Information Resources Management: Comprehensive Strategic Plan Needed to Address Mounting Challenges
Published: 2002-02-22T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: Congress passed the Paperwork Reduction Act (PRA) to establish a single, overarching policy framework for the management of government information resources. The act established information resources management (IRM) as an approach governing the collection, dissemination, security, privacy, and management of information. The act also created the Office of Information and Regulatory Affairs (OIRA) to provide leadership, policy direction, and oversight of governmentwide IRM. It further required OIRA to develop and maintain a governmentwide strategic IRM plan and charged that office with responsibilities for general IRM policy and information technology. Although OIRA designated the Chief Information Officers Council's strategic plan for fiscal years 2001-2002 as the governmentwide strategic IRM plan required by the PRA, this does not constitute an effective and comprehensive strategic vision. OIRA has issued policy and implementing guidance, conducted oversight activities, and taken various steps in each of the functional areas.
section_title: What GAO Found
paragraphs: GAO found that the documents cited by OMB during it's review did not, separately or collectively, meet the requirements for a governmentwide strategic IRM plan established by PRA.

section_title: Letter
paragraphs: The events of September 11 and the subsequent anthrax attacks have demonstrated the importance of accurate, timely information and the need for strong leadership in integrating and managing this information across government agencies. As agencies have struggled with issues involving intelligence gathering, information sharing and dissemination, security, and information technology (IT), it has become increasingly apparent that our government needs to better assess—from a strategic standpoint—all aspects of how it handles information.
In recognition of the importance of government information, the Congress in 1980, as you know, passed the Paperwork Reduction Act (PRA) to establish a single, overarching policy framework for the management of information resources. The act, amended in 1986 and 1995, established information resources management (IRM) as an approach governing virtually all aspects of government information activities, including collection, dissemination, security and privacy, and management of information technology. The act also created the Office of Information and Regulatory Affairs (OIRA) within the Office of Management and Budget (OMB), to provide leadership, policy direction, and oversight of governmentwide IRM. It further required OIRA to develop and maintain a governmentwide strategic IRM  plan, and charged OIRA with responsibilities for general IRM policy and specific  IRM functions: information collection, dissemination, statistical policy and  coordination, records management, privacy and security, and information  technology.
Since 1998, OIRA has designated the Chief Information Officers Council’s  strategic plan as the principal means of meeting the requirement for a  governmentwide strategic IRM plan. The most recent plan is for fiscal  years 2001–2002 and was published jointly by OMB and the CIO Council in  October 2000. According to this plan, its goal is to enhance the strategic  focus of the Council, establish roadmaps for achieving the strategic vision,  define measures to assist the Council in evaluating its progress toward  meeting its challenges, and provide a basis for budget planning.
This report responds to your request that we review OIRA’s actions to  fulfill its responsibilities under PRA. Specifically, our objectives were to  (1) assess the adequacy of the governmentwide strategic IRM plan  developed in response to the act’s requirements and (2) provide status  information on OIRA’s actions to address its IRM policymaking, oversight,  and functional responsibilities under the act. Our review was conducted at  OMB headquarters in Washington, D.C., from June through December  2001, in accordance with generally accepted government auditing  standards. Appendix I contains details of our scope and methodology.
subsections: section_title: Background
paragraphs: The need for strong leadership and a governmentwide strategic view of  information management has long been recognized as critical. Along with  establishing a single policy framework for federal management of  information resources and formalizing the institutionalization of IRM as  the approach governing information activities, the Paperwork Reduction  Act (PRA) in 1980 created OIRA to develop IRM policy and oversee its  implementation, at the same time giving it oversight responsibilities in  specific IRM functional areas. The OIRA administrator is also to serve as  the principal adviser to the director of OMB on IRM policy. The Clinger- Cohen Act of 1996 amended PRA to also give OIRA, through the director,  significant leadership responsibilities in supporting agencies’ actions to  improve their IT management practices.
In addition to these statutory responsibilities, OIRA is responsible for  providing overall leadership of executive branch regulatory activities.  OIRA also reviews significant new regulations issued by executive  departments and agencies (other than independent regulatory agencies)  before they are published in the Federal Register. In calendar year 2000,  OIRA staff reviewed approximately 2,900 proposed and 4,500 final rules.
OIRA is organized into five branches: Information Policy and Technology  Management, Statistical Policy, Commerce and Lands, Human Resources  and Housing, and Natural Resources. Information Policy and Technology  is responsible for information dissemination, records management,  privacy and security, and IT. Statistical Policy, headed by the chief  statistician, is responsible for the statistical policy and coordination  requirements contained in the act. Desk officers in Commerce and Lands,  Human Resources and Housing, and Natural Resources are responsible for  information collection and regulatory review and related issues for  specific agencies in a matrixed fashion, in consultation with relevant OIRA  branches as well as the budget side of OMB. As of December 31, 2001,  OIRA had a total of 51 full-time equivalent (FTE) staff assigned to the five  branches: Information Policy and Technology Management (12 FTEs),  Statistical Policy (6), Commerce and Lands (8), Human Resources and  Housing (9), and Natural Resources (9). The OIRA Records Management  Center accounted for one additional position; the Office of the OIRA  Administrator accounted for the remaining six positions. OIRA has been  allotted and is in the process of filling 5 additional slots.
Two other entities perform PRA-related activities. First, the Chief  Information Officers (CIO) Council was established by executive order in  July 1996 as the principal interagency forum for improving agency IRM  practices. For example, the Council is to make recommendations for  overall IT management policy, procedures, and standards, and to provide  advice to OMB on the development of the governmentwide strategic IRM  plan required by PRA. The Council is composed of the CIOs and deputy  CIOs from 28 federal agencies, plus senior officials from OMB. Second,  last June OMB established the position of associate director for  information technology and e-government. This individual is responsible  for (1) working to further the administration’s goal of using the Internet to  create a citizen-centric government; (2) ensuring that the federal  government takes maximum advantage of technology and best practices to  improve quality, effectiveness, and efficiency; and (3) leading the  development and implementation of federal IT policy. In addition, the  associate director is responsible for (1) overseeing implementation of IT  throughout the federal government, (2) working with the deputy director  for management—also described by OMB as the federal CIO—to perform  a variety of oversight functions statutorily assigned to OMB, and (3)  directing the activities of the CIO Council.
We have previously reported on OIRA’s efforts to respond to the PRA  requirements for a governmentwide strategic plan. In 1998, we reported  that none of the various reports OIRA had designated since 1995 as being  the strategic IRM plan clearly discussed the objectives and means by  which the federal government would use all types of information  resources to improve agency and program performance—a key PRA  requirement.
A Broad, Governmentwide  Recent events have highlighted information as not only an asset but a  Perspective: More  Imperative Than Ever  critical tool, essential to achieving the fundamental purposes of  government. In the aftermath of the attacks of the past few months,  agencies have clearly struggled with issues concerning intelligence  gathering, information sharing and dissemination, security, and critical  information technology infrastructure. For example:
Our September 2001 combating terrorism report highlighted that the  growing threat of terrorism presented evolving challenges to the existing  framework for leadership and coordination. We reported that the  interagency and intergovernmental nature of programs to combat  terrorism make it important that certain overall leadership and  coordination functions be performed above the level of individual  agencies. Accordingly, we recommended that the President appoint a  single focal point with responsibility for overall leadership and  coordination, including the development of a national strategy. The  president subsequently appointed former governor Tom Ridge as the new  director of homeland security, responsible for coordinating federal, state,  and local actions and for leading and overseeing such a comprehensive  approach to safeguarding the nation against terrorism. The successful  formulation of such a comprehensive strategy will require development of  one overall plan for the collection and analysis of information relating to  terrorist activities or threats across the United States, and the securing of  IT systems to facilitate the sharing of this information among the many  entities involved.
