ITIRB Charter

I. Purpose

II. Mission

III. Authority

IV. Scope and Responsibilities

V. Membership and Reporting Structure

VI. Administration

VII. Approval

I.  Purpose

This Charter revision updates previous charters regarding the U.S. Department of Health and Human Services (HHS) Information Technology (IT) Investment Review Board (ITIRB) and defines its mission, scope and authority, membership, and administration. In addition, this Charter supersedes all previous versions.  All proposed changes to this document, with supporting rationale, are to be submitted in writing to the HHS ITIRB. 

 II. Mission

The Clinger-Cohen Act requires that each agency undertake capital planning and investment control by establishing a “process for maximizing the value and assessing and managing the risks of information technology acquisitions of the executive agency.” 

The primary mission of the HHS ITIRB is to implement an investment management process that drives budget formulation and execution for IT investments.  Specifically, the Board is charged with:

• Approving and supporting investments that align with and promote the HHS mission, the HHS Strategic Plan, HHS IRM Strategic Plan, HHS Enterprise Architecture, and meet the budget requirements.
• Approving the HHS IRM Strategic Plan.
• Developing and implementing policies and procedures to maximize return and minimize the risks of all IT investments.
• Providing senior management oversight, approval, and commitment to selected HHS IT investments.
• Recommending and presenting to the Secretary’s Budget Council (SBC) a ranked group of IT investments to be funded.

III. Authority

The HHS ITIRB is established under the authority of the Assistant Secretary for Resources and Technology (ASRT) to facilitate compliance with the following:

• The Clinger-Cohen Act of 1996
• The Paperwork Reduction Act of 1995
• Office of Management and Budget (OMB) Circular A-130 (Management of Federal Information Resources)
• Government Accountability Office’s (GAO) Information Technology Investment Management (ITIM) Framework
• OMB Circular A-11, Part 7, Planning, Budgeting, Acquisition, and Management of Capital Assets

 IV. Scope and Responsibilities

The HHS ITIRB is an HHS enterprise-wide executive steering committee responsible for overseeing the management of the HHS IT investment portfolio, approving the allocation of IT resources to best achieve HHS strategic goals and objectives within budget limits, and leveraging opportunities for collaboration within the Operating Divisions (OPDIVs), Office of the Secretary, its Staff Divisions (STAFFDIVs), and the Office of the Inspector General (herein after referred to collectively as “OPDIVs”) on IT investments that support common lines of business.  The HHS ITIRB shall ensure that the HHS IT investment portfolio meets the business needs of HHS in the most effective and efficient manner.  All HHS IT investments are within the purview of the investment management process administered by the HHS ITIRB.  Primary focus of individual investment decisions will be on those investments that meet the threshold criteria for Department-level review.  Details regarding the threshold criteria for Department-level review of IT investments can be found in “HHS OCIO Policy for Information Technology (IT) Capital Planning and Investment Control (CPIC),” HHS-OCIO-2005-0005.  The HHS ITIRB review of IT investments is applicable regardless of funding source. 

The HHS ITIRB shall:

• Review and set strategic IT investment priorities based on Administration strategic objectives, OMB directives and guidance, and HHS mission and goals.
• Review, validate, and approve HHS IT investments directly or through delegation to OPDIV or OS ITIRBs, taking into consideration recommendations from the HHS CIO Council regarding the technical feasibility and managerial soundness of investments when making decisions.
• Approve cost, schedule and performance baselines (and changes to those approved baselines) for Department-wide HHS IT investments that are governed directly by the HHS ITIRB.
• Manage the Enterprise IT (EIT) fund.
• Communicate HHS ITIRB decisions regarding HHS IT investments to other fund managers.
• Ensure that the Department’s IT investment portfolio individually and collectively maximizes mission and financial returns.
• Identify investment integration opportunities within the Department.
• Evaluate and establish a ranked HHS IT investment portfolio during each annual budget cycle to support HHS budget formulation using a standard set of criteria approved by the HHS ITIRB.
• Ensure that each IT investment requiring Department-level review complies with Capital Planning and Investment Control (CPIC) and other management policies (e.g., IT, financial, acquisition, enterprise architecture, and security).
• Ensure that IT investments are in compliance with Section 508 of the Workforce Investment Act of 1998.
• Establish CPIC policies and procedures for the life cycle management of HHS IT investments.
• Ensure that all IT investments approved by the HHS ITIRB demonstrate that they have fully funded useful segments as required by OMB.
• Recommend changes to Department policies relevant to IT investment management.
• Approve exceptions to established CPIC policy and procedures.
• Support and protect the HHS Enterprise Architecture.

Figure 1 reflects the HHS CPIC Governance structure.  For a detailed discussion of the HHS CPIC Governance structure and CPIC policy see “HHS OCIO Policy for Information Technology (IT) Capital Planning and Investment Control (CPIC),” HHS-OCIO-2005-0005.

Figure 1:  HHS CPIC Governance Structure and Process Flow

*Note: Investments meeting Department-level CPIC review thresholds will be reviewed by the HHS CPIC Team on behalf of the CIO Council and HHS ITIRB, as detailed in the Capital Planning and Investment Control (CPIC) policy, Policy for IT Capital Planning and Investment Control (CPIC).  .

  The HHS OPDIVs, STAFFDIVs and Enterprise investment managers shall maintain required investment data in the HHS Portfolio Management Tool (PMT) for each proposed and approved IT investment under their cognizance.  Their investments and related data shall be consistent with the HHS IRM Strategic Plan and their organization’s IT budget submissions.  The HHS ITIRB will rely on information contained in the PMT for executing its decision making responsibilities.

