For Release on Delivery

Expected at

10 a.m. EDT

Tuesday,

September 12, 2000

GAO/T-AIMD-00-316

FEDERAL CHIEF

INFORMATION OFFICER

Leadership Needed to

Confront Serious

Challenges and Emerging

Issues

Statement of David L. McClure

Associate Director, Governmentwide and Defense

Information Systems

Accounting and Information Management Division

Testimony

Before the Subcommittee on Government Management,

Information and Technology, Committee on Government

Reform, House of Representatives

United States General Accounting Office

GAO
Page 1 GAO/T-AIMD-00-316

Mr. Chairman and Members of the Subcommittee:

It is a pleasure to be here to participate in today’s hearing on establishing a

federal chief information officer (CIO). As you know, the rapid pace of

technological change and innovation has offered unprecedented

opportunities for both the government and commercial sectors to use

information technology (IT) to improve operational performance, reduce

costs, and enhance service responsiveness to citizens and consumers. Yet

at the same time, a range of issues have emerged about how to best

manage and integrate complex information technologies and management

processes so that they are aligned with mission goals, strategies and

objectives.

In 1999 we issued a series of reports—our Performance and Accountability

Series—that describe management challenges confronting individual

agencies and the government as a whole.1 One of the many challenges

facing the government is effectively using information technology to help

achieve program results. Since 1990, we have also periodically reported on

government operations that we have assessed as high risk because of their

greater vulnerability to waste, fraud, abuse, or mismanagement. In the

information resources and technology management area, we have

designated information security2 and four agency IT modernization efforts

as high risk.3

The government has made improvements in its IT management, such as

updating policies and guidance to reflect best practices. Moreover,

agencies are responding with concerted actions to effectively address

critical IT management shortcomings. Nevertheless, our work shows that

agencies continue to be challenged by (1) fundamental weaknesses in

information technology investment selection and management control

processes, (2) slow progress in designing and implementing information

technology architectures, (3) inadequate or immature software

development, cost estimating, and systems acquisition practices, (4) the

need to build effective chief information officer leadership and

organizations, and (5) significant computer security weaknesses.

1Major Management Challenges and Program Risks: An Executive Summary (GAO/OCG-99-ES,

February 1999) provides an overview of this series.

2Beginning in 1997, we also designated the Year 2000 computing challenge as a high-risk area.

3High-Risk Series: An Overview (GAO/HR-95-1, February 1995), High-Risk Series: Information

Management and Technology (GAO/HR-97-9, February, 1997), and High-Risk Series: An Update

(GAO/HR-99-1, January 1999).
Page 2 GAO/T-AIMD-00-316

Sustained and focused central leadership is key to improving the federal IT

performance track record. Two legislative proposals for helping achieve

such leadership have been introduced by members of this Subcommittee–

H.R. 4670, the Chief Information Officer of the United States Act of 2000,

introduced by Representative Turner; and H.R. 5024, the Federal

Information Policy Act of 2000, introduced by Representative Davis.

In my remarks today, I will

• briefly describe the background of the federal government’s current

information resources and technology management framework,

• briefly explain the structure and responsibilities of existing state and

foreign governmentwide CIO models,

• discuss the federal CIO approaches proposed by the two bills, and

• discuss the type of leadership responsibilities that we believe a federal

CIO should possess.

The federal government’s information resources and technology

management structure has its foundation in six laws: the Federal Records

Act, the Privacy Act of 1974, the Computer Security Act of 1987, the

Paperwork Reduction Act of 1995,4 the Clinger-Cohen Act of 1996, and the

Government Paperwork Elimination Act of 1998. Taken together, these

laws largely lay out the information resources and technology

management responsibilities of the Office of Management and Budget

(OMB), federal agencies, and other entities, such as the National Institute

of Standards and Technology.

In general, under the government’s current legislative framework, OMB is

responsible for providing direction on governmentwide information

resources and technology management and overseeing agency activities in

these areas, including analyzing major agency information technology

investments. Among OMB’s responsibilities are

• ensuring agency integration of information resources management plans,

program plans, and budgets for acquisition and use of information

4The Paperwork Reduction Act of 1995 revised the information resources management responsibilities

established under the Paperwork Reduction Act of 1980, as amended in 1986.

Background
Page 3 GAO/T-AIMD-00-316

technology and the efficiency and effectiveness of interagency information

technology initiatives;

• developing, as part of the budget process, a mechanism for analyzing,

tracking, and evaluating the risks and results of all major capital

investments made by an executive agency for information systems;5

• directing and overseeing implementation of policy, principles, standards,

and guidelines for the dissemination of and access to public information;

• encouraging agency heads to develop and use best practices in

information technology acquisition;

• reviewing proposed agency information collections to minimize

information collection burdens and maximize information utility and

benefit; and

• developing and overseeing implementation of privacy and security

policies, principles, standards, and guidelines.

Agencies, in turn, are accountable for the effective and efficient

development, acquisition, and use of information technology in their

organizations. For example, the Paperwork Reduction Act of 1995 and the

Clinger-Cohen Act of 1996 require agency heads, acting through agency

CIOs, to

• better link their information technology planning and investment decisions

to program missions and goals;

• develop and implement a sound information technology architecture;

• implement and enforce information technology management policies,

procedures, standards, and guidelines;

• establish policies and procedures for ensuring that information technology

systems provide reliable, consistent, and timely financial or program

performance data; and

• implement and enforce applicable policies, procedures, standards, and

guidelines on privacy, security, disclosure, and information sharing.

