Information Technology Trends
in the
U.S. Federal Government
Barry West, CIO
Pension Benefit Guaranty Corporation
February 27, 2014
1
The “Cloud First” Trend
Federal CIO’s Rationale behind “Cloud First”
2
TOPICS FOR DISCUSSION
QUESTIONS I HOPE TO ANSWER
 What is the mission and purpose of the Pension Benefit Guaranty Corporation (PBGC)?
 How are current trends affecting records management, document management and enterprise
content management?
 How can industry help government as CIO’s transform their organizations leveraging today’s
technologies?
 How are CIO’s leveraging multiple technology trends over a government landscape that has
included a sequestration, shutdown and continuous budget cuts?
 What is the importance of cyber security and how is it affecting every aspect of our business
in both the public and private sectors?
 How must a CIO balance integrating current technology with meeting the needs of the
business units?
 What the difference is between managed services and cloud computing?
 What are the top technology trends over the next 3 years for every CIO in the public and
private sectors
 How cyber security will continue to grow and be embraced by not only IT but every part of
the business?
 How industry can help with innovation and what the future holds?
3
SLIDE PRESENTATION
AGENDA




PBGC
CURRENT TRENDS
TRANSFORMATION DRIVERS
DIGITAL SERVICES LAYERS
→ INFORMATION LAYER
→ PLATFORM LAYER
→ PRESENTATION LAYER

PBGC’S APPROACH
→ PBGC’S IT STRATEGIC DIRECTION
→ ALIGNMENT TO PBGC GOALS
 CLOUD COMPUTING
→ CLOUD COMPUTING MODELS
→ CLOUD COMPUTING SERVICES




