HHS Enterprise Information Technology Strategic Plan (Draft)FY 2006 – FY 2010 Table of Contents 1. Introduction.. 1 1.1 Purpose of HHS Enterprise IT Strategic Planning.. 1 1.2 Organization of the IT Strategic Plan.. 2 1.3 Application and Utilization of the Plan.. 3 2. Strategic Planning and Performance Management Methodology.. 4 2.1 Background.. 4 2.2 Key Requirements of the HHS IT Strategic Planning and Performance Management Methodology 5 2.3 Overview of Strategic Planning and Performance Management Methodology.. 6 2.3.1 Process Flow View.. 6 2.3.2 Implementation View.. 8 2.3.3 End Result View.. 10 2.3.4 Organization, Governance Structure and Governance Principles. 12 2.3.5 Current Status and Implementation (January 2006)13 3. Overview of HHS. 14 3.1 Department Organization.. 14 3.2 The IT Community.. 15 4. Environmental Analysis. 17 4.1 Current Environment. 17 4.2 Internal Forces. 19 4.3 External Forces. 19 4.4 Key Themes. 24 5. IT Strategic Direction.. 26 5.1 IT Mission.. 26 5.2 IT vision.. 26 5.3 IT Goals and Objectives. 27 5.4 Aligning the IT Strategic Plan with the HHS Strategic Plan.. 28 5.5 Linking the IT Strategic Plan to the OPDIVs. 29 6. Key Initiatives. 31 6.1 Secure One HHS – Emphasis on IT Security Department-Wide. 31 6.2 Infrastructure. 32 6.3 Enterprise architecture. 34 6.4 IT Support to the ONC.. 34 6.5 Web Services and egov initiatives. 34 6.6 Communications and Collaboration.. 35 6.7 Human Capital Planning and Management. 35 6.8 ITIM and Performance Management. 36 7. Future Trends. 37 8. Conclusion.. 39
EXECUTIVE SUMMARY The HHS Information Technology Strategic Planning family of documents includes three unique volumes. Volume 1 (this document) is the HHS Enterprise IT Strategic Plan (5 Year cycle). Volume 2 is the HHS Enterprise Tactical Plan (3 Year cycle), and Volume 3 is the HHS Enterprise Performance Measurement and Evaluation Plan. The HHS Enterprise IT Strategic Plan (Volume 1) focuses on the HHS Mission and the corresponding IT Mission, Vision, Goals and Objectives. It includes a discussion of key internal and external drivers that govern the IT strategy, as well as a discussion of key IT strategies and technologies that have been identified as priority approaches to meeting defined goals and objectives. The Volume 2 Tactical Plan provides a greater level of detail and specificity for key IT strategies and initiatives. This volume is intended to provide greater insights into key IT strategies and initiatives over the 3-year period for Enterprise Initiatives as well as priority IT investments across the department. The Tactical Plan will also categorize and discuss these key investments in terms of three primary IT investment categories: - IT Management and Oversight: This includes all categories of IT investment that are employed in the process of IT management and oversight, including: Enterprise Architecture, IT Human Capital Planning, Capital Planning and Investment Control, Information Technology Investment Management Maturity, Training, Policy Development and Monitoring, and Performance Measurement.
- IT Infrastructure and Enterprise Initiatives: This category includes IT infrastructure investment from the perspective of common, shared IT services including the traditional view of infrastructure such as networks and shared services. However, this category applies a broader definition to infrastructure to include shared infrastructure such as help desks and support processes, shared (or common) services (operating system, security, infrastructure, information, application), and the infrastructure needed to deliver shared, federated services to consumers. This category also includes planning for Departmental enterprise initiatives which are intended to provide core or essential IT services in support of all HHS STAFFDIVs and OPDIVs (e.g. Enterprise eMail).
- Mission Specific Initiatives: This section of the Tactical Plan will provide coverage of IT investment specific to HHS mission areas. This will generally include planning for key IT initiatives including acquisition of systems/applications that support the OPDIV mission areas, and will focus on key IT priorities that align with HHS goals as identified by the Secretary as well as priority investments as identified by HHS CIOs.
The Performance Measurement and Evaluation (PM&E) Plan (Volume 3) will focus on the performance measurement process, tactical performance measures for IT investments defined in the Tactical Plan in all categories, and the approach to the operation and governance of IT performance measurement for the HHS enterprise. Information technology is a powerful tool for accomplishing the HHS mission, and it presents significant opportunities to drive progress for public health and human services. This plan details the IT strategies that support the achievement of HHS’ mission and goals, maps HHS IT Goals and Objectives to these business goals, and advances the most effective and efficient use of IT across HHS. It aligns the enterprise-wide IT strategic direction with Departmental, government-wide, and national priorities, while maintaining a focus on citizens, customers, and stakeholders. The mission of the Department of Health and Human Services defined in the HHS Strategic Plan is as follows:
HHS Mission To enhance the health and well-being of Americans by providing for effective health and human services and by fostering strong, sustained advances in the sciences underlying medicine, public-health and social sciences. |
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This update to the U.S. Department of Health and Human Services (HHS) Enterprise Information Technology (IT) Strategic Plan for Fiscal Year (FY) 2006 – FY 2010 reflects an alignment and consistent direction explained in the previous HHS strategic business plan. First, this plan describes the significant improvements in the HHS IT strategic planning process and other changes by aligning HHS IT mission, vision, goals, and objectives with HHS goals and objectives. The updated plan also removes specific initiative and operational-level information, which will be included in the Tactical and Performance Measurement and Evaluation Plans (Volumes 2 and 3). Collectively, these changes will result in a comprehensive IT strategic planning process built on a foundation laid out in the previous HHS Enterprise IT Strategic Plan. Figure 1 explains the transition to the desired state of performance-based IT planning and management at HHS. ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig1.jpg)
Figure 1. Comparison of Current and Future HHS IT Strategic Planning Programs A structured strategic planning process was used with HHS key business roles to create a comprehensive enterprise IT strategic plan. The process used to conduct this IT planning process was based on the results-oriented planning approach prescribed in the President’s Management Agenda (PMA) and E-Government (eGov) reforms. It provides for developing strategies that guide operational IT activities, and implementation of those strategies as illustrated in Figure 2. ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig10.jpg)
Figure 2. Strategy – Implementation Continuum Four themes form the foundation for the IT Strategic Plan: - Focus on the enterprise
- Recognition of business needs
- Understanding and responding to customer and stakeholder needs
- Cost-effectiveness
These themes are interwoven throughout the plan and are evident in IT goals and objectives. The HHS IT mission captures the role of IT in support of achieving HHS business outcomes. The HHS IT vision expresses what and where IT needs to be in the future to help achieve the HHS mission. The IT mission and vision are as follows:
HHS IT Mission Provide a well-managed and secure enterprise information technology environment that enables stakeholders to advance the causes of better health, safety and well-being of the American people. |
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HHS IT Vision Provide robust, flexible, efficient, and secure information technology enabling the HHS enterprise and its partners to respond to the requirements of their missions. |
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HHS has identified five goals and a series of supporting objectives (Appendix B) that aim to help the HHS IT community fulfill its IT mission and achieve its IT vision. The IT goals identified are:
HHS IT Goals Goal 1: Provide a secure and trusted IT environment. Goal 2: Enhance the quality, availability, and delivery of HHS information and services to citizens, employees, businesses, and governments. Goal 3:Implement an enterprise approach to information technology infrastructure and common administrative systems that will foster innovation and collaboration. Goal 4:Enable and improve the integration of health and human services information. Goal 5: Achieve excellence in its management practices. |
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The HHS Enterprise IT Strategic Plan reflects a firm commitment to supporting the President’s and Secretary’s visions by providing a roadmap to help HHS constantly seek improvement in the way it conducts business and serves its customers and stakeholders. The FY 2006 Plan includes five goals and nineteen objectives based on a results-oriented management approach. Consolidation and modernization together will improve both the breadth and depth of HHS services while increasing efficiency. Process improvement will lead to increased efficiency and the reduction of overall operating costs that can be redirected to benefit the people served. In addition, increased attention to the many facets of IT security will increase public confidence in the integrity of HHS programs and services. HHS’ commitment to meeting the challenges of IT security, the President’s Management Agenda, E-Government strategies, homeland security priorities, and the Secretary’s One HHS initiative is at the core of the HHS Enterprise IT Strategic Plan.
This update to the Department of Health and Human Services (HHS) Enterprise Information Technology (IT) Strategic Plan outlines clear, comprehensive, and enterprise-wide information technology strategies aimed at achieving HHS business outcomes. It is aligned with the currentl HHS Strategic Plan, and ensures that those linkages are highlighted throughout. This updated Strategic Plan reflects improvements and changes outlined in the following section. Information technology is a powerful conduit for carrying out the HHS mission, and it presents significant opportunities to drive progress for public health and human services. This IT Strategic Plan details the most effective and efficient use of IT resources across HHS, aligning the enterprise-wide IT strategic direction with Departmental, government-wide, and national priorities, while maintaining a focus on citizens, customers, and stakeholders. This plan also aligns the strategic direction of HHS IT with achieving HHS programmatic and business outcomes. It reinforces the need to base IT operational activities on firm business requirements. The HHS Office of the Chief Information Officer (OCIO), in coordination with the Operating Divisions (OPDIVs), has developed and used a structured strategic planning process which has been refined it since its first use. This update is based on stakeholder (OPDIV and HHS headquarters) analysis to identify lessons learned, confirm the IT strategies identified in the original version, and incorporate suggestions for improvement. This plan also identifies improved alignments between the HHS and IT strategies. The process of developing the HHS Enterprise IT Strategic Plan has not changed, but integrating that process within HHS IT planning has significantly improved. A noticeable change involves improvement in managing IT performance to ensure achievement of the IT strategies identified in this plan, thereby optimizing the impact of IT in achieving the desired HHS business outcomes. Overall satisfaction with the IT strategies provided confirmation to direct HHS IT, as previously proved, for the next three to five years, with minor changes to reflect the role of IT in achieving business outcomes. Future environmental changes may impact HHS IT, forcing changes in HHS IT strategic direction. The HHS OCIO will update this plan as needed to preserve consistency with updates to the HHS Strategic Plan or to account for significant environmental changes. This HHS IT Strategic Plan is based on a results-oriented planning approach in support of the Presidential Management Agenda (PMA) and E-Government efforts. The OCIO will develop an Annual HHS Information Resources Management (IRM) and Performance Plan that describes the IT and management initiatives; as well as performance goals and targets that support achieving the IT strategies identified. Each of the strategic goals and objectives is based on a results-oriented management approach. The OCIO and the HHS CIO will track progress toward each goal and objective through a series of performance measures. The performance management information will be used to assess progress and will serve as a critical input for planning to ensure continued improvement. The strategic planning process provides a strong foundation for effective information resources management for current and future years. The HHS CIO and OCIO are dedicated to continuing a structured and collaborative strategic planning process, keeping the focus on integrating IT capabilities to ensure an enterprise-wide approach to IT planning and investment. This plan maps to the strategic planning process, which is based on a continuum of elements to implement the strategy (see Figure 3). ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig3.jpg)
Figure 3. Planning Strategy Continuum A vision for how IT supports HHS in fulfilling its mission logically and systematically leads to identifying IT operational activities and investments. This plan focuses on establishing the IT strategic direction to achieve HHS business outcomes and includes the following: - Overview of HHS – Provides a description of the Department and a high-level organizational structure and creates a better understanding of the role of the Department, its organizational complexity, and role of IT organizations.
- HHS Departmental Strategic Direction – Outlines the Departmental mission, vision, and goals as defined in the current HHS Strategic Plan. The HHS Strategic Plan identifies the programmatic goals of the Department for which IT serves as an enabler.
- HHS IT Strategic Planning – Describes the impetus for IT strategic planning, an overview of the HHS IT strategic planning program, current planning efforts, the framework applied, and discusses integrating IT strategic planning with other business processes. It provides for understanding the context of this plan and the effortsdedicated to develop it, and align this plan with the Annual HHS IRM and Performance Plan.
- Environmental Analysis – Describes external and internal causes impacting the direction of IT at HHS from the Secretary’s priorities to legislative and regulatory requirements to customer and stakeholder needs. It establishes the context within which the HHS Enterprise IT Strategic Plan is designed.
- IT Strategic Direction – Defines the enterprise-wide IT mission, vision, goals, and objectives, ensuring linkages to the HHS Strategic Plan.
- Strategic IT Performance Management – Defines the HHS IT strategic performance management and evaluation system.
