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pdfEXECUTIVE OFFICE OF THE PRESIDENT
O F F I C E O F MA N A G E ME N T A N D B U D G E T
W ASHINGTON, D.C. 20503
November 10, 2010
M-11-03
MEMORANDUM TO HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
FROM:
Vivek Kundra
Federal Chief Information Officer
SUBJECT:
Issuance of OMB Circular A-16 Supplemental Guidance
Data-management, and particularly geospatial data-management, is one of the essential
components for addressing the management of the business of government and for supporting the
effective and economical use of tax dollars. It is, however, susceptible to constant renewal,
information quality, and information management challenges. A portfolio-centric model cures the
single agency, stovepipe model by applying consistent policy, improved organization, better
governance, and understanding of the public to deliver outstanding results.
The Office of Management and Budget (OMB) Circular A-16, “Coordination of
Geographic Information and Related Spatial Data Activities,” provides for improvements in the
coordination and use of spatial data, and describes effective and economical use and management
of spatial data assets in the digital environment for the benefit of the Federal Government and the
Nation. This Supplemental Guidance document further defines and clarifies selected elements of
OMB Circular A-16 to facilitate the adoption and implementation of a coordinated and effective
Federal geospatial asset management capability that will improve support of mission-critical
business requirements of the Federal Government and its stakeholders.
This updated guidance is effective for agencies to use immediately through coordination
with the Federal Geographic Data Committee. Please contact [email protected] and have the
term “A-16 Supplemental” in the subject line of the email if you have any questions regarding
this guidance.
Attachment
GEOSPATIAL LINE OF BUSINESS
OMB CIRCULAR A–16 SUPPLEMENTAL GUIDANCE
NOVEMBER 10, 2010
Contents
Page
1.
Introduction
3
2.
Elements of the National Geospatial Data Asset Portfolio
9
3.
Portfolio Management of National Geospatial Data Assets
12
4.
Roles and Responsibilities Pursuant to OMB Circular A–16, Section 8
20
5.
National Geospatial Data Asset Portfolio Investment Strategy
27
Appendix A.
Acronyms
33
1. Introduction
1.1.
Background and Purpose
The Office of Management and Budget (OMB) Circular A-16, “Coordination of Geographic Information
and Related Spatial Data Activities” (revised 2002) 1, provides for improvements in the coordination and
use of spatial data, and describes effective and economical use and management of spatial data assets in
the digital environment for the benefit of the government and the Nation. This Supplemental Guidance
document further defines and clarifies selected elements of OMB Circular A-16 to facilitate the adoption
and implementation of a coordinated and effective Federal geospatial asset management capability that
will improve support of mission-critical business requirements of the Federal Government and its
stakeholders. Its primary focus is on geospatial data as a capital asset. It provides the foundation for a
portfolio management approach to a National Geospatial Data Asset (NGDA) Portfolio comprised of
National Geospatial Data Asset Themes (NGDA Themes) and their associated National Geospatial Data
Asset Datasets (NGDA Datasets) 2. NGDA Themes are synonymous with OMB Circular A-16 Themes 3.
The balance of this Supplemental Guidance speaks to NGDA Portfolio management in the context of
the NGDA Themes and their associated NGDA Datasets and sets forth a systematic process whereby
both within-theme and crosscutting portfolio management enables direct performance toward a shared
enterprise-wide “target state” that optimizes the value of the NGDA Portfolio.
Data management and particularly geospatial data management is one of the essential components for
addressing the management of the business of government and for supporting the effective and
economical use of tax dollars. It is, however, susceptible to constant renewal, information quality, and
information management challenges. A portfolio-centric model cures the single agency stovepipe model
1
The complete text of OMB Circular A-16 (2002) can be found at http://www.whitehouse.gov/omb/circulars/a016/a016_rev.html
A NGDA Dataset is defined as a geospatial dataset that has been designated as such by the FGDC Steering Committee and
meets at least one of the following criteria: Supports mission goals of multiple federal agencies; statutorily mandated; Supports
Presidential priorities as expressed by Executive Order or by OMB.
3
An A-16 Theme is defined as representations of conceptual topics describing digital spatial information for the Nation. Themes
contain associated datasets (with attribute records and coordinates) that are documented, verifiable, and officially designated to
meet recognized standards. A theme contains one or more datasets of geographic information to be used in common and from
which other datasets can be derived. Themes are listed in OMB Circular A–16.