That same report also addressed the need to protect critical federal  systems from computer-based attacks. As we reported, while an array of  activities had been undertaken to implement a national strategy to mitigate  risks to computer systems and the critical operations and infrastructures  they support, progress in certain key areas had been slow. Specifically,  agencies had taken steps to develop critical infrastructure protection  plans, but independent audits continue to identify persistent, significant  information security weaknesses that place federal operations at risk.  Further, while outreach efforts by numerous federal entities to establish  cooperative relationships with and among private and other nonfederal  organizations had raised awareness and prompted information sharing,  substantive analysis of sector-wide and cross-sector interdependencies  and vulnerabilities had been limited. We recommended that the federal  government’s critical infrastructure protection strategy, which was under  review at the time of our report, define (1) specific roles and  responsibilities, (2) objectives, milestones, and an action plan, and (3)  performance measures.
The recent attacks have also highlighted the need for immigration, law  enforcement, intelligence, and defense and foreign policy agencies to  better share information on domestic and international terrorists and  criminals. Concerns have been raised that the various databases and  information systems containing this information may not be sufficiently  linked to ensure that all levels of government have complete and accurate  information.
Recent events have also reemphasized the importance of ongoing efforts  to improve the public health infrastructure that detects disease outbreaks,  identifies sources and modes of transmission, and performs laboratory  identification. According to the Centers for Disease Control and  Prevention (CDC), the ability to share information on potential threats and  remedial actions, and exchange data on newly identified disease  outbreaks, is critical to our defense against bioterrorism. However, we,  CDC, and others have identified deficiencies in the information systems  and telecommunications capabilities at the local, state, and national levels  that hinder effective bioterrorism identification and response. For  example, in March 2001, CDC recommended that all health departments  have continuous, high-speed access to the Internet and standards for data  collection, transport, electronic reporting, and information exchange that  protect privacy and seamlessly connect local, state, and federal data  systems. In recent testimony, CDC emphasized that since September 11 it  has accelerated its efforts to work with state and local health agencies,  share critical lessons learned, and identify priority areas for immediate  strengthening.
Beyond the recent terrorist acts, emerging trends also make clear the  importance of information resources to government, and the need for a  strategic approach. One such trend is the continuing shift from an  industrial to a knowledge-based and global economy in which knowledge  becomes the main driver of value and creation of wealth. One  characteristic of a knowledge-based economy is a higher set of public  expectations about government performance and accountability. In  addition, the knowledge-based economy presents complex issues that  require input from multiple institutions at different levels of government  and within the private and nonprofit sectors. To address these challenges,  government needs processes and structures that embrace long-term,  cross-issue, strategic thinking. Understanding and developing these new  processes will require active use and exchange of knowledge and  information that are relevant, timely, accurate, valid, reliable, and  accessible.
The administration has also recognized the need to improve government  performance and, as a result, has established an ambitious agenda that is  dependent on effective management of information resources. One of the  governmentwide goals in The President’s Management Agenda for Fiscal  Year 2002 is to expand e-government to provide high-quality service to  citizens at reduced cost, make government services more accessible, and  increase government transparency and accountability. To accomplish this,  the administration plans to support projects that offer performance gains  across agency boundaries, such as the development of a Web-based portal  that will allow citizens to apply for federal grants on-line. Making this  strategy successful will require the government to address such challenges  as implementing appropriate security controls, protecting personal  privacy, and maintaining electronic records.
section_title: A Coordinated Federal IRM Plan Is Essential to Achieving Results; OIRA’s Plan Falls Short
paragraphs: Given the changing environment in which the need for a performance- based federal approach to managing the government’s information  resources is of paramount importance, strategic planning provides an  essential foundation. It defines what an organization seeks to accomplish,  identifies the strategies it will use to achieve desired results, and then  determines—through measurement—how well it is succeeding in reaching  results-oriented goals and achieving objectives. An important element of a  strategic plan is that it presents an integrated system of high-level  decisions that are reached through a formal, visible process. The plan is  thus an effective tool with which to communicate the mission and  direction to stakeholders.
However, the CIO Council plan that was prepared to respond to the  requirements of the PRA is not an effective and comprehensive  governmentwide plan. Specifically, the plan’s governmentwide goals (1)  are not linked to expected improvements in agency and program  performance and (2) do not comprehensively address IRM. In addition,  strategies for reaching the goals are incomplete. Additional documents  that OIRA cited as supplementing the CIO plan do not address the  weaknesses we identified. As a result, agencies are left to address  information needs in isolation without a comprehensive vision to unify  their efforts. Further, the risk is increased that current and emerging IRM  challenges will not be met.
subsections: section_title: A Strategic Governmentwide IRM Plan Is Required
paragraphs: Over the past 20 years, the Congress has put in place a statutory  framework to improve the performance and accountability of executive  agencies and to enhance executive branch and congressional  decisionmaking. Results-oriented management legislation, coupled with  legislation reforming IT, has enabled substantial progress in establishing  the basic infrastructure needed to create high-performing federal  organizations.
PRA requires OIRA to develop and maintain a governmentwide strategic  IRM plan to describe how the federal government will apply information  resources to improve agency and program performance. Specifically, this  strategic plan was intended to provide a comprehensive vision for the  future of IRM in government, and would establish governmentwide goals  for using information resources to improve agency and program  performance, and describe the strategies, including resources needed, to  accomplish these goals.
PRA further stipulates that the strategic IRM plan must include (1) plans  for enhancing public access to and dissemination of information using  electronic and other formats; (2) plans for meeting the information  technology needs of the government; (3) plans for reducing information  burdens and meeting shared data needs with shared resources; and (4) a  description of progress in applying IRM to improving agency mission  performance. The plan is also to be developed in consultation with the  archivist of the United States, the administrator of general services, the  director of the National Institute of Standards and Technology, and the  director of the Office of Personnel Management.
section_title: The CIO Council’s Strategic Plan Has Been Designated the Governmentwide Plan
paragraphs: Since 1998, OIRA’s response to the PRA mandate for a strategic plan has  been to jointly publish a strategic plan with the CIO Council. The most  recent plan, the CIO Council Strategic Plan for Fiscal Years 2001-2002,  was issued in October 2000. The development of this plan was the result of  extensive discussion, both internally with agency CIOs and with some  external stakeholders, such as state and IT industry CIOs.
The CIO Council plan articulates a vision that was used to guide the plan’s  goals and objectives: Better government through better use of  information, people, processes, and technology. The plan reflects the  Council’s view of critical, cross-cutting IT issues that are affecting the  federal government’s ability to serve its citizens. It also provides  background and rationale for the issues, and a brief description of the  Council’s past accomplishments in each area. For fiscal years 2001–2002,  the Council identified six themes that frame the specific goals that  accompany them. These goals are as follows:
Connect all citizens to the products, services, and information of their  government.
Develop interoperable and innovative governmentwide IT initiatives.
Implement a secure and reliable information infrastructure that the  customer can access and trust.
Develop IT skills and resources to meet mission objectives.
Collaborate between the public and private sectors to achieve better  government.
Develop investment management policies, practices, and tools that enable  improved delivery of government programs and services.
Each goal has a set of associated objectives or major actions needed. A  total of 88 detailed initiatives are provided, representing specific, concrete  actions that the Council can take to implement its objectives.
section_title: The CIO Council Strategic Plan Does Not Meet Most PRA Requirements
paragraphs: While a robust document for the Council, this plan does not constitute an  effective governmentwide strategic IRM plan under PRA. First, although  the plan establishes a number of goals that are clearly governmentwide in  nature, these goals are not linked to expected improvements in agency and  program performance. For example, the plan contains a governmentwide  goal of interoperable and innovative IT initiatives; however, the plan does  not discuss how these initiatives will improve agency performance or  establish targets for improvement. Further, the plan’s goals do not address  IRM comprehensively; for example, statistical activities, records  management, and the collection and control of paperwork are not  addressed.
