FEDERAL INFORMATION SYSTEMS AND TECHNOLOGY PLANNING

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP89G00643R001000030033-7
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 15
• Document Creation Date: December 23, 2016
• Document Release Date: December 20, 2011
• Sequence Number: 33
• Publication Date: March 24, 1987
• Content Type: MISC

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EXECUTIVE OFFICE OF THE PRESIDENT 87-1319x
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON, D.C. 20503
March 24, 1987
BULLETIN NO. 87-10
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Federal Information Systems and Technology Planning
1. Purpose. This Bulletin provides guidance and instructions
to selected agencies for the preparation and submission of
information on their strategic plans for information systems and
technology.
2. Authority. This Bulletin is issued pursuant to the Budget
and Accounting Act of 1921, as amended; the Budget and Accounting
Procedures Act of 1950, as amended; and the Paperwork Reduction
Act of 1980, as amended.
3. Background. OMB Circular No. A-130, "Management of Federal
Information Resources," (December 12, 1.9'85), provides that
agencies shall "[e]stablish multiyear strategic planning
processes for acquiring and operating information technology that
meet program and mission needs, reflect budget constraints, and
form the basis for their budget request." Such plans are
necessary to --
- Improve agency management by providing timely information
to support decision-making and to forecast resource and
system requirements.
- Support government-wide planning and oversight by
providing consistent and complete information concerning
major information systems and technology investments.
Planning for information systems and technology in the Federal
government has evolved since the enactment of the Paperwork
Reduction Act of 1980. Initially, agencies were asked to submit
copies of any plans that they had already developed (OMB Bulletin
No. 84-9, dated March 27, 1984). Beginning in 1986, they were
asked to provide strategic overviews, and to identify and
describe significant information technology initiatives (OMB
Bulletin No. 86-12, dated April 14, 1986). The 1986 amendments
to the Paperwork Reduction Act, in addition to formalizing the
requirement that the government-wide five-year automatic data
processing and telecommunications plan be revised annually,
require that OMB report annually to the Congress on agency
accomplishments, new initiatives, and an assessment of the extent
to which government-wide policies promote or deter new
initiatives to acquire information technology.
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The information requested by this. Bulletin will be used for
several purposes --
- To encourage more effective planning by Federal agencies;
- To provide information on Federal information systems and
technology plans to the Congress and the public through "A
Five-Year Plan for Meeting the Automatic Data Processing and
Telecommunications Needs of the Federal Government";
- To provide information for the annual management and
budget review process; and
- To support analysis and development of Federal
information resources management policies.
Information submitted shall be consistent with the 1988 Budget.
4. Definitions. For purposes of this Bulletin, the following
definitions apply:
a. The term "information resources management" means the
planning, budgeting, organizing, directing, training, promoting,
controlling, and management activities associated with the
burden, collection, creation, use, and dissemination of
information by agencies, and includes the management of
information and related resources such as automatic data
processing equipment (as such term is defined in section 111(a)
of the Federal Property and Administrative Services Act of 1949
(40 U.S.C. 759(a)).
b. The term "information technology" means the hardware
and software used in connection with government information,
regardless of the technology involved, whether computers,
telecommunications, micrographics, or others. For the purposes
of this Bulletin, automatic data processing and
telecommunications activities related to certain critical
national security missions, as defined in 44 U.S.C. 3502 (2) and
10 U.S.C. 2315, are excluded.
c. The term "major information system" means an
information system that requires special continuing management
attention because of its importance to an agency mission; its
high development, operating or maintenance costs; or its
significant impact on the administration of agency programs,
finances, property, or other resources.
d. The term "significant information technology
initiative" means an agency project that is likely to result in
substantial investments to install, automate or modify a major
information system.
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The term "significant information technology initiative" includes
investments in hardware, software, and telecommunications. It
also includes actions that are part of the planning stage; e.g.,
feasibility studies of automation alternatives, benefit-cost
analyses, needs assessments, or technology evaluations that may
result in a new major information system or substantial
modification to an existing major information system.
e. The term "strategic planning" means a process of
defining agency missions and identifying agency goals, objectives
and activities over a specified period of time. With respect to
information systems and technology, strategic planning means
specifying the application of information technology and other
information resources to support identified missions and
objectives.
