RD Instruction 2006-FF

PART 2006 - MANAGEMENT

Subpart FF - Management Oversight of the Information Resources

Management (IRM) Program

## TABLE OF CONTENTS

[Sec]{.underline}. [Page]{.underline}

2006.1551 Purpose. 1

2006.1552 Definitions. 1

2006.1553 Authority. 2

2006.1554 Statement of Policy. 4

2006.1555 Applicability. 4

2006.1556 - 2006.1567 \[Reserved\] 4

2006.1568 Responsibilities. 4

\(a\) Business Systems Council (BCS). 4

\(b\) Composition of the BCS. 5

\(c\) Change Control Board (CCB) or Equivalent. 5

\(d\) Deputy Administrator for Operations

and Management. 6

\(e\) Assistant Administrator for Procurement

and Administrative Services. 6

\(f\) Assistant Administrators and

Deputy Administrators. 7

\(g\) Chief Information Officer. 7

\(h\) Chief Financial Officer. 8

2006.1569 - 2006.1570 \[Reserved\] 7

Exhibit A - Business Systems Council (BSC) - Charter

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RD Instruction 2006-FF

Part 2006 - MANAGEMENT

Subpart FF - Management Oversight of the Information Resources

Management (IRM) Program

§ 2006.1551 [Purpose]{.underline}.

This Instruction assigns responsibilities for management oversight of
Rural Development Information Resources Management (IRM) programs,
designates members of the Business Systems Council (BSC) and assigns
their responsibilities and functions.

§ 2006.1552 [Definitions]{.underline}.

\(a\) [Capital Planning and Investment Control (CPIC)
Process]{.underline}. A management process for ongoing identification,
selection, control, and evaluation of investments in information
resources. The process links budget formulation and execution, and is
focused on agency missions and achieving specific program outcomes.

\(b\) [Information Resources (IR)]{.underline}. All resources related to
the management of information, including personnel, facilities,
equipment, funds, and information technology.

\(c\) [Information Resources Management (IRM)]{.underline}. The process
of managing information resources to accomplish agency mission. The term
encompasses both information itself and the related resources, such as
personnel, equipment, funds, and information technology.

\(d\) [Information Resources Management (IRM) Activity]{.underline}. A
task that an organization is accomplishing or plans to accomplish that
is related to the IRM Program. IRM activities include, but are not
limited to, information system life system, strategic IRM planning, data
administration, reports, records, forms management, information
collection and dissemination, and the application and use of information
technology.

\(e\) [Information Management (IM)]{.underline}. The planning,
budgeting, manipulating, and controlling of information throughout its
life cycle.

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DISTRIBUTION: WSAL Administration

Management

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RD Instruction 2006-FF

§ 2006.1552 (Con.)

> \(f\) [Information System (IS)]{.underline}. A discrete set of
> information resources organized for the collection, processing,
> maintenance, transmission, and dissemination of information, in
> accordance with defined procedures, whether automated or manual.

\(g\) [Information System Life Cycle (ISLC)]{.underline}. The phases
through which an information system passes, typically characterized as
initiation, development, operation, and termination.

> \(h\) [Information Technology (IT)]{.underline}. Any equipment or
> interconnected system or subsystem of equipment, that is used in the
> automatic acquisition, storage, manipulation, management, movement,
> control, display, switching, interchange, transmission, or reception
> of data or information by an agency.

\(i\) [Major Information System (MIS)]{.underline}. An information
system that requires special management attention because of its
importance to an agency mission; its high development, operating, or
maintenance costs; or its significant role in the administration of
agency programs, finances, property, or other resources.

§ 2006.1553 [Authority]{.underline}.

\(a\) Clinger-Cohen Act of 1996, Public Law 104-106.

\(b\) Federal Acquisition Reform Act (FARA).

\(c\) Government Paperwork Elimination Act (GPEA), Public Law 105-277.

\(d\) OMB Circular A-130, Management of Federal Information Resources.

\(e\) Paperwork Reduction Act (PRA) of 1980, as amended by the Paperwork
Reduction Act of 1995.

\(f\) Privacy Act of 1974, 5 U.S.C. 552a.

\(g\) E-Government Act of 2002.

\(h\) Federal Acquisition Streamlining Act (FASA).

\(i\) Freedom to E-File, Public Law 106-222.

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>
> RD Instruction 2006-FF

§ 2006.1553 (Con.)

\(j\) Departmental Long-Range IRM Planning, Departmental Regulation (DR)
3111-001.

\(k\) The Computer Security Act of 1987, Public Law 100-235.

\(l\) M99-20: Security of Federal Automated Information Resources.

\(m\) Departmental Management ADP Security Manual, Departmental Manual
3140-001.

\(n\) Departmental Information Systems Security Policy, Departmental
Regulation 3140-001.