Second, while the plan contains strategies for reaching the goals, these  strategies are incomplete. Specifically, the plan does not address, even at a  high level, OIRA’s policymaking and oversight role in helping to attain  those goals. Further, the plan does not discuss the resources needed  governmentwide—by OIRA, the CIO Council, and federal agencies—to  achieve its goals.
Finally, the plan addresses some but not all of the remaining items  highlighted in PRA. Specifically:
The plan does address enhancing public access to and dissemination of  information. The first goal—connecting all citizens to the products,  services, and information of their government—is focused on making  government information accessible and facilitating transactions with  citizens. Strategies to accomplish this goal included developing the  FirstGov.gov portal for government services.
The plan includes a discussion of meeting the IT needs of the government.
Specifically, goal six focuses on IT investment management practices and  tools to improve delivery of government services and programs. Strategies  include improving the quality of data used to support investment  decisionmaking, information technology acquisition strategies, and IT  performance measurement.  It does not address reducing the information burden to the public. While it  includes goals and strategies that may ultimately result in burden  reduction—such as creating interoperable and innovative governmentwide  initiatives—they are not linked to burden reduction. The plan also does  not include a discussion of meeting shared data needs with shared  resources, as required by the act.
Notably lacking in the plan is any description of progress already made in  applying IRM principles to improving agency performance and mission  accomplishment. Further, the plan’s performance measures are not geared  toward providing the required information on progress. These measures  are solely focused on gauging Council progress in meeting the goals,  rather than on progress in improving agency and program performance.
In regard to the consultations required by PRA, representatives of key  agencies currently sit on the Council and, thus, participated in the  development of the plan, according to OIRA and CIO Council officials.  OMB officials also indicated that by conducting meetings with these  agencies, and through other guidance and review activities, the strategic  viewpoint of these senior officials was captured.
In discussing our views of the CIO Council plan, OMB officials responded  that while the CIO Council plan is OIRA’s primary means of complying  with the strategic planning requirements under PRA, OMB produces a  range of other documents that also contain elements of the  governmentwide plan. It is this collection of documents, as a whole, that  constitutes the governmentwide strategic IRM plan under PRA. According  to OMB officials, these additional documents are as follows:
Government Information Security Reform Act. Under this act,  agencies are required to report to OMB annually on independent  evaluations of their information security programs. OMB is then required  to summarize these reports; OMB officials said that this summary provides  strategic direction for the security area. Agencies reported to OMB in  September 2001; OMB issued the governmentwide summary on February  13, 2002.
Budget Information. OMB officials cited two budget documents that  provide governmentwide strategic direction. According to these officials,  Table 22-1 in the budget sets strategic direction for IT and e-government  and discusses agency performance. In addition, these officials stated that  the exhibit 53s, submitted by agencies as part of the budget process,  provide specific performance information on planned spending for major  and significant information systems. In addition, the chief statistician cited  the annual OMB report, Statistical Programs of the United States  Government, which describes proposed funding and priority activities for  federal statistics.
Plans Under the Government Paperwork Elimination Act. Under this  act, agencies are required to report to OMB on their plans for providing  the public with the option of submitting, maintaining, and disclosing  required information electronically, instead of on paper. OIRA has  summarized these plans in a database which, according to OIRA, provides  part of the strategic direction for IRM. In September 2001, we reported on  the status of agency implementation of the act. We found that although  agency implementation plans submitted in October 2000 included much  potentially useful information, many omissions and inconsistencies were  evident. In addition, we noted that the plans did not provide sufficient  information regarding agencies’ strategic actions that could minimize the  risk of not meeting the deadline for providing electronic options. We  concluded that given these shortcomings, OMB would be challenged in its  oversight role of ensuring that agencies comply with the act. In  commenting on this report, OMB officials noted that in October 2001, they  collected additional information from agencies to address these issues; we  did not review this additional information.
The Information Collection Budget. Each year, OIRA publishes an  Information Collection Budget by gathering data from executive branch  agencies on the total number of burden hours OIRA approved for  collection of information at the end of the fiscal year, and agency  estimates of the burden for the coming fiscal year. This document includes  a governmentwide goal for burden reduction and reports the reasons for  any increasing burden. It also highlights agency efforts to streamline and  reduce information collections from the public for the upcoming fiscal  year.
The National Archives and Records Administration (NARA)
Strategic Plan. OMB officials stated that this plan provides a strategy for  how NARA plans to fulfill its mission and that agency records managers  regard this plan as providing strategic direction for their own activities.
The President’s Management Agenda. Again, according to OMB  officials, the e-government goal contained in the president’s management  agenda provides a strategic vision for expanding the use of e-government.  According to OMB officials, this will soon be supplemented by a report  specifically on the e-government initiative, which will further address  strategic direction for e-government.
These documents—whether viewed individually or in total—do not  address the weaknesses we have identified. Of these documents, one  report stands out as governmentwide and strategic—the president’s  management agenda, which articulates the goal of expanding e- government as well as strategies for accomplishing that goal. Although this  agenda adds additional perspective on the administration’s strategic  direction for certain aspects of IRM, it is not broad enough to compensate  for the weaknesses in the CIO Council plan. In addition, the current NARA  strategic plan for fiscal years 1997–2007 includes no governmentwide  goals and strategies for records management. Rather, NARA’s articulated  goals and strategies focus on the mission of the agency: providing ready  access to information that documents citizens’ rights, officials’ actions,  and the national experience. The remaining documents deal with various  aspects of the government’s use of information resources, but are not  strategic or focused on the future, and do not provide goals, strategies, and  performance measures.
Further, the multitude of documents—issued at different points in time—  that OIRA indicated comprise the governmentwide plan are neither  integrated nor formalized in any way. Nor is there any published tool to  identify and locate these documents, should agencies, the Congress, or  other stakeholders want to view the plan in its totality. As a result, these  documents do not clearly communicate the strategic IRM vision of the  government.
The shortcomings we have identified in the current plan indicate that  OIRA has not devoted sufficient attention to producing an effective  governmentwide strategic IRM plan. As a result, agencies are left to  address information needs in isolation without a comprehensive vision to  unify their efforts. Further, the risk is increased that investments in IT will  not be leveraged across the government; that duplicative initiatives will be  undertaken; that opportunities for data sharing and public access will be  missed; that privacy will be compromised; and that the security of  information, information systems, and critical infrastructure will be  jeopardized. Without OIRA leadership, top-level management  commitment, and the application of appropriate resources to ensure the  development of a comprehensive and meaningful plan, the mounting  challenges that the government faces in managing information may not be  met.
section_title: OIRA Has Responded to PRA Policy, Oversight, and Functional Responsibilities
paragraphs: While the CIO Council’s strategic plan does not effectively serve as the  governmentwide vehicle envisioned under PRA, OIRA is responding to  other PRA policymaking, oversight, and functional requirements. OIRA  officials see themselves as having provided leadership in IRM, and point to  the successful resolution of the Year 2000 problem as among OMB’s  greatest accomplishments over the last 5 years. They also cite the  establishment of FirstGov.gov as a major accomplishment. We agree that  these are significant. In fact, our work on the Year 2000 issue specifically  acknowledged the important role that OMB played in leading,  coordinating, and monitoring federal activity. And in 2000 we testified  that FirstGov.gov represented an important, previously unavailable  capability that was rapidly and successfully put into place.
Regarding the development of general IRM policy, OIRA officials said that  they see policymaking as a primary responsibility. OIRA most recently  updated Circular A-130, Management of Federal Information Resources in  November 2000 to incorporate changes resulting from the Clinger-Cohen  Act of 1996 and subsequent policies outlined in OMB Circular A-11. This  version of Circular A-130 specifically incorporates the requirements that  agencies focus IRM planning to support their strategic missions,  implement a capital planning and investment control process that links to  budget formulation and execution, and rethink and restructure their  business processes before investing in information technology.