- Application and Use of the Plan – Describes the role of this plan in the HHS IT planning process and provides guidance and direction to OPDIV and HHS headquarters stakeholders on the practical application of the HHS enterprise IT strategies.
While previous releases of the HHS plan included IT and management initiatives in the Appendixes, this version excludes those operational and tactical plans in order to better maintain the plan’s focus on the IT strategic direction. A comprehensive discussion is found in the HHS IT Strategic Planning section under IT Strategic Management Activities. HHS’ commitment to support the President’s and the Secretary’s visions is reflected in this plan, providing a roadmap to help the Department use IT to enable the achievement of the HHS vision and fulfillment of the HHS mission. The HHS Enterprise IT Strategic Plan is intended to be a long-term, living document that should guide IT operational activities. This plan has been created to help the OCIO and the OPDIVs improve the use of IT to achieve HHS business outcomes, and to help the Department improve the way it conducts its business and delivers services to the public. It is crucial that both the OCIO and the OPDIVs use the plan as a starting point for business planning and decision-making.
This section describes the methodology for developing a strategy and managing it effectively through a performance management system. Strategic Planning and Performance Management are fundamental elements supporting the Secretary’s goal of managing HHS on an enterprise basis. The ability to produce and analyze performance data on a timely basis underpins all management activity. As a result, fully implementing the system and business process outlined here is in itself an important objective for the current IT Strategic Plan. The OCIO, with the leadership of the HHS CIO focused the effort on achieving five key outcomes: - Promote collaboration across the Department and build on previous strategic planning efforts
- Integrate full security scope into the plan
- Prioritize and specify performance metrics for IT goals and objectives
- Clearly align the HHS Enterprise IT Strategic Plan with the HHS Strategic Plan
- Evolution toward: One Department; One Direction; One HHS: 20 Department-Wide Objectives
To achieve these outcomes, the OCIO targeted the following general process improvements:
Strategic Planning Program Element | Activity |
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Strategic Planning Process | Improve process institutionalization and decision support for workshops |
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Stakeholder Involvement | Improve stakeholder involvement and actively engage senior IT leadership across HHS | HHS Enterprise IT Strategic Plan Content | Update the HHS Enterprise IT Strategic Plan to reflect environmental changes and lessons learned from previous efforts |
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Strategic IT Performance Management | Develop and implement an integrated strategic IT performance management system |
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Strategic IT Performance Measures | Revise / improve / validate measure quality, improve classification and presentation of measures, and improve alignment with IT strategies |
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In addition to this OCIO guidance, the methodology described here builds upon previous plans, lessons learned, industry and government best practice, guidance and recommendations from OMB and GAO and is able to leverage other key process improvements in other areas of IT business management: Capital Planning and Investment Control (CPIC), Enterprise Architecture (EA), Earned Value Management (EVM) and the plan to mature all of these processes to facilitate greater Departmental performance. The following sections describe the requirements for the methodology and then give an overview of the associated processes and implementation. Finally, details of governance and required management participation and the current implementation status are given. The key requirements for the HHS IT Strategic Planning and Performance Management Methodology were developed in the context of the following Mission Statement: “The purpose of the HHS IT Strategic Planning and Performance Management Methodology is to manage a large, diverse IT organization using an effective alignment to common goals, a traceable goal accountability, a common currency of performance data, and a business system that reports actionable data on a timely basis to the right level of management.” The development of the methodology relied on a review of lessons-learned and management capabilities assessments that were developed during the previous Strategic Planning exercise, a review of best practices in industry and government, and an assessment and understanding of how current and future management capabilities and processes in other areas of IT management (CPIC/ITIM Maturity, EA, EVM) could shape and benefit from an improved methodology. The research exercise also benefited from and sought to address recommendations from GAO reports evaluating IT management at the Department. Based on this research, high-level requirements for the methodology were developed. Integration: The methodology should integrate the two elements of Strategic Planning and Performance Management and business processes should be integrated with other IT management processes rather than add a new layer of activity. Any tool developed should leverage existing data collection, analysis, and reporting capabilities. Institutionalization: Embedding the methodology in the business is aided by the integration described above, but also requires executive sponsorship and organizational champions. Lifecycle Management: Given the 5-year horizon, the process, performance measures, and system must be able to coordinate planning and analysis over this period, accommodating changes in maturity in the projects and evolving performance measure relevance. The methodology should be able to identify when goals and objectives have been achieved–not just when a project is complete. Scalability: The system must be able to accommodate new data and legislative requirements as they arise. In addition, a review of the best practice literature reveals that a key element is the recommendation to build a complex framework gradually over time to drive process effectiveness and institutionalization. The full system should be capable of being implemented incrementally. Data Reuse Enabled: A common problem for government agencies is the proliferation of reporting requirements and data calls and the tendency to have to expend time and effort to manage them individually when the target information is applicable to multiple tasks. The methodology should ensure that the right information is collected at the right time and that it can be formatted and presented to meet all requirements. Effective Stakeholder Input Enabled: The structure of HHS, with numerous, large, operating divisions with related but individual business missions requires that the concerns, priorities, and practices of all interested parties be given ample scope for inclusion in the planning and performance management process. While seeking to achieve harmonized and rationalized activities where appropriate, the OCIO wants to leverage the best practices for the whole Department from wherever they are being achieved. Improve Understanding and Measurement of IT Contribution: Often IT is an enabler of mission and business results, rather than a direct contributor. The methodology needs to give insight through objectives and measures as to how IT is leading to business and mission outcomes. A related issue is that focus needs to shift from in-process measures showing outputs to measures that indicate progress to outcomes. Improve Alignment of Goals: Greater insight into the alignment of goals, objectives, and measures can help foster a culture of accountability and increase management’s effectiveness. On a system level, a hierarchy of linked relationships is the organizational basis for an integrated and comprehensive tool. In this enhanced model, Strategic Planning and Performance Management are integrated in a three volume structure comprised of Enterprise IT Strategic Planning, Enterprise IT Tactical Planning, and Enterprise IT Performance Management. The first two volumes encompass the IT Strategic and Tactical Plans and the third volume describes the methodology for the performance measurement system and identifies performance measures. In this overview, the methodology for the integrated process is presented in three “views”: Process Flow, Implementation, and End Result, to give a summary understanding of how the methodology achieves its goals. The methodology is described more fully in Volume 3–Performance Management. To maximize the usefulness and facility of the three volume Strategic Planning family, the Tactical Plan describes in greater detail the initiative- and operational-level information that serves as a roadmap to implement the Strategic Plan. Previously, this information was summarized in the Enterprise IT Strategic Plan. While some initiative- and operational-level information has thus been removed from the Strategic Plan, additional implementation-oriented strategies are available overall. The Strategic Plan has been enhanced by the inclusion of fuller descriptions of initiatives and investments and their alignment to OS and OPDIV goals and objectives. The following Process View diagram (Figure 4) shows the Strategic Planning and Performance Management processes in the context of general strategy and broader IT management in the Department and also includes a view of how OPDIV goals and objectives are integrated. ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig4.jpg)
Figure 4. Strategic Planning and Performance Management Process Flow View A key goal for successful implementation of the Strategic Planning and Performance Management processes is integration with existing planning and IT management processes which will assist in effective institutionalization. To that end, the Strategic Planning and Performance Management processes are anchored to the Enterprise Architecture Framework through use of the Performance Reference Model (PRM) tailored to the HHS architecture, and to the CPIC framework through linkage with CPIC processes at the Pre-Select, Select, Control and Evaluate stages as shown by the rectangles immediately preceding and following the Strategic and Tactical IT Planning Volumes of the methodology. HHS IT goals and OPDIV IT goals are shown aligning with the broader business goals in the preceding Strategic Planning box. OPDIVs retain their individual business roles that subsequently inform some OPDIV specific IT goals. Where IT goals touch on areas of common infrastructure, the goals and objectives are coordinated between the Department and OPDIV goals; this is intended to be a flexible arrangement. The strategic direction is toward centralizing common infrastructure, but this does not require that the centralization be undertaken by the Department. Where an OPDIV develops a best practice, this can be leveraged across the Enterprise. The IT Tactical Plan, which takes the required outcomes from the IT Strategic Plan and develops an implementation and operational approach, subsequently provides goal and objective alignment that informs the screening process for initiatives at the CPIC Pre-Select and Select phases. The performance measures and milestones required in the OMB 300 as well as the alignment with Mission and Goals can all be derived from the goal and objective alignments and IT Tactical performance measures. The process thus enforces effective goal, objective, and measure alignment at the start of the CPIC process. Subsequently, the Performance Management system and processes measure and evaluate progress throughout the CPIC Control and Evaluate Phases. Rather than having the development of performance measures and investment evaluation criteria as ad hoc and/or isolated activities, the framework provides both a rigorous goal and objective alignment combined with effective performance measures over the lifetime of the initiative. The use of the Performance Reference Model also means that as the HHS EA matures, the Performance Management process will also be able to provide an EA perspective to manage IT initiatives. In general, the process outlined here will be far more effective in managing investments on an aggregated basis and will thereby contribute significantly to the achievement of ITIM Stage 3 which will move the Enterprise towards true IT investment portfolio management capability. The Implementation View diagram (Figure 5) focuses on the organizational units and methods by which the goals, objectives, and measures will be derived. Again, this emphasizes the importance of institutionalization in achieving successful implementation of the integrated system. ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig5.jpg)
Figure 5. IT Strategic Planning and Performance Management Implementation View In the IT Strategic Planning phase, IT Executives from the OPDIVs and OS derive or update Mission, Vision, and Objectives in a workshop forum. Objectives are broad statements of intent that are then further decomposed into sub-objectives that focus the objective into a measurable activity. From this, Strategic Outcomes, which are fully measurable, combined with other Critical Success Factors can be developed which subsequently can be used to determine if the original goal and objective have been achieved. At the Executive level, the Performance Management system needs to determine in a binary fashion whether a goal has been achieved, yes or no. To make goal management and presentation more meaningful, the aggregated outcome measures and critical success factors can be organized by the categories of the Balanced Scorecard (as well as other categories). In the diagram, the Balanced Scorecard Perspective is represented by a dotted line box. Finally, progress towards goal achievement can also be supplied to the executive level by the dashboard as described in the End Results View below. This dashboard can provide executives with summary statistics or rollups of data provided at lower levels of management. The concept of Strategic Outcome measures as described above is contained in the Performance Reference Model (PRM) of the Federal Enterprise Architecture (FEA). It is the PRM that links the Tactical Plan to the CPIC processes as shown in the IT Tactical Planning Volume. The PRM both establishes a link to the Enterprise Architecture and decomposes into discrete measurable steps how IT contributes to the strategic outcome. Establishing these measurable steps is known as establishing a “Line of Sight.” In the diagram the Line of Sight and the PRM categories are indicated by the arrow reaching to the strategic outcomes and the five boxes. Because the measures for the Line of Sight are required for the OMB 300 the link to the CPIC process can be established by requiring the PRM measures as part of the Pre-Select/Select phase. The CPIC investment selection process is also aided greatly by having a clear goal alignment hierarchy from the IT Strategic Plan to assess the relative importance of competing proposed investments. The CPIC process is thus strengthened in its selection of initiatives and important material is provided for the creation of the OMB 300. Oftentimes the alignment between Goals and Objectives is imperfectly established and performance measures are usually developed in isolation with suboptimal results both in terms of the quality of the measures in themselves and in their link to the desired outcome. Below the PRM measures are boxes representing “standard measures” and “other custom” measures. These boxes represent the final elements of the performance measures data model. To manage the initiatives effectively, project managers will likely need more measures than the PRM measures provide. The concept here is that for many IT activities standardized measures can and should be used so as to permit benchmarking and to simplify IT management. For specific mission-related IT, custom measures will likely still be required, but the Performance Management process should ensure that these measures are of high quality and truly reflect unique requirements. One important standard category of measures already collected is Earned Value data. These measures can be rolled up at successive levels of management via the dashboard/reporting process to provide important progress indicators. Other standard data, for example, Help Desk Data, can be aggregated to form multi-dimensional quality indices that can indicate status without overwhelming executives with information. It is the job of the Performance Management Volume to determine effective sets of measures and indicators and to establish them at the appropriate reporting level. The End Result View shown in Figure 6 shows the core processes and products that make up the integrated Strategic Planning and Performance management process after full implementation. The diagram indicates how the methodology can be integrated to support more effective tactical and strategic management and how it can support multiple reporting and management processes. At its most basic, the methodology produces the 5-year Strategic Plan, the 3-year Tactical Plan and performance measures that align with goals and objectives and measure performance and progress towards goal completion. This core is the framework from which the various process, activity, data, and reporting goals and requirements can be fulfilled. The concept of the flexible core framework is important as it means that the system can evolve to achieve more complexity and add more processes, goals, or reporting requirements over time. ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig6.jpg)
Figure 6. Strategic Planning and Performance Management End Result View In the preceding diagram the three volumes are represented by the blue rectangles. The HHS IT Strategic Plan, with a five year planning horizon, gives the strategic direction and establishes the outcomes and critical success factors that will determine success; the HHS IT Tactical Plan describes how the goals and objectives will be implemented over an approximate three year planning horizon to achieve the required outcomes; and the Performance Management volume provides the data collection, analysis, and reporting to support the Strategic and Tactical plans. This is the core planning and management framework that can be implemented independently of the tool development project. In addition to the three volumes, the diagram also depicts a relational database which both produces reports and supports an Executive Dashboard. The concept is that performance data contains links to multiple reporting requirements that are currently handled individually, requiring considerable time, cost, and effort. The relational database provides the capability to repurpose performance data according to need. As additional requirements are added or ad hoc reports are requested, this arrangement would allow new data to be collected in the Performance Management database (if needed) which could then be organized into the appropriate report format. This capability can also be used to reduce operational risk by allowing for a phased implementation of the system so that the data management system and supporting business processes can evolve to manage increased complexity over time. The Executive Dashboard is an effective means for senior management to gain an overall perspective of progress towards meeting the goals that have been set out in the IT Strategic Plan. Rather than requesting reports or sending out data calls, performance measures appropriate to the management level can be portrayed graphically, with a drill-down capability to analyze data, goal alignment and measure accountability further. Using a web-based interface and a system of permissions, the dashboard features can be available to management focusing on the individual manager’s particular area of interest. The data collection plan shown in the Performance Management volume would underpin the dashboard by determining who is responsible for collecting the data, the data needed, the data lifecycle and update requirements. This data collection information would be provided as part of the information in the dashboard drill-down provided by a hyperlink click. To ensure that the methodology is effectively institutionalized, the following roles and responsibilities are recommended: - The OCIO is the body responsible for the management and execution of the Enterprise IT Strategic Planning Program.
