NTIA

STRATEGIC

INFORMATION

TECHNOLOGY

PLAN

January 1998



U. S. Department of Commerce
National Telecommunications
and Information Administration
14th and Constitution NW
Washington, DC 20230



Table of Contents

Introduction 1

IT Plan Development Process 1

Agency Strategic Plan 2

IRM Mission 4

IT Decision Making Process 6

Strategic Issues and Strategies 6

Current Status 8

Impact of Program Growth on IT Strategies 10

Security 10

Year 2000 11

Capital Planning 12

Financial Summary 15

Program Overviews 16

Appendix I: NTIA's Information Architecture 21

Strategic Information Technology Plan

FY 1999 - FY 2004

INTRODUCTION

The National Telecommunications and Information Administration (NTIA) is the President's principal adviser on telecommunications and information technology issues. NTIA represents the Executive Branch in both domestic and international telecommunications policy activities, manages the Federal use of the spectrum; administers infrastructure grants to support the development of a national information infrastructure accessible to all Americans; manages public telecommunications facilities grants designed to maintain and extend the public broadcasting infrastructure; and performs cutting-edge telecommunications research and engineering, including resolving technical telecommunications issues for the Federal government and private sector.

As we approach the new millennium, our concepts of how we work, how we gather information and how we initiate the transactions necessary to perform our daily functions are undergoing rapid change. The combination of computers and rapid low-cost transportation of information and goods is causing a redefinition of terms such as "workplace" and "expert". The notions of work being performed at a fixed place and information relating to a particular subject (knowledge) being localized in an expert are being called into question.

In the '80s and '90s the combinations of computers, transportation and communications made "just in time" manufacturing a possibility. The same trends are continuing and will soon revolutionize service sector jobs as well. Government is a service and information business. Largely influenced by these factors, NTIA's business -- telecommunications and information policy -- is continuing to exhibit dramatic growth rates that, based on straight-line projections, ensure that this sector will continue to be a dominate force in the world's economy. It is within this context that NTIA's information technology strategic plan must be framed, to enable the agency to respond to and thrive in this environment. How do we transition to the new paradigm? What are the steps we need to take to equip our staff with the tools and skills to operate in an environment where "workplace" becomes "work context" and where knowledge of tools becomes more important than knowledge of a particular subject.

IT PLAN DEVELOPMENT PROCESS

The Information Resources Strategic Plan was developed with the participation of NTIA's senior management including the COO (Deputy Assistant Secretary Shirl Kinney) and CEO (Assistant Secretary Larry Irving). The plan was originally developed by NTIA's CIO (Sarah Maloney) in consultation with the information resources management (IRM) staff from each of the operating units. The plan was then submitted to NTIA's COO and the heads of each of the operating units. The plan was also posted on NTIA's internal Web site for staff review and comment. This year's plan is again a joint effort of the IRM managers of each of the operating units and the CIO. Critical issues were identified by the IRM managers and the CIO in consultation with their customer base. The major elements of the plan were then reviewed by the CEO, COO, office heads and senior staff as a part of NTIA's overall strategic planning process. The results of that process were fed back into the current plan. This year's plan will, once again, be posted on NTIA's internal Web site for staff review and comment.

AGENCY STRATEGIC PLAN

The Government Performance and Results Act (Public Law 103-62 of August 3, 1993), commonly referred to as GPRA, provided a guideline for the development of NTIA's strategic plan in 1997. As an active participant in the Department of Commerce's strategic planning efforts, NTIA senior managers became convinced that implementing an agency strategic planning process would allow them to improve the management and effectiveness of the agency. Within the resources available to the agency, NTIA addresses the highest priority issues in telecommunications and information today and maximizes the return on those resources by utilizing this expertise throughout its programs. Our analysts must tackle not only the complexities of developing national policies but also must draw upon their technical expertise to understand how these policies can help or hinder development. They must also rely on their applications experience to gauge the impact on communities and individuals. This internal synergy is critical to NTIA's credibility and respect in the community; the agency's power of influence and ability to successfully advocate positions is a direct result of this synergy.

The NTIA plan sets forth our vision for the future, defines our mission, and establishes goals and objectives. Formal strategic planning represents a management change for NTIA -- a change which will help create a more effective agency, one capable of assisting consumers and industry to benefit from the emergence of the telecommunications and information industries as the fastest growing and most productive sectors of our economy.

NTIA's vision, mission and the strategic goals and objectives that follow, guide the National Telecommunications and Information Administration in its unique role against the backdrop of an exciting, demanding, and promising future.

Vision:

NTIA envisions a world where telecommunications

and information technologies are used to protect and

improve the global quality of life.

Mission:

NTIA's mission is to promote the efficient and effective use of telecommunications and information resources in a manner that creates job opportunities, enhances U.S. competitiveness, and raises the standard of living.

Goals and Objectives

The following agency goals and objectives define NTIA's priority efforts. The goals are not listed in any relative priority order and the agency does not plan to prioritize these goals against each other at this time.

A summary table illustrates the relationship of NTIA's seven goals to the Commerce Department's three strategic themes:

DOC THEME

NTIA GOAL

Promote U.S.
Competitiveness
Science and
Technology
Resource
Management
1. Affordable Access
X
X
 
2. Radio Spectrum Policies  
X
X
3. Manage Federal Use of the

Spectrum

X
X
X
4. Advanced Technology
X
X
X
5. Domestic Infrastructure
X
X
 
6. Diversity in electronic media
X
X
 
7. International Competitiveness
X
   

Goal 1: Increase the availability of affordable access to telecommunications and information services for all Americans.

Goal 2: Develop and promote policies and plans for use of the radio spectrum that provide the greatest benefit for all Americans.

Goal 3: Implement policy and plans to manage and conserve Federal use of the radio spectrum considering the national interest.

Goal 4: Promote applications of advanced telecommunications and information technology that benefit all Americans.

