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Highlights

What GAO Found

None of the 24 agencies have policies that fully addressed the role of their Chief Information Officers (CIO) consistent with federal laws and guidance. In addition, the majority of the agencies did not fully address the role of their CIOs for any of the six key areas that GAO identified (see figure 1).

Figure 1: Extent to Which 24 Agencies' Policies Addressed the Role of Their Chief Information Officers, Presented from Most Addressed to Least Addressed Area

Figure 1: Extent to Which 24 Agencies' Policies Addressed the Role of Their Chief Information Officers, Presented from Most Addressed to Least Addressed Area

Among other things, officials from most agencies stated that their CIOs are implementing the responsibilities even when not required in policy. Nevertheless, the 24 selected CIOs acknowledged in their responses to GAO's survey that they were not always very effective in implementing the six information technology (IT) management areas (see figure 2). Until agencies fully address the role of CIOs in their policies, agencies will be limited in addressing longstanding IT management challenges.

Figure 2: Extent to Which Chief Information Officers Reported Effective Implementation of Six Responsibility Areas, Presented from Most Effective to Least Effective Area

Shortcomings in agencies' policies are partially attributable to two weaknesses in the Office of Management and Budget's (OMB) guidance. First, the guidance does not comprehensively address all CIO responsibilities, such as those relating to assessing the extent to which personnel meet IT management knowledge and skill requirements and ensuring that personnel are held accountable for complying with the information security program. Correspondingly, the majority of the agencies' policies did not fully address nearly all of the responsibilities not included in OMB guidance. Second, OMB guidance does not ensure that CIOs have a significant role in (1) IT planning, programming, and budgeting decisions and (2) execution decisions and the management, governance, and oversight processes related to IT. In the absence of comprehensive guidance, CIOs will not be positioned to effectively acquire, maintain, and secure their IT systems.

In GAO's survey, the 24 agency CIOs identified a number of factors that enabled and challenged their ability to effectively manage IT. In particular, five factors were identified by at least half of the 24 CIOs as major enablers and three factors were identified by at least half of the CIOs as major challenges. (see figure 3). Further, GAO noted that agencies continue to lack consistent leadership in the CIO position.

Figure 3: Factors Commonly Identified as Enabling and Challenging Chief Information Officers (CIO) to Effectively Manage Information Technology (IT), Presented from Most Enabling to Least Enabling Factor

Why GAO Did This Study

Agencies plan to spend more than $96 billion on IT in fiscal year 2018; however, they continue to face longstanding challenges in doing so. Congress established the CIO position to serve as an agency focal point for IT to address these challenges.

Recognizing the importance of the CIO position to successful IT management, GAO was asked to conduct a government-wide review of CIO responsibilities. GAO's objectives were to determine (1) the extent to which agencies have addressed the role of the CIO in accordance with federal laws and guidance, and (2) major factors that have enabled and challenged agency CIOs in fulfilling their responsibilities to carry out federal laws and guidance. To do so, GAO reviewed laws and OMB guidance to identify key IT management responsibilities of federal agency CIOs and then compared them to policies of the 24 Chief Financial Officers Act agencies. GAO also administered a survey to 24 CIOs and interviewed current CIOs, as well as OMB officials.

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Recommendations

GAO is making three recommendations to OMB and one recommendation to each of the 24 federal agencies to improve the effectiveness of CIOs' implementation of their responsibilities for each of the six IT management areas. (See the next page for additional information on these recommendations).

GAO is making the following three recommendations to OMB:
 
1.  Issue guidance that addresses theresponsibilities that are notincluded in existing OMBguidance--in particular thoserelating to IT workforce.
 
2.  Update existing guidance toclearly explain how agencies areto address the role of CIOs tocomply with the statutory requirements for CIOs to have a significant role in (1) budgeting decisions and (2) the management, governance, and oversight processes related to IT.
 
3.  Define the authority that CIOs areto have when agencies report onCIO authority over IT spending.
 
GAO is also making a recommendation to each of the 24 federal agencies to address weaknesses related to the six key areas of CIO responsibility.
 
Fourteen agencies agreed with GAO's recommendations, and five agencies had no comments on the recommendations.
 
In addition, five agencies (including OMB) partially agreed with GAO's recommendations and one agency disagreed. In particular, five of these agencies did not agree with select assessments of select CIO responsibilities. GAO subsequently updated two assessments but believes the other assessments and related recommendations are warranted, as discussed in the report. The remaining agency--OMB--partially agreed with GAO's recommendation to issue guidance for responsibilities that are not included in existing OMB guidance. GAO continues to believe that this recommendation is warranted, as discussed in the report.
 
Moreover, after GAO provided the draft report to OMB for comment, the President signed an executive order that, among other things, clarified the role that CIOs are to have in the management, governance, and oversight processes related to IT. The executive order is responsive to GAO's related recommendation. GAO will continue to monitor agencies' implementation of the executive order.

Recommendations for Executive Action

Agency Affected Recommendation Status
Office of Management and Budget The Director of the Office of Management and Budget should issue guidance that addresses the 12 CIO responsibilities discussed in this report that are not included in existing OMB guidance--in particular those relating to IT workforce matters. (Recommendation 1)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Office of Management and Budget The Director of the Office of Management and Budget should update existing guidance to clearly explain how agencies are to address the role of CIOs to comply with the statutory requirements for CIOs to have a significant role in (1) budgeting decisions and (2) the management, governance, and oversight processes related to IT. (Recommendation 2)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Office of Management and Budget The Director of the Office of Management and Budget should define the authority that CIOs are to have when agencies report on CIO authority over IT spending. (Recommendation 3)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Agriculture The Secretary of Agriculture should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 4)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Commerce The Secretary of Commerce should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 5)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Defense The Secretary of Defense should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 6)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Education The Secretary of Education should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 7)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Energy The Secretary of Energy should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 8)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Health and Human Services The Secretary of Health and Human Services should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 9)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Homeland Security The Secretary of Homeland Security should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 10)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Housing and Urban Development The Secretary of Housing and Urban Development should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 11)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of the Interior The Secretary of the Interior should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 12)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Justice The Attorney General should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 13)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Labor The Secretary of Labor should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 14)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of State The Secretary of State should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 15)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Transportation The Secretary of Transportation should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 16)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of the Treasury The Secretary of the Treasury should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 17)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of Veterans Affairs The Secretary of Veterans Affairs should ensure that the department's IT management policies address the role of the CIO for key responsibilities in the four areas we identified. (Recommendation 18)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Environmental Protection Agency The Administrator of the Environmental Protection Agency should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 19)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
General Services Administration The Administrator of the General Services Administration should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 20)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
National Aeronautics and Space Administration The Administrator of the National Aeronautics and Space Administration should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 21)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
National Science Foundation The Director of the National Science Foundation should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 22)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Nuclear Regulatory Commission The Chairman of the Nuclear Regulatory Commission should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 23)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Office of Personnel Management The Director of the Office of Personnel Management should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 24)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Small Business Administration The Administrator of the Small Business Administration should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 25)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Social Security Administration The Commissioner of the Social Security Administration should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the five areas we identified. (Recommendation 26)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
United States Agency for International Development The Administrator of the U.S. Agency for International Development should ensure that the agency's IT management policies address the role of the CIO for key responsibilities in the six areas we identified. (Recommendation 27)
Open

Recommendation status is Open.

When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Full Report