5This responsibility is in addition to OMB’s role in assisting the President in reviewing agency budget

submissions and compiling the President’s budget, as discussed in 31 U.S.C. Chapter 11.
Page 4 GAO/T-AIMD-00-316

Another important organization in federal information resources and

technology management—the CIO Council—was established by the

President in July 1996. Specifically, Executive Order 13011 established the

CIO Council as the principal interagency forum for improving agency

practices on such matters as the design, modernization, use, sharing, and

performance of agency information resources. The Council, chaired by

OMB’s Deputy Director for Management with a Vice Chair selected from

among its members, is tasked with (1) developing recommendations for

overall federal information technology management policy, procedures,

and standards, (2) sharing experiences, ideas, and promising practices,

(3) identifying opportunities, making recommendations for, and

sponsoring cooperation in using information resources, (4) assessing and

addressing workforce issues, (5) making recommendations and providing

advice to appropriate executive agencies and organizations, and

(6) seeking the views of various organizations. Because it is essentially an

advisory body, the CIO Council must rely on OMB’s support to see that its

recommendations are implemented through federal information

management policies, procedures, and standards. With respect to Council

resources, according to its charter, OMB and the General Services

Administration are to provide support and assistance, which can be

augmented by other Council members as necessary.

CIOs or equivalent positions exist at the state level and in other countries,

although no single preferred model has emerged. The specific roles,

responsibilities, and authorities assigned to the CIO or CIO-type position

vary, reflecting the needs and priorities of the particular government. This

is consistent with research presented in our Executive Guide: Maximizing

the Success of Chief Information Officers—Learning from Leading

Organizations,6 which points out that there is no one right way to establish

a CIO position and that leading organizations are careful to ensure that

information management leadership positions are appropriately defined

and implemented to meet their unique business needs.

Regardless of the differences in approach, the success of a CIO will

typically rest on the application of certain fundamental principles. While

our executive guide was specifically intended to help individual federal

agencies maximize the success of their CIOs, several of the principles

outlined in the guide also apply to the establishment of a governmentwide

CIO. In particular, our research of leading organizations demonstrated that

it is important for the organization to employ enterprisewide leaders who

6GAO/AIMD-00-83, Exposure Draft, March 2000.

State and Foreign

Government CIO

Models Exist But

Approaches Vary
Page 5 GAO/T-AIMD-00-316

embrace the critical role of information technology and reach agreement

on the CIO’s leadership role. Moreover, the CIO must possess sufficient

stature within the organization to influence the planning process.

We have not evaluated the effectiveness of state and foreign government

CIOs or equivalent positions; however, these positions appear to apply

some of these same principles. With respect to the states, according to the

National Association of State Information Resource Executives, the vast

majority have senior executives with statewide authority for IT. State CIOs

are usually in charge of developing statewide IT plans and approving

statewide technical IT standards, budgets, personnel classifications,

salaries, and resource acquisitions although the CIO’s authority depends

on the specific needs and priorities of the governors. Many state CIOs

report directly to the state’s governor with the trend moving in that

direction. In some cases, the CIO is guided by an IT advisory board. As the

president of the National Association of State Information Resource

Executives noted in prior testimony before this Subcommittee, “IT is how

business is delivered in government; therefore, the CIO must be a party to

the highest level of business decisions . . . [and] needs to inspire the

leaders to dedicate political capital to the IT agenda.”7

National governments in other countries have also established a central

information technology coordinating authority and, like the states, have

used different implementation approaches in doing so. Preliminary results

of a recent survey conducted by the International Council for Information

Technology in Government Administration indicate that 8 of 11 countries

surveyed have a governmentwide CIO, although the structure, roles, and

responsibilities varied. Let me briefly describe the approaches employed

by three foreign governments to illustrate this variety.

• Australia’s Department of Communications, Information Technology and

the Arts has responsibility for, among other things, (1) providing strategic

advice and support to the government for moving Australia ahead in the

information economy and (2) developing policies and procedures and

helping to coordinate crosscutting efforts toward e-government.

• The United Kingdom’s Office of the E-Envoy acts in a capacity analogous

to a “national government” CIO in that it works to coordinate activities

across government and with public, private, and international groups to

7Testimony of Otto Doll, President, National Association of State Information Resource Executives

before the U.S. House of Representatives, Committee on Government Reform, Subcommittee on

Government Management, Information and Technology, March 24, 2000.
Page 6 GAO/T-AIMD-00-316

(1) develop a legal, regulatory and fiscal environment that facilitates ecommerce, (2) help individuals and businesses take full advantage of the

opportunities provided by information and communications technologies,

(3) ensure that the government of the United Kingdom applies global best

practices in its use of information and communications technologies, and

(4) ensure that government and business decisions are informed by

reliable and accurate e-commerce monitoring and analysis.

• Canada’s Office of the CIO is contained within the Treasury Board

Secretariat, a crosscutting organization whose mission is to manage the

government’s human, financial, information, and technology resources.