5. Changes from previous years.
a. Optional Electronic Submission. In addition to the
paper copies'of agency responses, agencies are requested to
submit, for Appendices A and C only, one single-spaced ASCII
version on a 5-1/4" double-sided double-density soft-sectored
diskette.
b. Appendix A. Agencies are asked to describe
accomplishments and initiatives in the improvement of information
resources management for the past fiscal year in the strategic
overview contained in Appendix A.
c. Appendix C. The Bulletin continues the requirement to
submit information on significant information technology
initiatives but places particular emphasis on priority
initiatives listed in the Information Technology section of
Management of the United States Government, Fiscal Year 1988.
d. Appendix D. The requirement for detailed responses on
specific technology issues, formerly contained in Appendix A, has
been moved to Appendix D. In accordance with the Paperwork
Reduction Act as amended, agencies are asked to provide
information assessing the extent to which current Federal
information resources management policies promote or deter
initiatives to acquire information technology. Agencies are also
asked to comment on compliance with the cost accounting and
recovery requirement contained in OMB Circular No. A-130.
6. Coverage. All agencies are required to establish
appropriate information technology strategic planning processes.
The following agencies are subject to the reporting requirements
of this Bulletin enumerated in paragraph 7.
Department of Agriculture
Department of Commerce
Department of Defense
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Department of Education
Department of Energy
Department of Health and Human Services
Department of Housing and Urban Development
Department of the Interior
Department of Justice
Department of Labor
Department of State
Department of Transportation
Department of the Treasury
Environmental Protection Agency
General Services Administration
National Aeronautics and Space Administration
Office of Personnel Management
Small Business Administration
Veterans Administration
Federal Emergency Management Agency
National Science Foundation
Nuclear Regulatory Commission
Railroad Retirement Board
United States Information Agency
Agency for International Development
7. Action Required. Not later than 10 weeks from the date of
issue, each department and agency listed in paragraph 6, above,
shall submit the following to OMB in three paper copies:
a. An agency strategic overview in accordance with
instructions in Appendix A. This will identify accomplishments
in, and planned initiatives for, the improvement of agency
information resources management. The overviews will be
published in the government-wide Five-Year Plan.
b. A revised list of major information systems in the
format prescribed in Appendix B. Agencies should use the list of
major information systems published in A Five-Year Plan for
Meeting the Automatic Data Processing and Telecommunications
Needs of the Federal Government, Volume I, September 1986, (pages
336 et. seq.).
c. Descriptions of significant information technology
initiatives in accordance with the instructions in Appendix C.
These descriptions will be published in the government-wide
Five-Year Plan.
d. Discussions of information technology strategies for
specific issues in accordance with the instructions in Appendix
D.
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8. Information Contact. Questions regarding a specific
agency's submission should be directed to the Desk Officer in
OMB's Office of Information and Regulatory Affairs who reviews
that agency. Questions regarding electronic submission of
Appendices A and C should be directed to Bruce McConnell
.(395-3785). Questions of a more general nature may be directed
to Sheri Fox (395-3785).
9. Sunset Date. This Bulletin expires March 31, 1988.
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Appendix A
Bulletin No. 87-10
INSTRUCTIONS FOR PREPARING
AGENCY STRATEGIC OVERVIEW
General: The purpose of the strategic overview is to describe
the program priorities of the head of the agency and to discuss
how information technology is being used to meet those
priorities. In addition, it seeks to identify specific ways
agencies are improving, or are planning to improve, the
management of their information resources pursuant to 44 U.S.C.
3514 (a)(9)(A). This information should not exceed four double-
spaced pages, and will be published in the 1987 Five-Year Plan.
Content. The strategic overview is a narrative with two
individual sections captioned as indicated below:
- Summary. Describe the agency's I program priorities and
explain how agency plans for information systems and
technology will support those priorities over the next five
years. Discuss major changes the agency has made in FY
1986 in its,planning for information technology resources
and any anticipated changes it will make in the next five
years. Explain the assumptions the agency is making about
changes in its programs and the policies governing them.
- Accomplishments and Initiatives. For FY 1986, describe
specific accomplishments in the improvement of, and planned
general management initiatives to improve, information
resources management in the agency (in addition to the
specific significant technology initiatives described under
Appendix C). Relate these accomplishments and initiatives
to the agency's program priorities. Discuss the scope of
the accomplishment or initiative, i.e. whether the effects
were or are agency-wide or bureau or system-specific, any
reduction of burden on the public, and any quantitative
measures of improved efficiency in the collection,
creation, use or dissemination of information. Discuss
associated milestones and time frames, where applicable.