PBGC’S CLOUD FOOTPRINT
PBGC’S CUSTOMER OUTREACH
ADMINISTRATOR SELF SERVICES
PARTICIPANT SELF SERVICES
4
PBGC
What is the Pension Benefit Guaranty Corporation (PBGC)
 Federal Government Corporation
 Established under Title IV of the Employee Retirement Income Security Act of 1974
(ERISA)
 Governance:
→ Headed by a Director who is appointed by the President and confirmed by the Senate.
→ Board of Directors: Secretaries of Labor, Commerce, and Treasury, with Secretary of Labor
as Chair
→ Aided by a seven-member Advisory Committee appointed by the President of the United
States to represent the interests of labor, employers, and the general public.
→ Advisory Committee, including advising on policies and procedures for PBGC's
investments, the trusteeship of terminated plans, and on other matters as determined by
PBGC
 Mission is to encourage the continuation and maintenance of private-sector defined
benefit pension plans, provide timely and uninterrupted payment of pension benefits,
and keep the insurance premiums at a minimum
5
PBGC
What is the PBGC’s Purpose
 Mission is to encourage the continuation and maintenance of private-sector defined
benefit pension plans, provide timely and uninterrupted payment of pension benefits,
and keep the insurance premiums at a minimum
 Protects pensions of 43 million workers and retirees in 24,000+ private-sector defined
benefit pension plans
 Defined benefit plans provide a specified monthly benefit at retirement, often based on
a combination of salary and years of service
 Receives no funds from general tax revenues.
 Self-funded: (FY 2013)
→ collected over $3 billion in premiums
→ $85 billion in investments under management (funds from pension plans PBGC takes over)
→ $2.6 billion in investment earnings
→ paid 850,000 participants nearly $5.5 billion in pension benefits
→ paid out $89 million to benefit another 50,000 participants in multiemployer pension plans
→ received a 90 rating from The American Customer Satisfaction Index, of 80+ is excellent
6
CURRENT TRENDS
DIGITAL GOVERNMENT:
BUILDING A 21ST CENTURY PLATFORM TO BETTER SERVE THE
AMERICAN PEOPLE (MAY 23, 2012)
Administration’s Strategy Objectives
 Enable the American people and an increasingly mobile workforce to access
high-quality digital government information and services anywhere, anytime,
on any device
 Ensure that as the government adjusts to this new digital world, we seize the
opportunity to procure and manage devices, applications, and data in smart,
secure and affordable ways
 Unlock the power of government data to spur innovation across our Nation and
improve the quality of services for the American people
* Source: DIGITAL GOVERNMENT: BUILDING A 21ST CENTURY PLATFORM TO BETTER SERVE THE AMERICAN PEOPLE (MAY 23, 2012)
7
TRANSFORMATION DRIVERS
Administration’s Four Overarching Principles
 Information Centric
→ Make Open Data, Content, and Web APIs the New Default
→ Make Existing High-Value Data and Content Available through Web APIs
 Shared-First
→ Establish a Digital Services Innovation Center and Advisory Group
→ Establish Intra-Agency Governance to Improve Delivery of Digital Services
→ Shift to an Enterprise-Wide Asset Management and Procurement Model
 Customer Centric Information Centric
→ Deliver Better Services Using Modern Tools and Techniques
→ Improve Priority Customer-Facing services for Mobile Use
→ Measure Performance and Customer Satisfactions to Improves Service Delivery
 Security and Privacy
→ Promote the Safe and Secure Adoption of New Technologies
→ Evaluate and Streamline Security and Privacy Policies
* Source: DIGITAL GOVERNMENT: BUILDING A 21ST CENTURY PLATFORM TO BETTER SERVE THE AMERICAN PEOPLE (MAY 23, 2012)
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Digital Services Layers
CONCEPTUAL MODEL to Meet Transformation Drivers
 Information Layer:
→ Contains both structured and unstructured
data
→ Examples include:
–
–
–
Census or employment data (Structured)
Fact sheets or Press releases (Unstructured)
Compliance guidance (Unstructured)
“Customers”
American
People
Employees
Gov’t Digital
Services
(Websites &
Applications)
Private Sector
Digital Services
(Websites &
Applications)
 Platform Layer:
→ Includes all systems and processes to
manage the information
→ Examples include:
–
–
Web APIs and applications development
supporting mission critical functions
Hardware used to access information (e.g.
mobile phones)
 Presentation Layer:
→ Defines manner in which information is
organized and provided to customer
→ Represents delivery model
–
–
Websites,
Mobile applications, etc.
 Security And Privacy:
→ Must be safe and secure
→ Transparent and accountable
Systems, Process
Management and Web APIs
Open Data & Content
Information
Security & Privacy
Presentation
Layer
Platform
Layer
Information
Layer
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INFORMATION LAYER
Meeting the Information Centric Principle
“open data & content information”
Requires the “Decoupling” of information from its presentation
 Describe data clearly
→ Sound taxonomy, making it searchable
→ Adequate meta data making it authoritative
 Preparing data for publications
