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\f PROGRAM CONVENERS
Thomas J. Buckholtz
Commissioner
Information Resources Management Service
General Services Administration
Francis A. McDonough
Assistant Commissioner for
Federal Information Resources Management
Information Resources Management Service
X General Services Administration
js~ Franklin S. Reeder
K Chief, Information Policy Branch
*> Office of Information and Regulatory Affairs
fp Office of Management and Budget
(Mr. Reeder has recently assumed a new position at OMB. His new position
is Deputy Assistant Director for General Management)
PROGRAM STAFF
Virginia P. Banister
Director, Planning and Development Staff
Office "of Federal Information Resources
Management
Information Resources Management Service
General Services Administration
Vivian Ronen
Program Analyst, Planning and Development Staff
Office of Federal Information Resources
Management
Information Resources Management Service
General Services Administration
OJ
HEADQUARTERS LIBRARY
ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, O.C. 20460
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Introduction
This report summarizes the work of six governmentwide study groups
convened to address Federal Information Resources Management (IBM)
issues for the mid-1990's. This report is the product of the collective
effort of numerous Federal IRM officials, conducted under the auspices of
the Office of Federal Information Resources Management, Information
Resources Management Service (IRMS), General Services Administration
(GSA), and the Information Policy Branch, Office of Information and
Regulatory Affairs, Office of Management and Budget (OMB). The report
identifies important issues Federal IRM managers will face in the mid-
1990's. It also identifies actions to address these issues.
Throughout the development of the report, the following assumptions were
made:
1. Proposed actions and recommendations would be explicit.
2. Proposed actions and recommendations would be reviewed by the Office
of Management and Budget (OMB) and the General Services Administration
(GSA).
3. Those actions and recommendations endorsed by OMB and GSA would be
tracked by the Chairperson of each study group to ensure their completion.
Background
One of the responsibilities of Senior Agency Officials for Information
Resources Management is to look beyond today's problems and envision the
governmentwide IRM program of the future. With this in mind, the GSA and
OMB jointly sponsored a workshop, in January 1990, to address this issue
and to focus on the management of IRM in the mid-1990's. Forty senior
IRM officials from 22 Federal agencies participated in the workshop
sessions.
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Four reports were presented as a catalyst for discussion at the January
1990 session. The reports addressed major IRM issues to be considered as
agencies look ahead to the mid-1990's. Those reports are:
Beyond FTS2000: fl Program for Change
Dr. Bernard Bennington as a Visiting Fellow of the Board on Tele-
communications and Computer Applications for the National Research
Council
Using Information Technology to Suppqrt fldministratiue
Modernisation fflnd To Bring Better Seruice to the Citizen)
Clifford H. Glover and Kieran O'Dwyer, Public Management Service,
Organisation for Economic Co-Operation and Development,
Paris, France
Bugs in the Program: Problems In Federal Gouernment
Computer Software Deuelopment and Regulation
Staff Study by the Subcommittee on Investigations and Oversight,
transmitted to the Committee on Science, Space, and Technology,
U.S. House of Representatives
Workshop on Crossroads of Information Technology Standards
A workshop convened by the National Research Council, Commission on
Engineering and Technical Systems
As a result of the materials presented at the January session and ensuing,
often heated discussion, participants agreed to form six study groups to
address the issues enumerated below:
1. Developing a Plan to Use Technology to Provide Better Service to the
Citizens
2. Extending the Trail Boss Program
3. Rethinking the Strategic Planning Process
4. Developing a Governmentwide 5-Year Plan for Information Technology
(IT) Standards „
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5. Developing Large, Highly Integrated Systems in an Evolutionary Manner
6. Developing a Plan to Modernize Administration
Each group was charged to develop a statement of the issue or problem as
it saw it and specific recommendations for action. Particular emphasis
was placed on measures that could be completed within existing
authorities and within the next one or two years. Each of the study groups
met several times in February and March 1990. The entire group was
reconvened in April 1990 to discuss the study group products in an open
forum, to address proposed recommendations, and to develop final
recommendations.
The remainder of the report provides a brief description of the issues
addressed by each study group and their proposed recommendations.
GSA and OMB executives feel that the study group sessions were such a
success that this vehicle may be used in the future for emerging IRM
issues.
flcknomledoements:
Recognition and appreciation is extended to the Chairpersons and study
group members who devoted considerable portions of their already limited
time to this effort. A list of these individuals is included as Appendix A.
