April 7, 2023 1
From the Strategy to the 300: Building and Managing E-Government
Dan Chenok
Branch Chief for Information Policy and Technology
Office of Management and Budget
Executive Office of the President
April 7, 2023 2
• Strategic Management of Human Capital
– Adopt IT to capture employees’ knowledge and skills
– Acquire and develop talent and leadership
• Competitive Sourcing
– Improve procedures to evaluate public and private sources
– Better publicize activities subject to competition
• Improved Financial Performance
– Baseline erroneous payments and establish goals for reduction
– Ensure financial systems produce accurate and timely information
• Expanded Electronic Government
– Simplify and unify around citizen needs
– Support projects that performance across agency boundaries
– Maximize interoperability and minimize redundancy
• Budget and Performance Integration
– Use performance information to make budget decisions
– Link performance and cost in a performance budget
The President’s Management Agenda sets forth a strategy to ensurethat the Federal Government is well-run and results-oriented
Page 2
April 7, 2023 3
The Expanding E-Government Strategy
The Vision: an order of magnitude improvement in the federal government’s value to the citizen; with decisions in minutes or hours, not weeks or months.
E-Government Definition: the use of digital technologies to transform government operations in order to improve effectiveness, efficiency, and service delivery.
The Principles: Citizen-Centered, Results-Oriented, Market-based Integral component of President’s Management Agenda Simplify and Unify“Government likes to begin things - to declare grand new programs and causes. But good beginnings are not the measure of success. What matters in the end is completion. Performance. Results. Not just making promises, but making good on promises." President George W. Bush
April 7, 2023 4
Government to Citizen
Government to Government Internal Effectiveness and Efficiency
1. USA Service 2. Free File 3. Online Access for Loans 4. Recreation One Stop5. Eligibility Assistance Online
1. e-Vital2. e-Grants3. Disaster Management4. Geospatial Information One Stop 5. Project SAFECOM
1. e-Training 2. Recruitment One Stop3. Enterprise HR Integration (includes e-Clearance)4. e-Travel 5. Integrated Acquisition6. e-Records Management7. Payroll Processing
Lesson Learned: Citizen-centered Initiatives can work, but No Magic
Formula Exists
Managing Partner
OPMOPMOPM
GSAGSANARAOPM
Managing Partner
SSAHHSFEMADOI
FEMA
Managing Partner
GSATREASDoEdDOILabor
Government to Business1. Federal Asset Sales2. Online Rulemaking Management3. Expanded Electronic Tax Products4. Consolidated Health Informatics 5. Business Compliance One Stop6. International Trade Process
Streamlining
Managing PartnerGSAEPATreasHHSSBADOC
E-Authentication
April 7, 2023 5
The Statutory Framework
PRA: Sets overall framework for OMB oversight of IP and IT
GPEA: Make all transactions electronic, when practicable, by October 2003.
-- Along with the Electronic Signatures in Global and National Commerce Act, creates legal framework for online commerce
Clinger Cohen: Requires sound investment through Capital Planning that is tied to Agency missions and strategic goals
Federal Information Security Management Act: Attention to security in all agency applications, accountability to OMB and Congress
Privacy Act: Continues to be the foundation of Federal policy for protecting and sharing personal information
Section 508: Ensure accessiblity for all
April 7, 2023 6
• Signed December 2002, Effective April 2003
• Codifies OMB’s role: E-Gov Administrator and Office of E-Government
• Codifies CIO Council
• Agencies develop citizen and productivity-related performance measures to support agency objectives, strategic goals, and mandates.
• Endorses and requires agencies to support cross agency e-gov initiatives
• Furthers many of the 24 Presidential E-Gov initiatives
E-Gov Act
April 7, 2023 7
Current IT Spending Decisions Reflect A Structured Federal IT Capital
Planning Process
June: A-11 Guidance published; business cases must address project value, program plan, cost/schedule, risk management, and leverage partnering around E-Gov projects and the FEA BRM Lines of Business
May-August: OMB memoranda identified potential opportunities for leveraging cross agency partnering.
September: Agencies submitted business cases and IT portfolios in September, with ongoing updates; data arrived via Extensible Markup Language (XML) and were made available for on-line analysis within OMB.
