U.S. Department of Education

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**Government Paperwork Elimination Act (GPEA) Plan**

**2001**

Table of Contents

I. The Government Paperwork Elimination Act (GPEA) Strategy 1

II\. GPEA and ED's Enterprise Architecture (EA) 6

III\. Unify and Simplify Transactions 17

IV\. GPEA Prioritization 18

V. Project Scheduling and Tracking 20

VI\. Conclusion 20

### The Government Paperwork Elimination Act (GPEA) Strategy

Introduction

The purpose of this plan is to provide updates, as requested by the
Office of Management and Budget (OMB), to the Department of Education's
(ED) Government Paperwork Elimination Act Plan. GPEA serves as the
statutory driver for the implementation of many high-level management
initiatives, both at ED and throughout the Federal government. The
success of the President's "No Child Left Behind" education reform plan
depends upon access to reliable and accurate information about student
and school achievement. Our efforts to collect this necessary
information from school districts, through the use of information
technology, are described below. The successful implementation of our
GPEA plan will also facilitate the goals of ED's Management Improvement
Team (MIT), created by the Secretary to obtain information regarding
challenges ED is facing in financial management, information management,
and other key areas of risk. Our GPEA efforts will assist in the MIT's
goal of ensuring that data is of sufficient quality to use in monitoring
program performance.

The President's e-Government goals of having single points of access to
government services, reduced reporting burden, greater sharing of
information and automation of internal processes, are outlined in his
Management Agenda. ED is committed to leveraging technology to perform
these functions more efficiently. Contained in this report are examples
of how ED is implementing the e-Government goals.

ED's GPEA initiatives are addressed in four categories: government to
citizen; government to government; government to business; and internal
efficiencies.

**Government to Citizen**

**Higher Education Community Strategies**

We are updating the Free Application for Federal Student Aid (FAFSA) on
the Web site and beginning the transformation into our Common
Origination and Disbursement (COD) system, which aims to reengineer the
delivery of student aid, with production in early Spring 2002.

We are also moving towards the creation of a common "window" to Student
Financial Assistance (SFA) by implementing a Web Portal with specific
views tailored to the needs of our customer groups, employees and the
general public. A three-step rollout of our next portals strategy phase
is starting now with completion scheduled for Fall 2002.

We have already started to provide more "windows" allowing our customers
to access the new SFA. Whether a customer accesses the SFA portal to
initiate a process, review her account information, or update her
financial data, we want the process to appear as seamless and
user-friendly as possible.

Two key strategies work together. The "up-front" strategy is replacing
paper with electrons -- using the Web with personalized portals and
creating electronic documents with on-line forms and electronic
authorizations. The second strategy is answering customer questions
consistently and providing multiple methods and access points to enable
customers to choose how they interact with us.

Technology used in Internet communication by both our FAFSA on the Web
application and our COD system benefits both students and schools. Our
students will be able to apply for aid using an enhanced FAFSA on the
Web application that is integrated with our internal origination and
disbursement processes.

[]{.mark}

**FAFSA on the Web**

FAFSA on the Web offers electronic financial aid applications to the
public. This benefits both students and schools and enables the
government to lower processing costs. Students receive a response in
four days, instead of three to four weeks when the same application is
filed manually. Applicants have to make fewer corrections because the
FAFSA on the Web application has built-in error checks, which helps
students "apply right" the first time and reduces data duplication. By
using on-line edits, we have been able to reduce resubmits and on-line
exceptions from an average of eight percent of all applicants to less
than one-half of one percent. We calculate the student aid report (SAR)
and determine the student's expected family contribution. We send those
reports electronically to schools and they bundle a total aid package
from all their resources to custom fit each student. Applicants can
apply for a pin to use in electronic identification. We currently mail
this pin to their mailing address to meet privacy considerations. We
look forward to the opportunity to send the pin to the applicant
electronically when federal privacy and security practices permit.

FAFSA on the Web is scheduled to be released in multiple phases,
allowing us to measure what works, fix what does not, and implement new
features that users want.

Our goal is to build a scalable architecture supporting the use of
electronic signature technology. We will give students and parents the
ability to use FAFSA on their own time and return to their application
any time, from any Internet connection.

With improved FAFSA on the Web usability, including improved real-time
validation of data entries and electronic signature standards and
capabilities, we will make it possible for the applicant to apply, sign,
and submit on-line. Our customer satisfaction scores in the American
Customer Satisfaction Index (ACSI) show our services are matching "best
in business" expectations.

Presidential Scholars Program

To better serve student applicants to the Presidential Scholars Program,
the prestigious program that honors approximately 150 graduating high
school seniors each year, ED is developing an online application form.
When complete in FY 2003, the new application will make the application
process faster, easier, and more reliable for the thousands of
applicants each year. Currently, a detailed study is underway, including
a survey of last year\'s Scholars, to ensure that the final product has
the necessary features and functionalities.

e-Loans

Recently, OMB selected ED to be the managing partner of the
government-wide effort to create On-line Access to Loans. This
Quicksilver initiative is part of the implementation of the \"Expanding
Electronic Government\" reform outlined in the President's Management
Agenda. The e-Loans initiative will allow citizens and business to
identify and apply for the loan programs that meet their needs. Citizens
will have direct and faster access to apply for a loan, create or modify
an online repayment schedule, or examine their loan account transaction
history. Pending the pace of the reengineering of the government's loan
processes, there will be an impact on ED's business processes.

######### Government to Government

Grants Administration and Payment System (GAPS)

GAPS supports the planning, pre-award, award management, and post-award
stages of ED grant programs, including discretionary, formula,
fellowship, and block grants. GAPS also interfaces with other principal
office (PO) systems, referred to as program feeder systems, to process
obligation and payment data. The program feeder systems support the
planning, scheduling, and award processes performed by the POs to manage
their programs (*e.g*., Campus-Based and Pell). GAPS controls payments
for ED's programs, including payments for grants and direct loans and
other program-related obligations.

ED is also participating in the PL 106-107 and Federal Commons
implementation planning for improving the grant management process
government-wide. The components of ED's e-Grants Initiatives outlined
below will improve the grants process at ED while also allowing later
interface with the Federal Commons project. ED will reevaluate these
plans as the Federal Commons project proceeds.

All components of e-Grants are web-based, which results in minimum
technology requirements for the customer, and the ability to extend the
software to the maximum number of ED customers. In addition, all
components are integrated in a real-time mode with GAPS, allowing ED to
provide the most up-to-date grant information to our grantees. Upon
completion of the following components, ED will have a fully electronic
grant award process.

