April 6, 2000
Andrew M. Cuomo
Secretary of Housing and Urban Development
Department of Housing and Urban Development
451 Seventh Street, SW
Washington, DC 20410
Dear Secretary Cuomo:
As you know, Congress is focused on ensuring
that the government effectively and efficiently manages its
information technology (IT) resources. The Clinger-Cohen Act of
1996 was enacted, in part, in response to concerns about how the
federal government was acquiring IT. The Act mandates that,
among other things, executive agencies design and implement
processes for IT capital planning and investment control,
implement specified IT-related actions to enhance performance
and results-based management, and establish Chief Information
Officers with certain defined duties and responsibilities. In
addition, the Act requires the agencies to identify IT
acquisition programs that have significantly deviated from their
cost, performance, or schedule goals. The Act also requires the
agencies to use, to the maximum extent practicable, modular
contracting for major IT system acquisitions.
The Senate Committee on Governmental Affairs
played a large role in the passage of the Clinger-Cohen Act, and
we maintain a high level of interest in compliance with its
provisions. As part of our oversight agenda, we have developed a
series of questions to ascertain the status of Clinger-Cohen Act
compliance in the agencies and departments subject to its
mandates. Your response to these questions will serve as the
basis for our further oversight on information technology
management issues.
As you prepare your responses to the following
questions, we ask that you provide sufficient documentation and
examples to support the answers you are providing to the
Committee.
Effectively Using Agency Chief Information
Officers
1. Please provide the name and official title of
the individual currently serving as Chief Information
Officer (CIO). If the individual is serving in an
"acting" capacity, please explain the steps you are
taking to finalize an appointment to this position.
(a) Since CCA enactment in February 1996,
how many individuals have served in the CIO position for
Department of Housing and Urban Development, and what were
the periods of their service?
(b) Does the CIO have a direct reporting
relationship to you? If not, to whom does the CIO directly
report on a day-to-day basis?
(c) Is the CIO a member of formal
executive-level strategic planning, budget, and program-area
process re-design committees, groups, or councils
established in Department of Housing and Urban Development?
(1) What are the responsibilities of the CIO on these
committees and groups? (2) Has the CIO made, or played a
vital role in making, strategic business decisions for the
department/agency? Please provide several noteworthy
examples.
(d) What, if any, additional duties or
responsibilities does the official designated as Department
of Housing and Urban Development CIO have other than
information resources management?
(e) Do the component organizations that
comprise Department of Housing and Urban Development also
have designated CIOs? If so, (1) how are they selected, (2)
to whom do they report, and (3) how is their decisional
authority defined by agency policy?
(f) In accordance with
CCA, has your CIO
provided annual reports to you on improvements in
information resources and technology management
capabilities? If so, please provide copies.
(g) What percentage of Department of Housing
and Urban Development total information management
and technology expenditures are controlled or approved by
the Department of Housing and Urban Development CIO?
Achieving Benefits From Capital Planning and
Investment Control Processes
2. Has Department of Housing and Urban
Development implemented complete and comprehensive IT capital
planning and investment management processes, as required by CCA
section 5122(a) and (b)? If not, what remains to be done and
what is the focus of current efforts?
(a) Please provide the Committee with
Department of Housing and Urban Development
definition
for what constitutes an IT investment for purposes of this
CCA section.
(b) Approximately how much, and what
percentage, of Department of Housing and Urban
Development total IT budget is subject to the IT
capital planning and investment management processes
established in your department/agency (including, as
always, its major components)?
(c) Please identify Department of Housing
and Urban Development top ten investment initiatives (in
terms of total acquisition dollars) that were approved by
the IT capital planning and investment approval process and
are currently in development or acquisition. Also, for each
of these initiatives, please (1) describe how Department of
Housing and Urban Development assessed cost, risk, and
return on investment in winning approval and (2) provide a
1-page exhibit that summarizes the cost, risk, and
return-on-investment data that were used for the investment
decision. (3) How confident are you in the quality of these
data for decision-making?