- The HHS CIO Council shares the responsibility for the execution of the program, via their participation, cooperation, and support of the activities and requirements set forth in the strategic planning policy.
- IT Program Managers ensure their initiatives support business needs and IT strategies, and are responsible for ensuring the collection of performance data for quarterly IRM and performance reports.
- The HHS IT Investment Review Board has the responsibility and authority to review IT investments to ensure that they meet the goals and objectives identified in the HHS Enterprise IT Strategic Plan. It is also responsible for reviewing strategic IT performance data supplied by the IRM and Performance Reports and utilizing this information for decision-making in selecting, controlling, evaluating and if need be, terminating IT investments.
In developing the HHS Enterprise IT Strategic Plan, the OCIO conducted a series of strategic working sessions with representatives from each OPDIV and key programs. During these meetings, participants followed a structured framework to develop the IT strategic direction for HHS, including the mission, vision, goals, and objectives. The OCIO isactively working to develop a comprehensive IT Tactical Plan and to establish requirements for the Performance Management System tool. The HHS Enterprise Architecture Segment Teams will work to identify and categorize performance measures and to promote their use within the CPIC process. Improvements to Strategic Planning and Performance Management have been identified as key tactical objectives for achieving HHS IT Goal 5: Achieve Excellence in IT management practices. The process described in this section and described in further detail in the Tactical and Performance Management Volumes will be implemented in a phased approach as recommended in best practice literature.
HHS is the U.S. government’s principal agency for protecting the health of all Americans and providing essential human services, especially for those who are least able to help themselves. The Department manages more than 300 programs, covering a wide spectrum of critical services as medical research, infectious disease control, food and drug safety, Medicare, and financial assistance for low-income families. Many HHS-funded services are provided locally by state, county, or tribal agencies, or through private sector grantees. HHS serves as the largest grant-making agency in the Federal government, providing some 60,000 grants a year. In addition, HHS’ Medicare program is the nation’s largest health insurer, handling more than 900 million claims yearly. In providing its broad range of products and services, HHS has become one of the largest Federal organizations. Despite its staggering size and scope, the Department is committed to functioning as One HHS. Described as a key theme in the HHS Strategic Plan, the One HHS concept shows the Department’s dedication to improving management by encouraging increased collaboration and coordination among its OPDIVs to improve services to the public. Acting as One HHS is critical to fulfilling the Department’s mission and achieving its vision, optimizing tax dollars to achieve desired business results. The IT community within HHS manages a complex IT environment where each OPDIV, as well as HHS headquarters, has its own IT responsibilities. Many of the OPDIVs also have CIOs or leaders with similar responsibilities throughout lower levels of their organizations. The enterprise-wide perspective is maintained by the HHS CIO who is also the Deputy Assistant Secretary for Information Technology and Director of the OCIO. The OCIO, with the leadership of the HHS CIO, is responsible for: - Managing the overall quality of information resources throughout the Department
- Representing the Department to central management agencies, such as OMB
- Developing and overseeing Department-wide Enterprise Infrastructure Management strategy
- Developing and preserving the Department's information technology and enterprise architecture
- Developing and establishing Departmental information technology policies, and promoting rigorous methods for analyzing, selecting, developing, managing, and maintaining information systems
- Collaborating with the OPDIVs and HHS headquarters to resolve policy and management issues, manage risk associated with major information systems, evaluate and approve investments in technology, oversee Departmental policy and architectural compliance, and share best practices
To fulfill the above responsibilities within the HHS IT community, a CIO Council comprised of the HHS OPDIV CIOs functions as the primary mechanism for coordination across the Department. A Technology Review Board (TRB) comprised of all HHS OPDIV CIOs reviews IT investment proposals for technical feasibility. An Information Technology Investment Review Board (ITIRB) comprised of the business leaders of the Department’s Deputy Assistant Secretaries for Information Technology, Acquisition, Management, Budget, and Finance serves to select, evaluate, and control IT investments. HHS IT funding is estimated at $2 billion with most OPDIVs receiving direct appropriations for IT. HHS has established two funds to which OPDIVs contribute for enterprise-wide architecture initiatives.
Environmental analysis is an integral part of the HHS IT strategic planning framework as it heightens understanding of the internal and external causes that impact or influence the HHS Enterprise IT Strategic Plan. An environmental analysis also helps in identifying the gaps between the current and desired states of IT within HHS. The analysis provided below was considered in developing and validating the HHS IT strategies.
There are several internal and external forces that impact the HHS Enterprise IT Strategic Plan. Internal forces are those factors within HHS, and external forces are those beyond the Department. A listing of internal and external forces is provided in Figure 9.
Internal Forces | | External Forces |
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- Secretary’s Priorities
- HHS Strategic Plan
- OPDIV Business Needs
- Inspector General (IG) Audits
- Customers/Stakeholders
- Key Themes
| | - Presidential Initiatives and Directives
- Legislation
- Office of Management and Budget (OMB) Directives and Guidance
- Government Accounting Office (GAO) Reports Customers/Stakeholders
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![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig9.jpg)
Figure 9. HHS Internal and External Alignment HHS defines its Departmental strategies in the HHS Strategic Plan for FY 2006 – FY 2010. HHS has identified the following mission and vision:
HHS Mission To enhance the health and well-being of Americans by providing for effective health and human services and by fostering strong, sustained advances in the sciences underlying medicine, public health and social sciences. |
HHS Vision Healthy and productive individuals, families, and communities are the very foundation of the Nation’s present and future security and prosperity. Through leadership in medical sciences and public health, and as guardian of critical components of America’s health and safety net programs, HHS seeks to improve the health and well-being of people in this country and throughout the world. |
To achieve the HHS vision, eight strategic goals have been defined and supported by more specific objectives. Since IT supports and enables achieving HHS programmatic outcomes (i.e. goals and objectives), this HHS Enterprise IT Strategic Plan aligns with Departmental strategies. A description of that alignment is provided later in the plan. The HHS goals and objectives in the HHS Strategic Plan are:
HHS Strategic Goals Goal 1: Reduce the major threats to the health and well-being of Americans. Goal 2: Enhance the ability of the nation’s health care system to effectively respond to bioterrorism and other public health challenges. Goal 3: Increase the percentage of the nation’s children and adults who have access to health care services, and expand consumer choices. Goal 4: Enhance the capacity and productivity of the nation’s health science research enterprise. Goal 5: Improve the quality of health care services. Goal 6: Improve the economic and social well-being of individuals, families, and communities, especially those most in need. Goal 7: Improve the stability and healthy development of our nation’s children and youth. Goal 8: Achieve excellence in management practices. |
HHS’ eight goals and forty objectives (Appendix C) served as the foundation in defining a comprehensive HHS Enterprise IT Strategic Plan that directly aligns with the HHS Strategic Plan and supports the achievement of the desired business outcomes. Each of the environmental forces listed above is described in more detail in the following sections. Secretary’s Priorities The Secretary’s priorities shape the direction of HHS and influence the Department’s business needs. As IT enables achieving those priorities and fulfills those business needs, the Secretary’s priorities must be taken into consideration when developing the HHS IT Strategic Plan. The HHS IT community highlights the Secretary’s One HHS initiative by managing HHS information technology by establishing enterprise architecture to achieve the optimal level of integration and consolidation for IT infrastructure and common systems. HHS Strategic Plan The HHS Strategic Plan defines the mission, goals, and objectives for the Department. The HHS Strategic Plan for FY 2006 – FY 2010 indicates a series of new goals and objectives that directly impact the HHS Enterprise IT Strategic Plan. These changes and the overall HHS strategic direction provide the foundation for this update to the HHS Enterprise IT Strategic Plan. OPDIV Business Needs OPDIV business needs across HHS are diverse, from CMS’ role in providing health insurance to our nation’s citizens, to NIH’s function in conducting research in the health sciences. The technology to support those varied business needs are considered in the context of identifying enterprise-wide IT strategies as represented by the OPDIV CIOs. Specific OPDIV business needs should specifically be considered in the development of OPDIV-level IT strategic plans. Furthermore, since this plan supports the HHS mission and strategic goals, which encompass OPDIV missions, it can be inferred that this plan takes into account OPDIV business needs. IG Audits and Reports The HHS IG conducts annual independent evaluations of the Department’s information systems to determine vulnerabilities. HHS values the support provided by the IG in identifying potential vulnerabilities and for its recommended solutions. These security audits of HHS information systems are critical to the success of the HHS information security program. The audits and reports conducted by the IG were considered in developing the IT Strategic Plan. Customers/Stakeholders The HHS IT community supports fulfilling the HHS mission. As a result, information technology fundamentally aims to enable the employees, managers, and leaders of HHS to carry out their responsibilities to fulfill the HHS and OPDIV missions. Development of the HHS Enterprise IT Strategic Plan considers the needs of HHS’internal customers and stakeholders such as the OPDIVs to identify how best to support those needs to enable fulfilling the HHS mission.