Goal 5: Act as a catalyst for domestic telecommunications and mass media infrastructure development.

Goal 6: Promote the free flow of information and diversity of voices in the nation's electronic media.

Goal 7: Promote U.S. telecommunications and information competitiveness abroad.

The major program areas integral to NTIA's mission are:

• Telecommunications and Information Infrastructure Assistance Program;

• Domestic Telecommunications Policies, including universal service, changes to the modified final judgement (consent decree), minority telecommunications development, and Personal Communications Services;

• International Telecommunications Policies, including development and coordination of international meetings and summits;

• Spectrum Management for the U.S. Government ;

• Telecommunications Research and

• Public Telecommunications Facilities Program.

INFORMATION RESOURCES MANAGEMENT MISSION

NTIA's IRM mission is to provide the infrastructure to support the accomplishment of the Agency's goals and objectives. There are three primary components of the mission. First, to ensure that all NTIA employees have the tools (hardware, software, and training) and access to the internal and external information resources necessary to perform their responsibilities. Second, to ensure that NTIA's work products and appropriate information concerning NTIA's activities are readily available to NTIA customers and the general public. Third, to satisfy NTIA's mission-oriented data processing requirements in a timely and cost-effective manner.

The following minimum IRM capabilities are essential to ensuring the productivity of our workforce:

• Access to both internal and external information resources and electronic mail (Email);

• Common agency standards for information creation, access and dissemination;

• Access to the most appropriate hardware and software, including portable computers;

• Remote access to Email and internal information and;

• Modernization of legacy systems.

Of equal importance is the use of advanced technology to assist NTIA's efforts to disseminate information to the public and respond to the issues raised by the National Performance Review.

The ongoing activities necessary to support our IT goals include:

• Integrating NTIA's Email packages with those of other DOC Agencies and constructing a standards - based common directory of addresses within DOC;

• Ensuring direct/full Internet access for all NTIA employees;

• Providing all NTIA information and work products in electronic form for both internal and external consumption;

• Providing staff access to both internal and external information via a Web browser interface;

• Upgrading hardware to ensure that the "horsepower" is available to run advanced applications;

• Maintaining information dissemination tools such as Web and List Servers;

• Experimenting with new technologies to improve the use and flow of information both within NTIA and with our customers and the public, and;

• Moving spectrum management activities from a mainframe to a workstation-based client server environment.

The members of NTIA's Information Technology Committee earned the Vice President's Hammer Award for Customer Service for their early focus on the use of electronic information dissemination strategies to meet customer needs. NTIA was among the first Government agencies to establish a Web site on the Internet. The organization and presentation of NTIA's Web site is under constant review and maintenance procedures have been established. Since so much of NTIA's work product is information--whether it be a report, grant award, frequency assignment, congressional testimony, filings before the Federal Communications Commission (FCC), studies, or compilation of public comments--we will benefit from distributing that information in the most effective and useful way possible. Today, in many cases, the most effective way to distribute that information is electronically. Agency guidelines have been developed and each NTIA office is now disseminating information and products to the public and to government customers via the Internet as well as through other electronic modalities as appropriate.

IT DECISION MAKING PROCESS

The agency CIO is located in the Office of Policy Coordination and Management and responsible for oversight of all NTIA IRM activities. The Office of Policy Coordination and Management (OPCM) continues to be responsible for agency-wide information technology issues and coordination. In November 1994, NTIA established an Information Technology (IT) Committee, with representatives from all program areas, to provide advice and assistance in this area. This committee is chaired by the CIO.

All new initiatives are reviewed by the CIO and, where appropriate, are selected for review by the Investment Review Board (see section on Capital Planning). In addition, NITA's CIO and operating unit IRM managers meet monthly to exchange information, review progress of IT initiatives and insure that Agency priorities are being addressed.

STRATEGIC ISSUES and STRATEGIES

As more and more people adopt technology in their everyday lives, the demand for information assistance and leading edge technology increases.

NTIA's senior managers have identified three primary strategic IT issues for the agency and DOC has identified two Department-wide issues. Following each strategic issue are the strategies NTIA will employ.

1. Provide NTIA with an integrated and extensible information technology infrastructure:

  • •Monitor changes to the information architecture of each of NTIA's Offices to maintain compatibility of basic Email and productivity applications.

• Plan for new capacity and configuration requirements for the integration of video and voice into the network infrastructure.

• At the Agency level, evaluate current Email, productivity and mission-specific applications for potential to conform to a "standard" web-browser interfaces

• Enable NTIA staff to perform their duties independent of their location.

• Insure funding for equipment upgrades and additional software

2. Information Dissemination and Exchange:

• Continue to emphasize electronic modalities such as the NTIA Web site, list servers and Email as the primary conduits for providing information to NTIA's government customers and to the general public.

• Emphasize electronic modalities such as Email, the NTIA Web site, list servers and as the primary conduits for receiving information from NTIA's government customers and to the general public.

• Enhance the NTIA Intranet to provide "one-stop-shopping" for all internal NTIA information.

3. Modernizing Spectrum Management IRM capabilities:

• Move from the present mainframe environment to a workstation-based client server environment.

• Automate processing of requests for spectrum certification.

• Develop desktop spectrum management capability.

The following two issues have been identified by the Office of the Secretary as DOC-wide strategic issues:

  • Year 2000 compliance

• Validation of Year-2000 compliance for mission-critical systems and software.

• Validation of Year-2000 compliance for PCs, major productivity software packages and date-dependant network equipment.

  • Security

• Assess sufficiency of present Internet firewall capabilities.

• Follow Departmental ADP security guidelines to insure that all classified and sensitive systems are sufficiently protected.

NTIA is dependent upon either the Department of Commerce or other Commerce agencies for most administrative support services, including procurement, payments, financial reports, and audits. As NTIA continues to increase its dependence on electronic communications and processes, we will be focusing on Departmental systems, specifically the Commerce Administrative Management System (CAMS), and ensuring that internal agency processes and systems are capable of electronically interfacing with little or no disruption to the user.

