FY 2003 FEC Budget Request

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This document is part of the Congressional Justification Budget Request for FY 2003 presented to the Congress Pursuant to GPRA and OMB A-11 by the Federal Election Commission on February 25, 2002.


APPENDIX C:

FEDERAL ELECTION COMMISSION

IT STRATEGIC PLAN

IT PERFORMANCE PLANS

 

FY 2002-2007

PURSUANT TO GPRA AND OMB A-11

 

FEBRUARY 25, 2002

Submitted to Congress/OMB


Federal Election Commission

IT Strategic Plan FY 2002-2007

IT Performance Plans By Project FY 2002-2007

In 1995, the Federal Election Commission (FEC) initiated a modernization program to re-engineer its automated systems infrastructure. Three major initiatives were launched: information technology (IT) modernization, point of entry, and electronic filing. These projects were designed to assist the FEC to perform its statutory mission and achieve its objectives and goals as defined in the FEC Strategic Plan. The goals of IT modernization are to enable FEC staff to work more efficiently by using more robust, comprehensive methodologies providing access to data and information. These goals will be achieved through migration to a client/server system to facilitate information requests, reduce copying and distribution of paper documents, streamline research, and manage workloads. The new system will permit FEC staff and external users to use FEC-generated data and information in a more flexible manner and will enable the FEC to realize the benefits achieved by electronic filing.

In FY 2004, the FEC plans to complete this first set of initiatives. To build on this IT foundation, the FEC will begin the next phase of technology enhancements based on a Web-based portal definition project. Portals will be implemented in stages, beginning in FY 2003 with completion in FY 2006. Portals will allow external and internal users of FEC information to retrieve data through Web-based dynamic retrieval and user-defined profiles that permit customized access to information. The implementation of the FEC portal will complete the integration of all FEC databases.

The IT Strategic Plan also includes the funding for the base IT programs for the Data Systems Development Division (DSDD) from FY 2002-2007. Although not part of the earmarked IT initiatives, these programs and activities are part of the IT system. The funds for these base programs are tracked separately from the earmarked IT initiatives.


IT Modernization

FY 2002

Goals/Milestones

Migration to Client/Server Environment

Purchase and install hardware and software for replacement digital imaging system (October 2001)

Migrate legacy images (approximately 4 million pages) to new digital imaging system (December 2001)

Complete migration of disclosure database to client/server environment (December 2001)

Complete replacement of document imaging system (April 2002)

Install the Commission-wide Document Management System (May 2002)

Complete requirements review of the Finance, Budget, Procurement and Human Resource functions for conversion to client/server environment (September 2002)

Complete Review of RAD Needs Assessment and Business Process Review (September 2002)

Case Management System

Complete procedures for OGC data entry (October 2001)

Design Litigation Notebook (November 2001)

Implement system enhancements (December 2001)

Design Alternative Dispute Resolution Notebook (January 2002)

Develop offense profile reports (March 2002)

Complete installation and integration of PC Docs (April 2002)

Other Projects

Replace and upgrade aging PCs (desktop and laptop computers) (October 2001)

Complete implementation of TeamMate document management system in the Audit Division (November 2001)

Implement redesigned database for Commission Secretariat (April 2002)

Continue to enhance data query enhancements on Web site (September 2002)

Build and install networked mailroom system (September 2002)

Costs

Personnel: $818,200, 10.0 FTE
Non-Personnel*: $2,891,000

*Includes software and hardware licensing, maintenance, new equipment, and maintenance and licensing for equipment purchased in prior fiscal years

FY 2003

Note: For FY 2003 through FY 2007, timing for completion of Client/Server implementation and for initiation of new projects is contingent upon receipt of five additional Data Division FTE included in the FY 2002 FEC budget request.