> **Discretionary and Formula Grant Applications (e-Application***)* -
> E-Applications is a web-based service for preparing and submitting a
> grant application electronically. ED expanded its e-Application pilot
> in FY 2001, allowing more grant applicants to prepare and submit an
> application electronically. A total of 33 grant programs participated
> in e-Application, including 31 discretionary and 2 formula grant
> programs. The expansion will continue in FY 2002 to include as many
> programs as possible. In addition, a component is being added in FY
> 2002 to support the collection of Impact Aid Program applications.
> E-Application web site software will be used for all discretionary and
> formula grant programs in ED. The electronic collections currently
> underway in various POs using separate systems will be migrated into
> GAPS.
>
> **Electronic Field Review (e-Reader)** - E-Reader was introduced in FY
> 2001 and piloted with four grant programs. E-Reader allows peer
> reviewers to enter scores and evaluation data electronically for grant
> applications and view and/or print completed technical evaluation
> forms. These scores automatically populate this module in GAPS. It
> also allows ED program officials to monitor the progress of the
> reviewers throughout the reading process.
>
> **Discretionary and Formula Annual Performance Reports (e-Report)** -
> E-Report, which supports the preparation and submission of Annual
> Performance Reports to ED via the Internet, was introduced in FY 2001.
> The e-Report software will be used for all Discretionary and Formula
> grant programs in ED. The software populates much of the grantee
> information, which already exists in ED\'s grants management system.
> Additionally, much of the code from e-Application can be reused for
> e-Report. While the initial FY 2001 goal was to have 20 programs
> participate in e-Report, the year ended with the participation of 37
> programs covering grants in three of ED\'s POs. Ninety-one reports
> were submitted, accounting for 13 percent of respondents. We are
> sending E-Report surveys to both electronic and paper-based
> respondents to assess the results of, and participation in, the
> current system.
>
> **Discretionary and Formula Final Performance Reports (e-Report)** -
> The capability to electronically prepare and submit Final Performance
> Reports to ED via the Internet will be an expansion of e-Reports. This
> software development effort and implementation is scheduled for FY
> 2002.
>
> **Discretionary and Formula Administrative Action Requests (e-Admin
> Action)** - The e-Admin Action component will give ED's grantees the
> ability to request Administrative Actions via the Internet. The
> request will be directed to the appropriate ED program staff for
> action. E-Admin Action will eliminate the need for grantees to prepare
> and mail written requests and should significantly reduce the response
> time. The requests are saved directly to the GAPS database and the
> approval process will notify the grantee and update the GAPS database.
> As a result, a two step process is reduced to a single step, improving
> the accuracy of the grant award data. This software development effort
> and implementation is scheduled for FY 2002.
>
> **Payments Requests (e-Payments)** - The e-Payment component (formerly
> known as GAPS Web) is a web-based application ED's grantees use to
> request grant funds. The site went live in May 1998 and performs over
> 1700 transactions a day. It gives grantees the ability to request
> funds, adjust expenditures between awards, generate activity reports,
> reconcile award balances and electronically refund money back to ED.
>
> **Discretionary and Formula Grant Award Documents (e-Award)** - The
> e-Award component will allow ED to electronically transmit the grant
> award document to its grantees. E-Award will eliminate the need to
> print and mail the award document. Implementation is scheduled for FY
> 2002.

Campus Crime and Security Survey

The Office of Postsecondary Education (OPE) uses a web site to collect
and disseminate information about the incidence of crimes on campuses of
postsecondary education institutions. These collections were mandated by
the 1998 amendment to the Higher Education Act of 1965 (HEA) to help
potential college students and their parents learn about crimes that
have occurred on college campuses.

Data were required to be reported for three calendar years. After the
first three years were provided in 2000, institutions are now required
to provide only the data for the most recent fiscal year. Thus, the
web-based approach has reduced the time required for subsequent data
collections by two-thirds. Collaboration between OPE and SFA has
resulted in a 100 percent response rate. More significantly, prior to
the development of the web site, prospective postsecondary education
students and their parents would need to contact each individual
institution to obtain the campus crime statistics.

The OPE Campus Security Statistics Web site, developed collaboratively
by OPE and the National Center for Education Statistics (NCES,) was
designed to communicate with other ED postsecondary education data
systems. The OPE Campus Security Statistics Web site is linked to NCES's
[**IPEDS COOL**](http://nces.ed.gov/ipeds/cool/Index.asp) (Integrated
Postsecondary Education System College Opportunities On-Line) web site
that many prospective postsecondary students use to research the
differences between colleges and how much it costs to attend college.

# Government to Business

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CPSS

The Contracts and Purchasing Support System (CPSS) supports the
pre-award, award, and post award processes for all types of contracts,
delivery orders, task orders, inter-agency agreements, small purchases
and purchase card transactions. This system allows the user to modify
awards and make contractor payments. CPSS interfaces with ED's Financial
Management System Software (FMSS) at the detail level for funds control,
general ledger, accounts payable, invoicing, receipts, and accounts
receivable. System users include contracting officers and specialists as
well as executive officers and contracting officers' representatives.

The outcome of CPSS is a centralized, integrated financial management
and contracts and purchasing system that will provide improved funds
controls, better and more timely management reporting regarding ED's
financial position, and faster processing of requisitions and purchase
orders.

Internal Efficiencies

EdHIRES

EdHIRES is an automated Internet-based hiring system. It Web-enables
ED's current paper-based recruitment and hiring process and is designed
to assist applicants in finding and applying for ED jobs. Prospective
applicants will now have the ability to prepare and submit applications
to ED via the Internet. EdHIRES is accessible to all ED employees
(Headquarters and Regions) as well as any external applicants seeking
employment with ED.

Some benefits of the EdHIRES system are:

-   It\'s fast, free and easy to use. The need for time consuming
    applications and supplemental statements has been eliminated.
    Applicants must no longer wait months to have their applications
    processed.

-   The system provides applicants with a more efficient and
    standardized hiring process.

-   EdHIRES allows applicants to get e-mail notification of the
    application status.

-   It allows access to all ED job openings for which an individual is
    eligible to apply. The online registration process is simple.
    Applicants answer a series of questions about the different types of
    jobs they're interested in, submit their qualifications, or attach
    their resumes. Applicants can also search and review open vacancy
    announcements and click to apply on-line.

-   Applicant profiles are kept in the system and, if desired, the
    system can send e-mail notifications of positions that match
    applicant profiles as they become available.

Travel Management System

ED is in the process of implementing a travel management commercial
off-the-shelf (COTS) package. The new system is a fully automated, web
based package incorporating intuitive electronic workflow that will
provide support from travel authorization through electronic deposit of
travel voucher payments. Travel Manager will replace the existing
system, which relies heavily upon paper-based processes and redundant
information systems. The new system will be in compliance with Federal
Travel Regulations and will allow for better and more timely management
reporting regarding ED travel.

Civil Rights Case Management System

The Office for Civil Rights (OCR), together with the Office of the Chief
Information Officer (OCIO), is piloting an automated Case Management
System (CMS). This system will allow staff to manage cases with easy
network access to data; perform customized data queries across cases,
staffs, and offices; manage case activities, documents, contacts, and
records; organize and share information logically and at various levels
of detail; customize and integrate information and produce a wide
variety of stock and custom reports; and analyze and manage resource use
in OCR.

With document management functionality, users will be able to control,
organize, access, and share vital information quickly, easily, and
accurately. The data will be used to prepare reports for Freedom of
Information Act requests, as well as requests from Congress (*e.g*.
Annual Report to Congress), other POs, other Government agencies, and
the public.