Following are additional strategies that NTIA will follow as we continue to enhance the role of information technology in our day-to-day business:

• Continuous monitoring and needs assessment of NTIA staff and customer requirements that can be met electronically. These needs will be identified through meetings with NTIA staff, customer satisfaction surveys, and reviews of how information technology contributes to the mission accomplishment of other organizations.

• Identify the potential problems that could limit our dependence on information technology, including reliability, privacy and security considerations, effect on clients without access to information infrastructure or computers, and future funding constraints.

CURRENT STATUS

As a lead agency in the Administration's efforts to promote development of the National Information Infrastructure (NII), NTIA intends to continue to incorporate the principles of information technology in its daily work activities. In addition, NTIA is providing direct support to the Secretary in fulfilling the Department's electronic commerce responsibilities.

NTIA has been among the earliest of the Government Agencies to provide its staff with personal computers, local area networks and Email. We also had leadership roles in providing information to our customers via CD-ROMs, bulletin board systems and Web servers accessible over the Internet.

Specific objectives undertaken in support of the above strategies are detailed below:

• Enhancing the ability of NTIA staff to access their Email, Calendar and documents over the Internet from remote locations. [By December 1998]

• Continuing to place a high priority on providing electronic information dissemination through our Internet Web and list servers. In March 1995, NTIA established an information dissemination policy to ensure that all NTIA public releases--whether it is a spectrum report, an advisory committee report, or even an FCC filing--be made available electronically no later than the time that the information is available in hard copy. Items that will appear in the Federal Register can be made available electronically the day they appear in the Register. [NTIA reports and filings are now available in electronic format before or at the same time as the print version. Additionally, we have been using Internet "broadcast" technology to make real-time audio and video of NTIA public meetings, forums and summits available to a wider audience. The remote audience also can submit questions to speakers or panelists via Email]

• Using automated systems, including list servers, advanced email response techniques and voice auto-attendant/fax-back systems, to provide more rapid response to customer inquiries and reduce staff resources required to respond to routine inquiries. [List servers are in daily use for disseminating information to the public and for NTIA-chaired working groups. An automated Fax system has been installed in OTIA.]

• Disseminating internal information through a web-based intranet [ NTIA set up a restricted-access internal Web site for its employees in 1995. The "NTIA Resources" web page is automatically loaded upon login to the NTIA network and provides access to phone and resource lists, personnel and human resources information and collections of NTIA documents and reports.]

• Transitioning all employees to a single graphical user interface allowing access to both internal and external resources [Document viewers have been incorporated into our internet browsers and Microsoft, as well as other software vendors are reformatting their user interfaces to be web-browser compatible. Our Email and calendaring/scheduling applications should be available through a Web browser interface by the end of 1998]

• Modernizing the IRM capabilities used to support spectrum management. This modernization effort has a number of elements. These elements include: replacing mainframe computer systems with workstations, replacing COBOL and FORTRAN software with client/server software using SQL commands and a database management system, developing a desktop spectrum management system for use by other Federal agencies, developing a data dictionary to define spectrum management data requirements, and developing a new automated system to process requests for spectrum certification. [The transition of the Spectrum Management System from our UNISYS main frame to HP workstations and a Sybase database will be completed by December 1998. The desktop spectrum management system has been deployed and the data dictionary will be completed by December 1999.]

• Using imaging techniques to reduce data entry requirements and for improved document management, storage, indexing, searching and retrieval [Much of the initial data entry for new grant applications for OTIA is now being done by a combination of scanning and optical character recognition. OSM is procuring contractor services to scan and digitize a large number of historical frequency management documents.]

• Insuring Year 2000 compatibility. NTIA has made significant progress in insuring that our computer systems and proprietary software will be operational after the turn of the century. NTIA has two mission critical systems, the first is used by OSM in managing government spectrum and the second by OTIA in managing our grants process. All new PCs are required to be Year-2000 compliant when purchased. [Year-2000 corrections have made to the Spectrum Management System and spectrum requests into the next century are being processed. The Grants Management System is in the process of being completely re-written with year 2000 compatibility a requirement. It is scheduled to be in operation at the end of FY 1998 and will be validated at that time. All older PCs and File Servers, still in use at that time, will be tested by August 1999.]

• Instituting improved security procedures for the protection of sensitive information and mission critical systems [An IT security officer was appointed in September 1997. He is currently reviewing the present NTIA security plan and will update it by December 1998.]

These efforts will make communicating with the government easier and faster and provide our customers, the American people, with current and timely government information and methods that allow them to provide their input on our activities.

IMPACT OF PROGRAM GROWTH ON IT STRATEGIES

NTIA anticipates minimal program growth in the near future. Two initiatives in the spectrum management area will, if approved, require a few new desktop PCs. OTIA is examining a proposal to accept quarterly and annual reports via the NTIA Web server. The system would be developed under contract.This minimal projected program growth will not require any change in our IT strategies or architecture.

SECURITY

Security planning is an important addition to the NTIA Strategic IT Plan for FY 1999 - FY 2004. Plans for implementing the new Department policies and directives for a security program are currently under development. Significantly, the effects will impact every NTIA employee. Every IT system currently in place, and all planned acquisitions and expansions must be examined and incorporated into the security planning process. Expenses for a broader range of IT security activities must also be incorporated into the budget planning process for both the Strategic and Operational IT planning processes.