Autumn: OMB reviewed and scored business cases based on A-11 Criteria–Agencies were provided scores and resubmitted improved business cases. OMB identified opportunities for consolidation. Investment increases were directed to priority areas such as Homeland Security, the war on terrorism and modernization.
Now: Agencies continue to improve business cases and revise IT Budgets to reflect decisions.
April 7, 2023 8
Federal IT Investment Portfolio for 2004: Requested at $59 Billion
(dollars in billions)
$52.6
$52.6
$52.6
$1.6
$1.6 $5.1
$48.0 $50.0 $52.0 $54.0 $56.0 $58.0 $60.0
2003 Base
2003 Updated
2004 Request
Base Better Reporting Homeland Security, War on Terrorism, and Other Modernization Increase
$3.9
April 7, 2023 9
Fiscal Year 2003 Budget
Major Projects
Small Projects
Fiscal Year 2004 Request
Major Projects
Small
Visibility Leads to Smarter
Decision-Making
$34.6B
$18B$24.3B $35B
Most agencies reported more business cases for 2004. Several agencies grew significantly – 14 business cases from 2003 to over 100 in 2004, 26 business cases in 2003 to over 100 in 2004, etc.
April 7, 2023 10
2004 Budget Federal IT Investment Portfolio
(dollars in billions)
$4.7 (IT Security is included in the
Mission Area and Office
Auto/Infrastructure)
$37$21
$1
Mission Area Projects
Office Automation/Infrastructure
Enterprise Architecture IT Security
300+ projects ($8 Bn) have good business cases; over 750 projects ($21 Bn) “At-risk” requiring business case
enhancements• Better project management• Integration with the Modernization Blueprint• Satisfy the security criterion • Link the investment to agency strategic goals and provide performance objectives• Adequately address the risks
April 7, 2023 11
Business Cases Drive Performance Improvement
Agency’s IT Budget
Submission
Business Cases
Clear Performanc
e Gap IT will
address?
Should the Federal
Government perform
this function?
Support the PMA and is
it collaborativ
e?
Part of the Modernization
Blueprint?
Clear performance
goals and measures tied to the business?
3 Viable Alternatives for closing
the performance
gap?
Performance Based
Acquisition and
Contracts?
Yes Yes
Yes Yes Yes Yes
Strong Risk Management
Plan?
Project Management
Plan with milestones?
Addresses Security and
Privacy?
Life-Cycle Costs are well planned and appropriate?
Yes
Yes Yes Yes Yes $
April 7, 2023 April 7, 2023
Budget ImplementationBudget Implementation
• OMB Circular A-11, Preparation and Submission of Budget Estimates– Budget Requests
• Budget Exhibit 53, Agency IT Investment Portfolio
– Strategic Plans & Annual Performance Plans– Planning, Budgeting & Acquisition of Capital
Assets• Budget Exhibit 300, Capital Asset Plan &
Justification (Business Case)
April 7, 2023 13
OMB Circulars A-11 and A-OMB Circulars A-11 and A-130130
Pulling it all together. . .Pulling it all together. . .
• IRM Strategic Plan (Paperwork Reduction Act)
• Enterprise Architecture (Clinger-Cohen Act)
• Documented CPIC Process (Clinger-Cohen Act)
• Agency Capital Plan (Circulars A-11 and A-130)
– CAPs, Agency IT Portfolio, Report of Financial Management Activities and attendant documents, Transforming the Agency discussion, and CPIC Control (all IT Investments).
– All Section 53, and 300 documents updated to reflect President’s Decisions and resubmitted.