\(o\) Critical Infrastructure Protection, Presidential Decision
Directive 63.

\(p\) Departmental Telecommunications and Internet Services and Use,
Departmental Regulation 3300-001.

\(q\) Departmental Internet Security Policy, Departmental Regulation\
3140-002.

\(r\) Rehabilitation Act Amendments of 1992, Public Law 102-569.

\(s\) Workforce Investment Act: Section 508 Electronic and Information
Technology.

\(t\) Departmental Acquisition of IRM Resources, Departmental Regulation
3130-001.

\(u\) Departmental IRM Review Program, Departmental Regulation 3150-002.

\(v\) OMB Circular A-11, Preparation, Submission and Execution of the
Budget.

\(w\) Departmental Information Technology Capital Planning and
Investment Control Guide.

\(x\) Departmental Information and Technology Transformation,
Departmental Regulations 3600-000.

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RD Instruction 2006-FF

§ 2006.1554 [Statement of Policy]{.underline}.

It is the policy of Rural Development to provide senior management
oversight and direction of the IRM Program to ensure that automation
initiatives support strategic business goals, objectives, and priorities
that are consistent with IRM plans, standards, and guidelines; and that
feasible alternatives are considered and follow sound life cycle
management practices.

§ 2006.1555 [Applicability]{.underline}.

This policy applies to all Rural Development organizational elements.

§ 2006.1556 - 2006.1567 \[Reserved\]

§ 2006.1568 [Responsibilities]{.underline}.

> \(a\) [Business Systems Council (BSC)]{.underline} The BSC provides
> senior management oversight, guidance, review and ranking of
> Development/Modernization/Enhancement (DME) projects, Maintenance
> projects, and direction to the mission area IRM Program. The BSC
> evaluates and makes recommendations to the Under Secretary for Rural
> Development, regarding the approval and funding of automation
> initiatives. The BSC Charter is listed as Exhibit A.

\(1\) The BSC will recommend and the Under Secretary for Rural
Development will approve the following:

\(i\) Major Rural Development IRM plans, such as Information Strategy
plans, Strategic IRM plans, Information System Security plans, CPIC
Plan, and Data Administration plans;

\(ii\) Funding levels for the Information Technology Budget;

\(iii\) IRM policies and procedures;

\(iv\) Major Rural Development Programs and Information System
enhancements or replacements; and

\(v\) Designated standard ISs under development or in operation at each
life cycle management milestone ensuring that sound life cycle
management principles and practices are being followed. The review will
determine whether the IS should proceed to the next life cycle
management phase.

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> RD Instruction 2006-FF

§ 2006.1568(a) (Con.)

\(2\) The BSC will:

\(i\) Recommend to the Under Secretary for Rural Development, the
allocation of information resources consistent with the Agencies\'
strategic business goals and objectives, and the eGovernment
initiatives;

\(ii\) Resolve conflicts among automation initiatives competing for
existing information resources;

\(iii\) Establish, terminate when necessary, and provide guidance to
Change Control Boards (CCBs) or equivalent committees in prioritizing
Requests for Automation (RFAs) and in developing annual workplans; and

\(iv\) Keep Senior management members of represented agencies fully
informed on all BSC activities. This responsibility relies fully and
solely on the BSC member agency designee. The BSC, as a body, is not
responsible for communicating written nor oral information presented in
BSC meetings to Agencies.

\(b\) [Composition of the BSC]{.underline}. The BSC will be comprised of
one Deputy or Associate Administrator from each agency ((Rural
Business-Cooperative Service (RBS), Rural Housing Service (RHS), Rural
Utilities Service (RUS)), Deputy Administrator for Operations and
Management, one representative from the Under Secretary for Rural
Development, and two State Directors appointed by the Under Secretary of
Rural Development. The Council will be chaired by the Chief Information
Officer. These managers will have voting rights.

\(1\) The Rural Development Assistant Administrator for Procurement and
Administrative Services and Chief Financial Officer will serve as
non-voting members.

\(2\) The BSC may invite representatives from other agencies to attend
meetings when common systems and issues are on the agenda.

\(c\) [Change Control Board (CCB) or Equivalent]{.underline}. The CCB or
equivalent committee will set priority sequences for RFA implementation
for the ISs under the CCB's authority.

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§ 2006.1568(c) (Con.)

\(1\) A CCB or equivalent committee is established by the BSC for each
designated IS or group of related ISs. Voting CCB membership will be
established by the BSC at the creation of the CCB, and adjusted later if
necessary, in proportion with the IS\'s size and complexity. Upon the
establishment of the CCB or equivalent committee, the BSC will also
determine the lead sponsor, Deputy, or Assistant Administrator, which
will select the first Chairperson for the specific board/committee. For
those ISs impacting multiple program or management functions (multiple
sponsoring Associate, Deputy or Assistant Administrators), the
Chairperson will be rotated annually as determined by the
board/committee membership.