Presidential Initiatives and Directives President’s Management Agenda (PMA): The PMA focuses on fourteen areas of improvement grouped into two categories: 1) Government-wide Initiatives, and 2) Program Initiatives. Government-wide Initiatives consists of guidance on the strategic management of human capital, competitive sourcing, improved financial performance, expanded E-Government, and budget and performance integration. The PMA also identifies nine Program Initiatives that are specific to Federal agencies. Two of the nine Program Initiatives are relevant to HHS including: 1) the Faith-Based and Community Initiative, and 2) Broadened Health Insurance Coverage Through State Initiatives. The PMA was a critical factor considered in developing this plan, concerning E-Government (24 initiatives) and Budget and Performance Integration Program Initiatives. Beyond the 24 E-Government initiatives (of which 18 apply to HHS), HHS is prepared to respond to and lead other emerging initiatives as they arise. HHS currently leads two of the 24 E-Government initiatives, E-Grants and Consolidated Health Informatics. Homeland Security Presidential Directive 7 (HSPD-7) : HSPD-7 establishes the Federal government’s policy on critical infrastructure protection. It calls for a national effort to assure the security of the increasingly vulnerable and interconnected infrastructures of the United States, including telecommunications, banking and finance, energy, transportation, and essential government services. It stresses the importance of cooperation between the government and the private sector by linking designated agencies with private sector representatives. HSPD-7 requires immediate Federal government action including risk assessment and planning to reduce exposure to attack. It requires HHS to address the cyber and physical infrastructure vulnerabilities of the Department to reduce its exposure to new threats. Legislation E-Government Act of 2002: The purpose of this Act is to enhance the management and promotion of E-Government services and processes by establishing a Federal CIO within OMB, and by establishing a broad framework of measures that require using Internet-based information technology to enhance citizen access to Government information and services. Federal Information Security Management Act of 2002 (FISMA): This Act permanently reauthorizes the Government Information Security Reform Act of 2000 (GISRA). This legislation provides a comprehensive framework for ensuring the effectiveness of information security controls over information resources that support Federal operations and assets. The Act provides for effective government-wide management and oversight of the related information security risks, including coordination of information security efforts throughout the civilian, national security, and law enforcement communities. Clinger-Cohen Act of 1996 (CCA): This Act is also known as the Information Technology Management Reform Act and covers the areas of responsibility for acquisitions of information technology, process for acquisitions of information technology, information technology acquisition pilot programs, and additional information resources management matters. Paperwork Reduction Act of 1995 (PRA): The Paperwork Reduction Act requires that Federal agencies become more responsible and publicly accountable for reducing the burden of Federal paperwork on the public. Government Performance and Results Act of 1993 (GPRA): The purpose of the Act is to improve the confidence of the American people in the capability of the Federal Government by systematically holding Federal agencies accountable for achieving program results. GPRA establishes requirements for strategic plans, annual performance plans and reports, managerial accountability and flexibility, pilot projects, and training. Health Insurance Portability and Accountability Act of 1996 (HIPAA): This Act requires HHS to establish national standards for electronic health care transactions and national identifiers for providers, health plans, and employers. It also addresses the security and privacy of health data. Adopting these standards will improve the efficiency and effectiveness of the nation's health care system by encouraging the widespread use of electronic data in health care. National Institute of Standards and Technology Guidance The National Institute of Standards and Technology (NIST) develops and promotes measurement standards and technology to enhance productivity, facilitate trade, and improve quality of life. NIST’s Special Publication 800 series documents focus on providing guidance related to computer security prototypes, tests, standards, and procedures to protect sensitive information from unauthorized access or modification. As a result of FISMA, NIST publications now impact HHS and serve as mandatory standards for the Federal government. The following NIST publications are evaluated as having the greatest impact upon the Department’s IT security efforts: Security Guide for Interconnecting Information Technology Systems (SP 800-47 August 2002): Provides guidance for planning, establishing, maintaining, and terminating interconnections between IT systems that are owned and operated by different organizations. Contingency Planning Guide for Information Technology Systems (SP 800-34 June 2002): Provides instructions, recommendations, and considerations for government IT contingency planning. Risk Management Guide for Information Technology Systems (SP 800-30 July 2002): Provides a foundation for the development of an effective risk management program, containing both the definitions and the practical guidance necessary for assessing and mitigating risks identified within IT systems. Guidelines for the Security Certification and Accreditation of Federal Information Technology Systems Initial Draft (Pub. 800-37 May 2004): Provides a new approach to certification and accreditation (C&A) that uses a standardized process to verify the accuracy and effectiveness of security controls employed in an IT system to ensure adequate security is maintained. Underlying Technical Models for Information Technology Security (SP 800-33 December 2001): Provides a description of the technical foundations, termed ‘models,’ that underlie secure IT. Security Self-Assessment Guide for Information Technology (SP 800-26 August 2005): Utilizes an extensive questionnaire containing specific control objectives and techniques against which an unclassified system or group of interconnected systems can be tested and measured. Engineering Principles for Information Technology Security - A Baseline for Achieving Security (SP 800-27 June 2004): Presents a list of system-level security principles to be considered in the design, development, and operation of an information system. Introduction to Public Key Technology and the Federal PKI Infrastructure (SP 800-32 February 2001): Used to assist Federal agency decision-makers in determining if a PKI is needed by their agency, and how PKI services can be deployed most effectively within an agency. Guide for Developing Security Plans for Information Technology Systems, (SP 800-18 August 2005): Provides an overview of security requirements of the system and describes the controls in place or planned for meeting those requirements. Building an Information Technology Security Awareness and Training Program ( SP 800-50, October 2003): Provides detailed guidance on designing, developing, implementing, and maintaining awareness and training programs within an agency's IT security program. Security Metrics Guide for Information Technology Systems. (Draft SP 800-55, July 2003): Provides advice on how an organization, through the use of metrics, may assess the adequacy of in-place security controls, policies, and procedures. Minimum Security Controls for Federal Information Technology Systems (SP 800-53, February 2005): Defines the uses of standardized, minimum security controls for low, moderate, and high levels of concern for confidentiality, integrity, and availability. OMB Directives and Guidance A series of OMB directives and guidance documents impact the development of the HHS Enterprise IT Strategic Plan and the identification of enterprise initiatives to execute IT strategies. The list below highlights selected OMB Circulars and guidance documents; HHS considers and adheres to other IT policy and guidance documents issued by OMB. Circular A-11: This Circular states how to prepare a budget submission. Part 1 covers budget request and related materials, Part 2 covers the strategic plan and GPRA requirements, annual performance plan, and annual performance reports, and Part 3 covers acquiring capital assets. Particular relevance to the IT community is guidance on developing a capital planning program, integration of budget with performance, development and submission of Exhibit 53s, and development and submission of Exhibit 300s. Circular A-16: This Circular provides direction for Federal agencies that produce, maintain, or use spatial data either directly or indirectly in the fulfillment of their mission. This Circular establishes a coordinated approach to electronically develop the National Spatial Data Infrastructure (NSDI) and establishes the Federal Geographic Data Committee. The Circular has been revised from the 1990 version to reflect changes in technology, further describe the components of NSDI, and assign agency roles and responsibilities for development of the NSDI. The revised Circular names the Deputy Director for Management of OMB as Vice-Chair of the Federal Geographic Data Committee. E-Government Strategy: This report presents the Federal government’s action plan for E-Government. The primary goals for the President’s “Expanding E-Government” initiative are to: - Make it easy for citizens to obtain services and interact with the Federal government;
- Improve government efficiency and effectiveness; and
- Improve government’s responsiveness to citizens.
Circular A-130: This Circular provides guidance and establishes the policy on the management of Federal information resources in accordance with the PRA. Circular A-76: This Circular establishes Federal policy regarding the performance of commercial activities. It establishes the procedures for determining whether commercial activities should be performed under contract with commercial sources or in-house using Government facilities and personnel. Memo 97-02: This memo establishes eight decision criteria that OMB uses to evaluate major information system investments proposed for submission in the President's budget. The first four decision criteria are related specifically to capital planning. The fifth criterion establishes the critical link between planning and implementation – the information architecture – that aligns technology with mission goals. The last three criteria establish risk management principles that are intended to help provide assurance that the proposed investment will succeed. GAO Reports Several GAO reports issued recently have been incorporated into the environmental analysis as they provide sound guidance or recommendations on improvements related to HHS IT. GAO: IT Strategic Planning and Investment Practices: GAO has identified specific IT strategic planning and investment management practices that should be in place across the Federal Government within each Agency. The GAO conducted an assessment of HHS’ implementation of the identified practices. The GAO report has not yet been published, but it will indicate that HHS can improve some of its practices. The identified GAO practices have been considered in developing the HHS IT strategic planning program described herein. GAO-01-376G Executive Guide: Maximizing the Success of Chief Information Officers: Learning from Leading Organizations (February 2001): This guide is intended to assist Federal agencies in maximizing the success of CIOs. Principles and practices from case studies offer concrete suggestions on what agency executives can do to ensure the effectiveness of their CIO organizations. GAO-03-102 Major Management Challenges and Program Risks – HHS (January 2003): The information GAO presents in this report is intended to sustain congressional attention and a Departmental focus on continuing to make progress in addressing management challenges that have arisen since 2001. CMS officials are in the process of modernizing the technology that supports Medicare’s core missions of claims processing, payment program oversight, and administration of participating health plans. The agency’s process for managing its IT investments was missing key review, approval, and evaluation steps to ensure that CMS invests in projects that succeed in supporting the Medicare program’s management needs. CMS IT planning and management processes have certain shortcomings that increase the risk that some of its modernization efforts could fail to achieve agency mission goals. CMS has begun implementing guidance for an improved IT management process. GAO-03-122 Protecting Information Systems Supporting the Federal Government and the Nation's Critical Infrastructures (January 2003): This report identifies areas at high risk due to either their greater vulnerabilities to waste, fraud, abuse, and mismanagement or major challenges associated with their economy, efficiency, or effectiveness. It also includes a government-wide perspective on transforming the way the government does business in order to meet 21st century challenges and address long-term fiscal needs. GAO-03-229 Electronic Government: Selection and Implementation of the Office of Management and Budget's 24 Initiatives (November 2002): This report reviews the information and documentation related to the selection and implementation of the E-Government initiatives identified within OMB’s E-Government Strategy. The objectives are to describe the completeness of the business case information used by OMB to make the initial selection of E-Government initiatives and to describe the completeness of the work plans and funding plans submitted to OMB in May 2002 for use in overseeing implementation of the initiatives. GAO-04-991 HHS’s Efforts to Promote Health Information Technology and Legal Barriers to its Adoption (August 2004): This report identifies major HHS IT initiatives and associated funding, and reports that attempts by the Federal government to address legal issues that present barriers to the widespread use of IT have not been sufficient. GAO-05-309 HHS’s Estimate of Health Care Cost Savings Resulting From the Use of Information Technology (February 2005): This report states that IT can improve the efficiency and quality of medical care and result in costs savings. Although estimated nationwide savings are primarily based on studies with methodological limitations and are contingent on much higher IT adoption rates that are currently estimated, the potential for substantial savings is promising. GAO-05-628 Health Information Technology, HHS Is Taking Steps to Develop a National Strategy (May 2005): HHS needs to accelerate the adoption of interoperable Information Technology for health care, and the Secretary of Health and Human Services should establish and follow detailed plans and set milestones for each phase of HHS’s framework for strategic action. GAO-06-11 Information Technology, HHS Has Several Investment Capabilities in Place, but Needs to Address Key Weaknesses (October 2005): This report recommends that HHS needs to strengthen its investment management capabilities and develop and implement a plan to address the weaknesses identified in this report. GAO/AIMD-10.1.13 Information Technology Investment Evaluation Guide Assessing Risks and Returns: A Guide for Evaluating Federal Agencies' IT Investment Decision-Making (February 1997): This evaluation guide was developed to provide a structure for evaluating and assessing how well a Federal agency is selecting and managing its IT resources and to identify specific areas where improvements can be made. The guide focuses on assessing an organization from three levels: processes, data (cost, benefit, and risk), and IT decisions. This Strategic Plan focuses on four major themes. These key themes are highlighted throughout the plan and are evident in the IT strategies. The key themes are: - Enterprise Approach: This plan focuses on the HHS Enterprise Architecture. It highlights the enterprise-wide IT strategies rather than those specific to OPDIVs. It identifies the enterprise IT strategies that all OPDIVs must ensure they support through their OPDIV-specific IT strategic plans. Most importantly, in alignment with the HHS Strategic Plan, this plan focuses on identifying goals and objectives that further the Secretary’s One HHS vision.
- Business Outcomes: HHS maintains the perspective that IT is an enabler to achieve HHS programmatic business outcomes. These business outcomes have been clearly identified in the HHS Strategic Plan for FY 2006 – FY 2010. This plan and the overarching HHS IT strategic planning program provide the framework and mechanism to ensure that IT operational activities support achievement of HHS business outcomes. The direction set forth in this plan provides further direction to OPDIVs on aligning OPDIV IT strategies with enterprise IT strategies, as well as OPDIV and HHS business outcomes. Most importantly, HHS recognizes and promotes selecting IT investments based on approved business requirements. Information on IT operational activities investments are found in the Annual HHS IRM and Performance Plan.
- Customer- and Stakeholder-Centric: In preparing this plan, HHS analyzed its customers and stakeholders to develop IT strategies that best align with the needs of these groups. HHS identified its customers as a focal point for this plan, emphasizing technology strategies that aim to improve services to and communication with the public, employees, private businesses, and other Federal agencies.
- Cost-Effectiveness: Finally, considering current and future environmental factors, this plan stresses IT strategies focused on cost-effectiveness. Cost-effectiveness is highlighted through consolidation of activities and better management practices.
