National Endowment for the Humanities

Long-Range

IRM Strategic Plan

For FY07 (BY08 Submission)

Last Updated: 09/5/2006

1.0 Executive Summary

The National Endowment for the Humanities (NEH) Information Resources
Management (IRM) Strategic Plan reflects the provisions of the
Clinger-Cohen Act of 1996 by incorporating IT-related goals and
objectives that address the long-term mission and vision of the agency.
In addition, this strategic plan describes major IT projects in terms of
*what* the project is about; *who* will be performing the work; *how*
they will go about performing it and with what kind of funding; *when*
they will begin and end the project; and *why* it is important to the
NEH.

2.0 Agency Mission Statement

[Mission Statement for the National Endowment for the
Humanities:]{.underline}

*Because democracy demands wisdom, the National Endowment for the
Humanities serves and strengthens our Republic by promoting excellence
in the humanities and conveying the lessons of history to all
Americans.*

3.0 IRM Mission Statement

IRM is responsible for providing the technology infrastructure necessary
to support the agency\'s missions. This includes the planning,
developing, testing, implementing, securing, and supporting of
technology-based business solutions which enable our staff to meet our
agency\'s strategic plans. The agency\'s Enterprise Architecture and
Strategic Plan will serve as guides to ensure effective IRM planning.

4.0 The Agency Strategic Plan

One of the keys to a successful IRM strategic plan is to ensure it
supports the agency strategic plan. Below is an excerpt from the Agency
Strategic Plan, including some details for Goal 3:

**GOAL 1: TO ADVANCE KNOWLEDGE AND UNDERSTANDING IN THE HUMANITIES IN
THE UNITED STATES**

**GOAL 2: TO BROADEN PUBLIC AWARENESS OF, ACCESS TO, PARTICIPATION IN,
AND SUPPORT FOR THE HUMANITIES**

**GOAL 3: TO ENHANCE QUALITY OF SERVICE AND EFFICIENCY OF OPERATIONS**

*Objective 1: Streamline and improve the agency\'s operations to provide
more effective and results-oriented service to the American people.*

> Strategies:

-   Oversee and evaluate the agency\'s operations, particularly

    -   the application process

    -   the merit review process

    -   grants management

    -   budget and financial management

    -   program review process

    -   information management

    -   human resources

-   Work to implement key elements of the President\'s Management
    Agenda:

    -   expanded electronic government

    -   strategic management of human capital

    -   competitive sourcing

    -   improved financial performance

    -   budget and performance integration

-   As needed, constitute teams of staff members from a cross section of
    the Endowment to consider ways to improve agency operations and
    procedures.

-   Where appropriate, work in consultation with NEH members of AFGE
    Local 3403 to enhance quality of service and efficiency of
    operations.

5.0 How Does the IRM Strategic Plan Support the Agency Strategic Plan?

The IRM Strategic Plan directly addresses many of the points in the
Agency Strategic Plan. For example, this plan is used to oversee the
development of our systems for managing the application process, the
merit review process, grants management, and financial management (see
section 8 of this document for some specifics on these systems). The IRM
Strategic Plan, along with our Enterprise Architecture, is also used to
help map out our plans for expanding the use of electronic government,
as per the President's Management Agenda.

6.0 The Enterprise Architecture (EA)

The Clinger-Cohen act requires all Federal agencies create an Enterprise
Architecture document. This document is then updated on a regular basis.
To understand the reason for an Enterprise Architecture, here is an
excerpt from the preface of the CIO Council publication \"A Practical
Guide to Federal Enterprise Architecture:\"

An enterprise architecture (EA) establishes the Agency-wide roadmap to
achieve an Agency\'s mission through optimal performance of its core
business processes within an efficient information technology (IT)
environment. Simply stated, enterprise architectures are \"blueprints\"
for systematically and completely defining an organization\'s current
(baseline) or desired (target) environment. Enterprise architectures are
essential for evolving information systems and developing new systems
that optimize their mission value. This is accomplished in logical or
business terms (e.g., mission, business functions, information flows,
and systems environments) and technical terms (e.g., software, hardware,
communications), and includes a Sequencing Plan for transitioning from
the baseline to the target environment.

In order to create our baseline and target architectures, a committee
was formed to discuss our architecture in the context of PL106-107 and
GPEA requirements. This committee comprised people from a cross-section
of the NEH.