Goals/Milestones

Migration to Client/Server Environment

Initiate development of data mining project (October 2002)

Begin design and development of system for OCR scanning of non-electronically filed documents (October 2002)

Begin conversion of other systems to Client/Server environment (e.g., Audit, Clearinghouse and Information Division) (October 2002)

Initiate Portal Development Project* (October 2002)

Complete FEC-wide implementation of Disclosure Client/Server Program (April 2003)

Complete FEC-wide implementation of Document Management Program (April 2003)

Develop on-line Commission voting and certifications (April 2003)

Complete conversion of Finance, Budget, Procurement and Human Resource processes to Client/Server environment (September 2003) Delayed until FY 2004

*Portal Development Project

The FEC plans to complete the current IT initiatives by FY 2004. The Portal Development Project (PDP) is the next step in which the IT initiatives will become accessible to all users in a logical, integrated manner. The goal of PDP is to provide simple but powerful access to the upgraded system(s) providing both internal and external users with custom browsing techniques for accessing the system functions. These tools will allow users to efficiently query the FEC’s databases.

Integrated access to FEC data will occur through the development and implementation of an Internet Web portal. A portal is a personalized single point of entry to internal and external applications and information. Portals allow users to create and save their own customized Web view of FEC databases and resources. For example, a public user might access the FEC Website on a regular basis to review specific campaign reports, search contributor databases, or learn about new regulations. By accessing a customized FEC Web page, the user will be able to maintain a template containing pre-defined searches that can be readily executed.

The PDP design also will give internal users Web access to databases and applications that have been developed through other IT initiatives. Audit Management, Electronic Campaign Disclosure Filing, Case Management, Document Management, Accounting/Finance, Human Resource and other systems will be readily available to employees and others who require access. To implement the PDP, the following phases will be completed:

Portal Definition

Portal definition is the creation of the blueprint for an integrated access model. The blueprint will describe database relationships and establish a method for creating integrated access to FEC data.

Retrieval/Search Enhancement

In this phase, the FEC will develop the data search building blocks to be used in the final portal product. Search capabilities of FEC databases will be developed, incorporating techniques such as data warehousing and data mining to enhance data retrieval.

User Profile Definition

User profile definition includes the assessment of internal and external user requirements to determine the best way to set up custom portal access. In the PDP model, there are two general classes of users: internal users (FEC staff) and external users (e.g., the press, FEC filers, and the public). Defining how users access the data, setting up templates and providing a customization method will allow both internal and external users to perform intelligent searches of databases without having to redefine search parameters.

Full Integration and Implementation

Full integration and implementation involve the completion of a consolidated Web portal in which all individual component parts are fused together to form an interactive capability of instantly delivering all FEC data in accordance with user requirements.

Costs

Personnel: $ 867,500, 10 FTE
Non-Personnel*: $3,220,500

*Includes software and hardware licensing, maintenance, new equipment, and maintenance and licensing for equipment purchased in prior fiscal years

FY 2004 -2007

Goals/Milestones

Complete the data-mining program (FY 2004)

Complete OCR scanning for non-electronic filed documents (FY 2004)

Complete conversion of non-disclosure systems to Client/Server architecture (FY 2004)

Upgrade communications equipment to support protocols in a fiber-optic environment (FY 2004)

Compete and award IT services contract (incumbent is Cable & Wireless) (FY 2004)

Replace and upgrade aging PCs (desktop and laptop computers) (FY 2004, 2005, & 2006)

Complete Portal Development Project (FY 2006)

Conduct on going needs assessments updates for FEC offices (Ongoing)

Costs

Personnel Non-Personnel* Total

FY 2004 $ 902,500 $3,046,000 $3,948,500
FY 2005 $ 939,000 $3,152,500 $4,091,500
FY 2006 $ 976,000 $3,216,500 $4,192,500
FY 2007 $1,015,500 $2,337,500 $3,353,000

*Includes software and hardware licensing, maintenance, new equipment, and maintenance and licensing for equipment purchased in prior fiscal years

Point Of Entry Operations

The point of entry program allows the US Senate to transmit electronically campaign finance reports to the FEC for presentation on the Internet. System operations are performed by current staff, supplemented by overtime and temporary services during peak filing periods.