The CIO is responsible for determining and implementing a strategy that

will accomplish governmentwide IT goals. Moreover, the CIO is to

(1) provide leadership, coordination and broad direction in the use of IT;

(2) facilitate enterprisewide solutions to crosscutting IT issues; and

(3) serve as technology strategist and expert adviser to Treasury Board

Ministers and senior officials across government. The CIO also develops a

Strategic Directions document that focuses on the management of critical

IT, information management, and service delivery issues facing the

government. This document is updated regularly and is used by

departments and agencies as a guide.

While these countries’ approaches differ in terms of specific CIO or CIOtype roles and responsibilities, in all cases the organization has

responsibility for coordinating governmentwide implementation of egovernment and providing leadership in the development of the

government’s IT strategy and standards.

As you know, the Congress is currently considering legislation to establish

a federal CIO. Specifically, two proposals before this Subcommittee—H.R.

4670, the Chief Information Officer of the United States Act of 2000, and

H.R. 5024, the Federal Information Policy Act of 2000—share a common

call for central IT leadership from a federal CIO, although they differ in

how the roles, responsibilities, and authorities of the position would be

established.

Several similarities exist in the two bills:

• Both elevate the visibility and focus of information resources and

technology management by establishing a federal CIO who (1) is

appointed by the President with the advice and consent of the Senate,

(2) reports directly to the President, (3) is a Cabinet-level official, and

(4) provides central leadership. The importance of such high level visibility

Proposed Legislation

Provides a Stronger

Central Focus to the

Government’s

Management of

Information

Technology
Page 7 GAO/T-AIMD-00-316

should not be underestimated. Our studies of leading public and privatesector organizations have found that successful CIOs commonly are full

members of executive management teams.8

• Both leave intact OMB’s role and responsibility to review and ultimately

approve agencies’ information technology funding requests for inclusion in

the President’s budget submitted to the Congress each year. However,

both require the federal CIO to review and recommend to the President

and the Director of OMB changes to the IT budget proposals submitted by

agencies. As we have previously testified before your Subcommittee, an

integrated approach to budgeting and feedback is absolutely critical for

progress in government performance and management.9 Certainly, close

coordination between the federal CIO and OMB would be necessary to

coordinate the CIO’s technical oversight and OMB’s budget

responsibilities.

• Finally, both bills establish the existing federal CIO Council in statute. Just

as with the Chief Financial Officers’ Council, there are important benefits

associated with having a strong statutory base for the CIO Council.

Legislative foundations transcend presidential administrations, fluctuating

policy agendas, and the frequent turnover of senior appointees in the

executive branch. Having congressional consensus and support for the

Council helps ensure continuity of purpose over time and allows

constructive dialogue between the two branches of government on rapidly

changing management and information technology issues before the

Council. Moreover, as prime users of performance and financial

information, having the Council statutorily based can help provide the

Congress with an effective oversight tool in gauging the progress and

impact of the Council on advancing effective involvement of agency CIOs

in governmentwide IT initiatives.

The two bills also set forth duties that are consistent with, and expand

upon, the duties of the current CIO Council. For example, the Council

would be responsible for coordinating the acquisition and provision of

common infrastructure services to facilitate communication and data

exchange among agencies and with state, local, and tribal governments.

8Executive Guide: Improving Mission Performance Through Strategic Information Management and

Technology (GAO/AIMD-94-115, May 1994) and GAO/AIMD-00-83, Exposure Draft, March 2000.

9Office of Management and Budget: Future Challenges to Management (GAO/T-GGD/AIMD-00-141,

April 7, 2000).
Page 8 GAO/T-AIMD-00-316

While the bills have similarities, as a result of contrasting approaches, the

two bills have major differences. In particular, H.R. 5024 vests in the

federal CIO the information resources and technology management

responsibilities currently assigned to OMB as well as oversight of related

activities of the General Services Administration and promulgation of

information system standards developed by the National Institute of

Standards and Technology. On the other hand, H.R 4670 generally does not

change the responsibilities of these agencies; instead it calls on the federal

CIO to advise agencies and the Director of OMB and to consult with

nonfederal entities, such as state governments and the private sector.

Appendix I provides more detail on how information resources and

technology management functions granted to the federal CIO compare

among the two bills, and with OMB’s current responsibilities.

Let me turn now to a few implementation issues associated with both of

these bills. One such issue common to both is that effective

implementation will require that appropriate presidential attention and

support be given to the new federal CIO position and that adequate

resources, including staffing and funding, be provided. As discussed

below, each bill likewise has unique strengths and challenges.

• H.R. 4670: This bill creates an Office of Information Technology within

the Executive Office of the President, headed by a federal CIO, with a limit

of 12 staff. Among the duties assigned to the CIO are (1) providing

leadership in innovative use of information technology, (2) identifying

opportunities and coordinate major multi-agency information technology

initiatives, and (3) consulting with leaders in information technology

management in state governments, the private sector, and foreign

governments. OMB’s statutory responsibilities related to information

resources and technology management would remain largely unchanged

under this bill.

One strength of this bill is that it would allow a federal CIO to focus fulltime attention on promoting key information technology policy and

crosscutting issues within government and in partnership with other

organizations without direct responsibility for implementation and

oversight, which would remain the responsibility of OMB and the

agencies. Moreover, the federal CIO could promote collaboration among

agencies on crosscutting issues, adding Cabinet-level support to efforts

now initiated and sponsored by the CIO Council. Further, the federal CIO

could establish and/or buttress partnerships with state, local, and tribal

governments, the private sector, or foreign entities. Such partnerships

were key to the government’s Year 2000 (Y2K) success and could be
Page 9 GAO/T-AIMD-00-316

essential to addressing other information technology issues, such as

critical infrastructure protection, since private-sector systems control

most of our nation’s critical infrastructures (e.g., energy,

telecommunications, financial services, transportation, and vital human

services).