(d) If uses an executive management level IT
capital planning and investment control group (e.g.,
investment review board, IT investment committee, etc.),
does this group recommend or does it make final IT funding
decisions for the Department of Housing and Urban
Development? If the group does not make the final decisions,
who does?
(e) What means has your agency provided, in
accordance with CCA section 5122(b)(6), for senior
management personnel to obtain timely information on the
progress of information system investments? (1) To what
extent do these means include a system of milestones for
measuring progress, on an independently verifiable basis, in
terms of cost, capability of the system to meet specified
requirements, timeliness, and quality? (2) How confident are
you that the data being used for measuring progress are accurate,
reliable, and up-to-date?
(f) Has Department of Housing and Urban
Development, as required by CCA section 5127, identified in
its strategic information resources management plan any and
all major IT acquisition programs--or any phase or increment
of such programs--that have significantly deviated from the
cost, performance, or schedule goals established for the
program? (1) If so, which major IT acquisition program(s)?
If not, why not? (2) Whether or not your agency has
identified such significant deviations in its strategic IRM
plans, how does your agency define, for purposes of CCA
section 5127, (i) "major IT acquisition program"
and (ii) "significant deviation"?
Managing IT for Overall Performance and Results
3. As you are aware, CCA requires that executive
agencies measure how well IT is being used to support their
programs. For each of the top ten investment initiatives (in
terms of total acquisition dollars) currently in either
development, acquisition, or operation in Department of Housing
and Urban Development, please provide specific data on realized
and expected benefits to major operational or programmatic goals
outlined in your latest Government Performance and Results Act
strategic plan or annual performance plan. Also include the same
type of data for any other investments, currently in
development, acquisition, or operation, that you consider
critically important.
-
As required by section 5123 of
CCA,
please provide the Committee with a copy of your last three
annual reports on progress in achieving goals for improving
the efficiency and effectiveness of Department of Housing
and Urban Development operations and, as appropriate, its
delivery of services through the effective use of
information technology.
Improving Work Processes
4. Since enactment of
CCA, has Department
of Housing and Urban Development, in accordance with CCA
section 5123, (1) analyzed its missions and (2) based on the
analysis, revised its mission-related processes and
administrative processes, as appropriate, before making
significant investments in IT to be used in support of the
performance of those missions?
Acquiring IT Incrementally (Modular Contracting)
5. What progress has Department of
Housing and Urban Development made, and what obstacles still
remain, in implementing modular contracting, in accordance with
CCA section 5202?
(a) What criteria does Department of Housing
and Urban Development use for determining whether a modular
contracting approach is appropriate or not?
(b) Since CCA’s enactment, what percentage
of Department of Housing and Urban Development major
IT systems investments have used modular contracting? Also,
please indicate which systems and the dollar value of the
contracts.
Contracting for IT
6. Approximately how much did Department of
Housing and Urban Development obligate through contract actions
for IT products or services during each of the following fiscal
years: 1997, 1998, and 1999?
-
For each of the three fiscal years, what
percentage of the total dollars were obligated by (1)
issuing orders under existing indefinite delivery,
indefinite quantity (IDIQ) contracts (such as
government-wide contracts (GWACs), federal supply schedule
contracts, etc.) and (2) awarding new contracts or issuing
modifications to those contracts?
Because of upcoming oversight hearings planned
by the Committee in this area, it is critical that the Committee
receive your response by May 18, 2000. After receiving your
response, our staff may want to meet with your representatives
to discuss the information provided. If you or your staff would
like to discuss this request further, please contact Ellen B.
Brown or Susan Marshall of the majority staff at (202) 224-4751
or Debbie Lehrich of the minority staff at (202) 224-2627.
Thank you in advance for your attention to this
issue.
Sincerely,
Fred Thompson
Chairman
|
Joseph I. Lieberman
Ranking Minority Member
|
FT/sgm
|