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Format. (sample)
DEPARTMENT OF GOVERNMENT (bold,. uppercase)
1. STRATEGIC OVERVIEW (bold, uppercase) (begin title five spaces
from left margin)
a. Summary:
b. Accomplishments and initiatives:
General Requirements
Text on one side of sheet only
Double-space text
Paginate text
These General Requirements also apply to the format in
Appendix C.
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Appendix B
Bulletin No. 87-10
INSTRUCTIONS FOR PREPARING
LIST OF MAJOR INFORMATION SYSTEMS
For each major information system provide the following
information:
BUREAU NAME (if applicable)
System name: Short descriptive title. Spell out all acronyms.
Status code.*
Purpose and relationship to mission: What mission or program
does the system support? Not required for systems being deleted.
*Identify each entry as [N] new, [C] change or correction, [D]
delete or [NC] no change from 1986 inventory. Please refer to
Section V, Inventory of Major Federal Information Systems, in
Volume I of the 1986 Five Year Plan.
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Appendix C
Bulletin No. 87-10
INSTRUCTIONS FOR PREPARING
AGENCY DESCRIPTIONS OF SIGNIFICANT
INFORMATION TECHNOLOGY INITIATIVES
General: These initiatives describe significant actions underway
or planned by the agency to acquire information technology to
improve the agency's information resources management. These
actions should relate to the building or modification of major
information systems of the agency. This section should include
those initiatives designated as Presidential Priority and Future
Priority, in the Information Technology section of the Management
of the United States Government, Fiscal Year 1988, as well as all
other actions that meet the requirements of the definition of
"significant information technology initiative" contained in the
Bulletin. These include actions that have the potential to
impact major systems, e.g., a feasibility study to determine
whether new technologies could affect a major agency program.
Information provided shall be consistent with the 1988 Budget.
Content. Each initiative description must contain all of the
following elements, except as indicated, and should not exceed
two double-spaced pages in length, except for descriptions of
Presidential Priority initiatives, which should be more extensive
and detailed than those for other initiatives and may be up to
four double-spaced pages long. Each description should be in a
form suitable for publication in the Five-Year Plan, i.e., it
should be written in complete sentences and avoid the use of
organizational or technical jargon.
- Agency/bureau name.
- System name. In most cases this should be the name of a
major information system in the agency's current inventory.
- Objective. This section should answer the question: "What
is the problem to be solved?" This statement should be about
program needs, not information technology. Explain the
initiative's objectives and how the initiative is consistent with
the agency head's priorities outlined in the agency's strategic
overview (Appendix A). Descriptions should be quantitative and
provide measures of program size such as population served or
cases handled, as well as how the proposed initiative will change
system performance. These estimates should give the reviewer a
sense of the magnitude of the program and potential impact of the
initiative.
- Design Strategy. This section should discuss how the
agency intends to resolve the problem addressed in the section
above and discuss the system configuration as appropriate.
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- Summary of Prior Year's Performance. This section must be
provided for all Presidential Priority systems and, if
applicable, for other systems. Discuss major activities
accomplished, including adherence to established milestones and
completion dates. Relate these accomplishments to achievement of
system objectives. Discuss whether system implementation is
proceeding according to schedule. Explain any changes from the
descriptions contained in the 1986 Five-Year Plan in objectives,
strategy or schedule.
- Milestones. Describe key project deliverables with a date
(month and.year).for each. This section must contain at least
one future deliverable. In some cases, it may be appropriate to
include only one milestone; e.g., the completion of a study on
which further discussion is to be based. Where future actions
are contingent on unknowns; e.g., a demonstration of technical
feasibility, the schedule should so note.
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c. Pricing. Describe the elements involved in pricing
services provided to users and how the pricing strategy ensures
the equitable distribution of costs among all users.
d. Cost Recovery. Describe the procedures the agency has
established to recover or collect full costs from all Federal
users, including both intra-agency and inter-agency users.
Describe how successful the agency has been in implementing this
policy.
e. Management Control. Describe the procedure the agency
has established for the selection of facilities to support new
applications. Describe any impediments that prevent users within
the agency from seeking alternative, non-internal services.
f. Date of Implementation. The effective date of
implementation of this provision is the beginning of FY 1987.