The EA document includes a description of our current and target
architectures, including a roadmap on how to transition to the target
environment. The EA was used, in turn, to help drive the IRM strategic
goals. To read the EA, please see this web address:
http://www.neh.gov/whoweare/cio.htm

7.0 IRM Goals and Objectives

**Goal 1: Internal Office Automation Support Objectives**

***Objective 1:** Update desktop software on a regular basis so that
users stay current with technology.*

The NEH IRM staff has worked hard to create a desktop software system
that is easy to maintain and upgrade. All desktop computers in the
agency use the identical software \"image.\" This enables our staff to
carefully test and rollout a single software configuration to each user.
This saves a great deal of time and money for staff support. In
addition, it gives the end-user a much more reliable system. Should a
system malfunction, it can be replaced with an identical one in minutes
and the user can get right back to work.

***Objective 2:** Respond to all help desk calls quickly and
professionally.*

All user machines should have close to 100% uptime. Our system has been
designed to be reliable and stable. However, sometimes users do have
problems or questions. As such, we provide a help desk that is equipped
to assist the user in a timely manner.

***Objective 3:** Provide users with the technology tools they need to
accomplish their missions.*

When it comes to selecting technology tools, IRM works closely with the
users to ensure that software programs are procured which enable the
user to do his work. IRM staff uses their technology expertise to assist
users in identifying processes which can be improved with technology.

***Objective 4:** Maximize system reliability while balancing cost
factors.*

The NEH has a limited administrative budget. As such, great care is put
into making the systems reliable without spending too much money. By
carefully testing and standardizing the software image, we are able to
ensure they are extremely reliable and provide the user with near 100%
uptime.

***Objective 5:** Provide quality training to staff.*

This training will enable the staff to learn the new features of the
software to better accomplish their missions. In the long-term, this
will enable them to increase their efficiency, productivity and
functionality.

***Objective 6:** Continually Improve Grants Management System (GMS)*

As our most mission-critical system, it is critical that we constantly
work with our program staff to enhance our new GMS system, which was
successfully launched in June 2002 after years of careful planning.

**Goal 2: Capital Planning Objectives**

***Objective 1:** Annualize our hardware and software purchases to
ensure a consistent yearly budget.*

By annualizing our costs though software licensing programs and hardware
leasing, we can meet our objective of keeping our desktop systems
up-to-date without the problem of large spikes in our budget every few
years. This makes it much easier to perform long-term planning.

***Objective 2:** Perform regular research and analysis to ensure the
continual improvement of our network architecture.*

As our networking infrastructure gets older, it is important to follow
cost-effective strategies for keeping abreast of changing technology for
future growth.

***Objective 3:** Develop and analyze cost estimates for a possible
agency relocation.*

There is a possibility that our agency will have to move to another
building. If GSA requires us to relocate, it is key that we perform a
move analysis to ensure we can keep our costs down.

**Goal 3: Data Security and Privacy Objectives**

***Objective 1:** Constantly keep up with new virus and hacker attack
methodologies.*

Security is a fast-changing field. It is critical that we keep abreast
of new viruses and security holes. One way to do this is to keep in
touch with US CERT, who distribute vital security information on a
regular basis.

***Objective 2:** Install all necessary security software to ensure the
safety of our systems.*

As new anti-virus and security patches come out, we must install and
test them to safeguard our systems.

***Objective 3:** Regularly test and monitor our system to ensure it is
properly safeguarded. This includes performing security tests as per
FISMA.*

Testing and monitoring is key to quality security. We must perform
regular FISMA self-evaluations as well as work with our IG\'s office to
ensure that our security policies and configurations are appropriate.

***Objective 4:** Keep users informed of security and privacy issues on
a regular basis.*

Users must be properly trained and informed to ensure adequate security.

***Objective 5:** Carefully test and implement appropriate security for
all NEH e-commerce initiatives that is equal to (or better than) the
security afforded to our current paper-based systems.*

As we work towards e-government and reaching our GPEA goals, we must be
sure that security is kept in mind every step of the way.

**Goal 4: E-Government/President\'s Management Agenda Objectives**

***Objective 1:** As per the President\'s Management Agenda, we must
strive to create a customer-driven, citizen-centric E-Government.*

In order to meet the government-wide goals set forth in the President\'s
Management Agenda, we will work closely with other agencies
participating in the HHS-sponsored Grants.Gov project to move towards
fully electronic processing of grants materials.

***Objective 2:** As per the Government Paperwork Elimination Act
(GPEA), we must work towards creating online alternatives for our
paper-based information collections.*

This objective not only satisfies GPEA, but reflects our Enterprise
Architecture, which is our roadmap towards moving to an e-government
grants system. This is a key objective.