→ Improve quality, accessibility, timeliness, and usability
→ Identify and high-value data and content
→ Evaluate for release to other agencies and the public
→ Make high-value data discrete and digestible
→ Assign metadata tags to high-value data
→ Embed security and privacy controls into structured data and metadata
 Expose machine-readable data to other computers (WEB APIs)
→ Publish high-value data and content timely
→ Make it easily acceptable for external use as applicable
→ Post it at agency.gov/developer in machine-readable format
10
PLATFORM LAYER
IT Shared Services Conceptual Overview “build once, use many times”
Channels
Public, Community, Hybrid, Private Clouds
Standard Termination
Administration
Premium Processing
Benefit Administration
and Payment
Management
Financial Management
H. R.
Management
Records
Management
Email, Help Desk, &
Collaboration
Example
Service
Types
Infrastructure &
Asset Management
Category
Inter-Agency Lines of Business / Business Centers
Intra-Agency Lines Shared Services Centers
Commodity IT
Support IT
Mission IT
Websites &
Content Management
Level
Online Service Catalog
IT shared service is defined as: An information technology function that is provided for consumption
by multiple organizations within or between Federal Agencies. There are three general categories of
IT shared services: commodity, support, and mission; which are delivered through cloud-based or
legacy infrastructure.*
Legacy Intranets / Extranets
*http://www.whitehouse.gov/sites/default/files/omb/assets/egov_docs/shared_services_strategy.pdf
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PRESENTATION LAYER
Meeting the Customer Centric Principle
“anytime, anywhere, any device”
“Customers don’t know – and don’t care to know – how government is organized. So why make them go from
agency [website] to agency [website] to get the full picture of what gov’t has to offer on any subject?”*
 Customer Centric means that agencies:
→ Respond to customer needs
→ Make it easy to find and share information and accomplish important tasks.
 Digital services must be designed and delivered with:
→ Customer service first
→ Technologies used by customers, i.e. – today’s customers, today’s technologies
→ Content optimized for modern platforms, rather than just translating content from
paper-based documents to the Web
→ Agencies keeping current with the latest design concepts and refreshing delivery
mechanism to ensure the highest performance
 Identifying and optimizing top tasks, content, and transactions
 Optimizing for usability, search, and accessibility
* Source: DIGITAL GOVERNMENT: BUILDING A 21ST CENTURY PLATFORM TO BETTER SERVE THE AMERICAN PEOPLE (MAY 23, 2012)
12
SECURITY AND PRIVACY
Meeting the Security and Privacy Principles
“Cross-Agency Priority Goal: Cybersecurity”*
 Goal Statement: Executive branch departments and agencies will achieve 95%
implementation of the Administration’s priority cybersecurity capabilities by the end of
FY 2014
 Focus efforts on:
→ what data and information is entering and exiting their networks,
→ what components are on their information networks and when their security status changes,
and
→ who is on their systems.
 Administration Priorities for Meeting the Goals
→ Trusted Internet Connections (TIC) - Consolidate external Internet traffic and ensure a set of
common security capabilities for situational awareness and enhanced monitoring.
→ Continuous Monitoring of Federal Information Systems - Transform the historically static
security control assessment and authorization process into an integral part of a dynamic
enterprise-wide risk management process.
→ Strong Authentication – Ensure only authorized employees have access to Federal information
systems by requiring a higher level of assurance following the HSPD-12 Personal Identity
Verification standard
* Source: http://goals.performance.gov/goals_2013
13
PBGC’S APPROACH
“PBGC’s IT Strategic Direction”
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ALIGNMENT TO PBGC GOALS
PBGC’s IT Strategic Direction
#
Focus
IT Goals
Secure PBGC’s IT to ensure confidentiality,
1 Strategic
availability and integrity of systems and data
2 Strategic
3 Strategic
4 Strategic
5 Strategic
6 Enabling
7 Enabling
8 Enabling
Modernize and innovate PBGC’s IT solutions
through the use of cloud computing and shared
services to enable a flexible, reliable, secure, and
cost-effective environment
Standardize the management and sharing of data
across the enterprise and enable enhanced analytical
capabilities
Improve internal and external social collaboration
and communication
Increase the use of mobility to support the changing
needs and requirements of PBGC’s customers and
workforce
Improve IT service delivery to add business value,
achieve efficiency, and increase customer
satisfaction
Mature IT governance to foster business agility
Build and equip a highly capable IT workforce with
competencies and tools to support current and
future IT initiatives
Focus Area
Preserve Plans
& Protect
Pensions
Timely and
Accurate
Benefits
Cyber/IT
Security
Cloud
Computing
and Shared
Services
High Standards of
Stewardship and
Accountability