Disclaimer:
This report does not purport to be the complete and definitive IRM policy
agenda, or even a complete list of issues, for the 1990's. On the contrary,
there are numerous other issues, ranging from investing in human capital
and making it easier to acquire technology and services, to improving the
security and integrity of information not addressed here. OMB and GSA are
continuing, through this and other forums, to pursue that larger agenda.
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Developing a Program to Use Technology to Provide
Better Service to the Citizens
Issue: Federal IRM activities have traditionally focused on improving
efficiency. Other service providers in the private sector, in State and
local governments, and in the European governmental community have
significantly raised the level and quality of service provided to their
customers/citizens. Emphasis on improving the quality of service
provided to the consumers of Federally provided services is needed to
meet rising citizen expectations.
Required fiction: Design a broad program to develop further understanding
of the role of technology in providing better service to the citizens.
(Caveat: Many Federal governmental programs are delivered through or in
cooperation with States and localities. Development of improved client
service delivery systems must be based on a partnership and continuing
close cooperation among all who are responsible.)
Recommendations:
1. GSA should coordinate a study to:
a. Define and characterize citizen requirements and related service
needs.
b. Survey leading efforts in the Federal community, in the private
sector, and in State, local and foreign governments.
c. Identify comparable service environments, standards of per-
formance and opportunities for service improvement and collaboration.
d. Identify potential "solutions" including those based on technology
and public skills. (This includes technology and public skills which may
not presently exist, but are likely to exist in the future).
2. GSA and OMB should establish an oversight group, including agency
officials, to initiate and oversee the study. Leading public administration
schools or outside expertise should be considered to undertake the study.
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3. GSA, working with the oversight group, should identify and initiate
agency pilot/demonstration projects to enhance the quality and efficiency
of citizen service delivery. For example: enhance access to and the
utility of personal information, commercial information, and interactive
processes such as citizen participation in governmental processes.
4. GSA should consider establishing an ad hoc interagency group to
identify and evaluate lessons learned in agency pilot/demonstration
programs.
5. GSA and OMB should consider the following themes:
a. Calling agencies' attention to better recognizing opportunities
regarding how they serve their clients.
b. Learning from on-going efforts and the potential offered by
evolving technology and public skills.
c. Figuring out a better model than exists today -- one that allows
for synergy among several Federal programs.
d. initiating action via a special prototype reflecting at least a, b,
and c above.
6. In addition the following actions are recommended relative to Service
to the Citizens:
a. Add it as an emphasis area in agency IRM triennial reviews (GSA).
b. Include it in Strategic Planning Guidance (OMB).
c. Increase Government awareness of the concept through policy
issuance and promotional programs (OMB).
d. Include it as a factor in central agency reviews (GSA).
e. Ensure that citizens have an active participatory role in the
development of information architectures (OMB).
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Extending the Trail Boss Program
Issue: The Trail Boss Program offered by GSA provides new Trail Bosses
with much of the information they need to conduct major acquisitions for
the IRM resources needed to run the major systems the Government relies
upon. The Trail Boss Program is designed to develop managers to take a
program from concept development to about one year after award.
Discussions suggest a need for a new program which, would develop
implementation managers to complement the acquisition managers being
developed currently in the Trail Boss Program. The group recognizes that
the issue of training and retaining skilled IRM professionals is larger than
the scope of this issue, but it focused specifically on the problem of
building project management skills. In addition, there are other types of
training which the working group would like GSA to address in the out
years.
Required fiction: Design an educational program to extend the current
Trail Boss Education Program. Such a program should augment education
and training available through existing academic programs.
Recommendations:
1. GSA should consider establishing two companion courses to the Trail
Boss acquisition course as follows:
a. A one-month "Comprehensive Information Systems Methodology"
course to cover both the technical and management aspects of the life
cycle management of a system for mid-level managers. The President's
Council on Management Improvement (PCMI) and the President's Council on
Integrity and Efficiency (PCIE) should be consulted to reinforce the work
already done in this area by the Councils.
b. A two-week "Systems Project Management" course. This would
pick up where the original Trail Boss Program leaves off about one year
after award. Managers will be trained to handle major implementation
from that point in time for the 8-10 years that it takes to implement a
system. Managing a software development project is different than
managing other types of projects. This course should be designed to
address the major areas of difference so managers accustomed to
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managing hardware projects are not mislead. In selecting faculty, it is
important that a balance be maintained between theorists and experienced
practitioners, with emphasis on the latter.
