40 U.S.C. § 11312 — Capital planning and investment control

Page 230 TITLE 40—PUBLIC BUILDINGS, PROPERTY, AND WORKS § 11311 cies to ascertain the efficiency and effective- ness of information technology in improving the performance of the executive agency and the accomplishment of the missions of the ex- ecutive agency. (5) ENFORCEMENT OF ACCOUNTABILITY.— (A) IN GENERAL.—The Director may take any action that the Director considers ap- propriate, including an action involving the budgetary process or appropriations man- agement process, to enforce accountability of the head of an executive agency for infor- mation resources management and for the investments made by the executive agency in information technology. (B) SPECIFIC ACTIONS.—Actions taken by the Director may include— (i) recommending a reduction or an in- crease in the amount for information re- sources that the head of the executive agency proposes for the budget submitted to Congress under section 1105(a) of title 31; (ii) reducing or otherwise adjusting ap- portionments and reapportionments of ap- propriations for information resources; (iii) using other administrative controls over appropriations to restrict the avail- ability of amounts for information re- sources; and (iv) designating for the executive agency an executive agent to contract with pri- vate sector sources for the performance of information resources management or the acquisition of information technology. (Pub. L. 107–217, Aug. 21, 2002, 116 Stat. 1238.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 11303 .......... 40:1413. Pub. L. 104–106, div. E, title LI, § 5113, Feb. 10, 1996, 110 Stat. 681. SUBCHAPTER II—EXECUTIVE AGENCIES § 11311. Responsibilities In fulfilling the responsibilities assigned under chapter 35 of title 44, the head of each executive agency shall comply with this subchapter with respect to the specific matters covered by this subchapter. (Pub. L. 107–217, Aug. 21, 2002, 116 Stat. 1239.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 11311 .......... 40:1421. Pub. L. 104–106, div. E, title LI, § 5121, Feb. 10, 1996, 110 Stat. 683. Statutory Notes and Related Subsidiaries PROCUREMENT OF AUTOMATIC DATA PROCESSING EQUIP- MENT FOR TAX SYSTEMS MODERNIZATION PROGRAM; DELEGATION OF AUTHORITY Pub. L. 104–52, title V, § 526, Nov. 19, 1995, 109 Stat. 495, provided that: ‘‘Notwithstanding any other provision of law, the Administrator of General Services shall dele- gate the authority to procure automatic data proc- essing equipment for the Tax Systems Modernization Program to the Secretary of the Treasury: Provided, That the Director of the Office of Management and Budget shall have the authority to revoke such delega- tion upon the written recommendation of the Adminis- trator that the Secretary’s actions under such delega- tion are inconsistent with the goals of economic and ef- ficient procurement and utilization of automatic data processing equipment: Provided further, That for all other purposes, a procurement conducted under such delegation shall be treated as if made under a delega- tion by the Administrator pursuant to [former] 40 U.S.C. 759.’’ § 11312. Capital planning and investment control (a) DESIGN OF PROCESS.—In fulfilling the re- sponsibilities assigned under section 3506(h) of title 44, the head of each executive agency shall design and implement in the executive agency a process for maximizing the value, and assessing and managing the risks, of the information technology acquisitions of the executive agency. (b) CONTENT OF PROCESS.—The process of an executive agency shall— (1) provide for the selection of investments in information technology (including informa- tion security needs) to be made by the execu- tive agency, the management of those invest- ments, and the evaluation of the results of those investments; (2) be integrated with the processes for mak- ing budget, financial, and program manage- ment decisions in the executive agency; (3) include minimum criteria to be applied in considering whether to undertake a particular investment in information systems, including criteria related to the quantitatively ex- pressed projected net, risk-adjusted return on investment and specific quantitative and qual- itative criteria for comparing and prioritizing alternative information systems investment projects; (4) identify information systems invest- ments that would result in shared benefits or costs for other federal agencies or state or local governments; (5) identify quantifiable measurements for determining the net benefits and risks of a proposed investment; and (6) provide the means for senior management personnel of the executive agency to obtain timely information regarding the progress of an investment in an information system, in- cluding 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. (Pub. L. 107–217, Aug. 21, 2002, 116 Stat. 1239; Pub. L. 108–458, title VIII, § 8401(3), Dec. 17, 2004, 118 Stat. 3869.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 11312 .......... 