April 7, 2023 14
Informing the CPIC Processes – Lessons Learned
• Heightened focus on project management• Scrutiny of acquisition strategies (performance
based)• More enterprise licenses and consolidated office
automation and infrastructure buys• Continued focus on security and privacy• Integrated Business Case for infrastructure• Further integration with the budget process• Implementing Modernization Blueprints tied to
the FEA
April 7, 2023 15
Key Elements Of The FY03 and FY04 IT Agenda
• Driving results & productivity growth: IT and management reform investments that create an order of magnitude improvement in value to the citizen, especially homeland security info sharing and knowledge flow
• IT Cost Controls: Consolidation of redundant and overlapping investments, Enterprise Licensing, Fixing cost overruns, Competing away excess IT Services charges
• E-Gov Act implementation: Government wide architecture governance, including web-based strategies for improving access to high quality information and services
• Cyber Security: Desktop, data, applications, networks, threat and vulnerability focused, business continuity, privacy protection
• IT workforce: Conduct training and recruitment to obtain project management skills, strategic CIO staff, and architects that have a Passion for Solutions
April 7, 2023 16
Business Reference Model (BRM)• Lines of Business• Agencies, Customers, Partners
Service Component Reference Model (SRM)• Capabilities and Functionality• Services and Access Channels
Technical Reference Model (TRM)• IT Services• Standards
Data Reference Model (DRM)• Business-focused data standardization • Cross-Agency Information exchanges
Bu
sin
ess-D
riven
Ap
pro
ach
Performance Reference Model (PRM)
• Government-wide Performance Measures & Outcomes• Line of Business-Specific Performance Measures & Outcomes
The Federal Enterprise Architecture will drive consolidation and transformation
Federal Enterprise Architecture (FEA)
Com
pon
en
t-Based
Arc
hite
ctu
re
April 7, 2023 17
What Will the FEA Reference Models Do?
• Provide consistent definitions and constructs of the business, performance and technology of the Federal Government.
• Serve as a foundation to leverage existing processes, capabilities, components and technologies to build target enterprise architectures.
• Facilitate cross-agency analysis and the identification of duplicative investments, gaps, and opportunities for collaboration within and across Federal Agencies (e.g., 6 LOBs).
April 7, 2023 18
Lessons Learned: Need to Simplify and Unify Business Lines
On average 10 Cabinet Departments and agencies per Line of Business
On average 21 Cabinet Departments and agencies per Line of Business
All 24 Cabinet Departments and agencies per Line of Business
Government-to-CitizenAccess Channels
Employee- to-Employee Access Channels
Internal Operations / Infrastructure
Human Resources, Financial Management Admin Supply Chain Management
Human Resources, Financial Management Admin Supply Chain Management
Inter-Agency Intra-Agency
Support Delivery of ServicesLegislative ManagementBusiness Management of InformationIT ManagementPlanning and Resource AllocationRegulatory Management
Controls and OversightPublic AffairsInternal Risk Management and MitigationFederal Financial Assistance
WebServices
Telephone-Voice-Interactive
E-systemto System
Public/PrivatePartnerships Fax
Face toFace Mail
Program Admin ComplianceServices to Citizens
Public Asset ManagementMarketable Asset ManagementDefense & Nat’l Security OpsDiplomacy & Foreign RelationsDisaster ManagementDomestic EconomyEducationEnergy ManagementInsurancePublic HealthRecreation & National ResourcesSocial ServicesR&D & Science
Regulated Activity ApprovalConsumer Safety
Environmental ManagementLaw Enforcement
LegalRevenue Collection
Trade (Import/Export)Transportation
Workforce Management
Program Admin ComplianceServices to Citizens
Public Asset ManagementMarketable Asset ManagementDefense & Nat’l Security OpsDiplomacy & Foreign RelationsDisaster ManagementDomestic EconomyEducationEnergy ManagementInsurancePublic HealthRecreation & National ResourcesSocial ServicesR&D & Science
Regulated Activity ApprovalConsumer Safety
Environmental ManagementLaw Enforcement
LegalRevenue Collection
Trade (Import/Export)Transportation
Workforce Management
Telephone-Voice-Interactive
E-systemto System/
Web Services
Public/Private
Partnerships
Fax Kiosk Face toFace
Internet/Portal
Intranet/Portal
April 7, 2023 19
What it takes to get to Green
• Agency E-government Progress– Modernization Blueprint --
Enterprise Architecture– Business Cases -- Capital
Planning and Investment Control
– IT Program Management– IT Security
• Agency is a Solution Partner in Multi-agency E-Government Initiatives (3 of 4 Citizen-centered groups)
April 7, 2023 20
Overcoming Chronic Problems Requires a Passion for Solutions!
Citizens Get Value & Agencies Get Green
Federal IT Investment Portfolio
Enterprise Architecture
Authentication
Security
e-Gov Policy
Privacy
Capital Planning
Teamwork
Process Improvement
LOB Ownership
Cross- Information Sharing
Strategic Alignment
Data Standardization
Joint Business Cases
Project Management