Policy requirements for the NTIA IT Security Program are provided by the Department of Commerce Information Technology Management Handbook, Chapter 10. Some of the critical elements include the following:

• Appointment of an IT Security Officer (ITSO) and alternate

• Identification of all sensitive and classified IT systems

• Appointment of System Owners and IT System Security Officers for each sensitive or classified IT system

• Development and annual updating of IT security plans for all sensitive and classified systems

• Preparation of risk analyses for all for all sensitive and classified IT systems

• Development and annual updating of contingency and disaster recovery plans for all sensitive and classified IT systems with annual tests of those plans

• Certification and accreditation of all sensitive and classified IT systems, every three years

• Provision of security awareness training for all new employees within 60 days of entry

• Annual provision of security awareness training for all agency employees and contractors

These new agency planning, tracking, testing and reporting responsibilities will be a heavy burden on the shrinking personnel resources of NTIA. As a result, these IT security requirements will be met through a phased-in approach, emphasizing priority on the most critical tasks, and on what can be reasonably accomplished by the agency.

Progress on the requirements has already been accomplished in several areas. An ITSO for NTIA has already been appointed, along with an alternate ITSO. The ITSO has the responsibility to develop and implement the IT Security Program for the agency. Development of the overarching security plan is currently underway and expected to be completed in 1998. The ITSO will also develop the contingency and disaster recovery plans in coordination with the NTIA Continuity of Operations Plan (COOP).

NTIA has already made substantial efforts in identifying all sensitive and classified IT systems in the agency, and performed some preliminary, informal risk analyses for these systems. These efforts should be concluded before the end of FY 1998. In addition, security awareness training for all NTIA employees should be accomplished during FY 1998.

Informal but detailed security plans, including risk analysis for sensitive systems are planned for FY 1999, following the completion of the overall IT Security Program plans. Formalized security plans for classified systems (currently only one in NTIA), which must include formal risk analyses, are anticipated during FY 2000. Additional funding for this activity and for the accreditation that must follow should be included in future budgets.

Concurrent to the development of formal security plans, existing plans for operational security improvements are being implemented. This includes a test bed firewall system for Internet access security under development at the Institute for Telecommunication Sciences.

YEAR 2000

NTIA's computing platforms are primarily PCs and HP workstations. Software can be categorized as commercial productivity (WP, Lotus etc.); operating systems (Windows, Novell, Unix); Models (propagation, interference) and Management (spectrum and grants management)

Platforms

All PCs will be certified for Year-2000 compliance by mid FY '99. In the interim, NTIA os requiring that all new PCs be certified to be Year-2000 compliant.

OSM's HP 9000 workstations will be using a year-2000 compliant operating system by the end of FY 1998.

Operating Systems

Hewlett Packard has stated that the 10.30 version of HPUX is year-2000 compliant.

Microsoft maintains that Windows 95 is year-2000 compliant.

Novell does not anticipate year 2000 problems with their products but is in the process of validating them. They expect to be validated in the first quarter of 1998.

Commercial productivity Software

All of the vendors of our "industry standard" off-the-shelf hardware and software (Novell, Corel, Microsoft, HP) are now, or are planning to be, year 2000 compatible in their next upgrade. There are other larger users of the same hardware and software within DOC that are more able to expend the resources needed to exhaustively test the above software and hardware. We will maintain close contact with these organizations (NOAA, ITA, Census) to benefit from the results of their tests.

Management Software

Our main area of concern is in-house software used for the frequency management process by OSM and for grants management by OTIA.

OTIA's grants management software for its TIIAP and PTFP programs is not now year 2000 compatible. A contractor is in the process of re-writing its grants management software for the TIIAP program. As part of the contract, the new TIIAP grants management system will be year 2000 compatible by the end of FY 1998.

OSM uses three dates for GMF authorizations and two dates for applications. They have tested for and already corrected year 2000 problems using logic correction with a pivot year of 50. They are already processing data with dates into the new century and have certified that their software is year 2000 compliant.

CAPITAL PLANNING

NTIA is implementing a capital planning process in accordance with the requirements of the Clinger-Cohen act. NTIA has established an investment review board and is implementing a three-phase IT project selection and review process.

Investment Review Board

NTIA's Investment Review Board is comprised of NTIA's COO, CIO, Buget Officer, and the heads of NTIA's major operating units. The board meets semi-annually or as otherwise scheduled by the CIO. Prior to budget preparation, the board meets to review and rank competing information technology proposals. A mid-year meeting is held to review progress and to re-assess investments for problem projects or in light of new technology.

Project Selection for New Initiatives

All projects with life cycle cost of greater than the DOC threshold as well as projects that merit special attention will be evaluated by the agency-wide Capital Investment Review Board.

The board will employ the Decision and Scoring Criteria prepared for the Office of the Secretary to provide scores for priority ranking.

Investment decisions will be made based on projected resources and priority rankings.

Frequency of review for selected projects will be based on the risk score of the project as well as on the timing of critical milestones.

Additionally:

Documented and quantifiable decision making criteria will be achieved through use of DOC's Decision and Scoring Criteria for Evaluating IT Projects.

Each project evaluated by the board will include an assessment of current architecture including development projects, and existing technology environment as it relates to the proposed project. The results of the assessment will be included in the technical risk score included in the Decision and Scoring Criteria above.

Each project evaluated by the board will include an assessment of management skills and project management discipline as it relates to the proposed project. The results of the assessment will be included in the management risk score included in the Decision and Scoring Criteria above.

Predetermined thresholds and authority levels are in place for small procurements. Due to the small size of NTIA, any project falling outside those limits is reviewed by the CIO and can be referred to the Investment Review Board if appropriate.

IT Project Control for Systems Under Development.

All projects selected by the Investment Review Board will have regularly scheduled project reviews involving senior management of the appropriate operating unit. The Investment Review Board will attend all reviews for projects which fall above the DOC threshold. The reviewers will be asked to recommend decisive action to solve problems and will be empowered to make approval/disapproval decisions on project continuance.

A standard project review methodology will be implemented. The methodology will include requirements for explicit measures and data to be used to monitor expected versus actual project outcomes on cost, schedule and performance.

Evaluation of Operational Systems

The Investment Review Board will periodically review all major systems. The reviews will focus on identifying the cause of changes in anticipated vs actual results and will make decisions relating to continuing, adjusting, or investigation of alternatives to the current system. "Lessons learned" will be documented.