\(2\) Each authorized board/committee is responsible for evaluating and
prioritizing proposed enhancements to an IS in accordance with the
overall priorities of the Strategic Business Plans and IRM Plans as
determined by the BSC. For designated IS development projects, the
board/committee is responsible for the functional review at each life
cycle management milestone and for reviewing the overall management of
the IS development project. RD Instruction 2006-T, assigns specific
responsibilities and duties regarding these boards/committees.

\(3\) The CCB or Equivalent Committee Chairperson will participate in
BSC meetings when the system he/she is chairing is on the agenda.

\(4\) The CCB or Equivalent Committee Chairperson will not have voting
rights.

\(d\) [Deputy Administrator for Operations and Management]{.underline}.
The Deputy Administrator for Operations and Management will serve as an
advisor to the Executive Information Technology and Investment Review
Board (E-Board). Incumbent reviews and approves all USDA major IT
investments and ensures investment risks are among the elements
considered for each alternative.

\(e\) [Assistant Administrator for Procurement and Administrative
Services]{.underline}. The Assistant Administrator for Procurement and
Administrative Services will ensure that information technology
procurements adhere to information technology investment policies and
federal acquisition regulations and policies.

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RD Instruction 2006-FF

§ 2006.1568 (Con.)

\(f\) [Assistant Administrators and Deputy Administrators]{.underline}.
The Assistant Administrators and Deputy Administrators within their area
of responsibility will:

\(1\) Review the progress of IS development and enhancement projects at
each life cycle management milestone (as well as appropriate
intermediate points) to ensure the functional requirements are being
satisfied in a cost-effective manner;

\(2\) Exercise oversight for the evaluation and improvement of
functional processes as well as the development of functional process
performance measures; and

\(3\) Keep Senior level officials of the Agency they represent fully
informed of BSC activities and actions.

\(g\) [Chief Information Officer]{.underline}. The Chief Information
Officer will:

> \(1\) Serve as Chairperson of the BSC;

\(2\) Provide for the planning, directing, budgeting, and coordinating
of IRM activities;

\(3\) Ensure that all automation initiatives are managed in accordance
with sound life cycle management principles and practices and follow BSC
approved IRM plans, policies, standards, and guidelines;

\(4\) Conduct periodic reviews of IRM activities to identify
opportunities for collaboration, for improvement, to reduce costs, to
increase the usefulness of information, and, in general, further Rural
Development mission goals and objectives;

\(5\) Review and approve automation initiatives (purchases of equipment,
software, or services) up to \$25,000 (per initiative per fiscal year
not to exceed \$25,000 per initiative) in purchase or contract costs;

\(6\) Approve IRM Handbooks that implement IRM policies;

\(7\) Prepare a 5-year Rural Development Information Technology
Strategic Plan; and

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RD Instruction 2006-FF

§ 2006.1568 (Con.)

\(8\) Ensure all investments do not exceed, by more than 10 percent,
costs and schedule goals established, and failing that, determine
whether deficiencies can be resolved or whether an investment should be
redirected or terminated.

\(h\) [Chief Financial Officer]{.underline}. The Chief Financial Officer
will:

\(1\) Oversee financial management activities; and

\(2\) Ensure both the financial and non-financial systems and business
processes are helping our agencies to achieve their mission.

§ 2006.1569 -- 2006.1570 \[Reserved\]

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> RD Instruction 2006-FF

Exhibit A

Page 1

## 

## 

**Business Systems Council (BSC) - Charter**

**I. PURPOSE**

This charter outlines the authority, membership and support, roles and
responsibilities of the Business Systems Council (BSC).

**II. BACKGROUND**

Rural Development established the BSC to improve the governance of
information resources within the agency. Information Resources (IR)
include the national information technology infrastructure (IT
infrastructure), information technology applications (IT applications),
and the Information Assets (IA) of the agency.

The mission includes, but is not limited to, assisting the agency and
the Chief Information Officer (CIO) in strategic planning for
information resources and in complying with the requirements of the
Clinger-Cohen Act of 1996 and the Department of Agriculture's Capital
Planning and Investment Control (CPIC) process.

###### 

###### III. MEMBERSHIP

The BSC is comprised of eight primary members (Chairperson, and seven
voting members) and their alternates, plus Ex Officio as needed. Primary
members are expected to attend all meetings. His or her designated
alternate may attend if the primary member is not available. In the
event both the primary member and the designated alternate are
unavailable, another representative may be delegated in their stead, but
this delegated representative will be a non-voting representative.