A major challenge associated with H.R. 4670’s approach, on the other

hand, is that federal information technology leadership would be shared.

While the CIO would be the President’s principal adviser on these issues,

OMB would retain critical statutory responsibilities in this area. For

example, both the federal CIO and OMB would have a role in overseeing

the government’s IT and interagency initiatives. Certainly, it would be

crucial for the OMB Director and the federal CIO to mutually support each

other and work effectively together to ensure that their respective roles

and responsibilities are clearly communicated. Without a mutually

constructive working relationship with OMB, the federal CIO’s ability to

achieve the potential improvements in IT management and cross-agency

collaboration would be impaired.

• H.R. 5024: This bill establishes an Office of Information Policy within the

Executive Office of the President and headed by a federal CIO. The bill

would substantially change the government’s existing statutory

information resources and technology management framework because it

shifts much of OMB’s responsibilities in these areas to the federal CIO. For

example, it calls for the federal CIO to develop and oversee the

implementation of policies, principles, standards, and guidance with

respect to (1) information technology, (2) privacy and security, and

(3) information dissemination.

A strength of this approach would be the single, central focus for

information resources and technology management in the federal

government. A primary concern we have with OMB’s current structure as

it relates to information resources and technology management is that, in

addition to their responsibilities in these areas, both the Deputy Director

for Management and the Administrator of the Office of Information and

Regulatory Affairs (OIRA) have other significant duties, which necessarily

restrict the amount of attention that they can give to information

resources and technology management issues.10 For example, much of

OIRA is staffed to act on 3,000 to 5,000 information collection requests

from agencies per year, review about 500 proposed and final rules each

10While OMB’s Director is responsible for these functions, they have generally been delegated to the

Office of Information and Regulatory Affairs, which reports to the Deputy Director for Management.
Page 10 GAO/T-AIMD-00-316

year, and to calculate the costs and benefits of all federal regulations. A

federal CIO, like agency CIOs, should be primarily concerned with

information resources and technology management. This bill would clearly

address this concern.

Another important strength of H.R. 5024 is that the federal CIO would be

the sole central focus for information resources and technology

management and could be used to resolve potential conflicts stemming

from conflicting perspectives or goals within the executive branch

agencies.

In contrast, a major challenge associated with implementing H.R. 5024 is

that by removing much of the responsibility for information resources and

technology management from OMB, the federal CIO could lose the

leverage associated with OMB’s budget-review role. A strong linkage with

the budget formulation process is often a key factor in gaining serious

attention for management initiatives throughout government, and

reinforces the priorities of federal agencies’ management goals.

Regardless of approach, we agree that strong and effective central

information resources and technology management leadership is needed

in the federal government. A central focal point such as a federal CIO can

play the essential role of ensuring that attention in these areas is

sustained. Increasingly, the challenges the government faces are

multidimensional problems that cut across numerous programs, agencies,

and governmental tools. Although the respective departments and

agencies should have the primary responsibility and accountability to

address their own issues—and both bills maintain these agency roles—

central leadership has the responsibility to keep everybody focused on the

big picture by identifying the agenda of governmentwide issues needing

attention and ensuring that related efforts are complementary rather than

duplicative. Another task facing central leadership is serving as a catalyst

and strategist to prompt agencies and other critical players to come to the

table and take ownership for addressing the agenda of governmentwide

information resources and technology management issues.

In the legislative deliberations on the Clinger-Cohen Act, we supported

strengthened central management through the creation of a formal CIO

Central and Effective

Federal Information

Resources and

Technology

Management

Leadership Is Needed
Page 11 GAO/T-AIMD-00-316

position for the federal government.11 A CIO for the federal government

could provide a strong, central point of coordination for the full range of

governmentwide information resources management and technology

issues, including (1) reengineering and/or consolidating interagency or

governmentwide process and technology infrastructure; (2) managing

shared assets; and (3) evaluating attention, progress evaluations, and

assistance provided to high-risk, complex information systems

modernization efforts.

In particular, a federal CIO could provide sponsorship, direction, and

sustained focus on the major challenges the government is facing in areas

such as critical infrastructure protection and security, e-government, and

large-scale IT investments. For example, to be successful, e-government

initiatives designed to improve citizen access to government must

overcome some of the basic challenges that have plagued information

systems for decades – lack of executive level sponsorship, involvement,

and controls; inadequate attention to business and technical architectures;

adherence to standards; and security. In the case of e-government, a CIO

could (1) help set priorities for the federal government; (2) ensure that

agencies consider interagency web site possibilities, including how best to

implement portals or central web access points that provide citizens

access to similar government services; and (3) help establish funding

priorities, especially for crosscutting e-government initiatives.

The government’s success in combating the Year 2000 problem

demonstrated the benefit of strong central leadership. As our Year 2000

lessons learned report being released today makes clear, the leadership of

the Chair of the President’s Council on Year 2000 Conversion was

invaluable in combating the Year 2000 problem.12 Under the Chair’s

leadership, the government’s actions went beyond the boundaries of

individual programs or agencies and involved governmentwide oversight,

interagency cooperation, and cooperation with partners, such as state and

local governments, the private sector, and foreign governments.