FINANCIAL SUMMARY (IN $000'S)

(from 1997 IT Operations Plan)1

Resource Category2 Prior
Years
FY 98 FY 99 FY 00 FY01 FY 02 Out
Years
TOTAL
1. Capital Investments3 - 546 524 580 522 522 - 2694
2. Personnel - 2708 2842 2930 3035 3138 - 14653
3A. Equipment Rental - 0 0 0 0 0 - 0
3B. Space and Other

Operating Costs

- 470 495 515 535 560 - 2575
4. Commercial Costs4 - 509.5 365 330.5 331 321 - 1857
5. Interagency Services - 200 200 100 100 100 - 700
6. Intra-agency Services - 1 1 1 1 1 - 5
7. Other Services - - - - - - - -
Total Obligations - 4434.5 4427 4456.5 4524 4642 - 22484

  • Updated figures will be included in the next submission of the NTIA IT Operations Plan.
  • Approximately three quarters of NTIA's IT Budget supports OSM in its spectrum management responsibilities. The remaining quarter is split between OTIA, ITS and OPCM.
  • Capital expenditures are primarily for upgrading PCs, software and network infrastructure and for replacing obsolete equipment.
  • OTIA and OSM are the major contributors to commercial costs. OTIA is using $200,000 for contractor support to complete design, programming, training and support of its enhanced database management system. The $300,000 for OSM includes hardware and software maintenance for the Unisys 2200 computer system ($115,000), maintenance of the Xerox high speed printer (35k), maintenance of microcomputers and printers (10k), training (30k), software maintenance ($25k), maintenance of the HP 9000 workstations (25k), network costs (15k), Internet access charges ($6k), etc. The remainder of the funds is for miscellaneous equipment maintenance costing less than $10,000 per item.

PROGRAM OVERVIEWS

NTIA's major program areas include:

• Telecommunications and Information Infrastructure Assistance Program;

• Domestic Telecommunications Policies;

• International Telecommunications Policies;

• Spectrum Management for the U.S. Government;

• Telecommunications Research and

• Public Telecommunications Facilities Program.

The following summaries provide an overview of each of these program areas and may be helpful background material in evaluating NTIA's emphasis on advanced technology. No program growth or substantial mission changes are anticipated for the period of this plan.

TELECOMMUNICATIONS AND INFORMATION INFRASTRUCTURE

ASSISTANCE PROGRAM

Budget

FY 1998 Operating Level: $17.6 million grants, $4.7 million administration

FY 1999 Budget Request: $19.0 million grants, $3.0 million administration

Program Description

The National Information Infrastructure (NII) is an effort to use advanced telecommunications and information technologies to connect Americans to one another, to services, and to information. NTIA continues to demonstrate leadership in the development of the NII through its management of the Telecommunications and Information Infrastructure Assistance Program (TIIAP), a matching grants program that promotes the expansion and effective use of the NII by public and nonprofit entities at the community level. Over the past four years the program has awarded 332 projects with $100 million which was matched by more than $130 million in non-Federal funds. The program will conduct a fifth grant competition in 1998.

IT Role

TIIAP relies heavily on an internally developed grants management system to process, review and track a large number of applications and funded projects. This system will have been completely re-written by the end of FY 1998 and will then be Year-2000 compatible. The new system will run on either windows 95 or NT clients, have a graphical user interface and may incorporate the ability to accept both scanned and electronically submitted applications.

Internet access has become increasingly important. Much of the communications between TIIAP staff and their grantees and potential applicants rely heavily on Internet Email, Listserves and the TIIAP Web page. Substantial resources are required to fully implement these capabilities.

PUBLIC TELECOMMUNICATIONS FACILITIES PROGRAM

Budget

FY 1998 Operating Level: $21.3 million grants; $1.7 million administrative

FY 1999 Budget Request: $13.5 million grants; $1.5 million administrative

Program Description

PTFP annually awards grants to public broadcasting and to other noncommercial entities to extend and improve the educational and cultural services of public telecommunications facilities. PTFP grants activate new stations and extend the coverage of existing stations, replace equipment at public radio and television stations, and assist in the construction of distance learning systems. Since 1963, the Federal Government has invested nearly a half billion dollars through PTFP in the public broadcasting infrastructure. The program's 1997 grant awards will extend a public radio signal to approximately 1.1 million presently-unserved persons and a public television signal to approximately 50,000 unserved persons.

IT Role

PTFP relies heavily on an internally developed grants management system to process, review and track a large number of applications and funded projects. By the end of FY 1998, this system will be re-written to be year-2000 compliant and to enhance its graphical user interface. The new system will run on either windows 95 or NT clients, have a graphical user interface and may incorporate the ability to accept both scanned and electronically submitted applications.

Internet access has become increasingly important. Much of the communications between PTFP staff and their grantees and potential applicants rely heavily on Internet Email, Listserves and the PTFP Web page.

DOMESTIC POLICY

Budget

FY 1997 Operating Level: $2.2 million

FY 1999 Secretarial Budget Request: $1.9 million

Program Description

NTIA serves as the principal Executive branch adviser to the President on domestic and international communications and information policies. To fulfill this responsibility, NTIA develops and articulates Administration policies on domestic telecommunications policy issues; analyzes and proposes Administration positions on legislation and regulations; and represents the Administration in policy forums, conferences, and symposia. To promote the Administration's priorities in the implementation of the Telecommunications Act of 1996, NTIA prepares major filings to be submitted to the Federal Communications Commission (FCC) on a wide range of topics. Current topics include universal access to telecommunications for all Americans, the "E-Rate" (a discounted education rate for schools and libraries), interconnection requirements, Bell Operating Company entry into the long distance market, Community Access Centers (universal service), Children's Television, Advanced Digital Television, Closed Captioning for Video Programming, Mobile Service Equal Access/Interconnection, and concentration of ownership in the broadcast industry.

