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Information Technology Trends in the

U.S. Federal Government

Barry West, CIOPension Benefit Guaranty Corporation

February 27, 2014

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The “Cloud First” Trend

Federal CIO’s Rationale behind “Cloud First”

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?

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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

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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

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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

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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)

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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)

9Security & Privacy

Digital Services Layers

“Customers”

American People Employees

Gov’t Digital Services

(Websites & Applications)

Systems, ProcessManagement and Web APIs

Open Data & ContentInformation

Private Sector Digital Services

(Websites & Applications)

PresentationLayer

PlatformLayer

InformationLayer

Information Layer: → Contains both structured and unstructured

data → Examples include:

– Census or employment data (Structured)– Fact sheets or Press releases (Unstructured)– Compliance guidance (Unstructured)

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

CONCEPTUAL MODEL to Meet Transformation Drivers

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INFORMATION LAYER

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

Meeting the Information Centric Principle “open data & content information”

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PLATFORM LAYER

IT Shared Services Conceptual Overview “build once, use many times”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.*

Inter-Agency Lines of Business / Business CentersIntra-Agency Lines Shared Services Centers

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*http://www.whitehouse.gov/sites/default/files/omb/assets/egov_docs/shared_services_strategy.pdf

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PRESENTATION LAYERMeeting the Customer Centric Principle

“anytime, anywhere, any device”

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 performanceIdentifying and optimizing top tasks, content, and transactions Optimizing for usability, search, and accessibility

“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?”*

* Source: DIGITAL GOVERNMENT: BUILDING A 21ST CENTURY PLATFORM TO BETTER SERVE THE AMERICAN PEOPLE (MAY 23, 2012)

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SECURITY AND PRIVACYMeeting 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

PBGC’S APPROACH

“PBGC’s IT Strategic Direction”

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ALIGNMENT TO PBGC GOALS

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Preserve Plans & Protect Pensions

Timely and Accurate Benefits

High Standards of Stewardship and Accountability

#Focus IT Goals Focus Area

1 StrategicSecure PBGC’s IT to ensure confidentiality, availability and integrity of systems and data

Cyber/IT Security      

 

2 Strategic

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

Cloud Computing and

Shared Services

     

3 StrategicStandardize the management and sharing of data across the enterprise and enable enhanced analytical capabilities

Information/Data

     

4 Strategic Improve internal and external social collaboration and communication

Social Collaboration

     

5 StrategicIncrease the use of mobility to support the changing needs and requirements of PBGC’s customers and workforce

Mobility      

6 EnablingImprove IT service delivery to add business value, achieve efficiency, and increase customer satisfaction

Customer Service

     

7 Enabling Mature IT governance to foster business agility Governance      

8 EnablingBuild and equip a highly capable IT workforce with competencies and tools to support current and future IT initiatives

IT Workforce      

PBGC’s IT Strategic Direction

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Cyb

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Sec

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Security & Privacy

PBGC IT SP MAPPED TO DSL

“Customers”

American People Employees

Gov’t Digital Services

(Websites & Applications)

Systems, ProcessManagement and Web APIs

Open Data & ContentInformation

Private Sector Digital Services

(Websites & Applications)

PBGC IT Strategic Initiatives

Customers

Presentation Layer

Platform Layer

Digital Services Layers

Information Layer

Cyber/IT Security

Cyber/IT Security

Cyber/IT Security

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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, → Resources may or may not exist on the premises of the cloud provider

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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

Model Key

SaaS

Public Cloud

Hybrid Cloud

PaaS

IaaS

SaaSSaaS

PaaS CMO ApplicationsCFO ApplicationsOGC ApplicationsEEO Applications

CFO ApplicationsCMO Applications

Currently deployed

Private Cloud

Community CloudPlanned deployment

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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

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

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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