Debt Collection

In accordance with the Debt Collection Improvement Act of 1996, ED
forwards institutional and administrative debts more than 180 days
delinquent to the Department of Treasury for additional collection
efforts. ED creates an electronic file of the delinquent debts, encrypts
the file, and forwards it to Treasury as an e-mail attachment. ED has
established a policy to write off, but not close out, delinquent debts
at the time they are transferred to Treasury.

When Treasury successfully collects a delinquent debt, the funds are
transferred electronically to ED via IPAC (Intergovernmental Payment and
Collection System), and the debt is subsequently closed out. If Treasury
determines that a debt is not collectible, it is returned to ED and
closed out in ED files. Treasury also reports debts determined to be not
collectible to the Internal Revenue Service as taxable income to the
debtor.

SFA Data Matching

SFA conducts cross-references against other federal agency databases,
such as the "new hires" database and the Department of Health and Human
Services, to add value to our own ED data. Other SFA/agency matches
include Social Security, Internal Revenue Service, Treasury, Justice,
Veteran's Affairs, Postal Service, Defense, Housing and Urban
Development, and Immigration and Naturalization Service. These matches
allow us to determine and verify information such as the addresses of
defaulted loan accounts, alien student registration, Selective Service
registration, drug abuse convictions, citizen status, veteran status,
and school enrollment status.

**Learning Management System (LMS)**

We are creating a training registration and attendance management
system. The system will provide a flexible on-line course catalog of
educational offerings with location alternatives and registration forms
on the same site. Piloted by SFA, the system will be based on a
commercial Web-based product, external service providers, and the new
agreement between the Training and Development Center and the
Transportation Virtual University. Phase 1, requirements and solutions
selection, was completed in July 2001 and Phase 2, registration and
customization, is targeted for completion in June 2002.

Human Resources (HR) System

ED is building an Internet-based HR system, piloted in SFA for eventual
deployment across the entire Department, that adds features and
functions without adding development and testing costs. We are using
existing commercial models, with slight modifications, to accommodate
federal employment policies and to bring "best of business" career
development and management services directly to ED employees. Employees
will be able to use these free on-line services at home or at work.

To improve overall ED functioning effectively as a business, HR needs to
be a strategic partner with business planning across all channels,
units, and POs within ED. Decisions relating to performance issues,
career development (including training) and resource planning need to be
made by the leaders of the ED organizational units. Industry has
demonstrated that, rather than exist simply as a transactional,
administrative set of functions, HR can best serve the needs of the
organization by involving the leaders of all business units in HR
decisions and activities. The implementation of new HR processes and
related systems that effectively address the needs of all business units
will enable the transformation effort and assist ED in meeting the
modernization objectives of increasing employee satisfaction, increasing
customer satisfaction and reducing unit costs.

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**GPEA and ED's Enterprise Architecture (EA)**

# Enterprise Architecture

An Enterprise Architecture (EA) provides a framework that formalizes the
relationships of business, data and information, applications,
technology, and security. The primary benefit that an EA supports is the
improved ability to deliver the Department's services through the better
use of information technologies. ED's EA principles are:

1)  Data will be entered once, and only once, as close to its source as
    possible.

2)  Data is a Department asset and does not belong to any particular
    office, program, or individual.

3)  All users requiring the services of data processing resources
    (hardware, software, and data) will share those resources.

4)  Department data will conform to a standardized set of data elements
    and definitions.

GPEA is a major driver in the formation of ED's target architecture.
GPEA continues to be critical in decisions regarding improvements to the
infrastructure in that we must ensure a robust infrastructure with
protections necessary to carry out electronic transactions.

In addition to our EA efforts, we are complying with the Government
Information Security Reform Act (GISRA) by ensuring that systems
supporting electronic transactions are fully protected and
vulnerabilities are identified and addressed.

We are committed to converting data collections to Web-based activities
that meet the EA standards.

A specific line of business in which we now conduct many transactions
electronically is grants management. We have fully documented the
current grants management life cycle as the baseline data and system
levels of the grants management architecture. In so doing, we are
positioned to transform the way we manage grants, in accordance with the
reauthorization of the Elementary and Secondary Schools Act (ESEA), and
will manage these changes through the grants management target
architecture. This is to be the focus of ED's simplification and
unification of grants management.

Components of the target grants management architecture are now under
development. Under an initiative we call the Baseline Assessment Data
Project we are working closely with states to establish commonly
accepted data definitions. We are also designing the means by which
states may submit on-line assessment data through an Extensible Markup
Language (XML) middleware so that we can receive and use assessment data
in virtual real time. This will greatly reduce the burden on the states.

We are likewise addressing other major lines of departmental business.
We are currently documenting the Information Dissemination and the
Research and Evaluation baseline data and systems level architectures
and will develop target architectures for both. We plan to finish the
baseline architecture efforts by documenting the data and systems levels
for the two remaining enterprise wide lines of business: enforcement and
resource management and administration. Again, the development of the
target architectures for each of these lines of business is where we
will simplify and unify business processes.

The SFA architecture, which is a subset of ED's Enterprise Architecture,
contains the baseline and modernization plan for loans, the sixth line
of departmental business.

SFA is integrating independent systems into a cohesive system that works
together with a set of products to facilitate our modernization concept.
The Enterprise Application Integration, the "EAI bus," uses middleware
to transfer information between applications. The EAI software uses a
set of data management rules and standard data element definitions for
all of our systems. Data duplication is reduced because EAI uses the
data management rules to take the data from one system, change it so the
next system can read it, and send it on to the next system as a message.
This helps reconcile the data later because the EAI software makes sure
this message is received correctly and only once. The elimination of
double counting means less reconciliation work.

The EAI software we are using is the IBM WebSphere family of products --
MQSeries -- including an "integrator" that lets us start with a message
(data) from one system, add data from a second or third system, and then
deliver the "data bundle" to a final system destination. For customers,
this means we can deliver information fast and accurately. For systems
designers, this means an end to separate "stovepipe" systems that do not
communicate with one another.

Another part of the MQSeries is a "workflow manager." We define data
flows and process functions in a standard model. The systems do not have
to link to each other anymore. They feed data to the "workflow manager"
software, which sends the data to the next workstation for processing.
We can modify processes without changing the underlying systems that do
the work. This means we can improve one module of production without
having to change other modules and we also do not have to ask customers
to make changes.

OCIO Assistive Technology -- Exemplary Model

The OCIO Assistive Technology program was established to help ED meet
its responsibility to provide assistive technology to disabled ED
employees under Section 504 of the Rehabilitation Act of 1973. The core
program function is to provide assistive technology to disabled ED
employees. The Assistive Technology program is also involved in
technology acquisition, installation, training, and ongoing technical
support.

The team developed the first assistive technology requirements in a
federal agency in 1996, and was an integral part of the Information
Technology Accessibility Advisory Committee (ITAAC) that advised the
Access Board during the development of the proposed federal
accessibility standard. The team was also a member of the Ad Hoc
Committee for the final standard. The requirements the team developed
were the basis for the Application and Operating System of the final
government standard. Additionally, assistive technology outreach is an
integral and growing part of the program. This team is invited to
present at major technology and accessibility conferences, seminars, and
other forums. We provide technical guidance to government, industry and
academia. The assistive technology team, in partnership with the Office
of Special Education and Rehabilitative Services (OSERS) and the
National Institute on Disability and Rehabilitation Research (NIDRR),
provided funding and technical assistance to the Federal Information
Technology Accessibility Initiative (FITAI) at GSA. The team has
partnered with another OSERS office, the Rehabilitation Services
Administration, to provide assistive technology workshops and exhibits
to ED grantees at the Improving America\'s Schools Conferences.

