.  Additionally, ITS maintains and operates the Department’s disaster recovery facility. As assigned, ITS develops and maintains common business solutions that are required by multiple program offices.
The Director, ITS reports to the CIO.  The Director provides overall leadership and coordination to the immediate office staff of ITS and to the following components:

• Network Services Team
• Operational Services Team 

Network Services Team
The Network Services Team implements, manages and maintains the agency’s information and communications technology infrastructure for voice, video and data solutions.
In performing its responsibilities, the Team:

• Monitors contractor compliance with centralized acquisition and inventory management of business communications solutions, including but not limited to: local and long distance services, toll-free services, network circuits, and wireless services.
• Develops policies and monitors contractor compliance with policies and procedures to ensure the efficient and cost-effective use of ED technology resources for business communications and collaboration.
• Monitors compliance of vendor service providers supporting the operations and maintenance of the voice, video and data communications networks, including network services, telecommunications services, and multimedia services.
• Provides oversight to all agency telecommunications activities, managing vendor relationships, and working in coordination with other OCIO organizations to coordinate orders for all telecommunications circuits, services and equipment.
• Directs and represents ED activities on the Interagency Management Council (IMC) for Federal Telecommunications and other intergovernmental forums.
• Works with the Information Technology Program Services to coordinate the delivery of centralized services for traditional and IP-based telephony communications, including call centers, conferencing, cable TV, and IP-TV solutions.

Operational Services Team
The Operational Services Team oversees and monitors all service level agreements associated with the provision of EDUCATE services, and ensures that all departmental employees have appropriate access to the Department's IT services. The team works closely with other OCIO teams and vendors to ensure that all approved EDUCATE business solutions have met security, architecture, program management, and customer support requirements prior to implementation and operation. The team monitors contractor compliance and provides oversight to contractor managed disaster recovery facilities (DRFs) for all of the Department's critical applications. Additionally, the team provides assistive technology solutions to the Department's employees with disabilities and ensures that the agency's electronic and information systems are accessible to employees and members of the public with disabilities.
In performing its responsibilities, the Team:

• Monitors contractor compliance and oversees contract service level agreements providing daily operation and maintenance of all EDUCATE services.
• Provides EDUCATE oversight, integration of security considerations, stewardship of integrated processes between oversight boards, and implementation of standardized processes for contract service level monitoring and reporting.
• Administers the Technical Review Board process for business solutions to be hosted on EDUCATE. Works with other OCIO organizations to ensure appropriate participation is coordinated for program management, security, and enterprise architecture approvals.
• Supports the Enterprise Architecture Team for management of the change control mechanisms for ED's Life Cycle Management process, the Change Control Review Board, and the Security Review Board.
• Provides administrative support to the Change Control Review Board.
• Maintains disaster recovery plans and procedures that ensure continuity of operations for essential Departmental systems in the event of an emergency or other disruption to normal operations.
• Implements and coordinates activities regarding the agency's Critical Infrastructure Protection (CIP) focusing on protecting mission essential infrastructure, promoting best practices in infrastructure management, and developing and promulgating policies to implement requirements of Presidential Direction (PDD) 63.
• In accordance with requirements for a Federal Agency General Support System, maintains a Disaster Recover Plan (DRP) to reconstitute the IT infrastructure needed to support mission-critical functions during a disaster.
• Directs all activities related to the agency's alternate site for redundant systems as prescribed by the Department's system and Continuity of Operations Plans.
• Assists ED employees with disabilities and their supervisors in the selection, purchase, and installation of assistive technologies.
• Evaluates and tests software and web applications under development for the Department of Education to ensure their compatibility with the legislative requirements of Section 508 of the Rehabilitation Act of 1973 and provides technical assistance and remediation strategies to developers and vendors to facilitate compliance.
• Provides advice to program offices regarding strategies for implementing Section 508.
• Provides technical assistance and support to grantees, schools, and interagency and e-gov projects to ensure that electronic and information technology is accessible to students, federal employees, and the public.

C.  Information Assurance Services
Information Assurance Services (IAS) oversees the Department's information technology security program and ensures the confidentiality/privacy, integrity, and availability of the Department's information and information resources. IAS ensures that the Department is fully compliant with the Federal Information Security Management Act of 2002 (FISMA). The organization provides standardized security services and solutions in areas such as Risk Management; Access Controls; Identity and Access Management, Authentication; Encryption Solutions; Public Key Infrastructure (PKI) Technology; and Certification and Accreditation (C&A). 
IAS also directs the agency’s Managed Security Services Program (MSSP) ensuring contractor compliance with MSSP requirements governing the management of the agency’s enterprise-wide security operations center, the mitigation of security vulnerabilities and improvement of the Department’s IT security posture; portal security, and sound configuration management of EDUCATE and its tenant systems.
The Director, IAS reports to the CIO and provides overall leadership and coordination to the immediate office staff of ITS and to the following components:

• Audit and Incident Response Team
• Certification and Accreditation Team

Audit & Incident Response Team
In performing its responsibilities, the team:

• Directs the Department's enterprise-wide information assurance activities, developing policies and guidance to prevent and defend against unauthorized access to networks, system, and data directly or indirectly related to the Department's activities.
• Coordinates department wide policies regarding network and system security, management, operational, and technical controls.
• Directs and manages annual FISMA reporting, and coordinates Program Reviews with the OIG and Senior Action Officer for Privacy (SAOP) in accordance with OMB guidance. 
• Manages incident responses with US-CERT, ED OIG, and other Law Enforcement authorities, and ensures conformance to defined security guidelines and configurations
• Coordinates agency-wide IT security incident reporting and emergency response activities and serves as the Department liaison with the Office of General Counsel, US Computer Emergency Response Team (US-CERT), the FBI, OIG and other external law enforcement agencies concerning IT security incident reporting and follow-up activities.
• Conducts annual Department-wide security reviews mandated by the Federal Information Security Management Act (FISMA) and periodically assists the agency's OIG with the conduct and resolution of Department IT security program and system audits.
• Defines IT security curricula and provides specialized security training for agency's technical staff and general security awareness/orientation training required of all Departmental employees.
• Serves as the Department's official repository for and maintains plans of action and milestones (POA&M) to address weaknesses disclosed by FISMA reviews, IG audits, C&A and Federal Managers Financial Management Integrity Act (FMFIA) annual certifications related to IT security matters.

Certification & Accreditation Team
In performing its responsibilities, the team:

• Provides agency-wide leadership in maintaining and improving the availability, confidentiality and integrity of data maintained in the Department's information systems, including ongoing support of the agency's Data Integrity Board and data matching/exchange agreements with other agencies.
• Enforces Federal IT security standards, including review and evaluation activities prescribed by OMB Circulars A-123 and A-130.
• Enforces Principal Office application inventory certification
• Conducts annual security reviews, such as incident response exercises and continuity exercises, and evaluate and measure the effectiveness of security policies, procedures and standards.
• Creates, manages and maintains a master library of all technical and process documentation and supports the EDUCATE Certification and Accreditation program.
• Reviews Systems System Security Plans
• Conducts and reviews Risk Assessments
• Reviews Security Self Assessments

• Monitors contractor compliance with conducting System Security Tests and Evaluations
• Monitors contractor compliance with assessing risks found during System Security Tests and Evaluations and Risk Assessments
• Reviews Systems Program Objectives and Milestones

• Assembles and checks Certification and Accreditation Packages

D. Information Technology Program SERVICES 

Information Technology Program Services (ITPS) provides agency-wide leadership in the areas of enterprise architecture, IT investment and acquisition management, and web support. The organization is responsible for defining and establishing a sound and integrated IT enterprise architecture and managing the Department's Lifecycle Management (LCM) framework. Working collaboratively with the Executive Management Team and the Department’s Investment Review Board, ITPS defines and facilitates the implementation of policy governing the agency’s enterprise architecture and promotes the use of application, data, and technology architecture and standards throughout the IT investment and management process.
The organization oversees Capital Planning and Investment Control (CPIC) processes to ensure that long range IT planning efforts are integrated with the Department’s budget and acquisition processes and that the agency’s IT investment portfolio is congruent with its enterprise architecture. It also functions as a portal for the provision of OCIO services and technical assistance to the agency’s principal offices, utilizing certified project managers to support offices in the development of IT-based business solutions.  The organization ensures configuration control and change management for EDUCATE and its tenant systems. ITPS also manages web-based applications that support the agency's on-line business processes and provides application development support across the Department. 
The Director, ITPS reports to the CIO.  In addition to Immediate Office staff, the Director provides leadership and direction to the following subordinate units:

• Investment and Acquisition Management Team
• Project Management Team
• Development Services Team  

Investment and Acquisition Management Team
The Investment and Acquisition Team is responsible for developing and implementing strategies and programs designed to enhance the Department's OMB 300 business case preparation and capital investment management and planning.
In carrying out its responsibilities, the Team:

• Provides IT acquisition support to the agency’s program offices and facilitates the implementation of the Department’s IT Acquisition Review and Clearance Process.
• Oversees the Capital Planning and Investment Control (CPIC) process to ensure that long range IT planning efforts are integrated with the Department’s budget and acquisition processes and that the agency’s IT investment portfolio is congruent with enterprise architecture.
• Provides Department executives and managers with accurate, timely information on IT investments, including life cycle costs, schedules and performance.
• Develops and submits recommendations to the PIRWG and Investment Review Board (IRB) regarding IT investments (including projects, systems, IT workforce and initiatives) to assure that investment decisions are mission aligned, cost justified and approved only after careful and systematic review.
• Defines capital planning and investment policies and procedures.
• Coordinates and supports across the agency, investment decision processes that are prescribed by the Clinger-Cohen Act of 1996.
• Develops and promotes Department-wide IT investment performance measures to assess agency progress in meeting requirements under the Government Performance and Results Act, the Information Technology Reform Act, and other relevant legislation.
• Reviews and clears IT acquisitions linked to OMB 300 business cases and ensures that the appropriate security, FOIA compliance, and IT operations planning are taken into consideration.
• Administers and provides oversight for the procurement of IT services and the contract management of those services.