2
3
by applying consistent policy, improved organization, better governance, and understanding of the
electorate to deliver outstanding results.
Portfolio management is the process of tracking, maintaining, expanding, and aligning assets to address
and solve the business needs of an enterprise. Portfolio management approaches include a number of
components:
•
Strategic portfolio planning;
•
Coordinated development and resource pooling;
•
Established goals and performance measures, indicating the benefits of each asset investment,
and how it contributes to the overarching goals (particularly completion/renewal) of the
portfolio;
•
Investment selection criteria; and
•
Processes for reviewing the health of, and return on, asset investments that inform investment
decisions, redistribution of resources, management of issues and mitigation of risks to the
portfolio.
Each NGDA Theme consists of a related group of NGDA Datasets selected from a larger, constantly
changing universe of geospatial datasets because they meet the inclusion criteria for the NGDA Theme.
The overall assets involved include geospatial data, funding, infrastructure, hardware, software, personnel,
applications, services, and products 4. Portfolio management provides a systematic way to manage overall
assets. In this Supplemental Guidance, only data assets are specifically addressed. Hardware and software
funding is tracked in parallel processes under the Capital Planning and Investment Control (CPIC)
process developed in Clinger-Cohen. Awareness of this hardware and software funding is relevant to the
data asset management process but is not directly involved in it.
As governance of Federal geospatial assets matures toward administration of Federal geospatial assets as a
cross-cutting portfolio, the roles and responsibilities for managing assets beyond data will in many
instances require closer ties between agency managers. These include geospatial program managers,
agency Chief Information Officers (CIO) and Chief Financial Officers (CFO), and the managers of the
Federal geospatial portfolio through the Federal Geographic Data Committee (FGDC). These
relationships will particularly be needed to identify geospatial data, capabilities, services, and tools that
should be elevated from a program level to a Federal level for resourcing and management because they
can better serve as a valuable Federal-wide geospatial asset. The resourcing, management, and
4
The geospatial portfolio includes establishing the resources for platform, geospatial data and applications management. The
Supplemental Guidance links all portfolio elements to geospatial data assets.
4
maintenance of these assets at a Federal level, e.g. cross-agency funding for a shared service, or
designation of a single program as the lead for a specific capability, will be a result of, and become a part
of, the overall geospatial portfolio management process.
1.2.
Guidance, Goals, and Authority
This guidance further defines the elements, roles, responsibilities, management processes and investment
strategies needed for systematic and effective execution of the Federal agency responsibilities, referenced
in OMB Circular A–16, via implementation of the NGDA Portfolio, the principal component of the full
Federal geospatial portfolio. It establishes the framework for lifecycle-based NGDA Dataset
management, interagency NGDA Theme management, and government-wide NGDA Portfolio
management. It specifies and incorporates reporting processes intended to increase transparency of the
development and maintenance of NGDA Datasets. It also establishes a “collaborative investment
process” whereby peer review and consultation regarding the NDGA Themes and their associated
NGDA Datasets are conducted annually and whereby recommended interagency priorities are provided
to OMB to inform the budget process. This Supplemental Guidance was developed by the FGDC under
authority granted to it by Executive Order 12906 and OMB Circular A-16. While this Supplemental
Guidance expands upon and clarifies some of the language and responsibilities contained in OMB
Circular A–16, it is a supportive document that does not alter the current language of OMB Circular A–
16. Note that OMB Circular A–16 Appendix A includes a list of other authorities that “provide
requirements or guidance pertaining to management of data and Federal information assets related to
geographic locations…OMB may amend the list [of authorities] as new authorities are approved.” 5
1.3.
Why the guidance is needed
Issues affecting both citizens and mission-critical government functions are often place-based or locationspecific. The Supplemental Guidance is needed to link interagency portfolios, portfolio enhancement,
reuse, and programmatic benefit to Department/Agency missions and the larger stakeholder community.
To support mission-critical functions, the Federal Government makes large investments in acquiring and
developing geospatial data. Historically these investments were largely uncoordinated and often lacked
transparency, and sometimes resulted in data deficiencies, lack of standardization, inefficient use of
resources, lack of interoperability, or inability to share data. The enterprise-wide adoption and execution
of these practices not only foster improved operating efficiencies in Federal and partner programs but
also include reporting that supports government transparency.
