Information Resources Management: Comprehensive Strategic Plan Needed to Address Mounting Challenges
GAO-02-292
Published: Feb 22, 2002. Publicly Released: Mar 11, 2002.
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Highlights
Congress passed the Paperwork Reduction Act (PRA) to establish a single, overarching policy framework for the management of government information resources. The act established information resources management (IRM) as an approach governing the collection, dissemination, security, privacy, and management of information. The act also created the Office of Information and Regulatory Affairs (OIRA) to provide leadership, policy direction, and oversight of governmentwide IRM. It further required OIRA to develop and maintain a governmentwide strategic IRM plan and charged that office with responsibilities for general IRM policy and information technology. Although OIRA designated the Chief Information Officers Council's strategic plan for fiscal years 2001-2002 as the governmentwide strategic IRM plan required by the PRA, this does not constitute an effective and comprehensive strategic vision. OIRA has issued policy and implementing guidance, conducted oversight activities, and taken various steps in each of the functional areas. GAO found that the documents cited by OMB during it's review did not, separately or collectively, meet the requirements for a governmentwide strategic IRM plan established by PRA.
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Office of Information and Regulatory Affairs | In order to address the current and emerging challenges that the government faces in managing information resources and take advantage of opportunities for improvement the administrator, OIRA should develop and implement a governmentwide strategic IRM plan that articulates a comprehensive federal vision and plan for all aspects of government information. In addition, recognizing the new emphasis that OMB has placed on e-government, it will be important that the administrative work in conjunction with the associate director for technology and e-government in developing this plan. | Consistent with this recommendation, the Office of E-Gov and OIRA have taken numerous actions to address the need for a governmentwide IRM strategic plan (that is, a range of information activities such as collection, dissemination, security, privacy, and systems management coupled with goals, strategies and performance measures). First, the CIO Council's Strategic Plan established a vision and governmentwide goals that address e-government, security, and IT skills and resources, as well as strategies for reaching the goals. Next, OMB's March 2005 Federal Enterprise Architecture Action (FEA) Plan prepared by OMB's Office of E-Gov covers a wide range of information activities. The purpose... of this plan is to achieve the efficient design and implementation of IRM governmentwide while reducing costs to the taxpayer. The FEA consists of a set of interrelated reference models designed to facilitate cross-agency analysis and the identification of duplicative IT investments, gaps and opportunities for collaboration within and across agencies on a range of IRM activities. The FEA also includes a Records Management Profile that provides a strategy for agencies to establish management controls for the transparent use of information and records. It also establishes performance goals for evaluating IT investments and ties those investments to agencies' strategic planning goals. If implemented properly, it will provide the foundation for sound IRM management practices, end-to-end governance of IT investments, and the alignment of IT investments with the goals of the agency. The third OMB action is the Federal Transition Framework, which OMB developed to increase the alignment of agency enterprise architecture with federal IT policy decisions and increase sharing of common, cross-agency business processes, service components and technology standards. Through 17 cross-agency initiatives (e.g., e-grants), this Framework is to link the essential elements of the FEA with key IRM activities and each initiative includes a discussion of performance and strategy for achieving the outcome. Finally, OMB issued the December 16, 2004, government-wide plan for the effective management of electronic records as required by the E-Gov Act of 2002. This plan contains recommendations that are intended to infuse information and records management requirements into agency business processes rather than treated as a stove-piped set of requirements. For example, it recommends that OMB, NARA, and GSA work together to provide agencies with clear, non-conflicting guidance on information management along with the appropriate accountability mechanisms. Together, these OMB actions articulate a comprehensive federal vision and plan for all aspects of government information.
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| Office of Information and Regulatory Affairs | In particular, the administrator, OIRA, should, consistent with the Paperwork Reduction Act, establish governmentwide goals for IRM that are linked to improvements in agency and program performance, identify strategies for achieving the goals that clearly define the roles of OIRA and agencies, and develop performance measures to assess progress in using IRM to improve agency and program performance. | OMB has taken numerous actions to establish governmentwide goals, strategies and performance measures for IRM that are linked to improvements in agency and program performance. First, the CIO Council's Strategic Plan establishes a vision and governmentwide goals that address e-government, security, and IT skills and resources, as well as strategies for reaching the goals. Next, OMB's March 2005 Federal Enterprise Architecture Action (FEA) Plan has as its purpose to achieve the efficient design and implementation of IRM governmentwide, while reducing costs to the taxpayer. While strategic planning answers the question: "what" are a program's goals and objectives, the FEA acts as the...
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| Office of Information and Regulatory Affairs | In particular, the administrator, OIRA, should assess the external environment and emerging future challenges and trends, including the recent terrorist attacks, and their impact on the government's collection, use, maintenance, and dissemination of information. | Consistent with the recommendation, OMB has taken action to identify future challenges. For example, an assessment of the government's external environment was a critical element in developing OMB's March 2005 Federal Enterprise Architecture Action (FEA) Plan prepared by OMB's Office of E-Gov. The purpose of this plan, which covers a wide range of information activities, is to achieve the efficient design and implementation of IRM governmentwide, while reducing costs to the taxpayer. The FEA consists of a set of interrelated reference models designed to facilitate cross-agency analysis and the identification of duplicative IT investments, gaps and opportunities for collaboration within...
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| Office of Information and Regulatory Affairs | In particular, the administrator, OIRA, should, as part of an assessment of the government's internal environment, determine the resources, including human capital, needed to meet governmentwide IRM goals. This could include an assessment of OIRA's human capital capability, including the numbers of staff and types of skills needed, to conduct this strategic planning process and lead governmentwide implementation of the resulting plan. Based on this assessment, the administrator, OIRA, should seek to fill any gaps identified. | On April 15, 2005, OMB requested agencies to submit plans to OMB for closing important information technology skill and competency gaps. Subsequently, the CIO Council identified three competencies that have a direct impact on an agency's ability to manage information: project management, architecture, and security. Agencies then used their workforce plans to identify the number of vacant positions to be filled by the end of fiscal year 2005. This showed a shortage of 211 project management positions, 229 security positions, and 179 architecture positions. In addition, OMB uses the President's Management Agenda Human Capital Scorecard to measure progress each quarter in hiring, training,...
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| Office of Information and Regulatory Affairs | In particular, the administrator, OIRA, should seek involvement in the planning processes from the CIO Council, the Office of Homeland Security, entities involved in information security and critical infrastructure protection, federal agencies, private-sector organizations, state and local governments, and other relevant stakeholders in meeting the government's needs for a strong and unified information management vision. | OMB has sought out the involvement of many agencies and organizations in developing a strategic IRM vision. For example, OMB, in consultation with the Department of Homeland Security's Federal Emergency Management Agency, completed a comprehensive study on emerging challenges in using IT to enhance crisis preparedness and response to natural and man-made disasters. The Computer Science and Telecommunications Board Committee of the National Academy of Sciences aided in this effort. The planning study included a June 2005 workshop attended by over 75 practitioners representing Federal, State, and local officials, disaster management experts, and IT researchers. The workshop covered an...
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Government informationInformation resources managementInformation technologyStrategic planningChief information officersE-governmentStrategic planPrivacy rightsInformation collectionPaperwork reduction