**Goal 5: Internal Staff Objectives**

***Objective 1:** Encourage staff to stay current on new technology
issues.*

IT is one of the fastest-moving fields. For our staff to perform
effectively and efficiently and to ensure their personal growth, they
must stay abreast of new technology.

***Objective 2:** IT Cross-Training*

Create opportunities for IT staff to learn about and participate in
projects going on in other sections of the IRM office. This
cross-training will enable staff to become engaged in all aspects of the
office, to learn about new fields and new technologies, and to provide
backup support as necessary.

***Objective 3**: Create and Meet Objectives of Individual Developments
Plans (IDP) for Staff.*

Each staff member should have a \"road map\" in place to help him or her
with career development. Each staff member in OIRM shall work with
his/her supervisor to create an IDP. This IDP will consist of a long and
short-range plan that describes the career goals and development of the
staff member.

8.0 Major IRM Projects

Below is a list of major projects being undertaken by each section in
IRM. The sections are listed alphabetically. For each project, we will
explain *what* the project is about; *who* will be performing the work;
*how* they will go about performing it and with what kind of funding;
*when* they will begin and end the project; and *why* it is important to
the NEH.

**[Section Name: E-Government and Program Liaison]{.underline}**

***What:* Continue the expansion of the Online Review System**

*Who:* E-Gov staff, in consultation with Systems Ops staff and the GMS
Program Managers.

*How:* We will continue to expand the number of programs using online
review, and add functionality to the online review system. Nearly all
NEH programs now use some form of online review, for paper applications
as well as online ones. New features are added to the review site on a
regular basis. The Online Application Administration site is available
to all NEH programs and allows people to manage applications that come
to the programs via grants.gov, as well as online reviews. We will
continue to integrate this site with the NEH Grants Management System
(GMS) and programs\' internal reporting tools, and to integrate online
review with online applications so that more panelists can read and
review applications online.

In FY2007 the NEH Fellowships and Summer Stipends programs will be moved
to grants.gov, and so the online review system used by the nearly 300
panelists, and the online administration site used by the staff of the
Research Division, will have to be re-done to accommodate the new
application format.

*When:* Begun in FY 2002, ongoing throughout FY2007.

*Why:* Online review makes it easier for staff members of NEH programs
to prepare for panel meetings, manage the results of such meetings, and
prepare council materials after panels are complete. It also enables
faster and more efficient transmission of panelist evaluations to
applicants.

***What:* Online Post-Award Reporting and Evaluation**

*Who:* E-Gov staff, in consultation with GMS Program Managers.

*How:* Several programs already use NEH websites as a means of
collecting reports from applicants. During FY2005 we added forms to
allow participants in NEH-funded Summer Seminars and Institutes and
Landmarks of American History and Culture workshops to submit
evaluations online. To date about 2700 evaluations for 155 seminars,
institutes, and workshops have been submitted online. Now that the
Grants Executive Board has determined that GMLOB Consortia Leads will
handle post-award reporting, our intention (should we become a lead) is
to develop a full-blown reporting module. We will work with our GMLOB
partners as well as with NEH programs and the Office of Grant Management
to develop such a system.

*When:* Ongoing throughout FY2007.

*Why:* Online reporting is helpful to both applicants and NEH program
staff members. It enables us to collect good information about our
grants quickly and at a low cost. It fits in with the President\'s
Management Agenda and our GPEA goals.

***What:* Refine Fellowships application and review processes online**

*Who:* E-Gov staff, in consultation with Fellowships and Summer Stipends
Programs.

*How:* FY2006 saw the third year of online Fellowships and the fifth
year of online Summer Stipends, and at the May and October deadlines we
receive between 1000 and 1500 applications for these programs. Panelists
review these applications online, in the case of Fellowships prior to
sitting panel meetings in July-August. Research Division staff use a set
of web-based administrative tools to manage the applications during the
application and review process. Fellowships applicants will use
grants.gov for the May 2007 deadline, and Summer Stipends will follow in
October 2007. The old online application systems will be retired. This
will entail significant modifications to the system-to-system software
that transfers applications from grants.gov, as well as the software
that puts applications into GMS. In addition, the existing online review
system for Fellowships and Summer Stipends will be jettisoned and the
NEH-wide online review system will be modified to accommodate these
programs.

*When:* Ongoing throughout FY2007.

*Why:* Given the high numbers of Fellowships and Stipends applications,
a considerable amount of staff time is saved by accepting applications,
managing panel rosters, report forms, etc., online. Online review allows
for quick preparation of council materials and faster communication with
applicants concerning the results of the competition. It also makes it
easier for the Senior Staff of the Endowment to track the review
process.