5 Language taken directly from OMB Circular A–16 Appendix A (Revised 2002) available at
http://www.whitehouse.gov/omb/rewrite/Circulars/a016/a016_rev.html
5
1.4.
Who should use the guidance
This guidance is primarily directed to Federal agencies designated by OMB as Theme Lead Agencies 6
who work with their partners to develop, maintain, and manage NGDA Themes and their associated
NGDA Datasets. It has received broad Federal, stakeholder, and OMB review.
Fully implementing this guidance across all agencies will take a number of years, as agencies shift
resources to address a more robust management of NGDA Themes and NGDA Datasets. In the sense
that at promulgation it represents a future scenario of operations, this guidance recommends that all
involved entities take steps to develop and annually execute plans and report to the FGDC Steering
Committee on their progress in implementing this guidance. The FGDC Steering Committee will
annually recommend government-wide steps for achievement of the portfolio management approach, will
annually report the NGDA Portfolio status to agency CFOs and CIOs and OMB, and will ensure that
appropriate resources are identified in the agency budget requests to OMB. The FGDC Secretariat will
consult with agencies to support definition and development of their agency-specific roles,
responsibilities, and obligations through education and use of standards.
1.5.
Non-Federal stakeholders
The development of NGDA Datasets often results from partnerships involving multiple levels of
government. Therefore NGDA Theme Leads and NGDA Dataset Managers need to be informed of the
requirements and activities of the State, Tribal, and local levels of government, especially since in
aggregate these other levels of government annually acquire more geospatial data than does the Federal
Government.
While coordination between government and non-government organizations is an ongoing aspect of
geospatial data collection, management and sharing, the FGDC structure also includes an official body
that represents non-Federal constituents. The National Geospatial Advisory Committee (NGAC) was
established under the Federal Advisory Committee Act (FACA) and is sponsored by the U.S. Department
of the Interior, the FGDC Chair. The NGAC is an advisory body that provides advice and
recommendations on Federal geospatial policy and management issues and serves as a forum to convey
views and priorities representative of the broad geospatial community. Consultation with such
stakeholders allows the FGDC to consider the implications of its recommendations for the overall
6 The definition for the term Theme Lead Agency can be found in the Lexicon of Geospatial Terminology found on the FGDC
web site (www.fgdc.gov)
6
National Spatial Data Infrastructure (NSDI) 7, rather than just the Federal portion of the NSDI, and to
consider intergovernmental priorities, views, and initiatives in its portfolio management process.
1.6.
Organization of the guidance
Sections 2 through 5 of this Supplemental Guidance describe the framework for NGDA Portfolio
management. The information covered in these sections includes:
•
Section 2: Elements of the National Geospatial Data Asset Portfolio—what the NGDA
Portfolio contains
NGDA Datasets are organized into NGDA Themes that make up the NGDA Portfolio.
NGDA Portfolio elements and relationships are defined and described in this section.
•
Section 3: Portfolio Management of National Geospatial Data Assets—how the NGDA
Portfolio is managed
Portfolio management processes are described from both a long-term and an annual perspective,
and a future portfolio management approach is articulated.
•
Section 4: Roles and Responsibilities Pursuant to OMB Circular A-16 Section 8–who manages
the NGDA Portfolio
Roles and responsibilities related to OMB Circular A–16 are defined for Federal agencies
involved in geospatial activities. This section clarifies leadership and stewardship roles to
minimize or eliminate confusion, facilitate communication and partnering between Federal
agencies and other stakeholders, and enhance NGDA Portfolio management accountability and
transparency.
•
Section 5: National Geospatial Data Asset Portfolio Investment Strategy—setting priorities for
the NGDA Portfolio
The section describes a recommended priority setting process for the NGDA Portfolio at many
levels of government. The FGDC Steering Committee makes recommendations of high level
NGDA Portfolio-wide priorities based on key Federal mission needs, Presidential priorities,
Congressional mandates, and FGDC planning processes. All of these have implications for each
NGDA Theme and its associated NGDA Datasets.
•
Appendix A: Glossary of Acronyms
This Appendix provides a list of acronyms used throughout this Supplemental Guidance.