2. GSA should develop companion courses formulated as complete and
integrated units. GSA also should decide whether or not to carve out of
the proposed companion courses those subject areas not unique to the
Federal environment, and have those subjects covered by the private
sector.
3. GSA-should use a process similar to that employed in the Trail Boss
Acquisition Course to determine the pool of potential students and
maintenance levels needed.
4. GSA should confirm availability of resources to bring these two
courses on line. This includes developing courses during FY 1990 and
offering pilot courses during FY 1991.
5. GSA should determine grade level of course attendees. Confirm in
course requirements survey that agencies support the attendance at the
same course of multiple grade levels which is currently at GS/GM-14/15
level. GSA also should determine the need to extend the Trail Boss
Program to the GS/GM-13 level. I/
6. GSA should consider implementing a certification program at the
completion of Trail Boss courses.
iy Discussion suggested the importance of some flexibility
in fixing grade level requirements to recognize the
needs of smaller agencies, with smaller projects, where
grade levels are often lower.
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Rethinking the Strategic Planning Process
Issue; The use of information resources should improve the effectiveness
and efficiency of Federal government operations. However, some current
planning processes do not support this goal because such processes either
do not exist or focus on the bottom-up aggregation of plans submitted by
organizational components without cross-organizational integration. The
working group reviewed the utility of existing Federal planning processes
and the principal methodologies existing in the private sector, it found
that existing Federal processes do not contribute materially to the
management needs identified because (1) the existing Federal processes
were developed to support primarily regulatory needs, and (2) the
information resulting from these regulatory processes was incomplete
and understated the value of Federal information resources in meeting the
mission needs of the Government as a whole. Because there is little
incentive and limited apparent utility to implement a multitude of
processes, Federal managers operating under increasingly constrained
resources have tended to satisfy the regulatory dictates as the first order
of business.
• Required fiction: Remove existing impediments and formulate new
approaches and incentives for strategic IRM (or similar) planning in the
Federal government.
Recommendations:
1. OMB should change Circular A-11 to require each agency to produce a
strategic business plan and change Circular A-130 to provide operating
guidelines which reflect the following principles:
a. Information is a strategic organization asset.
b. There should be a strategic IRM planning process. Appropriate
attention should be given to translating mission needs into IRM
requirements and utilizing IRM capabilities to create mission
opportunities.
c. Agency information resources management processes should be
fully integrated into departmental processes.
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d. There is no substitute for top management leadership and
participation.
e. Information resources requirements should be agency-client and
"user driven."
f. The full extent of the information resources investment should be
visible to agency management.
g. Appropriate focus must be given to human resources and
applications (mission specific data and software), rather than over
focusing on supporting technology.
2. OMB should change Circular A-11 to require line items and program
descriptions for all information resources in line and staff organization
budgets, including those for embedded systems and new starts beyond the
current budget year.
3. OMB should change the Chair of the Federal IRM Policy Council to
provide a balanced focus for both management and regulatory concerns,
and to consist of representatives from GSA, OMB, and an agency. Major
functions of the Council should be to foster on-going major IRM policies
and to address management/regulatory issues.
4. Agencies should devise their goals and objectives to ensure that they
truly focus on strategic planning.
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Developing a Governmentwide 5-Year Plan
for Information Technology (IT) Standards
Issue: Federal agencies are under increasing pressure to use information
technology to improve efficiency and delivery of services to the public.
Further, Federal agencies are concerned about reducing their software
development costs and maximizing their investments in applications
software. There is a new reality that is becoming increasingly evident.
Key aspects of this new reality are that Federal agencies:
1. Now recognize that they no longer can create de facto standards and
enforce them on the commercial market as they were able to do with
earlier standards such as COBOL;
2. Must rely on the commercial market for information technology
products and services; and
3. Must establish strategies and plans for acquiring information
technology products and services based upon open systems standards
which support applications software portability and interoperability.
Required fiction: Establish an approach and an organizational structure to
develop Federal requirements for open system environments and
mechanisms for addressing the requirements.