FY 2002

Goals/Milestones

Maintain the high-speed communications interface between the FEC and the Senate that transmits scanned images from the Senate to the FEC imaging system. (Ongoing)

Maintain high-speed scanning capability and the nightly process to migrate all indexed images stored in the FEC digital imaging system to the Web for global retrieval (Ongoing)

Provide the U.S. House of Representatives Records and Registration Office with the capability to retrieve images from FEC digital imaging system (Ongoing)

Provide Internet capability to retrieve images of all reports filed electronically or from the FEC digital imaging system. (Ongoing)

Costs

Personnel: Personnel: $79,000, 1.0 FTE
Non-Personnel*: Non-Personnel*: $98,000

*Includes equipment, maintenance, licensing, and contract services

FY 2003-2007

Goals/Milestones

No change from FY 2002

Costs

Personnel Non-Personnel* Total

FY 2003 $ 88,500 $104,500 $193,000
FY 2004 $ 87,000 $100,500 $187,500
FY 2005 $ 97,000 $107,000 $204,000
FY 2006 $ 95,500 $103,000 $198,500
FY 2007 $107,000 $110,000 $217,000

*Includes software and hardware licensing, maintenance, new equipment, and maintenance and licensing for equipment purchased in prior fiscal years

Electronic Filing Project

Mandatory electronic filing began with activity in calendar year 2001. The current contract for the provision of electronic support services expires at the end of FY 2001. A new contract for operations and continued development of the electronic filing program will include costs for the next several years. Based on current processing algorithms, FY 2002 – 2007 contract costs, excluding FEC personnel costs, are expected to be approximately $1.1 million per year to operate and enhance the process.

FY 2002

Goals/Milestones

Continued development of RAD integrated, automated review of electronically filed data (Ongoing)

Maintain, support, and enhance electronic filing system (Ongoing)

Costs

Personnel: $ 156,000, 2.5 FTE
Non-Personnel*: $1,078,000

*Includes software and hardware licensing, maintenance, training, technical support, processing electronic filings and storage

FY 2003-2007

Goals/Milestones

Complete development of RAD integrated, automated review of electronically filed data (FY 2003) Data Mining delayed until FY 2004

Maintain, support, and enhance electronic filing system (Ongoing)

Costs

Personnel Non-Personnel* Total

FY 2003 $164,500 $1,090,000 $1,254,500
FY 2004 $172,500 $1,102,000 $1,274,500
FY 2005 $181,500 $1,114,500 $1,296,000
FY 2006 $190,500 $1,127,500 $1,318,000
FY 2007 $200,500 $1,141,000 $1,341,500

*Includes software and hardware licensing, maintenance, training, technical support, processing electronic filings and storage

Base DSDD IT Budget

The base DSDD budget maintains and supports the IT operations of the FEC, including operation and support for the on-going IT programs covering an extensive inventory of legacy systems for both Disclosure and Compliance operations, support for informational and educational outreach efforts, and support for the financial and administrative operations of the Commission. The base DSDD budget provides support for 40.5 FTE, including all travel, training, printing, supplies, and other basic support.

FY 2002-2007

Goals/Milestones

Continue implementation of recommendations from the FY 2000 Computer Security Review (January 2002)

Upgrade Lotus Notes e-mail system (April 2002)

Maintain FEC computer infrastructure, upgrading computer servers and communications networks where necessary to support growing Commission needs (Ongoing)

Operate base IT systems, including servers and desktop equipment (Ongoing)

Perform manual data coding and entry for committees below the electronic filing threshold; support Electronic Filing Program (Ongoing)

Operate IT help desk and perform IT training for FEC staff (Ongoing)

Maintain all legacy IT programs and systems (Ongoing)

Provide IT support for the Disclosure and Compliance Programs (Ongoing)

Provide IT support for the Public Funding Program (Ongoing)

Integrate legacy IT systems with new developmental projects (Ongoing)