7 The definition for the term National Spatial Data Infrastructure can be found in the Lexicon of Geospatial Terminology found
on the FGDC web site (www.fgdc.gov)
7
Additional Supplemental Guidance Reference Materials have been developed to further inform and assist
with the implementation of this guidance. The materials listed here were developed in tandem with the
Supplemental Guidance document. These materials, and any future reference materials, are available on
the FGDC website: http://www.fgdc.gov/policyandplanning/a-16
•
Reference Material: FGDC Structure and Federal Agency and Bureau Representation, available
at: http://www.fgdc.gov/policyandplanning/a-16
The FGDC is an interagency committee responsible for facilitating OMB Circular A-16 related
activities and implementation of the NSDI. The FGDC is chaired by the Secretary of the
Interior, with the Deputy Director for Management, OMB serving as Vice-Chair. All agencies
responsible for NGDA Themes (as designated in OMB Circular A-16 Appendix E) are required
to be members of the FGDC.
•
Reference Document: Process for adjusting OMB Circular A–16 Appendix E: NSDI Geospatial
Data Theme Principles, available at: http://www.fgdc.gov/policyandplanning/a-16
NSDI geospatial data theme principles define the characteristics of NGDA Themes and serve as
guidelines for inclusion of a NGDA Theme in OMB Circular A–16 Appendix E. These
principles are a precursor to establishing a predictable and repeatable process for designation and
management of NGDA Themes under the authority of OMB Circular A–16 and listed in OMB
Circular A–16.
•
Reference Material: Lexicon of Geospatial Terminology, available at:
http://www.fgdc.gov/policyandplanning/a-16
The Lexicon of Geospatial Terminology provides a common set of geospatially-related terms and
concepts to encourage consistent use of terminology and to promote a clearer understanding of
the commonly used terms.
•
Reference Document: Stages of the Geospatial Data Lifecycle pursuant to OMB Circular A-16
Sections 8(e)(d) , 8(e)(f), and 8(e)(g), available at: http://www.fgdc.gov/policyandplanning/a-16
This document describes the Geospatial Data Lifecycle stages that NGDA Dataset Managers
should employ when developing, managing, and reporting on NGDA Datasets under the
auspices of OMB Circular A–16. The matrix establishes a framework of standard terminology
and processes for seven Geospatial Data Lifecycle stages.
•
Reference Document: Key Roles and Responsibilities, available at:
http://www.fgdc.gov/policyandplanning/a-16
This document describes the key roles and responsibilities of each party to NGDA Portfolio
management in detail.
8
2. Elements of the National Geospatial Data
Asset Portfolio
2.1.
NGDA Portfolio
The NGDA Portfolio is envisioned as a group of NGDA Themes, each of which is comprised of related
NGDA Datasets selected from a much larger and continually changing universe of geospatial datasets
(Figure 1). There are a large number of Federal geospatial datasets that, to varying degrees, are useful to
Federal agencies, their business partners, stakeholders, and the public. Only a select subset of these will
rise to the significance required for NGDA Dataset designation as recommended by the relevant NGDA
Theme Lead, concurred on by the FGDC Coordination Group, and designated by the FGDC Steering
Committee. The number of NGDA Themes in the NGDA Portfolio should remain relatively stable once
defined, but the number and character of the NGDA Datasets comprising each NGDA Theme may
change over time in response to geospatial and other business drivers.
Figure 1. Structure of the NGDA Portfolio
NGDA Portfolio
NGDA
Theme
NGDA
Theme
NGDA
Dataset
NGDA
Dataset
NGDA
Dataset
NGDA
Dataset
NGDA
Dataset
NGDA
Dataset
Universe of geospatial data
The National Geospatial Data Asset (NGDA) Portfolio consists of a group of NGDA Themes each of which is
comprised of NGDA Datasets that are selected from a larger and continually changing universe of geospatial
datasets because they meet the inclusion criteria.
9
2.2.
NGDA Theme
A NGDA Theme (synonymous with “A-16 Theme”) is an organizational construct under which multiple
related NGDA Datasets are logically grouped and managed as a unit. The NSDI geospatial data theme
principles summarized below and described in more detail in Reference Document: Process for adjusting
OMB Circular A-16 Appendix E: NSDI Geospatial Data Theme Principles provide guidance on selecting
the geospatial themes that fall under the purview of OMB Circular A–16.
•
Principle 1: Themes are logical groupings of related national capital assets serving the needs of
citizens, readily discoverable, and accessible to anyone.
•
Principle 2: Themes are national in scope and are created and managed in response to welldefined spatial data requirements that are common across multiple Federal agencies and other
organizations.