It is important to maintain this same momentum of executive-level

attention to information management and technology decisions within the

11Improving Government: Actions Needed to Sustain and Enhance Management Reforms (GAO/

T-OCG-94-1, January 27, 1994), Government Reform: Using Reengineering and Technology to Improve

Government Performance (GAO/T-OCG-95-2, February 2, 1995), and Government Reform: Legislation

Would Strengthen Federal Management of Information and Technology (GAO/T-AIMD-95-205, July 25,

1995).

12Year 2000 Computing Challenge: Lessons Learned Can Be Applied to Other Management Challenges

(GAO/AIMD-00-290, September 12, 2000).
Page 12 GAO/T-AIMD-00-316

federal government. The information issues confronting the government in

the new Internet-based technology environment rapidly evolve and carry

significant impact for future directions. A federal CIO could maintain and

build upon Y2K actions in leading the government’s future IT endeavors.

Accordingly, our Y2K lessons learned report calls for the Congress to

consider establishing a formal chief information officer position for the

federal government to provide central leadership and support.

Consensus has not been reached within the federal community on the

need for a federal CIO. Department and agency responses to questions

developed by the Chairman and Ranking Minority Member of the Senate

Committee on Governmental Affairs regarding opinions about the need for

a federal CIO found mixed reactions. In addition, at our March 2000 Y2K

Lessons Learned Summit, which included a broad range of public and

private-sector IT managers and policymakers, some participants did not

agree or were uncertain about whether a federal CIO was needed. Further,

in response to a question before this Subcommittee on the need for a

federal IT leader accountable to the President, the Director of OMB stated

that OMB’s Deputy Director for Management, working with the head of the

Office of Information and Regulatory Affairs, can be expected to take a

federal information technology leadership role. The Director further stated

that he believed that “the right answer is to figure out how to continue to

use the authority and the leadership responsibilities at the Office of

Management and Budget to play a lead role in this [IT] area.”

In conclusion, Mr. Chairman, the two bills offered by members of this

Subcommittee both deal with the need for central leadership, while

addressing the sharing of responsibilities with OMB in different ways.

Both bills offer different approaches to problems that have been identified

and should be dealt with in order to increase the government’s ability to

use the information resources at its disposal effectively, securely, and with

the best service to the American people. Regardless of approach, a central

focal point such as a federal CIO can play the essential role of ensuring

that attention to information technology issues is sustained.

Mr. Chairman, this concludes my statement. I would be pleased to respond

to any questions that you or other members of the Subcommittee may

have at this time.

For information about this testimony, please contact me at (202) 512-6240

or by e-mail at mcclured.aimd@gao.gov. Individuals making key

contributions to this testimony include John Christian, Lester Diamond,

Contacts and

Acknowledgments
Page 13 GAO/T-AIMD-00-316

Tamra Goldstein, Linda Lambert, Thomas Noone, David Plocher, and

Tomas Ramirez.
Page 14 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current Functionsa H.R. 4670 H.R. 5024

Budget Develop, as part of the budget

process, a mechanism for

analyzing, tracking, and evaluating

the risks and results of all major

capital investments made by an

executive agency for information

systems.

Implement periodic budgetary

reviews of agency information

resources management activities to

ascertain efficiency and

effectiveness of IT in improving

agency mission performance.

Take actions through the budgetary

and appropriations management

process to enforce agency

accountability for information

resources management and IT

investments, including the

reduction of funds.

Review and recommend to the

President and the Director of OMB

changes to budget and legislative

proposals of agencies.

Review and recommend to the

President and the Director of OMB

changes to budget and legislative

proposals of agencies.

Advise and assist the Director of

OMB in developing, as part of the

budget process, a mechanism for

analyzing, tracking, and evaluating

the risks and results of all major

capital investments made by an

executive agency for information

systems.

Implement periodic budgetary

reviews of agency information

resources management activities to

ascertain efficiency and

effectiveness of IT in improving

agency mission performance.

Request that the Director of OMB

take action, including involving the

budgetary or appropriations

management process, to enforce

agency accountability for

information resources management

and IT investments, including the

reduction of funds.

CIO Council The Deputy Director for

Management serves as the

Chairperson of the CIO Council,

which was created by Executive

Order.

Serves as the Chairperson of the

CIO Council, established by the bill

in statute.

Serves as the Chairperson of the

CIO Council, established by the bill

in statute.

Electronic records In consultation with the

Administrator of the National

Telecommunications and

Information Administration, develop

and implement procedures for the

use and acceptance of electronic

signatures by agencies by April 21,

2000.

Ensure that, no later than

October 21, 2003, agencies provide

for the option of the electronic

maintenance, submission or

disclosure of information and for

the use and acceptance of

electronic signatures, where

Advise the Director of OMB on

electronic records.b

In consultation with the Director of

OMB and the Administrator of the

National Telecommunications and

Information Administration, develop

and implement procedures for the

use and acceptance of electronic

signatures by agencies by October

1, 2000.

Ensure that, no later than October

1, 2003, agencies provide for the

option of the electronic

maintenance, submission or

disclosure of information and for

the use and acceptance of

electronic signatures, where

Appendix I

Comparison of OMB’s Current Functions and

Those Assigned to the Federal CIO by H.R.