> 1\. Chairperson - Chief Information Officer; has tie-breaking vote
> authority. Alternate is the Deputy CIO.
>
> 2\. Voting Members:
>
> a\. Members:
>
> i\. One Deputy or Associate Administrator from each Agency (Rural
> Business-Cooperative Service, Rural Utilities Service, Rural Housing
> Service, Deputy Administrator for Operations and Management).

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RD Instruction 2006-FF

Exhibit A

Page 2

> ii\. One representative from the Under Secretary for Rural
> Development.
>
> iii\. Two State Directors.
>
> b\. Alternate Members:
>
> i\. One alternate as named by the Administrator for each Agency (Rural
> Business-Cooperative Service, Rural Utilities Service, Rural Housing
> Service, Deputy Administrator for Operations and Management).
>
> ii\. Two alternates as proposed by the primary State Directors for the
> two selected states.
>
> 3\. Non-Voting Members:
>
> a\. Ex Officio Members: The BSC, at its discretion, may name
> non-voting Agency Ex Officio Members to represent information issues
> that cross Agency or Deputy Administrator area lines of responsibility
> and might not otherwise be represented sufficiently by the voting BSC
> members. Current Ex Officio Members include:
>
> i\. Chief Financial Officer; and
>
> ii\. Assistant Administrator for Procurement and Administrative
> Services.
>
> b\. Delegated representative attending in the absence of the
>
> primary and alternate members.

**IV. ROLES AND RESPONSIBILITIES**

The BSC will:

> 1\. Create, maintain, and communicate a vision for IR for Rural
> Development as a whole.
>
> 2\. Monitor and evaluate the Agency's progress toward achievement of
> the vision.
>
> RD Instruction 2006-FF
>
> Exhibit A
>
> Page 3
>
> 3\. Advise the CIO, Deputy Administrator for Operations and Management
> on matters related to budgeting for IR. The BSC will annually
> recommend:
>
> a\. Priorities for new investments and maintenance expenditures for IT
> and IA; and
>
> b\. An overall level of budget for IT and IA based on annual updates
> of a longer-term Agency IR strategy.
>
> 4\. Advise the CIO on matters related to the development of Rural
> Development policy and guidance regarding the national IT
> infrastructure, the development of IT applications, and the
> acquisition of IA.

**V. Support**

Each BSC member shall identify and designate one or more Investment
Managers. The role of these Investment Managers is to provide support to
BSC members by:

> 1\. Convening as an Investment Managers Working Group to evaluate
> current and proposed IR investments, the health of the Agency IR
> portfolio and progress toward the IR vision;
>
> 2\. Assisting with preparations for BSC meetings and reviews; and
>
> 3\. Providing other support to their respective BSC members as
> requested.

In addition, the BSC has the authority to establish and direct other
specified teams, as needed, to manage, coordinate, and report progress
on IR activities and investments.

###### 

###### VI. OPERATING GUIDELINES

> 1\. The CIO will:
>
> Serve as Chairperson and facilitate BSC meetings.
>
> a\. Ensure that supporting materials for meetings are developed and
> distributed in a timely manner to BSC members.
>
> b\. Ensure that BSC decisions are documented and appropriately
> disseminated.

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RD Instruction 2006-FF

Exhibit A

Page 4

> c\. Coordinate with other BSC members to identify and propose topics
> for the BSC to address with lead times commensurate with the
> complexity of the decisions.
>
> 2\. A Quorum of 5 voting members or their primary alternates shall be
> considered the minimal number that must be present for the valid
> transaction of business.
>
> 3\. The BSC will then decide on the topics that warrant the BSC's
> attention and the timeline of its deliberations.
>
> 4\. Preparatory information will be distributed at least one and
> preferably two weeks before BSC meetings.
>
> 5\. Technical support staff may accompany each BSC member to advise
> them as needed.
>
> 6\. The BSC will meet in executive session if it determines that the
> quality of their deliberations will be enhanced.
>
> 7\. The BSC may establish sub-committees composed of both voting and
> non-voting members to address specific topics identified by the BSC.

**VII. MEETINGS AND COMMUNICATIONS**

The BSC will meet quarterly or more frequently as necessary to carry out
its agreed-upon program of work. BSC-related communications, guidance,
and information, such as meeting schedules and meeting summaries, will
be made available by the CIO.

**VIII. DEVELOPMENT OF RECOMMENDATIONS**

> 1\. The BSC will strive for consensus, defined as agreement by all or,
> at a minimum, that all BSC members can support the recommendation.
>
> 2\. When consensus cannot be attained, the BSC may choose to:
>
> a\. Vote to agree on a recommendation. Each voting member or his/her
> designated alternate shall have one vote.
>
> b\. Table the issue to be revisited again, as appropriate, or
>
> c\. Raise the issue to the appropriate decision-making body, e.g.,
> Chief and Staff, or Executive Leadership Team, for resolution.

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