In terms of oversight, according to OIRA officials, they leverage existing  statutory processes, including reviews of the budget, proposed agency  information collections, regulations, legislation, and systems of recordsunder the Privacy Act to oversee agency IRM activities. Additionally, they  noted that they work with agency CIOs through the budget process,  Government Performance and Results Act reporting, and information- collection reviews to further policy oversight. OIRA officials also  emphasized their work with the CIO Council and other interagency groups  as a means of overseeing agency activities. They stressed that OMB is not  an audit organization, and that A-130 requires agencies to monitor their  own compliance with IRM policies, procedures, and guidance.
OIRA has also taken action to respond to the specific IRM functional  responsibilities in PRA: information collection, dissemination, statistical  policy and coordination, records management, privacy and security, and  IT. Since 1995, OMB has issued guidance in each of these areas including  on such topics as Internet privacy, dissemination, and information  technology. In addition, it has responded to specific requirements by  reviewing and approving proposed agency information collections,  appointing a chief statistician to coordinate statistical activities, seeking  statutory authority to expand data sharing among statistical agencies, and  working with the CIO Council to improve IT management. The full range  of these actions are recounted in appendix II.
Our past work demonstrates, however, that OIRA faces continuing and  new challenges in each of these areas. For example:
Information Collection/Burden Reduction. Over the past 3 years, we  have reported that federal paperwork has continued to increase. For  example, in April 2001, we reported that paperwork had increased by  nearly 180 million burden hours during fiscal year 2000—the second  largest 1-year increase since the act was passed. This increase was largely  attributable to the Internal Revenue Service, which raised its paperwork  estimate by about 240 million burden hours. We also reported that PRA  violations—in which information-collection authorizations from OMB had  expired or were otherwise inconsistent with the act’s provisions—had  declined from 710 to 487, but were still a serious problem. We concluded  that while OIRA had taken some steps to limit violations, more needed to  be done, including taking steps to work with the budget side of OMB to  bring agencies into compliance. In commenting on this report, OMB  officials noted that in November 2001, the OIRA administrator and OMB  general counsel sent a memorandum to agencies stressing the importance  of having agencies eliminate existing violations and prevent new ones.
Information Dissemination. Two recent reports underscored the  evolving nature of information dissemination issues and the challenges  that the government faces in moving toward increased electronic  dissemination of information. One on the National Technical Information  Service (NTIS)—a repository for scientific and technical information—  stated that rising demand for electronic products, coupled with increasing  availability of this information on the Internet, raised fundamental issues  about how the information should be collected, stored, and  disseminated—and specifically, about the future of NTIS itself.Specifically, we raised policy questions concerning whether a central  repository was still needed and if so, how it should be structured. In  addition, our report on the Government Printing Office—which prints and  disseminates publications for all three branches of government—  concluded that while electronic dissemination of government publications  provided an attractive alternative to paper, a number of challenges would  need to be overcome if the government were to increase electronic  dissemination. These challenges included ensuring permanence, equitable  access, and authenticity of documents in an electronic environment.
Statistical Policy. In March 1998, in testimony on a reorganization  proposal involving part of the federal statistical system, we summarized  our past work in this area. We concluded that the inability of agencies to  share data is one of the most significant issues facing the statistical  system, and one of the major factors affecting the quality of data, the  efficiency of the system, and the amount of burden placed on those who  provide information to the agencies.
Records Management. Last July we testified that the management of  electronic records was a substantial challenge facing the government and  the National Archives and Records Administration in implementing the  Government Paperwork Elimination Act and in moving toward e- government. We underscored the need for strong, central leadership to  overcome this challenge.
Privacy. In September 2000, we reported that most Web sites we reviewed  had posted privacy policies but had not consistently posted policies on  pages we identified as collecting substantial amounts of personal  information. We concluded that OMB’s guidance was unclear in several  respects, and contained undefined language. And last April we reported  on agency use of Internet “cookies” and concluded that OMB’s guidance  left agencies to implement fragmented directives contained in multiple  documents. Further, the guidance itself was not clear on the disclosure  requirements for a certain type of cookie.
Information Technology. In last January’s Performance and  Accountability Series of reports, we identified information technology  management—including improving the collection, use, and dissemination  of government information; strengthening computer security; and  strengthening IT management processes—as a major management  challenge facing the federal government. We pointed out that the  momentum generated by the government’s response to the Year 2000  change should not be lost, and that the lessons learned should be  considered in addressing other pressing challenges. The report further  reemphasized the need for sustained and focused central leadership, and  particularly for a federal chief information officer to provide strong focus  and attention to the full range of IRM and IT issues.
Information Security. Since 1997, we have designated information  security as a high-risk area because growing evidence indicated that  controls over computerized federal operations were not effective and  related risks were escalating, in part due to increasing reliance on the  Internet.  While many actions have been taken, current activity is not  keeping pace with the growing threat. In recent testimony,  we reported  that our most recent analyses of audit reports published from July 2000  through September 2001, continued to show significant weaknesses at  each of the 24 agencies included in our review. Consequently, critical  operations, assets, and sensitive information gathered from the public and  other sources continued to be vulnerable to disruption, data tampering,  fraud, and inappropriate disclosure. While recognizing that the  administration had taken a number of positive steps to protect critical  public and private information systems, we concluded that the  government still faced a challenge in ensuring that risks from cyber threats  are appropriately addressed in the context of the broader array of risks to  the nation’s welfare. Further, we recommended that the federal  government’s strategy for protecting these systems define (1) specific  roles and responsibilities, (2) objectives, milestones, and an action plan,  and (3) performance measures.
Over the years, we have made numerous recommendations to both OMB  and the agencies on IRM matters. While actions have been taken to  respond to our recommendations, more needs to be done. Some of the  more significant recommendations involving OIRA that have not yet been  implemented include the following:  In 1996, in reporting on Clinger-Cohen Act implementation, we  recommended that OMB identify the type and amount of skills required for  OMB to execute IT portfolio analyses; determine the degree to which these  needs are currently satisfied; specify the gap; and design and implement a  plan to close the gap. Although OIRA officials said they are examining  their staffing needs, no systematic review has been conducted to date.  In the same 1996 report, we recommended that OMB evaluate information  system project cost, benefit, and risk data when analyzing the results of  agency IT investments. Such analyses should produce agency track  records that clearly and definitively show what improvements in mission  performance have been achieved for the IT dollars expended. Although  OMB has provided anecdotal evidence of expected and actual mission  performance improvements for some major systems projects, it is not  clear that OMB has constructed or plans to construct systematic agency  track records.  In 1998, in a report on OIRA’s implementation of PRA, we recommended  that OMB ensure that its annual performance plan and program reports to  the Congress under the Government Performance and Results Act identify  specific strategies, resources, and performance measures that it will use to  address OIRA’s PRA responsibilities. OMB has not acted on this  recommendation.  In 2000, in a report on Internet privacy, we recommended that OMB (1)  consider how best to help agencies better ensure that individuals are  provided clear and adequate notice about how their personal information  is treated when they visit federal Web sites, and (2) determine whether  current oversight strategies are adequate. In addition, in reporting on  federal agency use of Internet cookies, we recommended that OMB unify  its guidance on Web site privacy policies and clarify the resulting guidance  to provide comprehensive direction on the use of cookies by federal  agencies on their Web sites. Although OIRA officials said that they plan to  launch a privacy initiative to address these recommendations, no action  has been taken to date.
section_title: Conclusions
paragraphs: Current and emerging challenges—including the events of September 11  and the subsequent anthrax attacks—emphasize the importance of the  integrated approach that IRM embodies and the need for a strategic plan  to guide the government’s management of its increasingly valuable  information resources. However, OIRA has not established an effective  governmentwide strategic IRM plan to accomplish this. Given the  magnitude of the changes that have occurred since the CIO Council plan  was published in October 2000, OIRA has both an obligation and an  opportunity to lead the development of a unified governmentwide plan  that communicates a clear and comprehensive vision for how the government  will use information resources to improve agency performance,  is responsive to the current external environment including the impact of  recent terrorist attacks and other trends,  recognizes the resources including human capital needed to achieve  governmentwide IRM goals, and  reflects consultation with all stakeholders—including the Office of  Homeland Security, entities involved in information security and critical  infrastructure protection, and the officials identified in the act—who are  critical to meeting IRM challenges and the goals the administration has  established in its management agenda.