4670 and H.R. 5024
Appendix I

Comparison of OMB’s Current Functions

and Those Assigned to the Federal CIO by

H.R. 4670 and H.R. 5024

Page 15 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current FunctionsaH.R. 4670 H.R. 5024

Electronic records

(cont’d)

practicable.

Develop and implement procedures

to permit private employers to store

and file electronically with agencies

forms containing information

pertaining to the employees of such

employers.

In consultation with the

Administrator of the National

Telecommunications and

Information Administration study

and periodically report on the use

of electronic signatures.

practicable.

In consultation with the Director of

OMB, develop and implement

procedures to permit private

employers to store and file

electronically with agencies forms

containing information pertaining to

the employees of such employers.

In consultation with the Director of

OMB and the Administrator of the

National Telecommunications and

Information Administration study

and periodically report on the use

of electronic signatures.

Assisted by the CIO Council and

others, monitor the implementation

of the requirements of the

Government Paperwork Elimination

Act, the Electronic Signatures in

Global and National Commerce Act

and related laws.

Information

dissemination

Provide direction and oversee

activities of agencies with respect

to the dissemination of and public

access to information.

Foster greater sharing,

dissemination, and access to public

information.

Develop and oversee the

implementation of policies,

principles, standards, and guidance

with respect to information

dissemination.

Cause to be established and

oversee an electronic Government

Information Locator Service (GILS).

Advise the Director of OMB on

information dissemination. b

Provide direction and oversee

activities of agencies with respect

to the dissemination of and public

access to information.

Foster greater sharing,

dissemination, and access to public

information.

Develop and oversee the

implementation of policies,

principles, standards, and guidance

with respect to information

dissemination.

Cause to be established and

oversee an electronic GILS.

Information

resources

management policy

Develop, coordinate, and oversee

the implementation of uniform

information resources management

policies, principles, standards, and

guidelines.

Oversee the development and

Advise the Director of OMB on

information resources management

policy. b

Develop, coordinate, and oversee

the implementation of uniform

information resources management

policies, principles, standards, and

guidelines.

Oversee the development and
Appendix I

Comparison of OMB’s Current Functions

and Those Assigned to the Federal CIO by

H.R. 4670 and H.R. 5024

Page 16 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current FunctionsaH.R. 4670 H.R. 5024

Information

resources

management policy

(cont’d)

implementation of best practices in

information resources

management.

Oversee agency integration of

program and management

functions with information

resources management functions.

In consultation with the

Administrator of General Services,

the Director of the National Institute

of Standards and Technology, the

Archivist of the United States, and

the Director of the Office of

Personnel Management, develop

and maintain a governmentwide

strategic plan for information

resources management.

Initiate and review proposals for

changes in legislation, regulations,

and agency procedures to improve

information resources management

practices.

Monitor information resources

management training for agency

personnel.

Keep the Congress informed on the

use of information resources

management best practices to

improve agency program

performance.

Periodically review agency

information resources management

activities.

Report annually to the Congress on

information resources

management.

implementation of best practices in

information resources

management.

Oversee agency integration of

program and management

functions with information

resources management functions.

In consultation with the Director of

OMB, the Administrator of General

Services, the Director of the

National Institute of Standards and

Technology, the Archivist of the

United States, the Director of the

Office of Personnel Management,

and the CIO Council, develop and

maintain a governmentwide

strategic plan for information

resources management.

Initiate and review proposals for

changes in legislation, regulations,

and agency procedures to improve

information resources management

practices.

Monitor information resources

management training for agency

personnel.

Keep the Congress informed on the

use of information resources

management best practices to

improve agency program

performance.

Periodically review agency

information resources management

activities.

Report annually to the Congress on

information resources

management.

Information

technology

management

In consultation with the National

Institute of Standards and

Technology and the General

Services Administration, develop

and oversee the implementation of

Serve as the principal adviser to

the President on matters relating to

the development, application, and

management of IT by the federal

government.

Serve as the principal adviser to

the President on matters related to

the efficient and effective

development, use, and

management of IT and other
Appendix I

Comparison of OMB’s Current Functions

and Those Assigned to the Federal CIO by

H.R. 4670 and H.R. 5024

Page 17 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current FunctionsaH.R. 4670 H.R. 5024

Information

technology

management

(cont’d)

policies, principles, standards, and

guidelines for IT functions and

activities.

Ensure that agencies integrate

information resources plans,

program plans, and budgets for

acquisition and use of technology.

Provide direction and oversee

activities of agencies with respect

to the acquisition and use of IT.

Promote the use of IT by the

federal government to improve the

productivity, efficiency, and

effectiveness of federal programs.

Oversee the effectiveness of, and

compliance with, directives issued

under section 110 of the Federal

Property and Administrative

Services Act (which established the

Information Technology Fund).

Coordinate OIRA policies regarding

IT acquisition with the Office of

Federal Procurement Policy.

Oversee the development and

implementation of computer system

standards and guidance issued by

the Secretary of Commerce

through the National Institute of

Standards and Technology.

Designate agencies, as

appropriate, to be executive agents

for governmentwide acquisitions of

IT.

Compare agency performance in

using IT.

Encourage use of performancebased management in complying

with IT management requirements.