40:1422. Pub. L. 104–106, div. E, title LI, § 5122, Feb. 10, 1996, 110 Stat. 683. Editorial Notes AMENDMENTS 2004—Subsec. (b)(1). Pub. L. 108–458 substituted ‘‘in- vestments in information technology (including infor- Page 231 TITLE 40—PUBLIC BUILDINGS, PROPERTY, AND WORKS § 11315 mation security needs)’’ for ‘‘information technology investments’’. § 11313. Performance and results-based manage- ment In fulfilling the responsibilities under section 3506(h) of title 44, the head of an executive agen- cy shall— (1) establish goals for improving the effi- ciency and effectiveness of agency operations and, as appropriate, the delivery of services to the public through the effective use of infor- mation technology; (2) prepare an annual report, to be included in the executive agency’s budget submission to Congress, on the progress in achieving the goals; (3) ensure that performance measurements— (A) are prescribed for information tech- nology used by, or to be acquired for, the ex- ecutive agency; and (B) measure how well the information technology supports programs of the execu- tive agency; (4) where comparable processes and organi- zations in the public or private sectors exist, quantitatively benchmark agency process per- formance against those processes in terms of cost, speed, productivity, and quality of out- puts and outcomes; (5) analyze the missions of the executive agency and, based on the analysis, revise the executive agency’s mission-related processes and administrative processes as appropriate before making significant investments in in- formation technology to be used in support of the performance of those missions; and (6) ensure that the information security policies, procedures, and practices of the exec- utive agency are adequate. (Pub. L. 107–217, Aug. 21, 2002, 116 Stat. 1240.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 11313 .......... 40:1423. Pub. L. 104–106, div. E, title LI, § 5123, Feb. 10, 1996, 110 Stat. 683. § 11314. Authority to acquire and manage infor- mation technology (a) IN GENERAL.—The authority of the head of an executive agency to acquire information technology includes— (1) acquiring information technology as au- thorized by law; (2) making a contract that provides for multiagency acquisitions of information tech- nology in accordance with guidance issued by the Director of the Office of Management and Budget; and (3) if the Director finds that it would be ad- vantageous for the Federal Government to do so, making a multiagency contract for pro- curement of commercial products of informa- tion technology that requires each executive agency covered by the contract, when pro- curing those products, to procure the products under that contract or to justify an alter- native procurement of the products. (b) FTS 2000 PROGRAM.—The Administrator of General Services shall continue to manage the FTS 2000 program, and to coordinate the follow- on to that program, for and with the advice of the heads of executive agencies. (Pub. L. 107–217, Aug. 21, 2002, 116 Stat. 1241; Pub. L. 115–232, div. A, title VIII, § 836(g)(7)(B), Aug. 13, 2018, 132 Stat. 1874.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 11314 .......... 40:1424. Pub. L. 104–106, div. E, title LI, § 5124, Feb. 10, 1996, 110 Stat. 684. In subsection (b), the words ‘‘Notwithstanding any other provision of this or any other law’’ are omitted as unnecessary. Editorial Notes AMENDMENTS 2018—Subsec. (a)(3). Pub. L. 115–232 substituted ‘‘prod- ucts’’ for ‘‘items’’ wherever appearing. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2018 AMENDMENT Amendment by Pub. L. 115–232 effective Jan. 1, 2020, subject to a savings provision, see section 836(h) of Pub. L. 115–232, set out as an Effective Date of 2018 Amend- ment; Savings Provision note under section 453b of Title 6, Domestic Security. § 11315. Agency Chief Information Officer (a) DEFINITION.—In this section, the term ‘‘in- formation technology architecture’’, with re- spect to an executive agency, means an inte- grated framework for evolving or maintaining existing information technology and acquiring new information technology to achieve the agency’s strategic goals and information re- sources management goals. (b) GENERAL RESPONSIBILITIES.—The Chief In- formation Officer of an executive agency is re- sponsible for— (1) providing advice and other assistance to the head of the executive agency and other senior management personnel of the executive agency to ensure that information technology is acquired and information resources are managed for the executive agency in a manner that implements the policies and procedures of this subtitle, consistent with chapter 35 of title 44 and the priorities established by the head of the executive agency; (2) developing, maintaining, and facilitating the implementation of a sound, secure, and in- tegrated information technology architecture for the executive agency; and (3) promoting the effective and efficient de- sign and operation of all major information re- sources management processes for the execu- tive agency, including improvements to work processes of the executive agency. (c) DUTIES AND QUALIFICATIONS.—The Chief In- formation Officer of an agency listed in section 901(b) of title 31— (1) has information resources management duties as that official’s primary duty; (2) monitors the performance of information technology programs of the agency, evaluates