The shortcomings we identified in the CIO Council plan call into question  the degree of management attention that OIRA has devoted thus far to  producing the governmentwide plan. Without such a plan, OIRA and the  agencies lack a unifying governmentwide vision for how investments in  and use of information resources will facilitate the current and emerging  agenda of the federal government. Further, the risk is increased that  investments in IT will not be leveraged across the government; that  duplicative initiatives will be undertaken; that opportunities for data  sharing and public access will be missed; that privacy will be  compromised; and that the security of information, information systems,  and critical infrastructure will be jeopardized. Without OIRA leadership,  top-level management commitment, and the application of appropriate  resources to ensure the development of a comprehensive and meaningful  plan, the mounting challenges that the government faces in managing  information may not be met.
While OIRA has not yet established an effective governmentwide IRM  plan, it has taken action to respond to other PRA policymaking, oversight,  and functional requirements. Nevertheless, OIRA faces challenges in  managing critical information resources and many of the  recommendations we have made over the years have not yet been  implemented.
section_title: Recommendations
paragraphs: In order to address the current and emerging challenges that the  government faces in managing information resources and take advantage  of opportunities for improvement, we recommend that the administrator,  OIRA, develop and implement a governmentwide strategic IRM plan that  articulates a comprehensive federal vision and plan for all aspects of  government information. In addition, recognizing the new emphasis that  OMB has placed on e-government, it will be important that the  administrator work in conjunction with the associate director for  technology and e-government in developing this plan. In particular, the  following actions should be taken:
Consistent with the Paperwork Reduction Act, establish governmentwide  goals for IRM that are linked to improvements in agency and program  performance, identify strategies for achieving the goals that clearly define  the roles of OIRA and agencies, and develop performance measures to  assess progress in using IRM to improve agency and program  performance.
Assess the external environment and emerging future challenges and  trends, including the recent terrorist attacks, and their impact on the  government’s collection, use, maintenance, and dissemination of  information.
As part of an assessment of the government’s internal environment,  determine the resources, including human capital, needed to meet  governmentwide IRM goals. This should include an assessment of OIRA’s  human capital capability, including the numbers of staff and types of skills  needed, to conduct this strategic planning process and lead  governmentwide implementation of the resulting plan. Based on this  assessment, the administrator, OIRA, should seek to fill any gaps  identified.
Seek involvement in the planning processes from the CIO Council, the  Office of Homeland Security, entities involved in information security and  critical infrastructure protection, federal agencies, private-sector  organizations, state and local governments, and other relevant  stakeholders in meeting the government’s needs for a strong and unified  information management vision.
section_title: Agency Comments and Our Evaluation
paragraphs: In written comments on a draft of this report, which are reprinted in  appendix III, the director, OMB, recognized that our report had significant  implications for agency PRA implementation but expressed several  concerns with its contents. First, he expressed concern that the report  narrowly focuses on the finding that a governmentwide strategic plan must  be a single document. He reiterated OMB’s position that the documents  they cited during our review—the CIO Council Strategic Plan, the  information collection budget, the president’s management agenda, and  others—and the president’s budget for 2003, which was released after our  draft report was sent for comment—in total meet the requirements for a  governmentwide strategic IRM plan and provide adequate strategic  direction to agencies. Second, the director expressed concern that the  report does not incorporate the role of the associate director for  information technology and e-government into its findings or analysis.
The director stated that, in leading implementation of the e-government  strategy outlined in the president’s management agenda, the associate  director provides strategic direction to agencies for many of the functions  in PRA, including information security, privacy, e-government, IT  spending, enterprise architecture, and capital planning, and leads the work  of OIRA and other OMB offices to improve agency performance on these  issues. Lastly, the director stated that the report does not analyze the  impact of OMB’s policies and practices—established in response to the  requirements of PRA and other IRM statutes—on agency performance. He  further stated that such an analysis would demonstrate that the president’s  e-government initiative and other actions are highly effective in carrying  out the purposes of PRA.
We disagree with the director’s statement that our report narrowly focuses  on the requirement for a strategic plan to be a single document. We  performed a rigorous analysis of the documents cited by OMB during our  review and compared their contents against the requirements of the PRA.  Our primary finding was that these documents do not, separately or  collectively, meet the requirements for a governmentwide plan. As  discussed in our report, we acknowledge the strategic elements of the CIO  Council plan and the president’s management agenda but found that these  documents do not comprehensively cover IRM issues and are missing  other key elements of a strategic IRM plan. The remaining documents  cited by OMB are not strategic or focused on the future, and do not  provide goals, strategies, and performance measures. Further, we think  there is value in crafting a single plan—not only because it is required by  PRA but also because it would provide a vehicle for clearly  communicating an integrated strategic IRM vision to agencies, the  Congress, and the public. However, contrary to what OMB’s letter implies,  we do not believe that OMB must necessarily produce an entirely new  document to accomplish this. OMB has options for building on past  efforts—including the CIO council strategic plan, the president’s  management agenda, and the president’s budget for 2003—to develop a  plan that contains a comprehensive strategic statement of goals and  resources.
Regarding the budget for 2003—released after our draft report was sent  for comment—this document identifies e-government and IT management  reform as administration priorities. Specifically, it contains (1) a  description of IT management issues including duplicative IT investments  and the failure of IT investments to significantly improve agency  performance, (2) additional information on the administration’s e- government goals and strategies and high-level descriptions of specific e- government initiatives, (3) descriptions of agency progress in developing  capital planning and investment control processes, enterprise  architectures, and business cases for IT projects, and in implementing e- government, and (4) identifies process improvement milestones for  calendar year 2002.
The budget also contains a scorecard used to grade agency progress in the  five governmentwide initiatives—including e-government—described in  the president’s management agenda. In addition, for major IT investments,  the budget identifies total investments for 2001 through 2003, links each  investment to the agency’s strategic goals, and provides performance goals  and measures for these projects. The budget also contains a discussion on  strengthening federal statistics and identifies four programs supported by  the budget that are intended to address shortcomings in the statistical  infrastructure.
Our preliminary analysis indicates that this budget contains many of the  elements required in a strategic plan that were not present in previous  documents cited by OMB and, when viewed in conjunction with the  president’s management agenda, represents credible progress toward  developing a governmentwide plan. Specifically, it includes a discussion—  within the context of e-government—of how the government will use  information resources to improve agency performance, and identifies  goals and strategies. It also discusses other required elements, including  (1) enhancing public access to and dissemination of information and (2)  meeting the IT needs of the government, and cites the need to reduce  reporting burden on businesses and share data among federal agencies.  Further, it provides the status of agency-by-agency progress in establishing  IT management processes and implementing e-government and the  scorecard provides a means of measuring agency progress. The discussion  also links improving information sharing among levels of government to  providing for homeland security.
However, some of the areas that the budget does not appear to address  include (1) the role of OIRA and the CIO Council in implementing the  government’s strategies, (2) an assessment of the long-term resources  (beyond fiscal year 2003)—including human capital—needed to meet the  goals, and (3) how key stakeholders were involved in developing these  plans. Nevertheless, based on a preliminary review of this document, it  appears to address, in part, the recommendations in this report. We intend  to follow up on this and other documents that OMB has indicated are  forthcoming to determine the extent to which our recommendations are  fully addressed.