Evaluate agency practices with

Advise the President on

opportunities to use IT to improve

the efficiency and effectiveness of

programs and operations of the

federal government.

Advise the Director of OMB on IT

management.b

Report annually to the President

and the Congress on IT

management.

Promote agency investments in IT

that enhance service delivery to the

public, improve cost-effective

government operations, and serve

other objectives critical to the

President.

Direct the use of the Information

Technology Fund by the

Administrator of General Services.

Consult with leaders in state

governments, the private sector,

and foreign governments.

information resources by the

federal government.

Develop and oversee the

implementation of policies,

principles, standards, and

guidelines for IT functions and

activities, in consultation with the

Secretary of Commerce and the

CIO Council.

Promulgate, in consultation with the

Secretary of Commerce, standards

and guidelines for federal

information systems.

Review the federal information

system standards setting process,

in consultation with the Secretary of

Commerce, and report to the

President.

Provide advice and assistance to

the Administrator of the Office of

Federal Procurement Policy

regarding IT acquisition.

Ensure that agencies integrate

information resources plans,

program plans, and budgets for

acquisition and use of technology.

Provide direction and oversee

activities of agencies with respect

to the acquisition and use of IT.

Promote the use of IT by the

federal government to improve the

productivity, efficiency, and

effectiveness of federal programs.

Establish minimum criteria within 1

year of enactment to be used for

independent evaluations of IT

programs and management

processes.

Direct and oversee all actions by

the Administrator of General
Appendix I

Comparison of OMB’s Current Functions

and Those Assigned to the Federal CIO by

H.R. 4670 and H.R. 5024

Page 18 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current FunctionsaH.R. 4670 H.R. 5024

Information

technology

management

(cont’d)

respect to the performance of

investments made in IT.

Direct agencies to develop capital

planning processes for managing

major IT investments.

Direct agencies to analyze private

sector alternatives before making

an investment in a new information

system.

Direct agencies to undertake an

agency mission reengineering

analysis before making significant

investments in IT to support these

missions.

Services with regard to the

provision of any information

resources-related services for or on

behalf of agencies, including the

acquisition or management of

telecommunications or other IT or

services.

Direct the use of the Information

Technology Fund by the

Administrator of General Services.

Oversee the effectiveness of, and

compliance with, directives issued

under section 110 of the Federal

Property and Administrative

Services Act (which established the

Information Technology Fund).

Oversee the development and

implementation of computer system

standards and guidance issued by

the Secretary of Commerce

through the National Institute of

Standards and Technology.

Designate agencies, as

appropriate, to be executive agents

for governmentwide acquisitions of

IT.

Compare agency performance in

using IT.

Encourage use of performancebased management in complying

with IT management requirements.

Evaluate agency practices with

respect to the performance of

investments made in IT.

Direct agencies to develop capital

planning processes for managing

major IT investments.

Direct agencies to analyze private

sector alternatives before making

an investment in a new information
Appendix I

Comparison of OMB’s Current Functions

and Those Assigned to the Federal CIO by

H.R. 4670 and H.R. 5024

Page 19 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current FunctionsaH.R. 4670 H.R. 5024

Information

technology

management

(cont’d)

system.

Direct agencies to undertake an

agency mission reengineering

analysis before making significant

investments in IT to support these

missions.

Innovation Conduct pilot projects with selected

agencies and nonfederal entities to

test alternative policies and

practices.

Assess experiences of agencies,

state and local governments,

international organizations, and the

private sector in managing IT.

Provide leadership in the innovative

use of technology by agencies

through support of experimentation,

testing, and adoption of innovative

concepts and technologies,

particularly with regard to multiagency initiatives.

Conduct pilot projects with selected

agencies and nonfederal entities to

test alternative policies and

practices.

Provide leadership in the innovative

use of technology by agencies

through support of experimentation,

testing, and adoption of innovative

concepts and technologies,

particularly with regard to multiagency initiatives.

Assess experiences of agencies,

state and local governments,

international organizations, and the

private sector in managing IT.

Interagency

cooperation

Ensure the efficiency and

effectiveness of interagency IT

initiatives.

Issue guidance to agencies

regarding interagency and

governmentwide IT investments to

improve the accomplishment of

common missions and for the

multiagency procurement of

commercial IT items.

Identify opportunities and

coordinate major multiagency IT

initiatives.

Ensure the efficiency and

effectiveness of interagency IT

initiatives.

Issue guidance to agencies

regarding interagency and

governmentwide IT investments to

improve the accomplishment of

common missions and for the

multiagency procurement of

commercial IT items.

National security

systems

Apply capital planning, investment

control, and performance

management requirements to

national security systems to the

extent practicable.

Consult with the heads of agencies

that operate national security

systems.

Consult with the heads of agencies

that operate national security

systems.

Apply capital planning, investment

control, and performance

management requirements to

national security systems to the

extent practicable.

Paperwork

reduction

Review agency collections of

information to reduce paperwork

burdens on the public.

Advise the Director of OMB on

paperwork reduction. b

Provide advice and assistance to

agencies and to the Director of

OMB to promote efficient collection

of information and the reduction of

paperwork burdens on the public.
Appendix I

Comparison of OMB’s Current Functions

and Those Assigned to the Federal CIO by

H.R. 4670 and H.R. 5024

Page 20 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current FunctionsaH.R. 4670 H.R. 5024

Privacy and

security

Provide direction and oversee

activities of agencies with respect

to privacy, confidentiality, security,

disclosure, and sharing of

information.