Costs

Personnel Non-Personnel* Total

FY 2002 $2,950,600 $1,195,000 $4,145,600
FY 2003 $3,091,900 $1,243,000 $4,334,900
FY 2004 $3,219,000 $1,293,000 $4,512,000
FY 2005 $3,350,500 $1,345,000 $4,695,500
FY 2006 $3,487,000 $1,400,000 $4,887,000
FY 2007 $3,630,000 $1,456,000 $5,086,000

 

POINT OF ENTRY DIVISION 61
FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 CUME TOTAL

CONTRACTS/PROCUREMENT 73,000 77,000 73,000 77,000 73,000 77,000 450,000
IMAGES ON THE INTERNET (WEB) 37,000 37,000 37,000 37,000 37,000 37,000 222,000
SENATE OPERATIONS 10,000 10,000 10,000 10,000 10,000 10,000 60,000
TEMPORARY SERVICES/SUPPLIES 26,000 30,000 26,000 30,000 26,000 30,000 168,000

MAINTENANCE 25,000 27,500 27,500 30,000 30,000 33,000 173,000
SCANNERS, ETC. 25,000 27,500 27,500 30,000 30,000 33,000 173,000

TOTAL NON-PERSONNEL 98,000 104,500 100,500 107,000 103,000 110,000 623,000

PERSONNEL 79,000 87,800 87,000 97,000 95,500 107,000 553,300
SALARIES 58,000 60,300 64,000 67,000 70,500 74,000 393,800
OVERTIME 21,000 27,500 23,000 30,000 25,000 33,000 159,500
OTHER - - - - - - -

TOTAL POINT OF ENTRY 177,000 192,300 187,500 204,000 198,500 217,000 1,176,300

 

IT ENHANCEMENTS DIVISION 62
FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 CUME TOTAL

CONTRACTS/PROCUREMENT: PROJECTS 2,072,000 1,499,000 1,994,500 1,547,000 1,549,500 497,000 9,159,000
TRAVEL 4,500 5,000 7,500 10,000 12,500 15,000 54,500
CASE MANAGEMENT
CASE MANAGEMENT/LMI--HW/SW 25,000 - - - - - 25,000
CASE MANAGEMENT/LMI DESIGN LITIGATION NOTEBK 32,500 - - - - - 32,500
CASE MANAGEMENT/LMI--6TH MONTH REVIEW 75,000 - - - - - 75,000
DOCUMENT MANAGEMENT
CONVERSION AND IMPLEMENATATION 100,000 - - - - - 100,000
FILE NET EQUIPMENT AND SOFTWARE 852,000 - - - - - 852,000
COMMISSION DOCUMENT MNGT OPERATIONS - 100,000 - - - - 100,000
CLIENT/SERVER
DEVELOPMENT/CONVERSION 252,000 - - - - - 252,000
CLIENT/SERVER OPERATIONS 165,000 282,000 282,000 282,000 282,000 282,000 1,575,000
COMMISSIONER ELECTRONIC VOTING
DEVELOPMENT/CONVERSION VOTING SYSTEM - 75,000 - - - - 75,000
OTHER INITIATIVES
COMMISSION WIDE PC UPGRADE (4 YEAR CYCLE) 260,000 - 305,000 305,000 305,000 - 1,175,000
OCR NON-ELECTRONIC FILED DOCUMENTS - 130,000 150,000 - - - 280,000
DATA MINING - 250,000 - - - 250,000
NEEDS ANALYSIS: RAD/INFORMATION/AUDIT 225,000 200,000 200,000 200,000 200,000 200,000 1,225,000
FINANCE AND PERSONNEL INITIATIVES
FINANCE & PERSONNEL REQUIREMENTS ANALYSIS 81,000 81000
HR/MIS/FTE ANALYSIS - 107,000 - - - - 107,000
HR/MIS/FTE IMPLEMENTATION - - 200,000 200,000
PROCUREMENT/ELECTRONIC PURCHASING - 100,000 100,000 - - - 200,000
PORTAL DEVELOPMENT

PORTAL DEVELOPMENT PROJECT (PDP)

