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

Mail

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