In order to provide disabled employees with tools necessary to perform
their jobs, the program operates a demonstration center containing the
latest assistive technology. The center offers technologies such as
alternate keyboards, foot mice, track balls and other pointing devices,
screen reader and screen magnification technology, closed-circuit print
magnification equipment, word prediction software, and other examples of
software and hardware designed to provide equal access to disabled
individuals. Disabled users can try various technologies to find what
might meet their needs and fully able employees can learn what assistive
technology is and how it can assist a disabled user. The team also
performs individual needs assessments by working with disabled employees
in the work place to determine what problems they are having and what
technology might assist them. Known throughout the country as an
exemplary model, numerous representatives of Federal, State, and local
agencies visit the center and have used it as a model for establishing
similar facilities.

The team also operates a facility to test software and hardware that ED
acquires or develops to determine if it is accessible to individuals
with disabilities, and conforms to the federal accessibility standard in
accordance with Section 508 of the Rehabilitation Act of 1973. Before
any custom or commercially available software is loaded onto ED's
network infrastructure, the Emerging and Assistive Technology Team must
certify it for accessibility to individuals with disabilities. The team
uses a state-of-the-art laboratory to test software against ED and
Section 508 accessibility standards, making recommendations and
providing advice and technical assistance to offices when they encounter
non-conformant software. Through this process, the team is recognized as
a leader on compliance with Section 508 and accessible software design.

Security

We have launched a major effort to strengthen and expand our overall
security with an emphasis on information technology. The primary goal of
this effort is to establish the foundation of a sustainable and
effective information security program by addressing weaknesses in our
strategic and programmatic approach to information security. This effort
is documented in and will be closely tracked through our October 31,
2001 GISRA Plan of Action and Milestones (POA&M) submission to OMB.

The POA&M begins with a complete review and updating of our information
technology security policies and procedures documented in the
Information Technology Security Program Management Plan (ITSPMP). The
updated ITSPMP will identify the prioritized and coordinated sequence
for reviewing, updating, and implementing the different security program
elements, based on programmatic and system security requirements.

The development of GISRA milestones at the system and PO level is
focused on securing information systems and assets, especially those
containing Privacy Act data. The effectiveness of security procedures
and controls already in place for ED's systems are routinely evaluated
(*e.g*., OMB A-130 assessments) and the majority of POA&M milestones for
these systems are derived from these independent evaluations. To ensure
that systems have adequate security procedures and controls in place,
all systems require, at a minimum, risk assessments (RA) by April of
2002 and an updated or new system security plan (SSP) by June 2002. Both
activities will be based on programmatic guidance being developed as an
agency-level POA&M. This enables the POs to correct security weaknesses
from a systematic, risk based approach. Additionally, each PO will
exercise its GISRA reporting requirements by updating its NIST
Self-Assessments.

**Electronic Records Management Initiatives**

A critical component of ED's GPEA implementation strategy is the
establishment of an enterprise architecture that facilitates and
promotes the rigorous management of all official records -- regardless
of their medium or format. The technical and operational layers of this
architecture will be completed by January 2002 and, combined with
updated records management policies and procedures, will form the
foundation of ED's Electronic Records Management (ERM) infrastructure.
During the past year, ED has launched an ERM initiative aimed at
strategic investments and testing of a variety of enterprise-level
functionalities and capabilities (*e.g*., workflow, tracking, archiving,
scanning) in an effort to gain valuable "lessons learned." Ultimately,
we will achieve an interoperable and scalable Records Management
Application (RMA) system to serve the needs of the entire enterprise and
its diverse customer base. This initiative will involve stress testing
of the network's operational capabilities and a comprehensive evaluation
to ensure Section 508 compliance. The implementation of the RMA will
take place in several stages over the course of the next two years and,
because of the scope, complexity and cost of this effort, will occur
only after the completion and evaluation of the current initiative.

This initiative is currently: (1) determining the feasibility of neural
net "artificial intelligence" software to organize and index very large
volumes of e-mail messages; (2) testing the efficiency and utility of
reducing the paper associated with large legacy systems by organizing,
indexing, and scanning these records into an RMA system; (3) developing
an appropriate interface between the RMA and ED's current correspondence
control system; (4) integrating record- and document-intensive databases
in a seamless manner so that both the database and the RMA are tightly
linked from the users' vantage point; and (5) establishing a Records
Management Repository that eventually will serve as an ED Knowledge
Management Portal.

**Clinger-Cohen Act (CCA) Training**

The CCA requires Federal agencies to adopt specific practices to improve
the management of information resources in six areas: security,
information technology, privacy, access to records, records management,
and paperwork burden. Training will be targeted to four specific groups
of ED employees that were identified by OCIO and the POs, in
consultation with the Office of the Inspector General (OIG). These
groups include: project managers of information technology systems and
information management initiatives, Contracting Officer Representatives
(CORs) for those systems, Contracting Officers (COs) for information
technology systems, and senior executives. The training will focus on
four priority areas, including: project management; systems design and
development; contracting information technology systems; and capital
planning, budgeting and procurement. These skills are critical in
implementing and monitoring successful GPEA initiatives. Training will
be offered at the fundamental, intermediate, and advanced levels, using
a blend of classroom and on-line learning. Training will begin in
January 2002.

**Customer Relationship Management (CRM) and Supply Chain Management
(SCM)**

Effective implementation of CRM and SCM are critical to achieving ED's
mission. CRM is a business strategy focused on creating a
customer-centric organization that delivers increasing value to
constituents while reducing operating costs. It provides government
agencies a new tool for meeting the needs of constituents and gives
customers better access to government services. SCM is a business
strategy to improve shareholder and customer value by optimizing the
flow of products, services and related information from source to
customer. It is a set of business processes that encompasses a trading
partner community engaged in a common goal of satisfying the end
customer. Thus, a supply chain process can stretch from a supplier\'s
supplier to a customer\'s customer. The following are just a few
examples of the successful implementation of these strategies for
providing the highest level of customer service and product delivery.

**Web Information Dissemination**

On October 16, 2001, ED launched a redesigned web site. The new ed.gov
is easier to use and offers citizens the ability to customize the site
for their needs and interests.

In 1996, ED became the first Federal agency to post an OMB-approved
customer satisfaction survey on its web site. For the first time,
citizens had an opportunity to provide feedback including the usefulness
of the site, what they liked, disliked, and services/products they would
like to see in the future. ED made some improvements to the site in 1998
as a result of the customer survey feedback. Additional feedback from
the survey, information gleaned from web usage logs (providing critical
information on most frequently used files, most widely used browsers,
increase in traffic) and e-mail messages to the Webmaster, indicated
that customer expectations and web site popularity continued to rise.
Commercial sites, such as Amazon.com, set the bar for response time,
features, and interactivity.