We acknowledge the role that OMB has given to the associate director to  provide strategic direction to agencies and we support additional efforts to  focus attention on IRM matters, especially given the magnitude of the  government’s challenges. However, we believe that a governmentwide  strategic IRM plan is nonetheless needed to communicate an integrated  IRM vision to the Congress and other key stakeholders, as well as federal  agencies. As a result, we have modified our recommendations to recognize  the importance of the administrator’s working in conjunction with the  associate director to articulate a comprehensive IRM vision and develop a  governmentwide plan that meets PRA requirements.
Finally, we acknowledge that we did not assess the impact of OIRA’s  policymaking and oversight efforts—performed in response to the  requirements of the PRA and other IRM legislation—on agency  performance. However, our past work, referenced in this report, provides  ample evidence of agency performance problems in such areas as IT  management, security, privacy, and data sharing and confirms that OMB  faces significant and continuing challenges in these area. Further, as  discussed in our report, our past work led to our identifying information  security as a governmentwide high-risk area and IT management as a  major management challenge. In fact, OMB identifies some of these same  performance problems in its budget for 2003 and in its related assessments  of agency progress in expanding e-government. In addition, we note that  the president’s e-government initiative is clearly in its early stages; any  efforts to evaluate its impact on agency performance at this time would be  premature.
The deputy administrator, OIRA, and other officials also separately  provided oral technical comments, which we have incorporated as  appropriate.
As agreed with your office, unless you publicly announce the contents of  this report earlier, we plan no further distribution until 30 days from the  date of this letter. At that time, we will provide copies to the ranking  minority member, Senate Committee on Governmental Affairs; the  chairman and ranking minority member, House Committee on  Government Reform; and the director, Office of Management and Budget.  Copies will also be available on our Web site at www.gao.gov.
If you have any questions, please contact me at (202) 512-6240 or Patricia D. Fletcher, assistant director, at (202) 512-4071. We can also be reached by e-mail at koontzl@gao.gov and fletcherp@gao.gov, respectively. Key contributors to this report were Michael P. Fruitman, Ona M. Noble, Robert P. Parker, Colleen M. Phillips, and David F. Plocher.
section_title: Appendix I: Scope and Methodology
paragraphs: To evaluate the adequacy of OIRA’s strategic planning efforts, we  performed a content analysis of the Federal Chief Information Officers  (CIO) Council Strategic Plan for fiscal years 2001–2002—which OIRA  officials identified as the governmentwide IRM plan—and compared it  with specific PRA requirements (S 3505 A). We also interviewed OIRA and  CIO Council officials to obtain information on the plan’s preparation. We  reviewed our prior reports for information on evaluations and  recommendations made for previous OIRA governmentwide strategic IRM  plans. Further, to understand the challenges the government faces in  managing information in today’s environment, we reviewed our more  recent reports on terrorism, bioterrorism, and homeland security issues. In  addition, we reviewed The President’s Management Agenda for Fiscal  Year 2002.
We also reviewed additional documents that, according to OIRA, also  comprise the governmentwide IRM plan. These included the 1997-2007  Strategic Plan of the National Archives and Records Administration,  OMB’s Information Collection Budget, the exhibit 53s and table 22-1 in the  president’s budget for fiscal year 2002, and OMB’s Statistical Programs of  the United States Government. We also reviewed OMB memoranda to  agencies entitled Procedures and Guidance on Implementing the  Government Paperwork Elimination Act (April 25, 2000), Guidance for  Preparing and Submitting Security Plans of Action and Milestones  (October 17, 2001), and Implementation of the President’s Management  Agenda and Presentation of the Fiscal Year 2003 Budget Request  (October 30, 2001). Finally, we reviewed the president’s budget for fiscal  year 2003 after it was released on February 4, 2002.
To determine OIRA actions to respond to specific IRM functional  requirements, we reviewed OMB circulars, bulletins, memoranda, and  other documents. In addition, we interviewed OIRA officials responsible  for each of the functional areas. We reviewed our prior work on this  subject, and assessed OIRA’s status regarding outstanding  recommendations. We focused primarily on actions taken by OIRA since  1995, the date of the most recent PRA amendments. However, we did not  assess the adequacy of OIRA’s actions to respond to these requirements.
section_title: Appendix II: Key Requirements of the Paperwork Reduction Act and OIRA Actions
paragraphs: OIRA requirements  Section 3504(b): General IRM Policy  Develop and oversee the implementation of  uniform information resources management  policies, principles, standards, and guidelines.
OMB revised its IRM policy guidance, Circular No. A-130, to reflect the 1995 Act  and to reflect the Clinger-Cohen Act of 1996 and other matters. Circular A-130  complements 5 CFR 1320, “Controlling Paperwork Burden on the Public.”
OIRA’s general approach to oversight is to leverage its existing statutory  processes, including the budget, regulatory review, information collection review,  legislative review, Privacy Act systems of record review, and periodic reports  from the agencies.
Foster greater sharing, dissemination, and  access to public information, including through
OIRA officials acknowledged that GILS is still a requirement; however, they  the use of the Government Information  Locator Service (GILS); and  the development of utilization of common  standards for information collection, storage,  and processing and communications,  including standards for security  interconnectivity. stated that increased use of the Internet, coupled with the development of more  powerful search engines, has lessened the importance of this approach to  locating government information.
They highlighted the establishment of FirstGov.gov—a federal government portal  that provides a single point of access to all federal government information  posted on the World Wide Web—as a major accomplishment in this area. In  addition, OIRA has worked with the CIO Council to establish Access America  portals in the areas of health, trade, students, and seniors.
OIRA does not set technical standards; OMB works with NIST and consults with  the CIO Council to define policy standards for operational matters.
Initiate and review proposals for changes in  legislation, regulations, and agency procedures  to improve information resources management  practices.
OIRA officials say they do not initiate legislative proposals, but review them via  consultation with the CIO Council, individual agencies, and OMB’s Legislative  Reference Division. Altogether, OIRA receives about 5 or 6 proposals each day.
OIRA does not have a systematic process for initiating or reviewing agency  procedures to improve IRM.
Oversee the development and implementation  of best practices in IRM, including training.
OIRA officials stated that they encourage agencies to follow best practices—  relying on the CIO Council’s leadership and influence.
NIST disseminates security best practices.
Oversee agency integration of program  management functions with IRM functions.  Section 3504(c): Collection and Control of Paperwork  Review and approve proposed agency  collections of information.
OIRA officials stressed that agencies are responsible for overseeing their own  management functions through the agency’s CIO.
OIRA operates the paperwork clearance process established under the Paperwork  Reduction Act of 1980. OIRA has draft guidance for agency compliance with the  PRA’s paperwork clearance requirements (preliminary January 1997 draft, revised  August 1999). In fiscal year 2001, OIRA reviewed 1,521 proposed agency  collections, approved 1, 411, and disapproved 5. The remainder were withdrawn or  returned to the agency.  According to OIRA, the desk officers responsible for information collection review  routinely coordinate collections concerning procurement and acquisition with OFPP,  but such coordination is not documented.
Coordinate the review of information collection  concerning procurement and acquisition with  the Office of Federal Procurement Policy  (OFPP).  Minimize information collection burden and  maximize the practical utility of and public  benefit from information collected.  Establish and oversee standards and  guidelines for estimated paperwork burden.  Section 3504(d): Information Dissemination  Develop and oversee the implementation of  policies, principles, standards, and guidelines	 to apply to agency dissemination, regardless of
According to OIRA officials, OMB has been in consultation with stakeholders and  other interested parties to discuss the current information policies of A-130 and to  According to OIRA, the information collection review process is used to minimize  information collection burden and maximize practical utility and public benefit.
OIRA published standards for estimating paperwork burden in 1999, and oversees  implementation through the paperwork clearance process.