These four themes are the foundation for the entire plan and HHS’ IT strategic planning program. They are highlighted throughout the IT strategies. Most importantly, these themes are grounded in an analysis of the current and future environmental factors impacting IT at HHS.
The preceding sections, particularly the environmental analysis and the Departmental strategic direction, establish the context in which the HHS IT community performs and functions. This section builds on that information and outlines clear, comprehensive, and enterprise-wide IT strategies. This IT strategic direction is aligned with the HHS Strategic Plan as it supports and enables fulfilling the HHS mission and achievement of the HHS goals and objectives. The IT strategic direction corresponds to the strategic planning framework described earlier (Figure 3). The continuum from strategy to implementation begins with the IT mission and vision, progresses to IT goals and objectives, and ends with operational planning and performance management. Linkages to the HHS Strategic Plan are referenced throughout the following sections. ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig10.jpg)
Figure 10. IT Mission within the Strategy – Implementation Continuum The HHS IT mission (as highlighted in Figure 10) describes how the IT community supports fulfillment of the overarching HHS mission. The HHS IT mission is the following:
HHS IT Mission Provide a well-managed and secure enterprise information technology environment that enables stakeholders to advance the causes of better health, safety and well-being of the American people. |
In other words, by providing “a well-managed and secure enterprise information technology environment,” HHS IT enables the fulfillment of the HHS mission, which focuses on enhancing the health and well-being of Americans. Furthermore, better management of the IT environment and security are highlighted in the IT mission, signifying their priority for the HHS IT community. ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig11.jpg)
Figure 11. IT Vision within the Strategy – Implementation Continuum Continuing along the spectrum of strategy to implementation, the IT vision (as highlighted in Figure 11) builds upon the IT mission which identifies “what we do now” and creates the “where we need to be” in order to achieve the HHS mission. The IT vision is:
HHS IT Vision Provide robust, flexible, efficient, and secure information technology enabling the HHS enterprise and its partners to respond to the requirements of their missions. |
The IT vision describes what the HHS IT community will be in the future – a community that “provides robust, flexible, efficient, and secure information technology.” It also explains that achieving the desired end-state, it will “enable the HHS enterprise and its partners to respond to the requirements of their missions.” In other words, by providing an IT environment that embodies certain characteristics, HHS IT will continue to enable the IT community to fulfill its mission, and as a result, will also fulfill the HHS mission. The IT vision again reiterates the importance of IT security and better management of the IT environment at HHS. ![](https://webarchive.library.unt.edu/eot2008/20090117215724im_/http://www.hhs.gov/ocio/Images/fig12.jpg)
Figure 12. IT Goals and Objectives within the Strategy – Implementation Continuum Having defined the high-level IT Mission (“what we do now”) and the IT Vision (“where we need to be”), HHS identified five goals and nineteen associated objectives (as highlighted in Figure 12) designed to help the HHS IT community fulfill its IT mission and achieve its IT vision. IT objectives begin to describe how HHS will achieve its IT goals, and as a result, how it will support achievement of the IT vision. The five HHS IT goals and nineteen objectives validated by HHS stakeholders are located in Appendix B. Customers and Stakeholders The HHS IT community serves a broad range of external customers and stakeholders from the public to other Federal government agencies and branches to first responders. For example, within the Federal government, HHS considers OMB and Congress as key stakeholders and considers other grant-making agencies as customers. The HHS IT community also considers the public as a key customer whether it is enabling transactions by means of the Internet or dispensing key public health information to them. The customer and stakeholder base for the HHS IT community is wide and varied and integral to understanding the context within which to develop the IT Strategic Plan. Aligning the HHS Enterprise IT Strategic Plan with the HHS Strategic Plan is of importance to the HHS IT community, the OCIO, and the HHS CIO. The linkages between the HHS and IT strategies are highlighted throughout the plan in several ways. - The foundation for the HHS Enterprise IT Strategic Plan is the HHS Strategic Plan. Since the fundamental purpose of the IT community is to enable HHS to fulfill its mission, IT at HHS aims to support fulfilling that mission. The HHS Strategic Plan outlines targeted outcomes for the Department to achieve. The HHS Enterprise IT Strategic Plan describes the IT strategies that directly contribute to achieve those outcomes.
- The IT mission and vision are linked to the HHS mission. Since the resulting IT goals and objectives build on the IT mission and vision, linkages to the HHS Strategic Plan result as well. This plan therefore supports and aligns with the HHS Strategic Plan
- Direct alignment of IT goals and objectives with HHS goals and objectives is also obvious. This alignment highlighted in the figure below but is described in detail later in the plan.
IT Goals Aligned with HHS Goals | HHS Goal | IT Goals | 1 | 2 | 3 | 4 | 5 |
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1: Reduce the major threats to the health and well-being of Americans | | | | | | 2: Enhance the ability of the Nation’s health care system to effectively respond to bioterrorism and other public health challenges | x | x | | x | | 3: Increase the percentage of the Nation’s children and adults who have access to health care services, and expand consumer choices | x | x | | x | | 4: Enhance the capacity and productivity of the Nation’s health science research enterprise | | x | x | x | | 5: Improve the quality of health care services | x | x | x | x | | 6: Improve the economic and social well-being of individuals, families, and communities, especially those most in need | | | | | | 7: Improve the stability and healthy development of our Nation’s children and youth | | | | | | 8: Achieve excellence in management practices | x | x | x | x | x |
Figure 13. Alignment of IT Goals with HHS Strategic Goals
Goal 1: Provide a secure and trusted IT environment. | - Enhance confidentiality, integrity, and availability of IT resources.
- Protect IT assets and resources from unauthorized access or misuse.
- Enhance security awareness department-wide.
- Ensure that IT security is incorporated into the lifecycle of every IT investment.
| Goal 2: Enhance the quality, availability, and delivery of HHS information and services to citizens, employees, businesses, and government. | - Provide an intuitive one-stop solution to quickly and reliably deliver information for public access.
- Leverage web services to conduct business securely with customers and stakeholders.
- Ensure the availability and dissemination of information in preparation of or in response to local and national emergencies or other significant business disruptions.
- Provide technologies enabling HHS employees to work collaboratively and share knowledge.
| Goal 3: Implement an enterprise approach to information technology infrastructure and common administrative systems that will foster innovation and collaboration. | - Establish a basis for consolidated infrastructure to achieve interoperability and communication among operating divisions.
- Improve the performance of HHS’ communication/network resources.
- Enable the unification and simplification of similar IT business processes and services within and across operating divisions.
- Implement consolidated financial management and other administrative systems.
- Maximize the value of technology investments through enterprise-wide procurement and licensing.
| Goal 4: Enable and improve the integration of health and human services information. | - Provide integrated public health information services across HHS and to private industry, first responders, other healthcare providers, and the public.
- Provide national leadership for Consolidated Health Informatics to promote the adoption of data, process, and vocabulary standards.
| Goal 5: Achieve excellence in IT management practices. | - Strengthen HHS enterprise-wide processes for collaborative IT strategic planning, capital planning, and investment control.
- Apply strong project management and performance measurements processes to critical IT projects to achieve project success.
- Develop an IT human capital plan to guide the recruitment, retention, and skill development of staff.
- Establish and maintain IT policies and SOPs to ensure compliance with evolving Federal legislation and OMB regulations.
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Figure 14. IT Goals and Objectives The HHS Enterprise IT Strategic Plan is directly linked to the HHS Strategic Plan. The HHS mission reflects the missions of all the OPDIVs and the HHS Enterprise IT Strategic Plan directly impacts the OPDIVs. The HHS Enterprise IT Strategic Plan supports the OPDIVs by creating goals and objectives for the enterprise-wide IT community – not only HHS headquarters but each of the OPDIVs as well. The IT goals and objectives enable the HHS IT community to support and improve the work of the Department, and contribute to achieving the overall mission and goals of the Department. The enterprise-wide IT goals and objectives have implications for each OPDIV. This impact is threefold: - It creates an enterprise IT strategic framework with which every OPDIV must align and support through OPDIV-level IT strategic plans and OPDIV IT operational plans.
- Enterprise operational IT activities selected to achieve IT goals and objectives have distinct implications on OPDIV IT activities.
- The strategic performance measures for each IT objective aim to assess how well HHS is achieving its IT strategies. Data for each measure is collected at the OPDIV level.
The plan impacts IT activities of the entire Department. By supporting achievement of the HHS goals and objectives, it relates to the OPDIV-specific missions. As a result, every OPDIV must understand and apply the strategies defined in this plan. Specific guidance on the role of OPDIVs in furthering this plan is included at the end of this document. HHS goals and objectives served as the foundation in defining a comprehensive HHS Enterprise IT Strategic Plan that directly aligns with the HHS Strategic Plan and supports the achievement of the desired business outcomes.
Two fundamental trends exist within the Federal Government that has a marked impact on IT at HHS. First, the drive for greater efficiency in Federal IT spending is forcing Federal departments and agencies to look for shared infrastructures and services to support their operating divisions. The second trend is the improvement of services to the public and other stakeholders facilitated by conducting business on-line. The result of these two trends is that as HHS OPDIVs are becoming increasingly connected to one another; they are opening their networks to citizens, businesses, academic institutions, and other stakeholders. As OPDIVs place more transactions on-line, the criticality of those systems increases exponentially. Unfortunately, so do the risks to those systems. And as the OPDIVs move toward a shared infrastructure, the security risk assumed by one is shared by all. The status quo security practices that currently protect OPDIVs at varying levels today will not be enough. Baseline levels of security standards and practices need to be established to protect all OPDIVs in this decentralized environment. In this changing world of new threats, instilling a culture of increased awareness and mindsets toward preventive action is necessary. In a Federal agency, IT security cannot be an afterthought and must be integrated into the Department's vision, mission, and business lines. In addition, HHS has taken on a new role in homeland security and needs to improve its security practices to meet these obligations. It is critical that we incorporate security into the daily activities of HHS employees at all levels. With this, all IT leaders in the Department must support the notion of IT security as a way of life. These reasons prompted the HHS CIO and the HHS Chief Information Security Officer (CISO) to develop an overarching IT Security Program. Understanding that HHS OPDIVs face unique business requirements, the challenge was to develop an IT Security Program that allowed for both compliance and flexibility. Based on GAO best practice guidance, HHS IG and OPDIV reviews, HHS has set up an overarching IT Security Program called Secure One HHS. The program’s goal is to provide support and guidance, address OPDIV security needs and concerns, and meet HHS security responsibilities. The Secure One HHS mission is to “foster an enterprise-wide secure and trusted IT environment in support of HHS’ commitment to improve the health, safety, privacy, and well-being of the American people.” To meet the aggressive demands of an enterprise-wide HHS IT Security Program, strong governance with clearly defined roles, responsibilities, and security expertise is required. By establishing the program at the headquarters level, HHS will achieve a consistent IT security baseline across the OPDIVs by supporting universal security requirements. The Secure One program will then be driven by close coordination and collaboration with each OPDIV to ensure that their needs and expectations are identified and addressed. OPDIVs will then be responsible for custom implementation at their level, based on each OPDIVs unique needs and goals. Further information on the Secure One program can be found in the HHS Annual IRM and Performance Plan or by contacting the HHS CISO. Improving IT Infrastructure:As cited in the Government Accountability Office report number 05-308 Federal Agencies Face Challenges in Implementing Initiatives to Improve Public Health Infrastructure, challenges facing HHS include: - Integrating current initiatives into a national health IT strategy and federal architecture to reduce the risk of duplicative efforts;
- Developing and adopting consistent standards to encourage interoperability;
- Coordinating initiatives with states and local agencies to improve the public health infrastructure; and
- Overcoming federal IT management weaknesses to improve progress on IT Initiatives.
IT Consolidation and Shared Infrastructure: A key strategy for cost effectiveness is the sharing and reuse of common, standards-based IT infrastructure. In the broadest sense, infrastructure can be viewed as a sharable IT investment that can be leveraged and standardized across an enterprise to prevent duplicate efforts, to leverage common investments, to standardize training and operational processes, and to lower IT cost as a benefit. Standards-based, common networks (i.e., local area, wide area) such as HHSNet are a common and simple application of these principles and opportunities for cost avoidance exist in virtually every layer of the Open Systems Interconnect (OSI) model, from physical to shared data and application services. Such opportunities include the potential for improved quality of service (QoS) at lower cost through sharing services such as: - Physical: Networks, servers, help desks and support infrastructure
- Operating System Services: Sharing common operating environments and services (e.g. file, print, and directory services)
- Infrastructure Services: Leveraging services such as Public Key Infrastructure, Single-Sign-On, Enterprise Service Bus, etc.