- 500,000 500,000 750,000 750,000 - 2,500,000

MAINTENANCE 819,000 1,271,500 1,501,500 1,605,500 1,667,000 1,840,500 8,705,000
BASIC EQUIPMENT/PC REPAIR AND REPLACEMENT 49,000 50,000 55,000 58,000 61,000 65,000 338,000
CASE MANAGEMENT/LMI SUPPORT 36,000 93,500 105,000 110,000 115,000 120,000 579,500
ORACLE SOFTWARE SUPPORT 50,000 52,500 55,000 58,000 61,000 65,000 341,500
GROUPWARE LOTUS NOTES 49,000 52,500 55,000 58,000 61,000 65,000 340,500
OPERATING SYSTEMS MS/SUN 49,000 52,500 55,000 58,000 61,000 65,000 340,500
FILENET SW/HW MAINTENANCE 90,000 95,000 100,000 105,000 110,000 115,000 615,000
DOCS OPEN MAINTENANCE 30,000 30,000 33,000 35,000 37,000 40,000 205,000
SACONS MAINTENANCE 29,000 29,000 33,000 35,000 37,000 40,000 203,000
CLIENT SERVER SW MAINTENANCE/UPGRADE 200,000 216,000 225,000 235,000 250,000 265,000 1,391,000
OCR/SCANNING MAINTENANCE - - - 50,000 52,500 55,000 157,500
PEOPLESOFT MAINTENANCE HW/SW 127,500 135,000 140,000 150,000 160,000 175,000 887,500
TEAM MATE - AUDIT DIVISION 12,500 12,500 12,500 12,500 12,500 12,500 75,000
OTHER (ANALYSES/STUDIES/UPDATES) - 300,000 500,000 500,000 500,000 600,000 2,400,000
FACILITIES MAINTENANCE--RENNOVATIONS 47,000 97,500 55,000 58,000 61,000 65,000 383,500
TRAINING 50,000 55,500 78,000 83,000 88,000 93,000 447,500

TOTAL NON-PERSONNEL 2,891,000 2,770,500 3,496,000 3,152,500 3,216,500 2,337,500 17,864,000

PERSONNEL 818,200 856,500 902,500 939,000 976,000 1,015,500 5,507,700
SALARIES 816,200 854,000 900,000 936,000 973,000 1,012,000 5,491,200
OVERTIME 2,000 2,500 2,500 3,000 3,000 3,500 16,500

TOTAL IT ENHANCEMENTS 3,709,200 3,627,000 4,398,500 4,091,500 4,192,500 3,353,000 23,371,700

 

ELECTRONIC FILING DIVISION 63
FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 CUME TOTAL

CONTRACTS/PROCUREMENT 613,000 565,000 542,000 519,500 522,500 526,000 3,288,000
TRAVEL 8,000 10,000 12,000 14,500 17,500 21,000 83,000
DESIGN/ DEVELOP E-REVIEW PROCESS 100,000 50,000 25,000 - - - 175,000
OPERATIONS/HELP DESK 505,000 505,000 505,000 505,000 505,000 505,000 3,030,000

MAINTENANCE 465,000 525,000 560,000 595,000 605,000 615,000 3,365,000
BASE SYSTEM - - - - - - -
FULL SYSTEM 465,000 525,000 560,000 595,000 605,000 615,000 3,365,000

TOTAL NON-PERSONNEL 1,078,000 1,090,000 1,102,000 1,114,500 1,127,500 1,141,000 6,653,000

PERSONNEL 156,000 162,400 172,500 181,500 190,500 200,500 1,063,400
SALARIES 154,000 159,900 170,000 178,500 187,500 197,000 1,046,900
OVERTIME 2,000 2,500 2,500 3,000 3,000 3,500 16,500
OTHER - - - - - - -

TOTAL ELECTRONIC FILING 1,234,000 1,252,400 1,274,500 1,296,000 1,318,000 1,341,500 7,716,400

 

 