Develop and oversee the

implementation of policies,

principles, standards, and

guidelines on privacy,

confidentiality, security, disclosure

and sharing of agency information.

Oversee and coordinate

compliance with the Privacy Act,

the Freedom of Information Act, the

Computer Security Act, and related

information management laws.

Require federal agencies,

consistent with the Computer

Security Act, to identify and afford

security protections commensurate

with the risk and magnitude of the

harm resulting from the loss,

misuse, or unauthorized access to

or modification of agency

information.

Review agency computer security

plans required by the Computer

Security Act.

Oversee agency compliance with

the Privacy Act.

Advise the Director of OMB on

privacy, confidentiality, security,

disclosure, and sharing of

information. b

Provide direction and oversee

activities of agencies with respect

to privacy, confidentiality, security,

disclosure, and sharing of

information.

Develop and oversee the

implementation of policies,

principles, standards, and

guidelines on privacy,

confidentiality, security, disclosure

and sharing of agency information.

Oversee and coordinate

compliance with the Privacy Act,

the Freedom of Information Act, the

Computer Security Act, and related

information management laws.

Require federal agencies,

consistent with the Computer

Security Act, to identify and afford

security protections commensurate

with the risk and magnitude of the

harm resulting from the loss,

misuse, or unauthorized access to

or modification of agency

information collected or maintained.

Establish governmentwide policies

for promoting risk-based

management of information

security as an integral component

of each agency’s business

operations.

Direct agencies to use best security

practices, develop an agencywide

security plan, and apply information

security requirements throughout

the information system life cycle.

Review agency computer security

plans required by the Computer

Security Act.

Oversee agency compliance with

the Privacy Act.
Appendix I

Comparison of OMB’s Current Functions

and Those Assigned to the Federal CIO by

H.R. 4670 and H.R. 5024

Page 21 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current FunctionsaH.R. 4670 H.R. 5024

Records

management

Provide direction and oversee

activities of agencies with respect

to records management activities.

Provide advice and assistance to

the Archivist of the United States

and the Administrator of General

Services to promote coordination of

records management with

information resources management

requirements.

Review agency compliance with

requirements and regulations.

Oversee the application of records

management policies, principles,

standards, and guidelines in the

planning and design of information

systems.

Advise the Director of OMB on

records management. b

Provide direction and oversee

activities of agencies with respect

to records management activities.

Provide advice and assistance to

the Archivist of the United States

and the Administrator of General

Services to promote coordination of

records management with

information resources management

requirements.

Review agency compliance with

requirements and regulations.

Oversee the application of records

management policies, principles,

standards, and guidelines in the

planning and design of information

systems.

Statistical policy

and coordination

Provide direction and oversee

activities of agencies with respect

to statistical activities.

Coordinate the activities of the

federal statistical system.

Ensure that agency budget

proposals are consistent with

systemwide priorities for

maintaining and improving the

quality of federal statistics.

Develop and oversee

governmentwide statistical policies,

principles, standards, and

guidelines.

Evaluate statistical program

performance and agency

compliance with governmentwide

statistical policies, principles,

standards, and guidelines.

Promote the sharing of information

collected for statistical purposes.

Coordinate U.S. participation in

international statistical activities.

Advise the Director of OMB on

statistical policy and coordination. b

Provide direction and oversee

activities of agencies with respect

to statistical activities.

Coordinate the activities of the

federal statistical system.

Consult with the Director of OMB to

ensure that agency budget

proposals are consistent with

systemwide priorities for

maintaining and improving the

quality of federal statistics.

Develop and oversee

governmentwide statistical policies,

principles, standards, and

guidelines.

Evaluate statistical program

performance and agency

compliance with governmentwide

statistical policies, principles,

standards, and guidelines.

Promote the sharing of information

collected for statistical purposes.

Coordinate the U.S. participation in
Appendix I

Comparison of OMB’s Current Functions

and Those Assigned to the Federal CIO by

H.R. 4670 and H.R. 5024

Page 22 GAO/T-AIMD-00-316

CIO Responsibility

Function OMB’s Current FunctionsaH.R. 4670 H.R. 5024

Statistical policy

and coordination

(cont’d)

Establish an Interagency Council

on Statistical Policy, headed by an

appointed chief statistician.

Provide opportunities for training in

statistical policy.

international statistical activities.

Establish an Interagency Council

on Statistical Policy, headed by an

appointed chief statistician.

Provide opportunities for training in

statistical policy. a

While OMB’s Director is responsible for these functions, they have generally been

delegated to the Office of Information and Regulatory Affairs, which reports to the Deputy

Director for Management. These functions are outlined in the Privacy Act of 1974, the

Computer Security Act of 1987, the Paperwork Reduction Act of 1995, the Clinger-Cohen

Act of 1996, and the Government Paperwork Elimination Act of 1998.

b

H.R. 4670 specifically authorizes the CIO to advise the Director of OMB to “ensure

effective implementation of the functions and responsibilities assigned under chapter 35 of

title 44, United States Code.” These functions include electronic records (through the

Government Paperwork Elimination Act of 1998), information dissemination, information

resources management policy, information technology management, paperwork reduction,

privacy and security, records management, and statistical policy and coordination.

(512023)
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