To meet these high expectations, ED initiated a more comprehensive web
redesign project. Phase one of the project was launched on October 16.
The redesigned site makes the ED homepage the front door through which
customers are able to find, among hundreds of thousands of files on ED
servers and more than 200 servers of organizations supported by ED,
exactly what they're looking for -- quickly, simply, intuitively.

The new [www.ed.gov](http://www.ed.gov/) site includes several
improvements and adds new features for its users, including the
following:

-   Visitors may personalize the site to see the latest information
    about their favorite topics. They can also sign up for weekly
    updates announcing new additions to the site that are of interest to
    them. ED is the first Federal web site to receive OMB approval for
    this personalization feature.

-   Information has been reorganized and can be reached through multiple
    paths, including these five categories: grants and contracts,
    financial aid for students, education resources, research and
    statistics, and policy. Customers who want to conduct business with
    ED now have ready-made paths to the content and applications they
    need.

-   Customized pages have been created for teachers, principals, parents
    and families, students, higher education institutions and grantees
    and technical assistance providers.

-   A more robust technical architecture ensures that ED can accommodate
    future online business processes.

Using metadata cataloging standards and controlled vocabularies, ED is
putting in place a decentralized web content and classification system
that will help customers in several areas. Through the use of metadata
we will facilitate web browsing by adding structure to mostly
unstructured content to support flexible, efficient dynamic Java server
pages, and by merging diverse content from multiple web sites into a
consistent portal site. Searching will become more effective by
improving the relevance of search results. Metadata will also allow
individuals to specify their interests (in terms of subjects, levels of
education, resource types, audiences/roles) to establish personal home
pages that feature items that match their interest profiles.

Metadata is \"data about data.\" They are identifiers or information
about data that can explicitly define things about the data, including:
what it is, what its purpose is, who can see it, who can change it and
how it can be processed. Metadata improves ED\'s ability to manage and
monitor web content by identifying aging content to archive, update, or
remove. However, this cataloging relies on the active participation of
ED staff. Metadata creation is tightly integrated into ED\'s web content
management workflow, which will allow content experts to collaborate
with web staff to ensure optimal placement and availability of each
item.

Phase II of the project is underway. The requirements under Phase II
expand the new design principles to office level components of the web
site and other areas. Phase II will focus on the three major goals: (1)
improving and expanding ED web site functionality with particular focus
on extending personalization and refining the metadata and its use via
redesign of ED office and program level pages; (2) improving and
expanding ED web site depth of coverage by incorporating the web pages
of ED POs, sub-units and programs; and (3) improving and expanding ED
web site breadth of coverage by incorporating the web sites of ED-funded
technical assistance and information providers. The planned duration of
Phase II is approximately one year.

Higher Education Community Customer Relationship Management

We are moving toward more consistent service across all major customer
interaction centers through the use of several different media,
including the Internet and automated voice response. We will
dramatically improve customer service by making information readily
available in a comprehensive view and by transforming contact centers
into a customer centric environment. We will use "middleware" to access
multiple sources of data and ensure that any single point of contact
serving SFA customers, including students, schools, lenders and
guarantee agencies, gets the same consistent answer. The web site will
provide customers with self-service capabilities and provide employees
with faster access to information.

We will address these opportunities through an Enterprise-wide
deployment of consistent telephone technologies and customer contact
tools at all Customer Interaction Centers. We will also establish an 800
number to provide one point of contact for each customer type (school,
financial partner, student).

**Direct Loan e-Servicing**

We will provide Internet bill presentment and payment, on-line
correspondence though e-mail, and an enhanced Customer Relationship
Management System. This delivers information to our customers using
widely available tools and upcoming technologies. We are promoting
customer self-service across the Internet, or by voice technologies,
from anywhere. With direct loan e-Servicing, we will save students time
and in turn save SFA money in associated costs. With Internet billing,
we are providing customers with flexible payment choices, expediting the
receipt of payments and reducing the costs associated with writing and
paying bills. In the future, students will choose when to pay and
indicate the desired bank account over the Internet, using safe and
secure transactions.

SFA's Ombudsman

Our new case management tracking system, implemented and brought on-line
on October 31, 2000, uses a case management solution based on an
industry-recognized customer relationship management toolset. This
application enables us to categorize case data thoroughly for reporting
purposes, integrate with SFA databases and other systems, provide work
flow automation and scripting to aid Specialists in handling cases, and
benefit from extensive management reporting capabilities. To date, we've
handled over 1600 calls using our new Ombudsman system. Our Intake
Specialists at two call centers nationwide have the tools and resources
to answer most immediate questions. Those questions that need further
investigation are logged into our Case Management System and escalated
to our Ombudsman Specialists for resolution. These tools have helped us
reduce caller hand-offs by providing our service representatives with
access to consolidated data.

One-Stop Ordering

ED Pubs is a one-stop publications center, designed to deliver
exceptional customer service and quality assurance, reduce duplication,
and save money. ED Pubs is recognized for outstanding logistics
practices resulting in significant improvements in customer service,
supplier relationships, and cost reduction.

The project, designed as an integrated order and fulfillment system,
uses automation wherever feasible, is cost effective and allows for
superior customer service. In 1999 and 2000, ED Pubs received
exceptionally high ratings on the American Customer Satisfaction Index
(ACSI). Its ratings were comparable to private sector companies such as
FedEx and Nordstrom.

CRM efforts within ED Pubs include a Customer Service Call Center, an
On-line Ordering System, and a Fax-on-Demand service.

SCM efficiencies include an Integrated Inventory and Order Fulfillment
System, Barcode Technology, Mailing List Maintenance, a shipping cost
savings strategy (saving more than 1.5 million dollars in postage and
shipping costs), and a Customer Satisfaction Survey. Future enhancements
include Targeted Dissemination Planning and improved electronic ordering
capabilities.

Education\'s Central Automated Processing System (EDCAPS) Grant
Administration and Payment System (GAPS) Payee Hot Line

The GAPS Hot Line consists of a team of functional and system experts
dedicated to assuring that ED grant award recipients are able to use
this web based application to access their grant awards, generate
reports, submit grant applications and conduct authorized financial
activities. The Hot Line is a customer service organization that
provides guidance on technical and functional issues. In addition, the
Hot Line provides grant award draw down services and generates
adjustments on behalf of authorized recipients who prefer to conduct
their transactions via telephone. Our recipients conduct almost 95% of
GAPS' draws over the Internet.

ACSI, a national indicator, recently conducted a survey assessing the
GAPS web site and Payee Hot Line services. Matters such as
professionalism, usefulness, timeliness, clarity of information, and
ease of drawing funds were measured against a significant population of
GAPS Payees. Private sector comparable satisfaction scores rated a 71.2,
and the Federal Government-wide score rated 68.8. The GAPS team was very
proud to receive a score of 80.0, ranking the web site and Hot Line
among the top Federal Customer Service organizations in the country.

1-800-USA-LEARN

1-800-USA-LEARN and usa_learn@ed.gov serve as a central point of entry
for educators, parents, students, community and business leaders and
interested citizens with questions about the Secretary's initiatives and
other education priorities. This information resource center also
provides information or referrals on ED programs, funding opportunities,
teleconferences and other events.