In 1995 OMB issued guidance (M-95-22, 9/29/95) on implementing the  information dissemination provisions of PRA. This guidance was incorporated  into its February 1996 revisions to A-130.
OIRA requirements promote public access to information. discern if they continues to address the needs of agencies and stakeholders in  using government information.
OIRA officials also said that oversight of this policy is accomplished through the  information collection process, conversations with agency CIOs, review of  agency Web sites, and discussions with agency personnel.
Section 3504(e): Statistical Policy and Coordination  Appoint a chief statistician to coordinate the  activities of the federal statistical system.  Establish an interagency council on statistical  policy to advise and assist OIRA in carrying out  these functions.
Prepare an annual report on statistical program  funding.
Coordinate the federal statistical system to  ensure its efficiency and effectiveness, along  with the integrity, objectivity, impartiality, utility,  confidentiality of information collected for  statistical purposes. federal statistical system. These include the budget formulation and information  collection review processes; the development and implementation of long-range  plans; the issuance and revision of statistical policy standards and orders;  consultation with the Interagency Council on Statistical Policy; and the activities  and recommendations of interagency committees such as the Federal  Committee on Statistical Methodology, the Interagency Committee for the  American Community Survey, the Interagency Forum on Aging-Related  Statistics, the Interagency Forum on Child and Family Statistics, and the Task  Force on One-Stop Shopping for Federal Statistics.  In 1997 OMB issued an order on confidentiality covering information collection by  statistical agencies. The chief statistician stated that OIRA has not formally  evaluated the impact of this order. However, she stated that it has been very  useful to some of the statistical agencies, particularly in clarifying that confidential  statistical data are not to be used for administrative or regulatory purposes.
Ensure that agency budget proposals are  consistent with systemwide priorities.
Develop and oversee the implementation of  governmentwide policies, principles, standards,  and guidelines for collection methods, data  classifications, dissemination, timely release,  and needs for administration of federal  programs.
The Statistical Policy Branch coordinates the budget requests of key multiagency  programs to ensure consistency with systemwide priorities. In addition, the budgets  of all principal statistical agencies are reviewed by OMB’s Resource Management  Organizations and the Statistical Policy Branch. According to the chief statistician,  the statistical program budgets of other agencies, which account for about 60  percent of the approximately $4 billion of annual federal spending on statistics, are  not covered by this review, primarily because of inadequate detail on budget  materials.
Statistical Policy Branch staff participate directly in the review of proposed information collection requests by federal agencies. According to the chief statistician, this participation provides the staff with oversight of the questionnaires and statistical methodologies used to collect information, as well as the use of these collections for federal program needs.
OIRA has also expanded or updated classification standards for industries (1997, 2001), occupations (1998), metropolitan and micropolitan areas (2000), and race  and ethnicity (1997), and is developing a new product classification system.
An OMB policy directive, last updated in 1985, specifies the process for the  timely release of principal economic indicators, and requires agencies to conduct  periodic evaluations of the quality of those indicators. According to the chief  statistician, OIRA does not conduct a formal review of these evaluations, relying  on agencies to use them to improve the timeliness and quality of their statistical  programs, but does use them in the information collection request and budget  formulation processes.
OIRA requirements  Evaluate statistical program performance and  agency compliance with governmentwide  policies, principles, standards, and guidelines.
Promote sharing of information collected for  statistical purposes consistent with privacy  rights and confidentiality pledges.
Statistical Efficiency Act of 1999. Subsequent President’s budgets have  continued to urge enactment of this legislation which would permit data sharing  solely for statistical purposes for a specified group of statistical agencies.
To promote data sharing consistent with privacy rights and confidentiality  pledges, OMB in 1997 issued a confidentiality order for information collected by  statistical agencies. OIRA officials have not formally evaluated the impact of this  order, but have noted that some statistical agencies have found it very useful,  particularly in clarifying that statistical data collected under a confidentiality  pledge are not to be used for nonstatistical purposes, such as administrative or  regulatory purposes.
According to the chief statistician, OIRA has, on occasion, used the provisions of  44 U.S.C. 3509 to designate a single agency to collect and share data needed by  multiple agencies (consistent with privacy rights and confidentiality pledges),  thereby reducing respondent burden.
Coordinate the participation of the United  States in international statistical activities.
Promote opportunities for training in statistical  policy functions.
The Statistical Policy Branch serves as the focal point for coordinating U.S.  participation in international statistical activities. OIRA coordinates agency  participation in statistical activities with the United Nations Statistical Division, the  Organization for Economic Cooperation and Development, and the Statistical Office  of the European Communities. The chief statistician represents the United States at  meetings of the United Nations Statistical Commission. The chief statistician stated  that through this participation, she ensures that U.S. interests are taken into account  in these policy-setting forums, where programs for international statistical work are  developed and adopted. She noted that in preparation for these meetings, agency  views are sought on the agenda items by contacting the member agencies of the  ICSP. She also stated that working through the Council, OMB ensures that the  appropriate technical experts represent the United States in various subject matter  meetings and in international standards development work.  According to the chief statistician, the Statistical Policy Branch encourages  agencies to send staff to OIRA to be trained. For each of the past 6 years, agency  staff have worked at OIRA, participating in such activities as the preparation of the  annual report on statistical programs and the review of information collection  requests.
Section 3504(f): Records Management  Provide advice and assistance to the Archivist  of the United States and the Administrator of  General Services to promote coordination of  records management requirements with IRM  policies, principles, standards, and guidelines.  Review agency compliance with records  management legal and regulatory  requirements.
OMB officials stated that OIRA relies heavily on NARA to take leadership for  records management policy.
OIRA officials stated that they and OMB budget examiners work closely with both  NARA and GSA. They have provided advice countless times, but these  interactions are informal and therefore undocumented.
Oversee the application of records  management policies, principles, standards,  and guidelines, including the requirements for  archiving information maintained in electronic  programs adequately document agency activities and incorporate records  management functions into the design, development, and implementation of  information systems.
Actions taken
OIRA officials stated that they oversee agency application of records management policies through the information collection budget and review processes.
According to OMB officials, an e-government initiative on e-records management  will provide a framework for this.
Section 3504(g): Privacy and Security  Develop and oversee the implementation of  policies, principles, standards, and guidelines  on privacy, confidentiality, security, disclosure  and sharing of information, and security.
Oversee and coordinate compliance with the  Freedom of Information Act, the Privacy Act,  and the Computer Security Act of 1987, and  related information management laws.
OMB Circular A-130 provides implementing guidance to agencies on security and  privacy. In addition, it contains specific guidance on federal agency responsibilities  for maintaining records about individuals (app. I) and on security of federal  automated information resources (app. III). Further, OIRA has issued several  memoranda addressing such issues as interagency data sharing, Internet privacy  issues, and the need to incorporate security and privacy in information systems  design and investment.  According to OIRA, it oversees and coordinates compliance with the Computer  Security Act through the provisions of the Government Information Security Reform  Act that require agencies to engage in systematic self-reporting on their computer  security programs. OIRA oversees the Privacy Act though its reporting requirements  and review of agency notices for new or modified Privacy Act systems of records.  Freedom of Information Act oversight is given to the Department of Justice,  although OMB provides guidance on fees. OIRA also receives and reviews all  agency inspector general reports and annual reports, monitors GSA’s incident  report tracking system, and reviews the integration of IT security in the budget  process and the capital planning and investment control process.  A-130 requires a risk-based approach to information security and stipulates that  new or continued funding for IT systems is contingent on meeting security criteria.  OIRA officials again emphasized that it is the individual agency’s responsibility to  provide appropriate risk-based security protections.