Specifically the HHS ITIRB shall:

• Make IT investment decisions based upon comparisons and tradeoffs among competing projects expected to have HHS-wide impact.  These evaluations may result in a decision to continue, modify, or cancel an investment.
• Direct the development of investment risk assessments and financial criteria to include net present value (NPV) and/or Return on Investment (ROI), and update as necessary.  The HHS ITIRB shall use these criteria as well as established investment data and performance measures to make resource allocation decisions for investments and shall document variances.
• Set IT investment review thresholds.
• Set criteria for evaluating the priority and quality of individual investments and managing the overall HHS IT investment portfolio.
• Ensure that OPDIV CPIC processes are consistent with HHS CPIC policy and processes and are applied effectively.

For a detailed description of the review and approval process for HHS IT investments refer to the “Information Technology (IT) Capital Planning and Investment Control (CPIC) Procedures,” HHS-OCIO-2005-0005P.

 V. Membership and Reporting Structure

 A.  Membership

The HHS ITIRB shall be chaired by the HHS CIO and consist of the following principal members, each of whom shall have voting privileges:

• One Representative from each of the following OPDIVs, to be designated by the OPDIV Head:
  • • Administration for Children and Families (ACF)
    • Administration on Aging (AoA)
    • Agency for Healthcare Research and Quality (AHRQ)
    • Centers for Disease Control and Prevention (CDC)
    • Centers for Medicare and Medicaid Services (CMS)
    • Food and Drug Administration (FDA)
    • Health Resources and Services Administration (HRSA)
    • Indian Health Service (IHS)
    • National Institutes of Health (NIH)
    • Substance Abuse and Mental Health Services Administration (SAMHSA)
• The Office of the Secretary (OS) shall be represented by the following:
  • • A representative from the Office of the Assistant Secretary for Resources and Technology (ASRT), to be designated by the ASRT.
    • A representative from the Office of the Assistant Secretary for Administration and Management (ASAM), to be designated by the ASAM.
    • A representative from the Program Support Center (PSC) to be designated by the ASAM.

Voting members shall designate a primary and an alternate representative.  Only the designated primary or alternate representative may vote for the voting member, and must be in attendance to be counted for quorum and voting purposes.  A representative from the Office of the Inspector General designated by the Inspector General shall participate as an ex-officio member.

In addition, subject matter experts (SMEs) and other advisory members, particularly those representing the business interests of the Department, may be invited to attend HHS ITIRB meetings as non-voting members with the concurrence of the ITIRB Chair.

            B. Reporting Structure

The HHS ITIRB shall report directly to the HHS Assistant Secretary for Resources and Technology (ASRT).  The HHS CIO, as Chair, shall be responsible for reporting the recommendations of the HHS ITIRB and noting any dissenting positions among Board members.

 VI. Administration

1. Inputs

The HHS ITIRB shall review:

• Investments referred by the CIO Council, which advises the HHS ITIRB on the IT investment’s technical soundness and recommends a priority relative to the remainder of the portfolio.
• IT Investments referred by the Service and Supply Fund Board.
• Rebaseline requests for major IT investments for possible forwarding to OMB for final approval.
• HHS OCIO-proposed ranked HHS IT investment portfolio to ensure that the portfolio is of the highest quality and meets the business needs of the Department in the most effective and efficient manner.
• Individual IT investment proposals and status reports for IT investments designated for HHS ITIRB review.
• HHS OCIO-provided IT portfolio information and recommendations for HHS ITIRB IT investment portfolio management decisions.
• Proposed changes to the HHS CPIC process or HHS IT investment management policy.

1. Meetings

The HHS ITIRB shall meet regularly at a time and place set by the Chair.  In addition, the ITIRB may be convened in an emergency session to address time-critical topics as deemed necessary by the Chair. It is currently expected that the Board shall meet monthly.

The primary or alternative representative of each principal member is expected to attend all meetings. Attendance may be in person or any other two-way, interactive communication means, such as conference call or video teleconference, acceptable to the Chair. A majority of the voting members, to include the Chair, must attend each meeting to establish a quorum for that meeting. 

Decisions shall be determined based on the vote of a majority (at least 51percent) of the voting members in attendance.  Each principal HHS ITIRB member has one vote.  In the event of a tie, the Chair shall cast the tie-breaking vote.

Items presented for HHS ITIRB shall be circulated electronically for members' review far enough in advance of the meeting to allow members time to review the documents in a meaningful way. Disposition may be determined by virtual deliberation of the members without convening an ITIRB meeting.

 C.   HHS ITIRB Administrator

The HHS ITIRB Administrator, located within the HHS Office of Chief Information Officer (OCIO), shall perform all HHS ITIRB administrative activities, including:

• Receiving, recording, and tracking all agenda items submitted for HHS ITIRB consideration.
• Preparing the agenda, supplemental materials, and minutes for each HHS ITIRB meeting.
• Tracking action items from the HHS ITIRB meetings.
• Maintaining current and historical HHS ITIRB logs, distribution lists, and other records.
• Preparing routine and ad hoc reports of HHS ITIRB activities.

Ensure that any proposed changes in the ITIRB charter are documented and receive a 2/3 concurrence from the then existing ITIRB membership prior to any proposed changes being offered to the Assistant Secretary for Resources and Technology for final approval.

  VII. Approval