***What:* Online Grant Applications**

*Who:* E-Gov staff, in consultation with GMS Program Managers and the
HHS-sponsored Grants.Gov project team.

*How:* We continue to work closely with the HHS-sponsored grants.gov
project as they work toward the goal of having one portal system for all
grant-making agencies. We have received more than 1200 applications for
59 programs from grants.gov, and have robust systems to retrieve
applications from the grants.gov system, import data from this system
into the NEH Grants Management System, and make these applications
available to NEH program staff. All NEH programs making grants to
institutions are now online at grants.gov, and during FY2007 programs
making grants to individuals will be added to grants.gov. In addition,
software to retrieve and view online grant applications submitted via
grants.gov will be expanded so that it can be used by other agencies who
will adopt versions of the NEH Grants Management System.

*When:* Begun in FY2002, continuing throughout FY2007.

*Why:* Online Grant Applications is an important goal of the
President\'s Management Council and OMB. It is beneficial both to the
applicant and to the NEH staff.

***What:* Other Online Projects**

*Who:* E-Gov staff, in consultation with Program Staff.

*How:* We have several other ongoing online projects that do not fit in
the above categories. The NEH Summer Interns Program received nearly 150
applications in FY2006 (the sixth year that the process was online); the
Idea of America Essay Contest received about 1600 submissions in its
fifth year; and the fourth year of the We the People Bookshelf enabled
more than 2000 libraries to apply online for selected books on the topic
of becoming American. All of these programs have been integrated into
the NEH-wide online application system, again increasing flexibility and
expandability and substantially reducing the code base. Some
modifications have been made to accommodate multi-library applications
to the Bookshelf competition. In FY2005 we introduced an online
application form for teachers wishing to participate in NEH-funded
Landmarks of American History and Culture workshops. Since then more
than 24000 applications have been submitted, and directors of these
workshops could use the NEH website to view the applications and make
their selections. A new and simpler portal has been added for the
Federal/State Partnership\'s compliance plan and We the People grants
forms, and the administrative site has been re-done as well. State
Councils submit their applications to the We the People Grants for State
Humanities Councils program via this portal.

*When:* Begun in FY2001, continuing throughout FY2007.

*Why:* Although none of these programs is a likely candidate for
integration with grants.gov, they still fall under the rubric of Online
Grant Applications and are thus an important goal of the President\'s
Management Council and OMB. These online systems are beneficial both to
the applicant and to the NEH staff.

***What:* Tight integration of online ventures with Grants Management
System**

*Who:* E-Gov staff, in consultation with GMS Developers and Program
Managers.

*How:* As we move more of our review, application, and reporting
functions online, it becomes more important that these systems be
tightly integrated with the working Grants Management System. This is
important both for the sake of consistency and integrity of data and as
a way of minimizing duplication of effort (\"write once, use often\").
We have developed effective field validation for online forms (to check
for valid e-mail addresses, nine-digit zip codes, etc.), and will work
with GMS Developers to add these features to GMS.

*When:* Throughout FY2007.

*Why:* The integrity of GMS data is an ongoing concern, and since our
online forms are an increasingly important source of GMS data, it is
very important that our online forms and processes be in sync with GMS
architecture, to minimize duplication and ensure consistency of data.

**[Section Name: Systems Operations]{.underline}**

***What*: Protect data and services.**

*Who:* Systems Ops staff.

*How:* Performing backups, providing redundancy, preparing for disaster
recovery and documenting setup and restore instructions.

*When:* Ongoing.

*Why:* It is vital to the NEH that we ensure the availability of all
critical services and data.

 

***What*: Support the operation of client desktops.**

*Who:* Systems Ops staff.

*How:* Responding to the help requests of NEH staff.  Also, we ensure
client workstations are operational through maintenance of hardware and
software.

*When:* Ongoing.

*Why:* Many of the work processes at the NEH involve the use of the
computer desktop.  It is critical that we keep these systems
functioning.

 

***What*: Remove older servers and services.**

*Who:* Systems Ops staff.

*How:* Move all services off of older servers.  Turn off servers and
check services to ensure they work properly after the cut off.

*When:* Ongoing.

*Why:* During hardware upgrades we often keep the old server to reduce
any interruptions of services.  After we are certain that the new
servers are working correctly we need to turn off then remove old
servers.  Having fewer servers reduces maintenance costs and helps us
create a more secure environment.