IT Role

The Domestic Policy program increasingly relies on internet-accessible search tools to gather the data needed for their policy analyses. Reports are formatted for publication using Word Perfect and Presentation Graphics programs are used to prepare slides. Public meetings and forums are broadcast over the Internet using freeze-frame video for slides and pictures of participants and RealAudio for sound. All reports and public comments are posted and searchable on the NTIA Web site. Analyses of spectrum use and availability are provided, as needed, by OSM and ITS.

INTERNATIONAL POLICY

Budget

FY 1997 Operating Level: $3.7 million

FY 1999 Budget Request: $2.2 million

Program Description

NTIA leads or participates in bilateral and/or multilateral [e.g., International Telecommunications Union (ITU), World Trade Organization's Group on Basic Telecommunications (GBT), and Information Society and Development Conference (G-7/ISAD)] discussions and fora to secure market access for U.S. firms and enhancement of the Global Information Infrastructure (GII); and serves, with State and FCC, as an "instructional" agency on international satellite communications policy. A major issue is the restructuring of Intelsat and Inmarsat, where a successful outcome will enhance competitive opportunities for a large number of U.S. firms who are seeking fair market access to provide service, and who generally also frequently use U.S. equipment providers.

IT Role

The International Policy Program increasingly relies on internet-accessible search tools to gather the data needed for their policy analyses. Also, the international policy staff travel extensively and rely heavily on Internet Email and remote access to stay in contact with the home office.

SPECTRUM MANAGEMENT

Budget

FY 1997 Operating Level: Direct $8.0 million; Reimbursable $7.5 million

FY 1999 Budget Request: Direct $3.2 million; Reimbursable $12.9 million

Program Description

NTIA coordinates Federal Government use of the electromagnetic spectrum. Additionally, NTIA coordinates Federal Government policies regarding spectrum use, planning, emergency operations and international coordination of government satellite systems; manages the Federal radio spectrum necessary for national defense, public safety, air traffic control, national resource management and other critical government functions; and prepares and coordinates Federal Government proposals for ITU World Radio Conferences and related technical meetings. Major issues include spectrum management reform, negotiations regarding the integration and interference protection for satellite systems (GPS and GLONASS) that will support the evolving Global Navigation Satellite system for air traffic control, and addressing the public safety spectrum requirements through the year 2010 through the joint FCC/NTIA Public Safety Wireless Advisory Committee.

IT Role

The Office of Spectrum Management is wholly reliant on information technology to perform its mission of assigning government spectrum. Central to its capability is a large database that keeps track of who is using what spectrum in what geographical area and for how long. Computer-based models are used to determine whether a proposed frequency assignment will conflict or interfere with either existing assignments or other proposed assignments. Computer models are also used to assist in preparing policy positions on both domestic and international spectrum issues. OSM's IT equipment presently includes a mix of networked PCs, HP Unix-based workstations and a UNISYS mainframe. The mainframe is being phased out and will be disconnected by December 1998. This year OSM is planning to establish a hot backup facility and will also convert many of its archival documents to a digital format.

TELECOMMUNICATIONS RESEARCH

Budget

FY 1998 Operating Level: Direct $3.5 million; Reimbursable $8.5 million

FY 1999 Budget Request: Direct $3.5 million; Reimbursable $6.7 million

Program Description

NTIA's laboratory, the Institute for Telecommunication Sciences (ITS) in Boulder, Colorado, performs state-of-the-art telecommunications research to support NTIA and Department of Commerce goals as well as specific research under reimbursable agreements with other Federal agencies and under cooperative research agreements with private sector partners. ITS is an active contributor to many agency endeavors, including quality of service issues, advanced television standards, Internet issues and roles, etc.

IT Role

NTIA's Institute for Telecommunication Sciences uses computer technology in support of its telecommunications research and engineering services as well as to support work performed on a reimbursable basis for other Government agencies. Research equipment is primarily paid for by, and belongs to, the contracting agency. Equipment consists mainly of PCs and Unix workstations networked together.

APPENDIX I

NTIA's INFORMATION ARCHITECTURE

INFORMATION ARCHITECTURE

NTIA's information architecture provides support for mission-specific and specialized administrative activities as well as a standard basic infrastructure. Mission-specific support is provided through workstations, a mainframe, and proprietary databases, tools and models. Basic infrastructure is comprised of off-the-shelf PCs, networks, internet access, and Email, calendar and word processing software. Network diagrams are included at the end of this appendix. NTIA's information architecture has been recently upgraded. The only significant changes anticipated are removal of the Mainframe by the end of 1998 and upgrading of 10 Mbit ethernet links to 100Mbit as demand requires.

NTIA's computing platforms are primarily PCs, HP workstations and a (soon to be deactivated) Unisys mainframe connected through local area networks. All of NTIA's staff have Pentium PCs running windows or windows 95, productivity software and LAN and Internet access.

NTIA's software can be categorized as productivity (Email, Calendars, WP, Spreadsheets etc.); operating systems (Windows, Novell, Unix); models (propagation, interference), management (spectrum and grants management) and administrative. Our operating systems and productivity software are "off-the shelf" while our propagation models and grants and spectrum management systems and administrative software are either written in-house or provided by DOC.

NTIA has three "large" Offices - Spectrum Management (OSM); Institute for Telecommunication Sciences (ITS); Telecommunications and Information Infrastructure (OTIA) and five smaller Offices - Assistant Secretary (OAS); Policy Analysis and Development (OPAD); International Affairs (OIA); Chief Counsel (OCC) and Policy Coordination and Management (OPCM). OSM, OTIA and ITS are responsible for their own LANs and for supporting their own users. OPCM operates the agency backbone network and provides overall guidance and support to rest of the Agency.