Project Management Team
The Project Management Team provides support to Department Principal Offices for provision of OCIO services and support (EDUCATE, MSSP, PO-specific capabilities), as well as certified project managers to support program offices in the development of information technology-based business solutions to be hosted on EDUCATE. The Project Management Team will offer Principle Offices a single-point of access across all OCIO teams and areas for coordinating the provision of IT services and capabilities. The team also maintains the Department's formal IT Project Management Process and provides training on the IT Project Management Process to program offices.
In carrying out its responsibilities, the Team:

• Provides a core of qualified project managers to execute the OCIO's formal IT Project Management Process in support of EDUCATE customers who require new solutions to be developed.
• Performs technology assessments and analysis.
• Provides administrative support to program office IT project managers engaged in the Information Technology Review Board process.
• Defines IT design elements, and develops and tests solutions for emerging customer requirements.
• Provides project management support to Department technology customers that are relocating offices.
• Provides IT project managers for liaison work on all eGov Initiatives.
• Provides IT project management support to program offices requesting OCIO’s management of Life Cycle Management (LCM) activities for the program office's IT business solutions.
• Provides coordination and support to all Principal Offices for the acquisition of EDUCATE services.

Development Services Team
The Development Services Team manages the web-based applications that support and enhance the agency's on-line business processes and provides additional application development support across the enterprise. The team manages the Department's primary websites (ed.gov, connectED) and provides expert advice and support for web-based application development activities.
In performing its responsibilities, the Team:

• Develops and manages Internet and Intranet applications and coordinates the delivery of appropriate training for Departmental users.
• Enhances education information dissemination, developing new information resources and improving on-line business processes.
• Defines and explores opportunities for Government-to-Customer, Government-to-Business and Government-to-School e-business initiatives and measures effectiveness of new endeavors.
• Maintains and operates the Department's internet Web site, ed.gov.
• Maintains and operates the Department's intranet Web site, connectED.

E. Financial Systems Services

The Financial Systems Services (FSS) operates and maintains the agency’s financial systems; develops, tests, and installs related hardware and software components; provides end-user training and support; establishes policies and procedures; and ensures system compliance with applicable laws and regulations. On a daily basis, the Group is also responsible for the operation and maintenance of the agency’s core financial applications that contain books of original entry for all funds authorized by the Congress for programs managed by the Department. FSS also establishes Departmental travel policy and procedures, administers and monitors the agency’s travel system and program, and conducts training to ensure ED compliance with the Federal Travel Regulations.

In carrying out its responsibilities, FSS:

• Manages and oversees the systems infrastructure of the Department's financial management system
• Coordinates with the Office of the Chief Information Officer to manage and maintain the platform's hardware, system software, application software and automation tools
• Investigates and tests new enabling hardware and software
• Provides technical and functional support to internal and external users of the Department's financial management system
• Coordinates interagency electronic grants initiatives
• Ensures the security of sensitive data residing in the financial management systems
• Ensures application software meets the business needs of ED's staff
• Trains users on necessary application software and automation tools

The Director, Financial Systems Operations, reports to the Chief Financial Officer and provides overall leadership and coordination to the following components:

Systems Operations and Maintenance Group
Functional Applications Group
Financial Systems Support Group
Financial Systems Transactions Group
Electronic Grant Initiatives and Support Staff

Systems Operations and Maintenance Group

In carrying out its responsibilities, the Group:

• Installs, configures, tunes/optimizes, and troubleshoots the financial management system platform's databases.
• Installs, configures and troubleshoots the financial management system platform's application software and other various automation tools.
• Maintains the platform's operating system activities (i.e. directory/volume structures, performance enhancements, backups, restores, etc.)
• Oversees configuration management (version control) for all financial management system application and system software.
• Provides a Federal ADP Security strategy and direction for the financial management system platform (hardware/software/communications). Also ensures Federal ADP Regulations compliance.
• Develops and maintains security and contingency plans for the financial management systems.
• Provides guidance for permitting access to the financial management system platform and its system and application software, and other automation tools. Provides technical expertise and troubleshooting assistance to users of the financial management system.
• Develops and oversees task orders for the enhancement and modification of application software packages.
• Performs the final analysis on requirements for modifications and enhancements to application software packages (forwarded by the Functional Applications Group).
• Manages the testing of all application software enhancements and modifications.
• Investigates and recommends new and enabling application software and related automation tools.
• Develops (internally), the necessary automation applications and tools (i.e. Bridges, Conversion Routines, Tracking Systems, etc.)
• Assists in the administration of contracts and task orders to software vendors.