FY 2003 IT BUDGET DIVISIONS 61-63
OBJECT CLASS POE FY03 ENH FY03 EF FY03 TOTAL FY 03

SALARIES/BENF 60,300 854,000 159,900 1,074,200
OVERTIME 27,500 2,500 2,500 32,500
WITNESSES - - - -
CASH AWARDS - - - -
OTHER - - - -
PERSONNEL 87,800 856,500 162,400 1,106,700

21.01 TRAVEL - 5,000 10,000 15,000
22.01 TRANS/THGS - - - -
23.11 GSA SPACE - - - -
23.21 COM. SPACE - - - -
23.31 EQUIP RENT - - - -
23.32 TELE LOCAL - - - -
23.33 LDIST/TELEG - - - -
23.34 TELE INTCTY - - - -
23.35 POSTAGE - - - -
24.01 PRINTING - - - -
24.02 MICROFILM - - - -
25.11 TRAINING - 55,500 - 55,500
25.12 ADMIN EXP - - - -
25.13 DEP/TRANSC - - - -
25.21 CONTRACTS 77,000 1,794,000 555,000 2,426,000
25.23 REPAIR/MAIN - - - -
25.24 TUITION - - - -
25.31 FED AGENCY - - - -
25.41 FACIL MAINT - 97,500 - 97,500
25.71 EQUIP/MAINT 27,500 768,500 - 796,000
25.72 SFT/HRDWRE - - 525,000 525,000
26.01 SUPPLIES - - - -
26.02 PUBLICATIONS - - - -
26.03 PUBS SERV - - - -
31.01 EQP PURCH - 50,000 - 50,000

NON-PERSONNEL 104,500 2,770,500 1,090,000 3,965,000

TOTAL DATA SYS. 192,300 3,627,000 1,252,400 5,071,700

 

FY2002-2007 DATA SYSTEMS DIVISION 60
OBJECT CLASS FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007

SALARIES/BENF 2,910,600 3,003,200 3,164,000 3,290,500 3,422,000 3,560,000
OVERTIME 40,000 50,000 55,000 60,000 65,000 70,000
WITNESSES - - - - - -
CASH AWARDS - - - - - -
OTHER - - - - - -
PERSONNEL 2,950,600 3,053,200 3,219,000 3,350,500 3,487,000 3,630,000

21.01 TRAVEL 15,000 16,000 17,000 18,000 19,000 20,000
22.01 TRANS/THGS - - - - - -
23.11 GSA SPACE - - - - - -
23.21 COM. SPACE - - - - - -
23.31 EQUIP RENT - - - - - -
23.32 TELE LOCAL - - - - - -
23.33 LDIST/TELEG - - - - - -
23.34 TELE INTCTY - - - - - -
23.35 POSTAGE - - - - - -
24.01 PRINTING 15,000 16,000 17,000 18,000 19,000 20,000
24.02 MICROFILM - - - - - -
25.11 TRAINING 25,000 21,000 22,000 23,000 24,000 25,000
25.12 ADMIN EXP 15,000 16,000 17,000 18,000 19,000 20,000
25.13 DEP/TRANSC - - - - - -
25.21 CONTRACTS 784,000 785,000 790,000 795,000 800,000 805,000
25.23 REPAIR/MAIN - - - - - -
25.24 TUITION - - - - - -
25.31 FED AGENCY - - - - - -
25.41 FACIL MAINT - - - - - -
25.71 EQUIP/MAINT 15,000 16,000 17,000 18,000 19,000 20,000
25.72 SFT/HRDWRE 233,000 271,000 304,000 339,000 377,000 416,000
26.01 SUPPLIES 68,000 70,000 75,000 80,000 85,000 90,000
26.02 PUBLICATIONS 2,500 3,000 7,000 8,000 9,000 10,000
26.03 PUBS SERV 2,500 3,000 - - - -
31.01 EQP PURCH 25,000 26,000 27,000 28,000 29,000 30,000

NON-PERSONNEL 1,200,000 1,243,000 1,293,000 1,345,000 1,400,000 1,456,000

TOTAL DATA SYS. 4,150,600 4,296,200 4,512,000 4,695,500 4,887,000 5,086,000