Front Line Forum (FLF)

The objective of FLF is to bring together ED's front line customer
service staff and their managers who are the \"faces\" of ED for our
customers. FLF members include staff and management from a wide variety
of offices in every PO that deal directly with ED\'s customers via
e-mail, face-to-face, correspondence, and telephone. FLF provides an
opportunity to share resources and information, develop new customer
service tools, and recommend standards and policies to improve
information services for ED\'s customers.

As a part of this project, ED will create a new online Referral Tool to
better serve external customers that will first be available to
frontline customer service staff and later (after pilot tests) will be
on every employee\'s desktop. The new tool will feature a wealth of
contact information and Frequently Asked Questions to allow staff to
quickly and accurately refer callers to the correct ED expert or office.

OCIO Customer Support

Within the Department, several CRM initiatives have been established.
The Chief Information Officer (CIO) created customer relationship
managers called Associate CIOs (ACIOs) that are directly aligned with
the POs as well as two working forums. Communications tools were
developed to ensure the enterprise message was reaching and teaching
employees across ED, including regular articles in ED's newsletter.
Additionally, the OCIO provides real-time communications during network
outages and production implementations to ensure ED's employees are
informed about operational impacts and expectation.

# Enterprise Information Management

## A central element of the President's "No Child Left Behind" education reform strategy is ensuring that decision-makers have high quality data to hold schools accountable for student achievement. The following initiatives are currently underway to ensure the integrity of education data.

## 

Working Groups

In order to secure the insights and perspectives of ED's organizational
components in the development of information resources management
policies and practices, ED has established a high level, internal agency
working group. This group, the Information Management Working Group
(IMWG), is composed of representatives selected by each of the Assistant
Secretaries and the CIO. Among other tasks, their charge is to review,
analyze, develop, and propose agency policies and processes to improve
the quality of data used by ED and the education community.

To ensure that the requirements of State and local education agencies
are considered in the development of all education information systems,
ED has established and is supporting a standing working group of State
and district education information system experts. Working with the
Council of Chief State School Officers and their Education Information
Advisory Committee, ED sponsors a high level, external information
management-working group of State and district education information
providers. These experts meet at least quarterly to review, analyze,
develop, and propose agency policies and processes to improve the
quality of data used by ED and the education community. This group makes
its recommendations to the ED CIO.

Advisory Group

To provide ED with the widest and deepest possible understanding of the
many possibilities that information technology offers, ED will form an
Education Software and Technology Advisory Council by December 31, 2001.
This council will advise ED on strategies and products to improve the
collection, storage, transmission, and use of education information. It
will reflect the best knowledge and experience of the service providers
and vendors of education information management systems.

Common Data Definitions

In order for ED to communicate with its education partners and among its
own programs, there must be a common language with common data
definitions. The collections approved under the Paperwork Reduction Act
and the data elements used in those collections are being analyzed to
develop consensus definitions and code sets. The IMWG will review and
approve this work . ED will complete a core agency data dictionary by
September 30, 2002. Work will continue into FY 2003 to identify and
resolve definitional inconsistencies created by law and program
practice.

For example, SFA has evaluated its current legacy systems and identified
10,000 different data elements, of which 3,000 were found to be common
in both content and purpose. These 3,000 data elements form the core of
a growing data dictionary that is already being used in the development
of new SFA systems and integrated databases. Also, the metadata
describing these data elements is available for external trading
partners to use when they are developing new features in their own
systems.

As the agency works to establish shared data definitions, it will also
establish data quality standards for information used and disseminated
by the agency and its programs. ED will provide these to the public for
review by March 31, 2002. This is in direct response to the requirements
of section 515 of PL 106-554. This is also compliant with budget
instructions. In his June 26, 2001 letter to the Secretary, the Director
of the Office of Management and Budget identified "data rationalization
and reporting" as one of the three areas to focus agency management
reform efforts. He wrote:

> A central element of the President's education reform strategy is
> ensuring that decision-makers have good quality data to hold schools
> accountable for results. We urge the Department to reassess how its
> data collection strategies can improve decision-making at the Federal,
> State, and local levels. Such an agency-wide review should include
> elimination of useless or duplicative data elements, improving the
> utility of information that is collected, and new efforts to implement
> electronic reporting to reduce burden and support analysis.

In response to this charge to improve data utility, ED will certify at
least 50% of major agency and program databases for data quality by
September 30, 2002. This work will continue into FY 2003 toward the
establishment of an agency certified relational database from which all
POs will draw their program management information.

Catalog of Guidance -- Electronic Education Management Systems

ED recognizes that education takes place in the classroom, home, and
school. Maximizing the effectiveness of education requires better and
timelier information for the student, teacher, parent, principal, and
school support staff. Toward this end, ED has reviewed numerous existing
electronic education information systems used by the State and local
education agencies throughout the nation. Based on the analysis of these
existing systems, by December 31, 2001, ED will provide a catalog of
guidance materials on the development of electronic education
information management systems for districts and States who are, or will
be, developing or enhancing their education data systems.

ED is supplementing knowledge gained in this effort with an outreach to
its partners in the national education community. By December 31, 2001,
ED will bring together the staffs of the national organizations and
associations that support members of the education community. Working
with these national education organizations and associations, ED will
conduct surveys and focus groups of educators and administrative support
staff to determine the data required to measure and support education
progress. We will share the findings of this research with the education
community by June 30, 2002. Lessons learned from this continuing work
will produce standards and guidelines for national education consensus
data requirements by September 30, 2002.

Establishing Assessment Standards

Measuring student progress is essential to ensuring that each child
develops the knowledge and skills necessary to progress to the next
level of education. These education assessment activities are currently
provided by a wide-range of testing practitioners. In order to improve
understanding and communications with these providers, ED will convene a
meeting of organizations that are developing or using standards related
to education assessment data. The purpose of this meeting will be to
identify where assessment standards exist, are under development, or are
needed to ensure the accurate and useful reporting of assessment data.
ED is interested in identifying existing standards for the assessment
design, administration, scoring, and reporting phases. A product of this
meeting will be a summary listing of all standards activities that will
be shared with educators and others on the web site.

Electronic Data Collection Pilot

ED launched a "proof-of-concept" pilot related to reporting requirements
of the Office of Elementary and Secondary Education that solicits
assessment data from a few selected states. This pilot aims to
demonstrate, by November 30, 2001, the presence and portability of
automated K-12 education information on student achievement and academic
progress from the school to the Federal level. It will evaluate the
possibility of receiving current assessment data electronically while
minimizing the level of burden necessary to provide the data. We will
compile this information into a database that we will analyze at the
Federal level to look at issues related to Title I and other types of
reporting. An important part of this activity will be identifying the
data available in a standard format for each school and for which access
can be provided with little or no burden. Ideally, this procedure can be
used in the future to ensure that ED has more recent and useful data
than is currently available through standard data collection activities.