Recommendations:
1. The National Institute of Standards and Technology (NIST) should
establish a Federal Open System Users Council. The Council should provide
a forum for Federal" organizations having a requirement for information
systems that can provide end-users with a single, unified view of data
across heterogeneous applications, hardware/software platforms, and
organizational units; and a methodology that preserves users' investments
in application software, people skills, and data.
a. The Council should be driven by Federal user-interests, should
operate according to Federal user-established rules, and should reflect a
Federal user perspective.
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b. The Council should provide a forum for identifying commonality of
interests between Federal users and other users and user-sponsored
groups.
c. The Council should interact with vendor-sponsored groups, and
formal standards organizations by providing a forum for formulating
Federal user requirements and Federal perspectives on information
technology issues.
d. The work program of the Council should focus on the following
areas of activity:
(1) Developing application profiles in business areas of strategic
Federal interest.
(2) identifying requirements and developing strategies for achiev-
ing open systems that provide for interoperability of products and
portability of people, data and applications software.
(3) Exchanging experiences and formulating strategies for dealing
with common issues.
(4) Providing a source of unbiased information regarding open
systems environments and related technologies, and with test compliance
procedures.
(5) Establishing liaison with other users and user-sponsored
organizations whose interests and activities are synergistic with those of
the Council.
(6) Establishing liaison with vendors and vendor-sponsored groups
which are interested in obtaining Federal requirements and perspectives
on standards and related information technology issues.
2. To implement the recommendation NIST should:
a. Prepare a charter of the Council.
b. Develop an implementation plan.
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c. Establish organizational context for the Council working with OMB.
d. Develop a work plan that will guide the initial work of the Council,
including establishing methods for disseminating information regarding
open system environments and related standards to the Federal
community, and for codifying experiences regarding open system
environments and related standards.
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Developing Large, Highly Integrated Systems in an
Evolutionary Manner
Issue: There are well-recognized problems in acquiring and developing
the large, complex systems used in the Federal government. Some of the
problems are understood. For example, systems are sometimes made
larger and more complex than necessary. In other cases the problems are
not so well understood. The group concluded that evolutionary
development of systems is often the preferred approach. More
understanding of this approach is needed.
Required fiction: Assemble, from all possible sources, material on
development of large, highly integrated evolutionary systems and make
that information available to all agencies in the Federal government. In
addition, develop mechanisms to train agency managers on the preferred
approach to be followed.
Recommendations:
1. GSA should conduct a study to determine how large, highly integrated
systems evolve.
2. GSA should continue to stimulate informed discussion on how to
develop large, highly integrated systems. This can be achieved through
speeches, forums, and studies to advance the level of discussion to the
next plateau.
3. GSA should compile a list of references of available material
(anthology) on development of large, highly integrated systems.
4. GSA should consolidate terms such as "iterative", "modular",
"downsizing", and "non-grand design", and use the new term "evolutionary
development" which would minimize further confusion.
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Developing a Plan to Modernize Administration
issue: Agencies face conflicting trends of increasing demands and
declining resources. While IRM has dramatic potential for improving the
efficiency and effectiveness of Government agencies, the Government may
be realizing just a fraction of this potential. Without substantial change
in how the Government is now acquiring, introducing and using information
resources, it may never realize this full potential.
Required flction: Ten years have now passed since the Paperwork
Reduction Act was passed formally establishing an IRM Program in the
Federal government. It is time to evaluate progress to date in
streamlining and modernizing administration of IRM programs as
appropriate, and in building a foundation for Federal IRM for the next
decade. The objective is to improve the efficiency and effectiveness of
Government programs through better use of information resources.
Recommendations;
1. OMB should coordinate the development and adoption of a Presidential
Initiative to focus on improving service to citizens by enhancing the
management of information and modernizing information systems
throughout the Federal government. This initiative would set an agenda for
the government to improve its service, both internally and to the public,
through the effective administration of IRM programs and activities.
2. AH government agencies should fully implement and support the Chief
Information Officer (CIO) concept. The CIO role should include:
a. Active participation in agency strategic decision-making pro-
cesses.
b. Agency-wide responsibility for oversight and coordination of all
IRM activities and functions.
c. Primary focus on IRM activities.
d. A cooperative, working relationship with the agency Chief
Financial Officer (CFO) and heads of other staff and line offices.