Functional Applications Group

In carrying out its responsibilities, the Group:

• Continues the implementation of planned application software modules and patches.
• Prepares the initial drafting of requirements for enhancements or modifications to application software packages.
• Maintains the functional integrity of all application software packages.
• Assists the Super Users Help Desk with application problem identification and resolution.
• Assists with the development of operation policy that supports the software application packages.
• Provides expertise for developing ad hoc and standard reports for all financial management system application software.
• Assists in the development of up-to-date data dictionaries for all of the financial management system application software packages. 
• Establishes Departmental travel policy and procedures, administers and monitors the agency’s travel system and program, and conducts training to ensure ED compliance with the Federal Travel Regulations.
• Maintains the agency’s Virtual Performance System (VPS), a planning and performance management database of Departmental and program goals, objectives, strategies, performance measures, and targets.

Financial Systems Support Group

In carrying out its responsibilities, the Group:

• Maintains Help Desk for internal Super Users to track and resolve end-users application software problems.
• Develops a training strategy for all applications on the financial management system platform.
• Develops and maintains internal training materials.
• Develops training courses on various subjects related to the mission of the Financial Systems Operations.
• Maintains a Payments Processing Help Desk to assist grant recipients with drawing awarded funds.
• Provides status and policy information to internal and external users on financial management system software.
• Provides presentations on pertinent software applications, policy or status issues.
• Assists in the development and maintenance of the Financial System Operations' website.

Financial Systems Transactions Group

In carrying out its responsibilities, the Group:

• Ensures that existing financial systems comply with the Standard General Ledger requirements and OMB/Joint Financial Management Improvement Program guidance as it relates to such systems.
• Identifies, specifies, and investigates new equipment or developments in automated data processing that could replace manual operations or provide more responsive financial systems.
• Manages all funds control systems within the current financial systems and the internal/external accounting reporting systems.
• Receives administrative and program appropriation apportionments, warrants, allotments, and limitations from Treasury, OMB, and the Budget Service; prepares and inputs apportionments and warrants into the accounting system; and establishes the books of original entry/official accounting records.
• Verifies fund availability for commitment and obligation documents received from program and staff offices and records related fund transactions in the automated accounting system.
• Processes payment requests, award updates, adjustments, and recipient expenditure data
• Oversees the FEDWIRE and other payment processes.

Electronic Grant Initiatives and Support Staff

The Electronic Grant Initiatives and Support Staff functions as liaison between OCFO, ED Program Offices, the agency’s Office of Grants Accountability (OGA), and government-wide grant related E-GOV initiatives to identify the implications of interagency grants policy decisions on grants systems development activities.  The Staff works collaboratively with the OGA to support the successful implementation of electronic grants initiatives and provide leadership to grant related data collection and reporting activities.  The staff also operates the agency’s Grant Application Control Center.

Specifically, the Staff will:

• Provides system administration support for the Grants.Gov FIND and Grants.gov APPLY Modules. 
• Coordinates with ED program offices and the Office of General Counsel’s DRS staff to provide technical assistance to the agency’s program offices to ensure accuracy of grant funding opportunity synopses entered into Grants.gov FIND;
• Represents the OCFO in Grants.gov stakeholders meetings, and in meetings of the P.L. 106-107 (The Federal Financial Integrity and Management Improvement Act) Workgroups, FFATA (The Federal Financial Accountability and Transparency Act) groups, and the National Grants Partnership to proactively identify issues affecting the agency’s electronic grant-making activities.
• Provides leadership to the preparation of the agency’s Annual P.L. 106-107 Report to Congress, coordinating with OMB, agency program offices, and OCFO staff to develop the content and finalize production of the report.
• Coordinates requirements for information collections related to discretionary grant programs, entering data into EDICS, tracking expiring collections and preparing OMB requirements for paperwork clearance. 
• Responds to public inquiries regarding the Department’s programs featured in Grants.gov FIND and APPLY, and direct questions to appropriate source.
• Develops recommendations for OCFO, agency program offices and other parties related to the implementation of the Federal Financial Accountability and Transparency Act (FFATA), including analysis of the impact of proposed FFATA data elements to be reported under FFATA on the Department and its awardees. 
• Reviews and monitors the receipt of grant application packages to ensure compliance with departmental requirements and coordinate the receipt and distribution of grant applications to Principal Offices.