Describe what plans the agency has made to implement these
procedures if they are not already in place. Describe any
impediments that exist to prevent the agency from establishing
the cost accounting, user cost distribution, cost recovery or
management control systems required by Circular No. A-130.
g. Accomplishment of Goals. Based on the agency's initial
experience with implementation of this provision, describe how
well the agency is meeting the provision's intended goals as
enumerated in Circular A-130.
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Format. (sample)
DEPARTMENT OF GOVERNMENT (bold, uppercase)
2. SIGNIFICANT INFORMATION TECHNOLOGY INITIATIVES (bold,
uppercase)
Bureau Name (bold)
a. System Name (bold)
Objective:
Design Strategy:
Summary of Prior Year's Performance:
Milestones:
Milestone
b. System Name
MO/YR
For General Requirements, see format in Appendix A.
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Appendix D
Bulletin No. 87-10
INSTRUCTIONS FOR PREPARING
INFORMATION ON SPECIFIC INFORMATION SYSTEMS AND TECHNOLOGY ISSUES
General: The Office of Management and Budget has identified
several information systems and technology issues that are likely
to have significant effects on agency programs or to create
important opportunities to improve efficiency and effectiveness
in program delivery. OMB will use agency responses to determine
whether policy changes or additional guidance in these areas
would increase the efficient and effective management of
information resources. Several issues included in previous
bulletins are not included this year, including
telecommunications, end-user computing, and electronic
information collection and dissemination, because asking agencies
for more experiential data would not be useful at this time.
1. Policy Assessment
Pursuant to 44 U.S.C. 3514(a)(9)(C), OMB will be analyzing the
extent to which current Federal information resources management
policies, principles, standards, and guidelines, promote or deter
initiatives to acquire information technology to improve
information resources management within agencies.
Discuss how these policies, principles, standards and guidelines
are enhancing or hindering the significant initiatives listed in
the agency response to Appendix C of this Bulletin. To the
extent that they apply specifically to the listed initiatives,
agencies should comment on the following areas:
a. Agencies may have identified approaches to complex
information resources management problems (such as the
coordination of responsibilities across bureaus in large
procurements, the establishment of agency-wide project management
standards, etc.) that are unusually successful or innovative.
Give specific examples of how Federal information resources
management policies and procedures influenced the design of these
approaches.
b. Agencies may have encountered regulatory or other
impediments contained in Federal policies and procedures in the
course of pursuing the listed initiatives. Give specific
examples.
c. Suggest specific changes to existing policies (e.g.,
consolidation and rationalization of conflicting rules, reduction
in documentation or reporting requirements, delegations of
management authority, changes in management structure, etc.) that
would improve agency information resources management. Indicate
specifically how the proposed change would affect the listed
initiatives.
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2. Software Modernization.
Agencies should discuss their progress in reducing
obligations incurred for maintaining software. The goal stated
in the FY 1986 report on Management of the United States
Government was a 25 percent reduction in software maintenance
obligations government-wide over three years. Agencies should
update their estimates of obligations incurred for maintaining
software that was operational in FY 1986 in the following format:
(1) (2) (3) (4)
System Year Lines of Code Maintenance Obligations
Name Implemented (thousands) FY86 FY87 FY88 FY89
List individually all major information systems that are fully or
partially automated and the software component of which contains
more than 500 thousand lines of code or requires obligations of
more than $500,000 per year to maintain. Aggregate all other
major information systems under "other".
In addition, for each system listed that was installed prior to
1978, either describe specific plans and timetables for
reengineering or replacing the system, or provide an explanation
of why continuing to maintain the system is justified.
3. Cost Accounting and Recovery
OMB Circular No. A-130 provides that agencies shall account for
the full costs of operating information technology facilities and
recover such costs from government users. The purposes of this
initiative were to minimize the cost and maximize the usefulness
of government information activities.
Agencies should describe their current policies and procedures to
ensure compliance with this requirement, as it applies to both
intra-agency and inter-agency users. Specific areas to be
covered include the following:
a. Cost Accounting. Describe how the agency accounts for
the full cost of the operation of the information technology
facility. Describe the system the agency has established to meet
this requirement.
b. Distribution of charges. Describe how the agency
distributes the full cost of providing services to all users.
Describe the system the agency has established to bill users for
services provided. Describe any arrangements the agency has made
for distributing the full costs of dedicated services and
equipment or unique software to relevant users.
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