- Common Application Service: Workflow, Master Subject Index, Lexical/Semantic Services, Data Services, Messaging Services, Data Transformation, etc.
A key initiative for HHS within the 2006-2010 timeframe will be a focus on IT consolidation, implementing and sharing common services, and leveraging these tools, infrastructure, and processes to improve integration and interoperability across the Department—at a lower cost. HHSIdentity: This initiative will integrate and implement key identity management and eAuthentication services across the Department in compliance with HSPD 12 and FIPS 201. These common security, identification, and authentication services will be integrated across the enterprise in support of enterprise initiatives such as Enterprise eMail, and will be leveraged by a variety of HHS systems and applications for authentication. This initiative will include the integration and implementation of key identified services including single sign-on, enterprise directory services, public key infrastructure, and biometrics services to meet defined operational objectives and functional requirements. Another part of the strategy will be to leverage a Federated Service Oriented Architecture (SOA) approach in the delivery of these services, consistent with our Shared Services and IT consolidation strategy described above. Service Orientated Architecture: Service Oriented Architecture (SOA) initiatives are leading a revolution in enterprise business and IT integration. Many companies and government agencies are moving toward SOA projects, from limited scale efforts, to large strategic SOA rollouts at the enterprise level with supports from senior management in IT and sometimes business executives. SOA as an IT strategy has gained traction in the past year. SOA enables a business service layer on top of applications, which facilitates emphasis on business function support rather than hardware and software. The core business value of SOA is in delivering business agility. Industry best practices have demonstrated that the business benefit of SOA is in service reconfiguration flexibility, with changes done in days by business people, not in weeks by technical specialists. This means that the business and technical architectures must be aligned, which is not the case in most organizations today. Expressing existing application architecture in SOA terms is not enough. Services must be business-oriented if they are to be orchestrated by business people. SOA helps to streamline IT infrastructure, and helps to align IT investments with business goals, optimizing IT investments. The deployment of SOA in web service allows integration of business with current technologies. SOA can be evolved based on existing systems and infrastructure rather than requiring a full-scale re-build. Organizations will achieve benefits from SOA by focusing their development effort around the creation of services with using both new and existing components and technologies, combined with the component-based approach to software engineering and the enabling SOA infrastructure. The benefits of SOA include: - Business agility: SOA facilitates business process improvement. It provides business users with an ideal environment for monitoring business operations. Process modeling is reflected in the business services. Process manipulation and the change of process flow can be achieved by the use of BPM (Business Process Modeling) tools integrated into the SOA infrastructure.
- Reuse and leverage existing assets : A business service can be constructed as an aggregation of existing components, using a suitable SOA infrastructure and made available to the enterprise. Legacy systems can be encapsulated and accessed via web service interfaces.
- Common infrastructure as commodity: SOA infrastructure is becoming a commodity that can be implemented by the use of COTS products. By enforcing standards, its development and deployment can be consistent across an enterprise. Existing components, newly-developed components, and components purchased from vendors can be consolidated within a well-defined SOA infrastructure.
- Reduced development cost: The reuse of existing service and components will reduce software development time and cost.
Beyond SOA, and to align with the HHS enterprise structure, HHS will explore a Federated SOA solution, and this Federated SOA approach will be tightly integrated with, and a subset of the HHS Enterprise Architecture. In combination, this approach can be viewed as an HHS Federated, Service Oriented Enterprise Architecture (SOEA). HHS will leverage SOA technologies for delivery of common services across the Department to support both enterprise IT initiatives as well as Mission Oriented IT investment (systems and applications) across the Department. 6.3 Enterprise architectureEnterprise Architecture (EA) will continue to be a major and key element of HHS IT planning, as well as a driver for IT investment. Service Oriented Architecture principles, concepts, and technologies will be integrated into the HHS EA strategy, building on the Federated EA concepts already adopted by the Department. This will result in a Federated, Enterprise Service Oriented Architecture (ESOA) approach for the Department that will facilitate leveraging SOA concepts such as use of sharable, reusable common services using SOA technologies and infrastructure. The EA Governance structure and EA policy will be employed to guide a value-based, ROI-driven approach to support transformation toward an ESOA. The Office of the CIO is committed to the principles, objectives, and strategies of the Office of the National Coordinator for Health Information Technology (ONC), including the Federal Health Architecture (FHA), and the integration and adoption of open standards across the Department. The OCIO will support the ONC with technical IT consulting, as required, in a variety of areas such as: - Health IT Standards review, adoption, and implementation
- Examination of technology and architecture best practices and approaches that align with the ONC strategic framework and objectives
- Technology reviews and inputs
- Evaluation support for technologies and prototypes as appropriate
The OCIO will also coordinate and collaborate EA activities with the FHA and ONC to ensure that Department Strategic and Tactical Planning initiatives and approaches are coordinated and synchronized. The Department will continue its investment in electronic Government (eGov) initiatives to deliver services and information to internal as well as external employees, consumers, and business partners. Key to this strategy is the use of standards-based Web Services. Web-based technologies are recognized as a vital and effective way for organizations to communicate both internally and externally. HHS has taken steps to leverage web-based technologies as it seeks to better serve the US citizenry and improve communications within the agency. The are three categories of Web based technologies HHS uses to achieve these objectives: Internet Web sites, an Intranet Web site, and an internal HHS Web portal. HHS Inter- and Intranet Web sites include the HHS.gov site as well as many other HHS Operating Division sites. These sites are used to fulfill the objectives of the E-Government Act of 2002 by providing timely and effective communications that are citizen centric. The HHS.gov Web site is comprised of individually coded HTML pages, although there is a plan to implement a Content Management Solution for the site which will make site modification and maintenance more streamlined and convenient for contributors. Additionally, a planned redesign of the OCIO Web site for HHS.gov will offer better organization and more timely delivery of information about the OCIO office, its mission, accomplishments and strategic objectives. The HHS Intranet Web site is available to HHS employees with internal access to the HHS network. The Intranet site serves as an internal communication tool for agency information. The HHS Web Management Team, guided by the results of usability testing, card sorting, and interviews with HHS employees, continues to make progress on redesigning the HHS Intranet. The objective of the redesign is to streamline the presentation of content and increase it’s relevancy and usefulness for HHS employees. The HHS Web portal is being developed with use of the Plumtree application. The portal provides a collaboration tool where communities of employees can form around projects within the Department. Currently, the HHS Web portal is being used extensively by the HHSIdentity Project which has developed sub-communities to assist in the sharing of information among employees in the agency working on the initiative. Consistent with Section 6.2, the Department will leverage standards-based Web Services infrastructure (common services). Moreover, the Department will migrate toward SOA-based common services for future eGov initiatives and for integration of legacy technology and applications with new Web-Based applications to facilitate information interoperability, and to expose standards-based SOA/Web servers to consumers, business partners, and other users of eGov systems and applications. HHS communication and collaboration are increasingly interconnected in order to get maximum value from the information technology (IT) infrastructure, and enable personnel to collaborate efficiently. As a result, messaging and collaboration servers that enable e-mail, document sharing, and instant messaging have become a mission-critical infrastructure component in business environments throughout the government.. Because e-mail servers are aggregation points for data and are critical to the day-to-day operations of most government agencies, security is of the utmost interest in the Department. E-mail has become the most common vehicle for virus infections, and was the means of entry in the majority of virus incidents in 2005. The Federal Government and Corporations are starting to depend on collaborative Web sites and instant messaging to enable growth, productivity, and communication. These too have become targets of malicious software writers and require protection against viruses and worms. HHS employees can and need to proactively manage their own contributions to overall Departmental success with the adoption of unique COTS performance management software. Individual and team-based performance determines how well a software solution or new business process is adopted, its level of patron satisfaction, and ensures that the quality of work is the utmost in the efficient management of human capital. Personnel are given specific objectives that directly relate to Departmental goals and objectives. Standard metrics help personnel and their managers consistently monitor daily activities, including time card submission and approval, task status and request approval. Personnel receive feedback on their personal performance based on given objectives. Individual and team-based scorecards show performance ratings based on configurable metrics. Surveys allow you to continually track and monitor client satisfaction based on team, system or individual performance. Since personnel receive feedback direct from the client, they can proactively manage client satisfaction with key systems and services. Workforce performance management functionality provides objective individual and team-based personnel performance results. This data can support reviews and a mentoring process, track progress against performance improvement plans, and recognize and reward top performers. Custom metrics that measure peer satisfaction with team performance and mentoring relationships can also be developed. The ability to select, control, and manage IT investments effectively is a core requirement for HHS OCIO management. To maintain the Department’s commitment to achieving the goal of Excellence in IT Management Practices, initiatives to develop an integrated performance management system and to improve the Capability-Maturity of the Department and OPDIVs on the GAO Information Technology Investment Management (ITIM) framework are planned for the coming period. This Strategic Plan and subsequent two volumes describe in detail the planned performance management system. The key requirements for the system are that it integrate the various levels of IT management and performance reporting requirements throughout the Department, provide timely and actionable information through an automated system, and standardize metrics and clarify accountability through rigorous goal, objective and initiative alignment. The performance management system is designed to function efficiently with existing CPIC and Strategic Planning processes, but will nevertheless represent a considerable organizational challenge. Establishing effective performance measures will, however, have a major impact on all future initiatives. The GAO ITIM Capability-Maturity Model measures an Organization’s ability to manage IT investments so that they contribute effectively to mission and business priorities. The Model posits five stages of maturity marking increasing levels of sophistication in selecting, controlling and evaluating investments from a portfolio perspective. Various GAO reports have assessed the Department or specific OPDIVs as having achieved various elements of Stages 2 and 3, with Stage 3 being the stage at which the organization is beginning to manage investments on an integrated portfolio basis. As a result, Executive Management has decided to set the goal of the OCIO and all OPDIVs progressing through Stage 2 to achieve ITIM Stage 3 by Summer 2007. The OCIO will work closely with OPDIVs to develop policy, ensure policies are effectively institutionalized, and foster collaboration and the use of best and common practices. Taken together with the integrated performance management system initiative, this will mean that the Department and OPDIVs will greatly enhance their ability to manage IT cohesively and effectively at HHS in this next IT strategic planning period.
Identifying future trends aims to identify important factors that may impact IT over the next three to five years. HHS understands that day-to-day occurrences influence and change the future. Several key trends have been identified as important elements to consider while undertaking the development of this plan. The four principal trends are: - Security – The explosive growth of worldwide Internet connectivity, with its accompanying increases in threats, risks, and security events, has made IT security and critical infrastructure protection top priorities for government agencies. Without enough IT security, HHS mission critical services are subject to disruption or failure, unauthorized access or disclosure, intrusion, privacy violations, and fraudulent actions. With future efforts across HHS aimed at capitalizing on the Internet and related technology to conduct daily business or as a means to share information with customers and stakeholders, IT security will continue to be a primary concern for the Department.
- Knowledge Management and Knowledge Sharing – HHS is a knowledge intensive organization and faces significant opportunities and challenges in generating value from its intellectual and knowledge-based assets. These assets, whether explicit (e.g., research, reports, etc.) or tacit (e.g., know-how within the aging workforce), are fundamental to the success of HHS. IT is critical to facilitating knowledge-sharing within HHS. HHS is charged with communicating information to citizens, customers, employees, and Federal, State, and local governments. The management and sharing of knowledge within HHS is of paramount importance and is critical to many of its inherently collaborative activities. Improving knowledge management and sharing across the OPDIVs furthers the One HHS vision set forth by the Secretary. IT provides HHS the ability to collect, summarize, integrate, and dispense information to its customers and stakeholders. HHS also seeks to maximize use of the Internet to revolutionize the way in which information is captured, delivered, and accessed.
- Budget Constraints – Funds used to pay for technology, staff, and support services have been and will continue to be constrained for the foreseeable future, particularly in consideration of increasing requirements placed on the IT community. In order to operate within these constraints, HHS IT will continue to identify and undertake programs which result in cost savings, improve efficiency and effectiveness, and minimize duplication. HHS will also continue exploiting economies of scale, establishing common standards, infrastructures and administrative systems, and improving the alignment of IT to support business needs in support of its strategic direction.