In the second phase of this effort, ED will work with selected State and
local education agencies to conduct pilot studies to test the presence
and electronic portability (to the district, State and Federal levels)
of basic student and school data that can measure academic progress and
provide oversight capabilities. These pilot partnership projects will
demonstrate the capability of districts and States to collect and
electronically share a wide range of current education information with
each other and the Federal government. Results of this second phase will
be reported by June 30, 2002. In the subsequent work of this project,
the number of participant States and local education agencies will
expand as will the range of education data that is collected.

ED is also interested in identifying existing standards related to the
collection, storage, transmission, and use of education information.
There are numerous groups, some primarily focused on education and
others who work with education data as a subset of their primary
interests, who are currently addressing these standards issues. By
December 31, 2001, ED will bring together those organizations that are
using or developing technology and data standards related to the
collection, storage, transmission, and use of education information. ED
will establish working relationships with these organizations to
incorporate those standards and guidelines that are useful to the
national education community. This work will continue into FY 2003.

Electronic Grants

Another component of the education community has been actively
developing electronics grant application software for use at the State
level. ED will bring together those organizations and individuals that
have or are developing this type of software and processes in November
2001. Insights from these existing systems will be combined with the ED
electronic applications effort (GAPS) and the Federal-wide effort
(Federal Commons). These findings will be published by February 28,
2002.

## Data Standards and Principles

In order to tie the working data ED uses to principles and standards, ED
will analyze and map the data in selected agency and program collection
instruments to the EA. When the prototype analysis and mapping is
complete, ED will establish a process to tie all data collected, stored,
transmitted, used, and disseminated to the EA. This effort will be
completed by September 30, 2002.

ED will develop an agency-wide information dissemination strategy and
implementation plan. To begin to do this, ED will research and establish
an organizational process and database of all ED sponsored research on
or by September 30, 2002.

Data Exchange

The National Center for Education Statistics (NCES) initiated a pilot
program to examine the feasibility of using XML technology in the
exchange of data. The NCES teamed with the State Departments of
Education in Delaware, Missouri, and Wyoming to perform the pilot. The
pilot was operational during January to April of 2001.

The NCES Common Core of Data (CCD) program sponsored the pilot and
identified the data around which the pilot would be constructed. The CCD
collects elementary and secondary education data from each of the states
through several annual surveys The pilot focused on the conversion of
CCD source state data files into a common XML format, transmission of
the XML files from a state to NCES via the Internet, and processing of
the XML files at NCES. Data was validated as files were processed and
stored. An e-mail notification was then sent to the originating state
regarding the disposition of the transmitted file, noting any errors for
resolution and resubmission.

**SFA Datamart**

SFA will consolidate key financial data into our datamart and provide
the tools to access data. By creating an integrated datamart, using our
enterprise data warehouse strategy, we prepare ourselves for future data
consolidation needs. A datamart is a data repository designed to meet
the specific demands of a particular audience in terms of analysis,
content, presentation, and ease-of-use. Users of a datamart can expect
to have data presented in familiar terms.

In Release 1, we will establish the first phase of the datamart,
focusing on historical core partner information. This release gives our
customers and employees improved access to basic guaranty agency (GA)
and lender information.

In Release 2, we will enhance the datamart with summarized loan level
information and provide our customers with more cost effective reviews
and audits as a result of consolidated information. And, with enhanced
query capabilities we will be able to better understand the
relationships between our GAs, Lenders, Loan Servicers, Schools, and the
loan portfolios.

### Unify and Simplify Transactions

Common Grant Applications and Reporting

Efforts are underway to unify and simplify ED\'s grant applications and
performance reports through government-wide work on P.L. 106-107. POs
are encouraged to use ED\'s standard grant application template within
e-Applications. When OMB approves a grant application that differs from
the standard form, the software is customized to accommodate the unique
grant application. However, at the present time, only those grants using
the standard performance report are being included in e-Reports. This
accounts for approximately 75% of ED\'s grant programs. The remaining
programs are being encouraged to streamline their reports per P.L.
106-107 before participating in e-Reports. All discretionary and formula
grant programs will use this service.

Higher Education Community

SFA has reexamined how we perform our mission and we have plans to make
transactions available electronically to the public, schools, financial
partners and other agencies by changing our business processes, using
the Web and simplifying transactions. We plan to create an integrated
and seamless process that enables our school partners to deliver aid to
our students. The Common Origination and Disbursement (COD) initiative
is a way for us to deliver simplification and easier access.

Common Record

Implementing common processes will help schools reduce their information
systems maintenance, training on multiple SFA systems, and operations.
It will also help to reduce the number of errors and time needed for
reconciliation. A key component of this effort will be the Common
Record. The Common Record develops standards for the transfer of data
among financial aid delivery partners. As we begin to test and to
release these standards, we will begin the implementation of common
processes. The idea is that a current data record for a particular
student is made up of many sequential parts.

**Common Origination and Disbursement (COD)**

The purpose of the COD is to reengineer the existing method of
delivering aid to students into a common delivery process. COD will
provide over 6,000 colleges and universities with a single process for
aid origination and disbursement. We will create a system that
facilitates close to "real-time" sharing of data across all of our
partners and a platform that supports integrated technical and
functional customer service for schools across all programs. The result
is that two older and costly systems -- the Recipient Financial
Management System (RFMS) for Pell Grants and the Direct Loan Origination
System (DLOS) for Direct Loan Originations -- will be replaced and
integrated into a new system based on robust and popular commercial
practices and services.

Our goal is to provide schools with access to a single process to
request funds and report disbursements. By creating an integrated system
we can simplify the manner in which schools submit financial aid data to
SFA, streamline the disbursement process, and accurately track and
manage our internal auditing. This creates more time for schools to
serve their customers, the students. We will accomplish this by
providing a link to our new Financial Management System (FMS) and begin
to provide consistent access and data to our customers. We will include
common editing across programs and eliminate inter-system edits.
Therefore, we will reduce the number of rejected transactions through
the use of an integrated, student-centric system.

**Financial Management System (FMS)** **with e-Business Center**

The FMS manages the flow of all financial information across SFA. We
will enable customers to effectively communicate with us by integrating
reporting systems and tools. This will enable 6,000 schools, 4,000
lenders, the states and 36 GAs to operate on-line thereby reducing the
need for paper-based transactions. Last year, we validated the concept
of operations, developed a conceptual design, created an implementation
plan and executed a "proof of concept" that included automated payments
to our guarantee agencies over the web. This year, we incorporated core
accounting for each of the Title IV programs within FMS. We consolidated
all financial information into one enterprise wide system eliminating
the storage of accounting data in disparate systems. Next year, we will
provide enhancements and fully integrate the financial software and
accounting system. The result is that more than two-thirds of all school
submissions to SFA will require no further processing. With Electronic
Financial Statements and Compliance Audits, we can eliminate tens of
thousands of paper documents.

### GPEA Prioritization

Prioritization

During the selection phase of our capital planning process, ED's
Investment Review Board (IRB) considers GPEA implementation as a factor
in determining which projects to undertake. This includes the
transactions that would be made electronic and the elements necessary to
support these transactions (*i.e*., Network Infrastructure.) This
combined with the overall strategic contribution to the enterprise
determines the prioritization of the projects.