NTIA is located in the Herbert Hoover building (HCHB) in Washington DC except for its Institute for Telecommunication Sciences which is located at the DOC laboratory facility in Boulder, Colorado. The OPCM, OTIA and OSM networks in HCHB are connected to each other and to the DOC "backbone" and thence to the Internet. All of NTIA's LANS are ethernets using IP/IPX protocols. File and print services in HCHB are provided by PC servers running the Novell network operating system. The ITS network in Boulder is also ethernet - IP based but relies on HP workstations running Unix/NFS for file and print services. Illustrative network diagrams are presented at the end of theis section.

Presently, all NTIA staff has access to Netscape or Microsoft Explorer browsers which will eventually serve as their main tool for information access. We will continue to expand the number of electronic formats that our browsers are capable of viewing (e.g. native word perfect, portable document formats). We will also attempt to integrate our workflow management technology with our browser technology.

NTIA has an internal Web server, coordinated by OPCM, which contains NTIA reports, filings, press releases, phone lists, reference material, reports of current activities etc. To the extent practical, we are mounting all NTIA information, both internal and external, on Web servers. Access to internal information such as private-line phone lists, home telephone numbers and working documents are limited to NTIA staff.

OPCM provides information services and support to NTIA's smaller Offices. OPCM is also responsible for coordinating and enforcing interoperability and Agency-wide standards, for NTIA's intra-net and for operating NTIA's primary Web and List servers.

All NTIA Offices also use computer and communications technology to support policy studies, report preparation, world-wide E-mail communication and small administrative databases. NTIA disseminates information to both internal and external customers through its Web and list servers.

The Office of Policy Coordination and Management (OPCM) (Fig.1)

OPCM has overall responsibility for agency policies regarding microcomputer procurement, compatibility and replacement. NTIA's Chief information Officer is also the chief of OPCM's Policy Coordination Division. Each NTIA Office has the responsibility, subject to OPCM review, for budgeting for and initiating PC replacement.

OPCM coordinates the networking and inter-networking of PCs and the resolution of associated compatibility issues within NTIA. OPCM also provides direct support for all of NTIA with the exception of OSM, OTIA and ITS.

OPCM has just upgraded most of its 80386 and 80486 class microcomputers with Pentium motherboards and at least 32MB of RAM. The average cost was approximately $600 per workstation.

All of OPCM's PCs are linked by a local area network which provides "connectivity functions" such as electronic mail, file sharing, and printer sharing. Most application programs (e.g. word processing, spreadsheet etc.) are launched from network drives rather than local drives. This strategy enables us to easily update current applications, add new ones and keep track of software licenses.

OPCM's Novell file server serves as the Internet router for NTIA's HCHB networks.

OPCM presently accesses the Internet through a 1.1 Megabit SMDS connection provided by the Economics and Statistics Administration. Security concerns and the higher bandwidth required by multi-media applications will require the installation of a dedicated router by December. 1998.

OPCM provides electronic dissemination of studies, press releases, filings, grant information etc. The information is resident on the NTIA World-Wide Web servers and may be accessed by the public through the Internet. We have also set up a list processor which allows us to automatically distribute announcements, press releases and work-group documents to list subscribers through Internet Email.

Each of the larger Offices within NTIA controls its own information and dissemination platform subject to overall supervision and review by OPCM. All of the publicly available information sources and platforms within NTIA are listed on and accessible through a single NTIA gateway operated by OPCM. To the extent possible, the responsibility for providing and updating the information is in the hands of the groups actually originating the information.

A number of computers in OPCM are dedicated as remote access portals to the NTIA network in Washington. These computers allow dial-in users to transfer files and to run Email and other DOS and windows programs remotely.

Office of Spectrum Management

The largest information technology program within NTIA is managed by OSM. To fulfill NTIA's mission requirements to manage the Federal Government's use of the radio frequency spectrum, OSM maintains large mainframe-based databases for both Government and non-Government frequency assignment authorizations. OSM also processes approximately 100,000 annual frequency assignment actions from Government agencies. OSM will soon have completed the migration of the mainframe based government frequency management system to a more efficient client-server/workstation on-line environment; and is continuing development of the desktop frequency management system.

Hardware support for OSM is provided by a Unisys 2200/400 computer system, 2 HP Model K workstations, 2 HP 9000 Model 730 workstations, 2 HP 9000 Model 720 workstations, and approximately 175 microcomputer systems. Most microcomputers use Pentium processors and the Windows 95 operating system. The configuration of the HP workstations is shown in the Table 1. All staff have desktop computers systems. Staff that travel frequently or that take work home have Pentium notebook computers. Removable hard drives are used to allow the desktop computers to be switched between the unclassified and classified networks. All the computer systems, workstations, and microcomputer systems are Government owned and Government operated. Use of the Unisys 2200/400 computer system will be discontinued after December 31, 1998.

Workstation # of Processors System Memory Disk Capacity Tape Capacity
1 4 1.79 Gigabytes 40 Gigabytes 16 Gigabytes
2 2 1.00 Gigabytes 24 Gigabytes 16 Gigabytes
3 1 274 Megabytes 14 Gigabytes 2 Gigabytes
4 1 274 Megabytes 10 Gigabytes 2 Gigabytes
5 1 16 Megabytes 480 Megabytes -
6 1 16 Megabytes 480 Megabytes -

Table 1. HP Workstation Configuration

OSM occupies space on the first floor, the fourth floor, and the sixth floor of the Herbert C. Hoover building. This space is connected by both an unclassified network, which is part of the NTIA administrative network, and a classified network. The NTIA administrative network also provides OSM with access to the Internet. OSM uses an Internet World Wide Web home page to exchange spectrum management information with the public.

Networking is provided using the Novell network operating system and the TCP/IP protocol. OSM operates one unclassified file server and one classified file server. Many staff members have a requirement to access both the unclassified and the classified networks. The unclassified network is used to access electronic mail, to process documents, and to access the Internet. The classified network is used to modify run streams, initiate jobs, review outputs, access databases, develop programs, and maintain programs. Staff with access to both networks have 10 Base T connections using 3Com Network Hubs. There are separate hubs for accessing the classified and unclassified networks and an A/B switch selects between the hubs. The use of separate hubs and the A/B switches ensures that the classified network is isolated from the unclassified network.