- E-Government – In an effort to improve the effectiveness and efficiency of the Federal government, the President has stressed the need to develop and implement E-Government strategies and initiatives. The HHS IT community is actively planning various E-Government initiatives to ensure that HHS leverages the Internet and simplifies the manner in which the Department conducts business with its customers and stakeholders. Reference earlier discussions on SOA solutions and the paragraph below, HHS will also leverage an SOA Web Services approach to improve the use of common Web Services across the department in support of eGov infrastructure requirements.
Integration and Interoperability, and the use of a Federated, Service Oriented Enterprise Architecture Approach—Application and infrastructure integration and interoperability are consistent goals for any large, diverse, organization such as HHS. Technologies and strategies for information integration and interoperability continue to evolve, with the latest trend focusing on Service Oriented Architectures (SOAs). While not new, SOAs traditionally focus on Web Services based applications, however, the architectures and the implementation for SOAs is not limited to this paradigm. Building on current OPDIV activities, as well as HSS State and local activities to explore and implement SOA-based integration and interoperability objectives, HHS will leverage these investments and will establish an SOA-based approach to IT consolidation, common service delivery, and integration initiatives. This approach will provide guidance, governance, policy, and technical strategies for implementation of a Federated SOA that will establish Service Provider/Service Consumer relationships across the Department. In addition, this approach will look to the Operating Divisions to fulfill a role as Service Consumers as well as Service Owners/Providers in a truly federated approach. This recognizes and leverages in-place IT infrastructure, skills, and capabilities across our diverse organization. In this approach, the OCIO will focus on the Federated, Service Oriented Enterprise Architecture, and will provide guidance, policy, and support in the implementation of Department-wide SOA solutions. We propose establishing a formal process, perhaps as an extension of on-going EA planning activities to collaborate with all OPDIVs for input into these key sections of the Strategic Plan (Volume 1). This will be key to the inclusion of required planning discussion in Volume 2 (Tactical Plan) and to establishing relevant and appropriate measures in Volume 3 (Performance Measurement). A list of the IT goals has been arranged to reflect the HHS IT enterprise priorities. The IT goals and objectives describe how HHS will achieve its IT vision, and as a result, how it will support and enable HHS to achieve its Departmental mission. The IT goals (3-5 years) are broader and longer-term in nature, whereas the IT objectives are specific and short-term (1-2 years). Note: Key to the definition and maintenance of Sections 6.0 and 7.0 is a collaborative process across the Department to identify and define key IT strategies and key technology drivers for integration into the Strategic and Tactical planning process.
This Strategic Plan reflects HHS’ commitment to supporting the President’s and the Secretary’s visions to help the Department improve the way it conducts business and serves its customers and stakeholders. The IT strategies defined in this plan are evidence of HHS’ dedicated commitment to meeting the challenges of IT security, the President’s Management Agenda, E-Government strategies, Homeland Security priorities, and the Secretary’s One HHS initiative. This version of the HHS Enterprise IT Strategic Plan is evidence of significant improvement and the developing maturity of the HHS IT strategic planning program. The HHS IT community is committed to optimizing its IT investments to enable achievement of successful HHS business outcomes. HHS firmly believes that a robust lifecycle IT planning program is key to ensuring success in IT management. HHS will continue to develop and refine this plan and its IT strategic planning program to maximize benefits to its stakeholders and the public. Each of the strategic goals and objectives is based on a results-oriented management approach. The OCIO and HHS CIO will track progress toward each goal and objective through a series of performance measures. The performance management information will be used to assess progress and compliance and will serve as a critical input for planning to ensure continued improvement. Contact Information For further information, please contact: U.S. Department of Health & Human Services Office of Information Resource Management 200 Independence Avenue, SW Washington, DC 20201 Appendix A – Acronyms ACF | | Administration for Children and Families | AHRQ | | Agency for Healthcare Research and Quality | AOA | | Administration on Aging | ATSDR | | Agency for Toxic Substances and Disease Registry | | BPM | | Business Policy Model | | CCA | | Clinger-Cohen Act | CDC | | Centers for Disease Control and Prevention | CHI | | Consolidated Health Informatics | CIO | | Chief Information Officer | CMS | | Centers for Medicare and Medicaid Services | CPIC | | Capital Planning and Investment Control | COTS | | Commercial off the Shelf | | EA | | Enterprise Architecture | E-Gov | | Electronic Government | ESOA | | Enterprise Service Oriented Architecture | EVM | | Earned Value Management | | FDA | | Food and Drug Administration | FEA | | Federal Enterprise Architecture | FHA | | Federal Health Architecture | FISMA | | Federal Information Security Management Act | FY | | Fiscal Year | | GAO | | Government Accountability Office | GISRA | | Government Information Security Reform Act | GPEA | | Government Paperwork Elimination Act | GPRA | | Government Performance and Results Act | | HHS | | Department of Health and Human Services | HIPAA | | Health Insurance Portability and Accountability Act | HRSA | | Health Resources and Services Administration | HSPD-1 | | Homeland Security Presidential Directive-1 | | IG | | Inspector General | IHS | | Indian Health Service | IRM | | Information Resources Management | IT | | Information Technology | ITIRB | | Information Technology Investment Review Board | ITIM | | Information Management Investment Management | | MOU | | Memorandum of Understanding | | NIH | | National Institutes of Health | NIST | | National Institute of Standards and Technology | NSDI | | National Spatial Data Infrastructure | | OCIO | | Office of the Chief Information Officer | OMB | | Office of Management and Budget | ONC | | Office of National Coordinator | OPDIV | | Operating Division | OSI | | Open Systems Interconnect | | PDD | | Presidential Decision Directive | PKI | | Public Key Infrastructure | PMA | | President's Management Agenda | PM&E | | Performance Management and Evaluation | PMWG | | Performance Management Working Group | PRA | | Paperwork Reduction Act | PSC | | Program Support Center | | QOS | | Quality of Service | | ROI | | Return on Investment | | SAMHSA | | Substance Abuse and Mental Health Administration | SOA | | Service Oriented Architecture | SOEA | | Service Oriented Enterprise Architecture | SOP | | Standard Operating Procedure | | TRB | | Technology Review Board | | US | | United States |
Appendix B – HHS IT Goals and Objectives IT Goals | IT Objectives |
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Goal 1 Provide a secure and trusted IT environment. | - 1.1 Enhance confidentiality, integrity, and availability of IT resources.
- 1.2 Protect IT assets and resources from unauthorized access or misuse.
- 1.3 Enhance security awareness department-wide.
- 1.4 Ensure that IT security is incorporated into the lifecycle of every IT investment.
| Goal 2 Enhance the quality, availability, and delivery of HHS information and services to citizens, employees, businesses, and governments. | - 2.1 Provide an intuitive one-stop solution to quickly and reliably deliver information for public access.
- 2.2 Leverage web services to conduct business securely with customers and stakeholders.
- 2.3 Ensure the availability and dissemination of information in preparation of or in response to local and national emergencies or other significant business disruptions.
- 2.4 Provide technologies enabling HHS employees to work collaboratively and share knowledge.
| Goal 3 Implement an enterprise approach to information technology infrastructure and common administrative systems that will foster innovation and collaboration. | - 3.1 Establish a basis for consolidated infrastructure to achieve interoperability and communication among operating divisions.
- 3.2 Improve the performance of HHS’ communication/network resources.
- 3.3 Enable the unification and simplification of similar IT business processes and services within and across operating divisions.
- 3.4 Implement consolidated financial management and other administrative systems.
- 3.5 Maximize the value of technology investments through enterprise-wide procurement and licensing.
| Goal 4 Enable and improve the integration of health and human services information. | - 4.1 Provide integrated public health information services across HHS and to private industry, first responders, other healthcare providers, and the public.
- 4.2 Provide national leadership for Consolidated Health Informatics to promote the adoption of data, process, and vocabulary standards.
| Goal 5 Achieve excellence in IT management practices. | - 5.1 Strengthen HHS enterprise-wide processes for collaborative IT strategic planning, capital planning, and investment control.
- 5.2 Apply strong project management and performance measurements processes to critical IT projects to achieve project success.
- 5.3 Develop an IT human capital plan to guide the recruitment, retention, and skill development of staff.
- 5.4 Establish and maintain IT policies and SOPs to ensure compliance with evolving Federal legislation and OMB regulations.
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Appendix C– HHS Goals and Objectives HHS Goals | HHS Objectives |
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Goal 1 Reduce the major threats to the health and well-being of Americans. | - 1.1 Reduce behavioral and other factors that contribute to developing chronic diseases.
- 1.2 Reduce the incidence of sexually transmitted diseases and unintended pregnancies.
- 1.3 Increase immunization rates among adults and children.
- 1.4 Reduce substance abuse.
- 1.5 Reduce tobacco use, especially among youth.
- 1.6 Reduce the incidence and consequences of injuries and violence.
| Goal 2 Enhance the ability of the Nation’s health care system to effectively respond to bioterrorism and other public health challenges. | - 2.1 Build the capacity of the health care system to respond to public health threats in a more timely and effective manner, especially bioterrorism threats.
- 2.2 Improve the safety of food, drugs, biological products, and medical devices.
| Goal 3 Increase the percentage of the Nation’s children and adults who have access to health care services, and expand consumer choices. | - 3.1 Create new, affordable health insurance options.
- 3.2 Strengthen and expand the health care safety net.
- 3.3 Strengthen and improve Medicare.
- 3.4 Eliminate racial and ethnic health disparities.
- 3.5 Expand access to health care services for targeted populations with special health care needs.
- 3.6 Increase access to health services for American Indians and Alaska Natives (AI/AN).
| Goal 4 Enhance the capacity and productivity of the Nation’s health science research enterprise. | - 4.1 Advance the understanding of basic biomedical and behavioral science and how to prevent, diagnose, and treat disease and disability.
- 4.2 Accelerate private sector development of new drugs, biologic therapies, and medical technology.
- 4.3 Strengthen and diversify the base of qualified health and behavioral science researchers.
- 4.4 Improve the coordination, communication and application of health research results.
- 4.5 Strengthen the mechanisms for ensuring the protection of human subjects and the integrity of the research process.
| Goal 5 Improve the quality of health care services. | - 5.1 Reduce medical errors.
- 5.2 Increase the appropriate use of effective health care services by medical providers.
- 5.3 Increase consumer and patient use of health care quality information.
- 5.4 Improve consumer and patient protections.
- 5.5 Accelerate the development and use of an electronic health information infrastructure.
| Goal 6 Improve the economic and social well-being of individuals, families, and communities, especially those most in need. | - 6.1 Increase the proportion of low-income individuals and families, including those receiving welfare, who improve their economic condition.
- 6.2 Increase the proportion of older Americans who stay active and healthy.
- 6.3 Increase the independence and quality of life of persons with disabilities, including those with long-term care needs.
- 6.4 Improve the economic and social development of distressed communities.
- 6.5 Expand community and faith-based partnerships.
| Goal 7 Improve the stability and healthy development of our Nation’s children and youth. | - 7.1 Promote family formation and healthy marriages.
- 7.2 Improve the development and learning readiness of preschool children.
- 7.3 Increase the involvement and financial support of non-custodial parents in the lives of their children.
- 7.4 Increase the percentage of children and youth living in a permanent, safe environment.
| Goal 8 Achieve excellence in management practices. | - 8.1 Create a unified HHS committed to functioning as one Department.
- 8.2 Improve the strategic management of human capital.
- 8.3 Enhance the efficiency and effectiveness of competitive sourcing.
- 8.4 Improve financial management.
- 8.5 Enhance the use of information technology in service delivery and record keeping.
- 8.6 Achieve integration of budget and performance information.
- 8.7 Reduce regulatory burden on providers and consumers of HHS services.