As a part of our IT Investment Management process, ED's OCIO staff meets
with POs to assist them in understanding and identifying their IT
initiatives, including GPEA-related projects. Offices complete screening
documents for their information technology projects and if they meet the
level of "significant" (as defined by the IRB) they complete a detailed
business case. These documents are then used by the IRB and ED's budget
office in their decision-making. They also serve as a project management
tool for the POs.

In the future, prioritization of the GPEA projects will be addressed at
two levels. First, we will determine the priority of each group of
transactions listed on Attachments A and B. After determining the
priority of these groupings we will identify which systems address the
most high priority transaction groupings. For instance, the various
transaction groupings of our grants process will be identified as high
priority areas. These include Discretionary and Formula Grant
Applications and Performance Reports. The system that addresses these
two initiatives is GAPS. GAPS is also the system that addresses several
other initiatives groupings. Therefore, GAPS would have a high net
benefit and would be among the most beneficial projects. Next we will
determine the priority of the collections contained in each of the
initiative groupings, as appropriate. For example, are there grant
applications that currently are not a part of the GAPS e-Applications
that would be most beneficial to automate before other less significant
collections? We are encouraging the unification and simplification of
these collections before they are automated. This is being done in
conjunction with various data collection and information management
initiatives underway in ED.

As a subset of the Department's IT Investment Management process, SFA
uses a somewhat more detailed process to assess, select, control and
evaluate every IT investment, in compliance with the Clinger Cohen Act
of 1996. The process starts by developing an overall investment
portfolio prior to each fiscal year. The fiscal year portfolio is one
year in a series of planned annual IT portfolios, which link to the SFA
modernization plan. Thus, every proposed IT investment is positioned
within a multi-year plan that includes synergies between investments and
expected impacts of each investment on later planned investments. Also,
the net benefit of every proposed IT initiative is considered in light
of the three primary SFA objectives: reduced unit cost, increased
customer satisfaction and improved employee satisfaction.

Each initiative is funded separately, to ensure maximum scrutiny by top
management. Every proposed investment of modernization funds is
described and analyzed in a business case. The case includes detailing
of the first-time costs, the expected hard dollar benefits in each
separate future year, and identification of correlative initiatives
required to obtain the projected benefits. Impacts on ED systems and
architecture, compliance with Section 508, and implications for future
technology are all included in the business case. The case is then
subject to a critique by a Decision Support Group (DSG) consisting of
representatives from each major SFA business unit. The critique often
returns the case to its authors for additional work to expand or clarify
claims and benefits cited in the case. Finally, the DSG accepts the case
and the accompanying presentation. Then, an IT Investment Review Board
(IRB) consisting of the top managers on SFA reviews the request for
funding. Additional questions may be asked and the funding proposal may
again be sent back for additional work before the IRB is satisfied that
results are predictable and achievable. Every IRB decision includes a
"sources of funds" document that details which SFA unit will contribute
money to the investment and how that money will be spent in the overall
software development and acquisition life cycle.

After the IRB finally approves investments that meet the criteria of the
IT plan, the initiatives are subject to monthly reporting about
variances from cost or schedule. After the initiative has been
completed, the results are compared with the original approved business
case to determine if the forecast was met or exceeded. As a result,
every SFA investment in IT is tracked and scrutinized throughout its
life.

**Practicability**

We have identified a limited number of transactions that are not
practicable for implementation in electronic form. The primary
collection is the National Assessment of Educational Progress (NAEP). As
noted in last year's GPEA report, the NAEP, known as the Nation\'s
Report Card, is an annual system of assessments of students in the 4th,
8th, and 12th grades. Congressionally mandated, it provides information
about trends in student knowledge in specific fields. The assessments
and the related survey materials gathered from the students themselves,
their teachers, and school administrators are currently administered
using paper and pencil booklets which are designed to minimize burden on
the various respondent groups. For example, no student receives the
whole assessment, they only receive a portion of an assessment and then
the results from all the various students are \"spiraled\" into results,
which characterize all students and students with specific
characteristics such as location, type of school, minority status, and
sex. At this time it is not practicable to administer the test
electronically, although we are assessing the future use of electronic
technology.

Another transaction that may not be practicable to implement over the
Web is the Elementary and Secondary School Civil Rights Compliance
Report. Our efforts in developing an enterprise data collection
strategy, including OMB\'s Sec. 515 guidance, will determine the
practicability of web enabling this report by 2003.

While we are optimistic that the implementation of electronic options as
described in this report will be achievable by October 2003, the
Department may determine in other limited areas that it is not
practicable to achieve for implementation by that date.

# Cross-cutting Barriers

Cultural and institutional change is among the most difficult
crosscutting barriers to implementation of ED's GPEA plan. When
different grant programs use different definitions and collect data in
dissimilar ways, unifying and simplifying can be complicated. Through
our data standards initiatives we hope that this barrier can be reduced
so that in the future we may be able to unify various data collections
(*i.e.*, grant applications and performance reports.) The implementation
of E-signatures is also a challenge. SFA is paving the way in this area
and the other ED programs will benefit from their experiences.

For example, the GAPS system will be fully capable of supporting
compliance with GPEA once the electronic signature functionality is
added, currently planned for FY 2002. The crosscutting barriers to full
implementation at this time are cultural and budgetary, not
technological. Cultural change is essential. Leadership is required from
the highest levels to close the cultural and business gaps in order to
be successful. This type of change will require reallocation of
resources and the building of new working relationships within ED. ED\'s
senior management support will be critical in ensuring PO participation
in GAPS. Additionally, the completion dates indicated for the various
components of GAPS are contingent on receiving the amounts requested
during the budget process. The budget will also drive the prioritization
process.

SFA must always provide access to schools and support for students who
are most at risk because they have limited resources. Sometimes,
students cannot use the latest technology and must rely on
paper-and-pencil to communicate. For example, Pell Grant applicants
typically have incomes under \$30K and often have little or no access to
computers during their application for aid. In other cases, schools may
have an IT refreshment budget and schedule that dictates slower adoption
of new technology than other schools may adopt. In both cases, ED must
accommodate the abilities of our end user customers and trading
partners.

### Project Scheduling and Tracking

We are assured that the completion dates identified for our priority
projects will be satisfied. Our priority projects have cost and schedule
goals that we use to track progress. We will be supplementing this
information in the next two months with detailed schedule information
pertaining solely to GPEA implementation. This greater level of detail
will enable us to thoroughly track GPEA progress and initiate corrective
action when warranted.

### Conclusion

In addition to meeting the requirements of the GPEA, the initiatives
outlined in our GPEA plan facilitate several important goals at ED,
including: the President\'s \"No Child Left Behind\" education reform
plan, MIT goals as directed by the Secretary of Education, and the
President\'s e-government initiative.

As ED evolves to meet the challenges of e-government, we are committed
to eliminating redundant systems, reducing costs associated with
developing and maintaining those systems, and simplifying business
processes. However, in order to maximize the benefits of e-government
and capitalize on best practices, collaboration must extend across the
Federal government. ED's participation in the "Online Access for Loans"
(E-Loans) illustrates our dedication to this sharing of information. As
a managing partner in this interagency collaboration, ED will strive to
provide improved access to government loans through a single Internet
portal, using our current student loan system as a best of breed model.