OSM's new client-server Frequency Record Management System is implemented using the Sybase DBMS running on multi-processor HP workstations. The desktop frequency management system is implemented using the Microsoft's Foxpro DBMS.

Office of Telecommunication and Information Applications

OTIA administers a number of grant programs. To support the grant programs, OTIA maintains extensive grant management databases and is planning to implement an electronic grant application process as well as a document management system. OTIA is in the process of re-designing and re-writing its grant management system.

All OTIA staff have Pentium-based PCs with 32MB or memory. All of the PCs are connected to the OTIA network.

The OTIA network provides application server, database server, file server, print server, intranet server and image server functions as well as office automation products, including electronic forms, to support the day-to-day activities of the office. Mail server functions are provided by OPCM.

This network is connected to the NTIA Headquarters network via a fiber-optic backbone, with fiber-optic feeder segments to the OTIA offices not co-located within the office administrative suite. Connection to the individual network nodes (user workstations) is provided by category 5, twisted-pair cabling from 3Com ethernet hubs.

All OTIA staff use standard NTIA productivity software as well as the OTIA grants management system. The OTIA grants management system is implemented using the Microsoft Foxpro DBMS.

Institute for Telecommunication Sciences

ITS uses information technology for telecommunications research and engineering in support of NTIA objectives including promotion of advanced telecommunications and information infrastructure in the United States and facilitation of more efficient use of the radio spectrum. ITS also serves as a principal Federal resource for solving telecommunications concerns of other Federal agencies, state and local governments, private corporations and associations, and international organizations, performing this work on a reimbursable basis. Research equipment and some IT systems for reimbursable projects are primarily paid for by, and belong to, the contracting agency. However, the majority of IT systems in ITS are purchased by NTIA as part of the overall computing infrastructure.

Some of the major IT-dependent programs within ITS include the reimbursable Telecommunications Analysis Services, objective voice and video quality standards development projects, radio spectrum modeling projects, personal communications services (PCS) network modeling, and the on-line FED-STD-1037C Telecommunications: Glossary of Telecommunication Terms. Each of these programs utilizes high-speed workstations and servers, and numerous network services. Continuous improvement of the related IT systems is required, and computer hardware for these demanding applications is completely replaced every three to five years depending on individual project needs and available funding.

ITS maintains a highly flexible local area network (LAN) to support intranetworking services and laboratory interconnection. A structured cabling system interconnects all offices and laboratories with both optical fiber and Category 5 twisted-pair cabling to support high-bandwidth communications on demand. Over 200 devices are supported on 10Base-T and 100Base-TX ethernet segments. Connections also may be made to laboratory test beds featuring synchronous optical network/asynchronous transfer mode (SONET/ATM). This provides ITS with great flexibility and rapid reconfiguration capability for new programmatic needs.

Client-server and peer-to-peer intranetworking services link together UNIX servers and workstations, X-terminals, Macintosh computers, and personal computers using Windows NT and Windows 95. This open-systems environment uses the transmission control protocol/internet protocol (TCP/IP) suite with Network File System (NFS) and Session Message Block (SMB) protocol services on all platforms to provide universal connection to heterogeneous systems.

All ITS staff have full access to the LAN and to the Internet. Nearly all ITS staff have Pentium-based PCS with standard office suite productivity software. Most PCS use the Microsoft Windows 95 operating system unless they have special requirements for using Windows NT or the older Windows 3.1. There are approximately 150 microcomputers in ITS and another 20 UNIX workstations and servers. The main workstations and servers for ITS are listed in Table 2.

The ITS network accesses the Internet via a router connection into the DOC-Boulder backbone. The Boulder campus, which includes NIST, NOAA, and MASC offices, is connected to the Internet with a 6 Megabit-per-second leased line.

ITS provides access via Internet to ITS publications, information and on-line Telecommunications Analysis Services used by other Federal agencies, research partners, private industry and the public.Additional restricted-access services including news groups and mail lists are used to facilitate communications with project sponsors and partners, and to support ANSI T1 standards committees. Some highlights of ITS Internet Services include:

  • The on-line version of FED-STD 1037C, Telecommunications: Glossary of Telecommunication Terms featuring over 5800 technical definitions linked together in hypertext. Available at http://glossary.its.bldrdoc.gov/fs-1037/
  • Recent official ITS publications including NTIA Reports and journal articles. Available on-line at http://www.its.bldrdoc.gov/pub/pubs.html
  • Telecommunications Analysis Services. Available at http://www.its.bldrdoc.gov/tas/
  • Anonymous FTP distribution of some ITS developed software programs. Available at ftp.its.bldrdoc.gov
# Computer

hostname

Model RAM

(MB)

Disk

(GB)

Tape

(GB)

Primary Purpose
1 green HP D370/1 328 18 4, 48 File and compute server
2 massive HP 9000/755 128 26 4 Network server
3 flattop HP 9000/735 128 24 4 TA Services
3 byers HP C200 512 24 4 TA Services
3 elbert HP 9000/735 128 14 4 Software development
4 sultan SGI Octane 448 20 12 Software development
5 apache HP 9000/715 64 3.5 4 Software development
6 sneffels HP 9000/735 64 1.3 4 Software development
7 pyramid HP 9000/725 64 3.8 4 Network management
8 handies HP 9000/730 64 3.6 4 Software development
9 windom HP 9000/730 64 1.7 4 Software development
10 capitol SGI Indigo 128 4 4 Software development
11 guardian Sun Sparc 5 64 2 4 Firewall-1 bastion host
12 florida Sun Sparc 20 64 8 4 Software development
13 elvis Sun Sparc 10 64 4 2 Software development
14 lewis Gateway 2000 G6-200 64 4 2 NT IIS server

Table 2. ITS Workstation Configuration