Information/D
ata

Social
Collaboration


Mobility



Customer
Service




Governance

IT Workforce

15
PBGC IT SP MAPPED TO DSL
Digital Services Layers
PBGC IT Strategic Initiatives
Cyber/IT Security
“Customers”
Security
Private Sector
Digital Services
(Websites &
Applications)
Customers
Presentation Layer
Cyber/IT
Gov’t Digital
Services
(Websites &
Applications)
Employees
Systems, Process
Management and Web APIs
Platform Layer
Open Data & Content
Information
Information Layer
Security & Privacy
Cyber/IT Security
American
People
Cyber/IT Security
16
CLOUD COMPUTING
What and Why?
 Cloud computing is “a model for enabling convenient, on-demand network
access to a shared pool of configurable computing resources (e g , networks,
servers, storage, applications, and services) that can be rapidly provisioned and
released with minimal management effort or service provider interaction” *
 Cloud computing is shared services**
 Drivers:
→ Increased agility responding to workload fluctuations
→ Improved productivity in application development, application management,
network, and end-user**
→ Improved asset utilization**
→ Shift focus from asset ownership to service management**
Source: National Institute of Standards and Technology (NIST), Special Publication 800-145
** FEDERAL CLOUD COMPUTING STRATEGY Vivek Kundra ,U.S. Chief Information Officer FEBRUARY 8 , 2 011
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CLOUD COMPUTING MODELS
 Public Cloud –
→
→
→
Cloud infrastructure is provisioned for open use by the general public
Owned, managed, and operated by a business, academic, or government organization, or some
combination of them
Resources exist on the premises of the cloud provider
 Community Cloud –
→
→
→
Cloud infrastructure is provisioned for exclusive use by a specific community of consumers from
organizations that have shared concerns.
Owned, managed, and operated by one or more of the organizations in the community, a third party,
or some combination of them
Resources may or may not exist on the premises of the cloud provider
 Hybrid Cloud –
→
→
→
→
Cloud infrastructure is comprised of two or more distinct cloud infrastructures (private, community,
or public)
infrastructures remain unique entities
Bound together by standardized or proprietary technology that enables data and application
portability
Resources may or may not exist on the premises of the cloud provider.
 Private Cloud –
→
→
→
Cloud infrastructure is provisioned for exclusive use by a single organization comprising multiple
consumers
Owned, managed, and operated by the organization, a third party, or some combination of them,
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Resources may or may not exist on the premises of the cloud provider
CLOUD COMPUTING SERVICES
 Software as a Service (SaaS) –
→ Capability provided to the consumer is to use the provider’s applications running on
a cloud infrastructure.
→ Applications are accessible from various client devices through either a thin client
interface, such as a web browser, or a program interface.
 Platform as a Service (PaaS) –
→ Capability provided to the consumer is to deploy on a cloud infrastructure
consumer-created or acquired applications.
→ Programming languages, libraries, services, and tools need for applications are
supported by the provider.
 Infrastructure as a Service (IaaS) –
→ Capability provided to the consumer is to provision processing, storage, networks,
and other fundamental computing resources
→ Consumer is able to deploy and run arbitrary software, which can include operating
systems and applications.
* Source: http://csrc.nist.gov/publications/nistpubs/800-145/SP800-145.pdf
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PBGC’S CLOUD FOOTPRINT
Private Cloud
Public Cloud
PaaS
SaaS
PaaS
IaaS
Hybrid Cloud
CFO Applications
CMO Applications
CMO Applications
CFO Applications
OGC Applications
EEO Applications
SaaS
SaaS
Model Key
Currently deployed
Planned deployment
Community Cloud
20
PBGC’S CUSTOMER OUTREACH
 Unclaimed Pension Search
→ Accounts for up to 45% of PBGC’s daily traffic
→ 6,000 visitors per day
→ 1.62 million views per day when highlighted on YAHOO.com
 Open Government Webpage
→ Created few years ago in response to the Presidential Initiative
→ Host six high-value data sets
→ over 10,000 customers subscribed to updates
 Federal Web Analytics Integration
→ Integrated web analytics using the Adobe tool, SiteCatalyst) with Foresee
ACSI search results and our GovDelivey email management service
→ Sent over 1.5 million emails in 2013
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ADMINISTRATOR SELF SERVICES
My Plan Administration Account (My PAA)
 Secure Web-based application that enables pension plan professionals to
electronically submit premium filings and payments to PBGC in accordance
with PBGC's regulations
 PBGC's mandatory e-filing requirements apply to all types of filings, including
both original and amended filings
 Streamlines the premium filing process for users
 Assists users prepare, and PBGC process, premium filings faster and more
accurately
 Provides immediate confirmation of date and time that PBGC received filing.
 Helps PBGC provide more accurate and timely invoices
 Speeds refund processing
 Offers filing options that enable filers to view premium data submitted
 Enables on-line access to plan premium filing account histories
22
PARTICIPANT SELF SERVICES
My Pension Benefit Account (My PBA)
 Secure Web-based application that enables participants in plans, for which
PBGC is trustee, to electronically conduct certain common transactions
→ View and print IRS Form 1099-R (which reports pension payments from PBGC)
for income tax filing
→ Request a benefit payment estimate be mailed
→ Apply for pension benefits
→ Designate or change beneficiary information
→ Change address, telephone number, or e-mail address
→ Designate or edit federal tax withholdings
→ Apply for electronic direct deposit (EDD) or edit existing EDD information
→ View payment information such as address of record, payment status, and canceled
checks
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Questions
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