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Appendix D – IT Objectives - Internal and External Alignment IT Objectives | Internal Alignment | External Alignment |
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Goal 1: Provide a secure and trusted IT environment. |
---|
1.1 Enhance confidentiality, integrity, and availability of IT resources. | - Secure One HHS Initiative
- HHS Strategic Objective 5.4
| - Presidential Decision Directive 63
- Federal Information Security Management Act of 2002
- National Institute of Standards and Technology Guidance
- Health Insurance Portability and Accountability Act of 1996
| 1.2 Protect IT assets and resources from unauthorized access or misuse. | - Secure One HHS Initiative
- HHS Strategic Objective 5.4
| - Presidential Decision Directive 63
- Federal Information Security Management Act of 2002
- National Institute of Standards and Technology Guidance
- Health Insurance Portability and Accountability Act of 1996
| 1.3 Enhance security awareness department-wide. | - Secure One HHS Initiative
| - Presidential Decision Directive 63
- Federal Information Security Management Act of 2002
- National Institute of Standards and Technology Guidance
| 1.4 Ensure that IT security is incorporated into the lifecycle of every IT investment. | - Secure One HHS Initiative
| - Presidential Decision Directive 63
- Federal Information Security Management Act of 2002
- Clinger-Cohen Act of 1996
- National Institute of Standards and Technology Guidance
| Goal 2: Enhance the quality, availability, and delivery of HHS information and services to citizens, employees, businesses, and government. | 2.1 Provide an intuitive one-stop solution to quickly and reliably deliver information for public access. | - One HHS Initiative
- Secure One HHS Initiative
- HHS Strategic Objective 4.4
- HHS Strategic Objective 5.3
- HHS Strategic Objective 8.1
- HHS Strategic Objective 8.5
- HHS Strategic Objective 8.7
- Customer needs
| - President’s Management Agenda
- E-Government Act of 2002
- OMB E-Government Strategy
| 2.2 Leverage web services to conduct business securely with customers and stakeholders. | - Secure One HHS Initiative
- HHS Strategic Objective 8.5
- Customer needs
| - President’s Management Agenda
- Presidential Decision Directive 63
- Federal Information Security Management Act of 2002
- E-Government Act of 2002
- Government Paperwork Elimination Act of 1998
- Paperwork Reduction Act of 1995
- Health Insurance Portability and Accountability Act of 1996
- National Institute of Standards and Technology Guidance
- OMB E-Government Strategy
- OMB Circular A-130
| 2.3 Ensure the availability and dissemination of information in preparation of or in response to local and national emergencies or other significant business disruptions. | - Secure One HHS Initiative
- HHS Strategic Objective 2.1
- HHS Strategic Objective 8.5
| - National Institute of Standards and Technology Guidance
- Trend toward knowledge management and knowledge sharing
| 2.4 Provide technologies enabling HHS employees to work collaboratively and share knowledge. | - One HHS Initiative
- HHS Strategic Objective 4.4
- HHS Strategic Objective 5.5
- HHS Strategic Objective 8.1
- HHS Strategic Objective 8.2
- HHS Strategic Objective 8.5
- HHS Strategic Objective 8.7
| - National Institute of Standards and Technology Guidance
- Trend toward knowledge management and knowledge sharing
| Goal 3: Implement an enterprise approach to information technology infrastructure and common administrative systems that will foster innovation and collaboration. | 3.1 Establish a basis for consolidated infrastructure to achieve interoperability and communication among operating divisions. | - One HHS Initiative
- HHS Strategic Objective 5.5
- HHS Strategic Objective 8.1
- HHS Strategic Objective 8.5
| - National Institute of Standards and Technology Guidance
- Trend toward knowledge management and knowledge sharing
- Trend toward budget constraints
| 3.2 Improve the performance of HHS communication/ network resources. | - One HHS Initiative
- HHS Strategic Objective 4.4
- HHS Strategic Objective 5.5
- HHS Strategic Objective 8.1
| - Trend toward knowledge management and knowledge sharing
- Trend toward budget constraints
| 3.3 Enable the unification and simplification of similar IT business processes and services within and across operating divisions. | - One HHS Initiative
- HHS Strategic Objective 8.1
| - National Institute of Standards and Technology Guidance
- Trend toward knowledge management and knowledge sharing
- Trend toward budget constraints
| 3.4 Implement consolidated financial management and other administrative systems. | - One HHS Initiative
- HHS Strategic Objective 8.1
- HHS Strategic Objective 8.3
- HHS Strategic Objective 8.4
| - Trend toward knowledge management and knowledge sharing
- Trend toward budget constraints
| 3.5 Maximize the value of technology investments through enterprise-wide procurement and licensing. | - One HHS Initiative
- HHS Strategic Objective 8.1
| - Trend toward knowledge management and knowledge sharing
- Trend toward budget constraints
- OMB Memo 97-02
| Goal 4: Enable and improve the integration of health and human services information. | 4.1 Provide integrated public health information services across HHS and to private industry, first responders, other healthcare providers, and the public. | - One HHS Initiative
- HHS Strategic Objective 2.1
- HHS Strategic Objective 5.5
- HHS Strategic Objective 8.1
- HHS Strategic Objective 8.5
- Customer needs
| - Health Insurance Portability and Accountability Act of 1996
- Trend toward knowledge management and knowledge sharing
| 4.2 Provide national leadership for Consolidated Health Informatics to promote the adoption of data, process, and vocabulary standards. | - HHS Strategic Objective 4.4
- HHS Strategic Objective 5.5
- HHS Strategic Objective 8.1
- Customer needs
| - President’s Management Agenda
- Health Insurance Portability and Accountability Act of 1996
- Trend toward knowledge management and knowledge sharing
| Goal 5: Achieve excellence in IT management practices. | 5.1 Strengthen HHS enterprise-wide processes for collaborative IT strategic planning, capital planning, and investment control. | - One HHS Initiative
- HHS Strategic Objective 8.1
- HHS Strategic Objective 8.4
- HHS Strategic Objective 8.6
| - President’s Management Agenda
- Clinger-Cohen Act of 1996
- Government Performance and Results Act of 1993
- OMB Circular A-11
- OMB Memo 97-02
- GAO IT Strategic Planning and Investment Practices Guidance
| 5.2 Apply strong project management and performance measurement processes to critical IT projects to achieve project success. | - HHS Strategic Objective 8.6
| - President’s Management Agenda
- Government Performance and Results Act of 1993
- OMB Circular A-11
- OMB Memo 97-02
- GAO IT Strategic Planning and Investment Practices Guidance
| 5.3 Develop an IT human capital plan to guide the recruitment, retention, and skill development of staff. | - HHS Strategic Objective 8.2
| - President’s Management Agenda
| 5.4Establish and maintain IT policies and SOPs to ensure compliance with evolving Federal legislation and OMB regulations. | | - Preparation for future legislation and guidance
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Appendix E – IT Objectives – Outcome and Performance Measures IT Objectives | Outcome | Performance Measures |
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Goal 1: Provide a secure and trusted IT environment. |
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1.1 Enhance confidentiality, integrity, and availability of IT resources. | Improved security and functionality of IT resources. | - Percentage of critical IT resources in adherence with FISMA standards.
- Percentage of critical IT resources that comply with Departmental IT security standards and policies.
- Percentage of critical IT resources with backup components and contingency plans.
- Percentage uptime of critical IT resources for the past period.
| 1.2 Protect IT assets and resources from unauthorized access or misuse. | Information critical to fulfilling the HHS mission is not compromised. | - Number of incidents involving unauthorized use or misuse of an IT asset during the period.
- Average time elapse between the occurrence and the detection of IT security incidents during the period.
- Average time elapse between the detection and correction of IT security incidents during the period.
| 1.3 Enhance security awareness department-wide. | All OPDIVs have increased awareness of the Department’s IT security requirements. | - Percentage of HHS employees who have received IT security awareness communications or training during the last fiscal year.
- Percentage of HHS employees demonstrating a ”high level” of awareness for IT security issues as reported by an annual employee survey.
| 1.4 Ensure that IT security is incorporated into the lifecycle of every IT investment. | Protection of IT resources across all IT investments. | - Percentage of IT investments that successfully pass a security review as part of the CPIC Select process during the period.
- Percentage of IT investments that successfully pass a security review as part of the CPIC Control process during the period.
- Percentage of IT investments that successfully pass a security review as part of the CPIC Evaluate process during the period.
- Percentage of IT capital plans submitted to OMB that are rejected due to lack of security incorporated into the investment lifecycle during the period.
| Goal 2: Enhance the quality, availability, and delivery of HHS information and services to citizens, employees, businesses, and government. | 2.1 Provide an intuitive one-stop solution to quickly and reliably deliver information for public access. | Enhance the exchange of information with external customers and stakeholders. | - Percentage of public access information and other content identified for public distribution that is available from a centralized, web-based portal.
- Percentage of customers satisfied with the speed, reliability, convenience, and usefulness of the centralized information portal, as reported by an annual customer survey.
| 2.2 Leverage web services to conduct business securely with customers and stakeholders. | Enable the conduct of business transactions electronically. | - Percentage of all targeted business transactions to be made available via the HHS web portal that are currently enabled.
- Percentage of business transactions conducted via the HHS web portal that are found to be unauthorized or fraudulent.
| 2.3 Ensure the availability and dissemination of information in preparation of or in response to local and national emergencies or other significant business disruptions. | Operations within the Department are not severed by local or national emergencies. | - Average time required to correct detected service outages resulting from emergencies during the period.
- Percentage of critical IT resources with backup components and contingency plans.
| 2.4 Provide technologies enabling HHS employees to work collaboratively and share knowledge. | Enhance the exchange and utilization of information amongst employees to improve productivity. | - Percentage of targeted knowledge to be shared that is currently available across the Department.
- Percentage of employees satisfied with the availability of collaboration and knowledge-sharing tools and mechanisms, as reported by an annual employee survey.
| Goal 3: Implement an enterprise approach to information technology infrastructure and common administrative systems that will foster innovation and collaboration. | 3.1 Establish a basis for consolidated infrastructure to achieve interoperability and communication among operating divisions. | Improved ability for integration across OPDIVs. | - Percentage of targeted HHS networks that have been unified.
- Percentage of targeted e-mail systems that are currently compatible.
| 3.2 Improve the performance of HHS communication/ network resources. | Increased availability and dependability of HHS network. | - Percentage availability of the HHS HQ and OPDIV wide area networks during the past period.
- Percentage of total HHS HQ and OPDIV network hard drive capacity currently in use.
- Average responsiveness (speed) rate of HHS HQ and OPDIV networks for transaction-oriented, throughput-oriented, and streaming-oriented communications during the period.
| 3.3 Enable the unification and simplification of similar IT business processes and services within and across operating divisions. | Reduced redundancy and increased customer satisfaction. | - Percentage of targeted IT business processes that have been unified across or within OPDIVs.
| 3.4 Implement consolidated financial management and other administrative systems. | Integration of budget and performance while furthering One HHS. | - Percentage of targeted financial management systems that have been consolidated.
- Percentage of targeted administrative systems that have been consolidated.
| 3.5 Maximize the value of technology investments through enterprise-wide procurement and licensing. | Cost avoidance. | - Average percent savings achieved from consolidated procurement during the past period.
| Goal 4: Enable and improve the integration of health and human services information. |
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4.1 Provide integrated public health information services across HHS and to private industry, first responders, other healthcare providers, and the public. | Improved integration of public health information. | - Percentage of HHS public health systems in compliance with the federal health architecture.
- Percentage of HHS public health systems aligned with the Federal Enterprise Architecture Business Reference Model.
- Percentage of HHS public health systems using Consolidated Health Informatics (CHI) standards.
| 4.2 Provide national leadership for Consolidated Health Informatics to promote the adoption of data, process, and vocabulary standards. | Progress towards the development and adoption of standards. | - Percentage of the targeted domain areas that have adopted CHI standards.
- Percentage of IT interfaces with external systems using CHI standards.
- Number increase of MOU, SLAs entered into with external stakeholders for use of CHI standards.
| Goal 5: Achieve excellence in IT management practices. |
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5.1 Strengthen HHS enterprise-wide processes for collaborative IT strategic planning, capital planning, and investment control. | Improved planning for and control of IT investments ensuring alignment with the mission and needs of the Department. | - Percentage of enterprise-wide IT investments funded during the period that received funding after undergoing an integrated Strategic Planning / CPIC process.
- Percentage of enterprise-wide IT investments reviewed by the CPIC Control process that provided performance measurement data back to the strategic planning process.
| 5.2 Apply strong project management and performance measurement processes to critical IT projects to achieve project success. | Timely completion of IT projects with optimal utilization of resources. | - Percentage of critical IT projects using project management standards, as defined by HHS.
- Percentage of critical IT projects completed within original time and resource limitations.
- Percentage of IT project managers that have completed training courses or been certified in IT project management.
- Percentage of critical IT projects that track and report performance measurement data.
| 5.3 Develop an IT human capital plan to guide the recruitment, retention, and skill development of staff. | Prepared and skilled IT workforce to respond to the changing needs of the Department. | - Percentage completion of an IT Human Capital Plan.
| 5.4 Establish and maintain IT policies and SOPs to ensure compliance with evolving Federal legislation and OMB regulations. | Responsiveness to and fulfillment of legislative and regulatory requirements. | - Percentage of relevant Federal legislation and OMB regulations that are addressed in an IT policy or SOP.
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