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3. The Federal IRM program can be strengthened in two ways: by balancing
the role of Central agencies providing regulatory guidance to further
emphasize leadership and support in using information resources, and by
further improving the quality of both activities.
a. To complement and enhance this leadership role, central agencies
should further emphasize consensus-building and teamwork among all
Federal agencies.
b. Current regulatory guidance and oversight at the Bureau, agency,
Department, and central agency levels should be evaluated for efficiency
and effectiveness and revised where needed.
4. All agencies should develop and support infrastructure to encourage
and facilitate effective communications, sharing and cooperation across
and within agencies.
£.
f a. GSA and OMB, with the assistance of all agencies, should evaluate
* . and revise the role, purpose, and structure of the Federal IRM Policy
Council.
b. All agencies should implement appropriate infrastructure to
facilitate information resources sharing; coordinate standardization;
broker cooperative application development and use; and support agency
sharing of procurement vehicles.
5. Major efforts should be initiated to ensure that agencies are able to
acquire competitively-priced modern information systems and related
technology in a reasonable timeframe. The goal of this effort should be
establishing a system of acquisition programs which allows agencies to
acquire hardware, software and services in a timely manner.
a. GSA should foster a "commodity computing" and drop-in technology
program and a group licensing program.
b. Agencies, working through their senior IRM officials and in
conjunction with GSA, should undertake a thorough joint study of the
acquisition process to determine if further reforms are needed.
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Next Steps:
This report is the result of the efforts of many senior Federal IBM
managers who participated in the six study groups. These managers
explored, in-depth, a select number of major IRM issues which must be
faced between now and 1995. The proposed actions and recommendations
of these managers must now be considered by OMB, GSA and the overall
IRM community. Those actions chosen for implementation will be tracked
by the study group chairpersons to monitor the progress being made.
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Appendix A
Study Group Members
Developing a Program to Use Technology to Provide Better
Service to the Citizens
Chair: Robert Woods (202-366-9201)
Department of Transportation
Members:
Alvin Pesachowitz
Environmental Protection Agency
Marilyn McLennan
Department of Commerce
Jim Larson
Department of Health and Human Services
Henry Philcox
Internal Revenue Service
Department of the Treasury
Linda Berdine
House Information Systems
House of Representatives
Extending the Trail Boss Program
Chair: Reed Phillips (202-377-1300)
Department of Commerce
Members:
Brigadier General "Star" Carey
Department of the Army
Raymond Barrow
Department of Energy
Fred Sims
General Services Administration
Don Andreotta
National Aeronautics and Space Administration
Frank Gugiielmo
Department of Justice
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Rethinking the Strategic Planning Process
Chair Wallace O. Keene (202-453-1775)
National Aeronautics and Space Administration
Members:
James Jadlos
Department of the Interior
Wally Anderson
General Accounting Office
Charles Neill
Department of Justice
Edward Lewis
Department of Veterans Affairs
Developing a Governmentwide 5-Year Plan for Information Technology
(IT) Standards
Chair: James Burrows (301-975-2822)
National Institute of Standards and Technology
Department of Commerce
Members:
Michael Corrigan
General Services Administration
Al Hankinson
National Institute of Standards and Technology
Louis Grande
Tennessee Valley Authority
Colonel Anthony Cira
Department of the Air Force
S. W. "Woody" Hall
Department of the Air Force
Thomas Dunn
Internal Revenue Service
Department of the Treasury
Thomas Bozek
Department of Defense
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Developing Large. Highly Integrated Systems In an Evolutionary
Manner
Chair:
Members:
Lawrence Cohan (202-501-1333)
General Services Administration
Helen M. Wood
National Oceanic and Atmospheric Administration
Department of Commerce
Waliy Anderson
General Accounting Office
Don Andreotta
National Aeronautics and Space Administration
Bruce Riggs
Internal Revenue Service
Department of the Treasury
Thomas Giammo
Patent and Trademark Office
Department of Commerce
Developing a Plan to Modernize Administration
Chair:
Members:
Alan Proctor (202-326-2204)
Federal Trade Commission
Dale Seward
Department of the Treasury
Edward Lewis
Department of Veterans Affairs
Jack Schroeder
Internal Revenue Service
Department of the Treasury
(representing Federal Data Center Directors Council)
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