------- \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 ------- 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. 1. ------- 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 „ 2. ------- 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. 3. ------- 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. 4. ------- 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). 5. ------- 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 6. ------- 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. 7. ------- 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. 8. ------- 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. 9. ------- 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. 10. ------- 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. 11. ------- 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. 12. * o ------- 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. 13. ------- 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. 15. ------- 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. 16. ------- 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. 17. ------- 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 18. ------- 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 19. ------- 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) 20. ------- |