 

***What*: Upgrade computer network.**

*Who:* Systems Ops staff.

*How:* Contract new wire installation.  Purchase and install new
switches in the wiring closets and the computer room.

*When:* Summer 2003 -Fall 2007.

*Why:* Our current physical network does not support the faster network
speeds required by modern hardware and software.  Many of our hubs
experience collision rates that are too high.  Also, some network
intensive actions like remote access, backups, and database updates are
occurring too slowly.

 

***What*: Upgrade and update all servers and workstations.**

*Who:* Systems Ops staff.

*How:* Keep each server and client up to date with patches and upgrades.

*When:* Ongoing.

*Why:* Patches and upgrades protect us from security threats, allow more
efficient staff operation and enable expanded services to the public.

 

***What*: Review and Improve Security of Computer Network.**

*Who:* *Security Officer and Systems Ops*.

*How:* Follow latest NIST Guidelines and SANS advice.

*When:* Ongoing.

*Why:* Security has become priority one for government agencies.  By
statute we must maintain robust security.

***What*: ** **Implement IPv6 Securely**

*Who:* Systems Ops staff.

*How:*  Follow Transition Plan submitted to OMB. 

*When:*  Through June 2008 

*Why:*  Required by OMB to drive IPv6 development in the US and to be
prepaired for future interconnections between government agencies. 

**[Section Name: Training and Access]{.underline}**

***What:* Training Program**

*Who:* TAD

*When:* FY2007

*How:* One-on-one instructor led training courses. This is
the traditional approach to training which allows learners to interact
with a teacher and with other students, to ask questions, and to do labs
and exercises under the watchful eye of a mentor.  Another asset is that
the instructor can adapt how he or she teaches based on the students\'
levels of understanding.

Offer distance learning resources by providing video learning
which provides the participants the added convenience and flexibility of
accessing courseware regardless of time or location while still
providing interaction with an instructor. The course structure mirrors
the instructor-led courses.

Establish workshops for the Grants Management System.  Provide agency
staff with instructor led workshops that include hands on training for
the GMS Crystal Reports InfoView, GMS Application Acknowledgement System
and other valuable GMS tools.

TAD will define how and when training will be conducted by establishing
a schedule for the training courses and defining course outline. TAD
will identify critical paths in the training schedule such as software
installations.

 

*Why*: Workforce development provides education to employees to increase
retention, also well trained employees positively impact the agency by
enhancing their knowledge, skills and ability. Training provides
increased job satisfaction, motivation and upward mobility.

 

***What:* Section 508**

*Who:* TAD

*When:* FY2007\
*How:*  Work closely with members of the Section 508 Coordinators Group
and Department of Justice officials to conduct the annual federal survey
for Section 508 initiatives. Help to identify new and existing barriers
for people with a variety of disability issues. Issues relate to web
content, procurement, information kiosk, publications and information
booths.

 

*Why*: To maintain technological ethical requirements by ensuring that
the Agency remains in compliance with federal ADA requirements. Confirms
that public members that fall under ADA guidelines are able to navigate
through the Agency website.

**[Section Name: GMS Development]{.underline}**

***What***: **Provide GMS Support to Other Agencies as a GMLOB Consortia
Lead (Note: This is pending our selection as a lead agency).**

*Who*: GMS Development staff

*How*: By meeting with our GMLOB partners to assess their needs, we will
develop a plan for importing their data, testing their system, and
deploying to production.

*When*: FY07

*Why*: It is a critical part of our role as GMLOB consortia lead.

***What***: **Major Enhancements to GMS (4.0)**

*Who*: GMS Development staff and GMS Program Managers

*How*: By working with GMS Program Managers (including GMLOB partners)
to identify new functionalities and features. Also, new security issues
and needed reports will be identified and addressed.

*When*: FY07

*Why*: GMS being a mission critical system, it is imperative that we
carefully monitor all aspects and add new features and expand its
functionality to increase its capabilities and usefulness to the staff
as well as ensure the data integrity of the system.

***What***: **Develop Reports for NEH Staff Using ORACLE Discoverer
Report Writer**

*Who*: GMS Development staff, Oracle Accounting team

*How*: By working with the Oracle Accounting team and Oracle Developers
to design reports containing all the financial details required by
agency staff.

*When*: September, 2006- January, 2007.

*Why*: The NEH has been using Oracle Federal Financials since October
2003 and we now need to develop more detailed reports that inform NEH
staff of commitments, obligations, and payments. The reports will be
designed in collaboration with the members of the Oracle Accounting team
who will also consult with other staff about their requirements.