Require agencies to identify and afford security  protections commensurate with the risk and  management of the harm resulting from the  loss, misuse, or unauthorized access to or  modification of information.  Section 3504(h): Federal Information Technology  In consultation with the Director of NIST and  the Administrator of General Services, develop  Services Administration in developing policy and guidance. and oversee the implementation of policies, principles, standards, and guidelines for information technology functions and system standards. Monitor the effectiveness of, and compliance  with, directives issued under the Clinger-Cohen  Act and relative to the IT fund.
According to OIRA officials, OIRA staff routinely consult with NIST and the General OIRA holds annual capital planning and investment control meetings with individual  agencies to judge the well being of IT portfolios. OIRA officials stated that they  maintain a database to track agency portfolios over time, but consider this  information to be “pre-decisional”; it was thus not made available to us. However,  additional detail on agency IT portfolios was provided in the 2003 budget.  OIRA officials collaborate with the Office of Federal Procurement Policy on issues  related to IT procurement and acquisition.
Coordinate the development and review of IRM  policy associated with procurement and  acquisition with the Office of Federal  Procurement Policy.  Ensure (1) agency integration of IRM plans,  program plans, and budgets for acquisition and  use of IT; and (2) the efficiency and  effectiveness of interagency IT initiatives.
OIRA officials use the budget and capital planning processes, in addition to the  guidance in A-130, to ensure agency integration of IRM plans and budgets.
OIRA requirements  Promote the use of IT to improve the  productivity, efficiency, and effectiveness of  federal programs.
Actions taken
OIRA works closely with the CIO Council to ensure the efficiency and effectiveness of interagency IT initiatives.
OIRA promotes the use of information technology by participating in interagency meetings, through the information collection review process, and desk officer  liaison activities with agencies.
According to OIRA officials, OIRA uses requirements for capital planning and  investment control processes, enterprise architectures, and business cases  during the budget process to improve how agencies plan, acquire, and manage  IT.
section_title: Related GAO Products
paragraphs: Bioterrorism: The Centers for Disease Control and Prevention’s Role in  Public Health Protection (GAO-02-235T, November 15, 2001)
Computer Security: Improvements Needed to Reduce Risk to Critical  Federal Operations and Assets (GAO-02-231T, November 9, 2001)
Homeland Security: Challenges and Strategies in Addressing Short- and  Long-Term National Needs (GAO-02-160T, November 7, 2001)
Electronic Government: Better Information Needed on Agencies’  Implementation of the Government Paperwork Elimination Act (GAO- 01-1100, September 28, 2001)
Homeland Security: A Framework for Addressing the Nation’s Efforts  (GAO-01-1158T, September 21, 2001)
Combating Terrorism: Selected Challenges and Related  Recommendations (GAO-01-822, September 20, 2001)
Electronic Government: Challenges Must Be Addressed With Effective  Leadership and Management (GAO-01-959T, July 11, 2001)
Information Management: Dissemination of Technical Reports (GAO-01- 490, May 18, 2001)
Internet Privacy: Implementation of Federal Guidance for Agency Use of  “Cookies” (GAO-01-424, April 27, 2001)
Paperwork Reduction Act: Burden Estimates Continue to Increase (GAO- 01-648T, April 24, 2001)
Record Linkage and Privacy: Issues in Creating New Federal Research  and Statistical Information (GAO-01-126SP, April 2001)
Information Management: Electronic Dissemination of Government  Publications (GAO-01-428, March 30, 2001)
Combating Terrorism: Comments on Counterterrorism Leadership and  National Strategy (GAO-01-556T, March 21, 2001)
Information Management: Progress in Implementing the 1996  Electronic Freedom of Information Act Amendments (GAO-01-378, March  16, 2001)
High-Risk Series: An Update (GAO-01-263, January 2001)
Major Management Challenges and Program Risks: A Governmentwide  Perspective (GAO-01-241, January 2001)
Determining Performance and Accountability Challenges and High  Risks (GAO-01-159SP, November 2000)
Electronic Government: Opportunities and Challenges Facing the  FirstGov Web Gateway (GAO-01-87T, October 2, 2000)
Federal Chief Information Officer: Leadership Needed to Confront  Serious Challenges and Emerging Issues (GAO/T-AIMD-00-316,  September 12, 2000)
Year 2000 Computing Challenge: Lessons Learned Can Be Applied to  Other Management Challenges (GAO/AIMD-00-290, September 12, 2000)
Internet Privacy: Agencies’ Efforts to Implement OMB’s Privacy Policy  (GAO/GGD-00-191, September 5, 2000)
Congressional Oversight: Challenges for the 21st Century (GAO/T-OCG- 00-11, July 20, 2000)
Revisions to OMB’s Circular A-130 (GAO/AIMD-00-183R, May 23, 2000)
Paperwork Reduction Act: Burden Increases at IRS and Other Agencies  (GAO/T-GGD-00-114, April 12, 2000)
Office of Management and Budget: Future Challenges to Management  (GAO/T-GGD/AIMD-00-141, April 7, 2000)
Managing in the New Millennium: Shaping a More Efficient and  Effective Government for the 21st Century (GAO/T-OCG-00-9, March 29,  2000)
Year 2000 Computing Challenge: Federal Business Continuity and  Contingency Plans and Day One Strategies (GAO/T-AIMD-00-40, October  29, 1999)
Managing for Results: Answers to Hearing Questions on Quality  Management (GAO/GGD-99-181R, September 10, 1999)
National Archives: Preserving Electronic Records in an Era of Rapidly  Changing Technology (GAO/GGD-99-94, July 19, 1999)
Paperwork Reduction Act: Burden Increases and Unauthorized  Information Collections (GAO/T-GGD-99-78, April 15, 1999)
Government Management: Observations on OMB’s Management  Leadership Efforts (GAO/T-GGD/AIMD-99-65, February 4, 1999)
Information Security: Serious Weaknesses Place Critical Federal  Operations and Assets at Risk (GAO/AIMD-98-92, September 23, 1998)
Regulatory Management: Implementation of Selected OMB  Responsibilities Under the Paperwork Reduction Act (GAO/GGD-98-120,  July 9, 1998)
Government Management: Observations on OMB’s Management  Leadership Efforts (GAO/T-GGD/AIMD-98-148, May 12, 1998)
Statistical Agencies: Proposed Consolidation and Data Sharing  Legislation (GAO/T-GGD-98-91, March 26, 1998)
Managing for Results: Observations on Agencies’ Strategic Plans  (GAO/T-GGD-98-66, February 12, 1998)
Managing for Results: Agencies’ Annual Performance Plans Can Help  Address Strategic Planning Challenges (GAO/GGD-98-44, January 30,  1998)
Managing for Results: Observations on OMB’s September 1997 Strategic  Plan (GAO/T-AIMD/GGD-98-10, October 6, 1997)
Agencies’ Strategic Plans Under GPRA: Key Questions to Facilitate  Congressional Review (GAO/GGD-10.1.16, May 1997)
Statistical Agencies: Consolidation and Quality Issues (GAO/T-GGD-97- 78, April 9, 1997)
Managing for Results: Enhancing the Usefulness of GPRA Consultations  Between the Executive Branch and Congress (GAO/T-GGD-97-56, March  10, 1997)
Information Technology Investment: Agencies Can Improve  Performance, Reduce Costs, and Minimize Risks (GAO/AIMD-96-64,  September 30, 1996)
Information Management Reform: Effective Implementation Is Essential  for Improving Federal Performance (GAO/T-AIMD-96-132, July 17, 1996)
Statistical Agencies: Statutory Requirements Affecting Government  Policies and Programs (GAO/GGD-96-106, July 17, 1996)
Federal Statistics: Principal Statistical Agencies’ Missions and Funding  (GAO/GGD-96-107, July 1, 1996)
Executive Guide: Effectively Implementing the Government Performance  and Results Act (GAO/GGD-96-118, June 1996)
Executive Guide: Improving Mission Performance Through Strategic  Information Management and Technology (GAO/AIMD-94-115, May  1994)