•
Principle 3: Themes reflect legislated mandates, clearly defined directives, or core spatial
reference datasets.
•
Principle 4: Themes promote cohesive and collaborative development, maintenance, and
evolution of multiple related datasets across Federal, State, Tribal, and local governments and the
private or nonprofit sectors.
•
Principle 5: Themes focus on the spatial representation of natural and manmade assets that are
important to the Nation, including boundaries (jurisdictional, legal, and analytical).
The FGDC community will use these principles to establish, modify, and maintain the list of NGDA
Themes that comprise the NGDA Portfolio.
2.3.
NGDA Datasets
Geospatial datasets will be routinely inventoried and recommended for inclusion in the NGDA Portfolio
when merited. The inventory process is considered a collaborative responsibility of NGDA Theme Leads
and Thematic Committees. For approval by the FGDC Steering Committee as an NGDA Dataset, a
geospatial dataset must meet at least one of the following criteria:
•
Used by multiple agencies or with agency partners such as State, Tribal and local governments;
•
Applied to achieve Presidential priorities as expressed by OMB;
•
Required to meet shared mission goals of multiple Federal agencies; or
•
Expressly required by statutory mandate.
To ensure quality and usability of NGDA Datasets by a broad range of agencies and programs, the data
must be:
•
Discoverable – published and available;
10
•
Reliable – coordinated by a recognized national steward;
•
Consistent – supported by defined schema, standards and understood content definitions to
ensure their integrity (including conformance with FGDC Standards as applicable);
•
Current and applicable – maintained regularly and adaptable to current needs; and
•
Resourced – established and recognized as an enterprise investment.
11
3. Portfolio Management of National
Geospatial Data Assets
3.1.
Portfolio Management
This section of the guidance describes a governance process for portfolio management of NGDA
Themes and their associated NGDA Datasets. The portfolio management approach includes both a
multi-year dimension premised on continual improvements and annual reporting on implementation
progress. NGDA Datasets are essential to support agency mission and program needs, satisfy a multiagency or stakeholder requirement and in simple words meet business-driven requirements.
NGDA Portfolio management consists of the inventory, selection, organization, management, evaluation,
monitoring, and setting of Federal geospatial dataset priorities to ensure that NGDA Datasets are
available to support the mission needs of the Federal Government and its partners, as determined by
Federal agencies and their partners and as recommended to OMB. The activity flow within each stage of
the NGDA Portfolio management process is shown in Figure 2.
12
Figure 2. NGDA Portfolio Management Process
YES
Non-NGDA enter
agency-specific
data management
process
1.
2.
3.
4.
5.
3.2.
Evaluate
-------------Monitor
Manage
Identify &
execute interagency
priorities
Send to
Select
NO
Inventory
“The Cloud”
Send to
GOS
Data.gov
Inventory – identify existing geospatial datasets that may be considered National Geospatial Data Assets (NGDAs)
Select - determine if the datasets are NGDA Datasets and if they should become part of the NGDA Portfolio
Manage – develop and manage NGDA Datasets per the OMB Circular A-16 Supplemental Guidance
Evaluate/monitor – manage NGDA Datasets according to NGDA Theme plan, milestones and performance measures
Identify and execute – develop NGDA Theme and NGDA Dataset development and funding and priorities
Inventory
To identify geospatial datasets that comprise the NGDA Portfolio universe, the FGDC Steering
Committee must know what geospatial data exist and how they support the business requirements of the
Federal Government and its partners. Datasets compare to each other in characteristics such as
definition, content, quality, application, and validity. Obtaining this information requires a recurring
inventory and selection process. This initial inventory activity will be conducted to create a baseline
portfolio, which will be routinely maintained on at least an annual basis. NGDA Theme Leads will work
with their respective Thematic Committees and other appropriate communities of interest to constantly
identify and evaluate geospatial datasets that are candidates for consideration as NGDA Datasets within
the NGDA Theme. NGDA Theme Leads, the FGDC Coordination Group, or the FGDC Steering
Committee can annually create, update or replace (delete) themes and/or datasets through the
collaborative review process – OMB must be informed upon the addition or deletion of NGDA Themes
accepted by the FGDC Steering Committee.
13
3.3.
Select
NGDA Theme Leads will recommend datasets for inclusion under their data themes to the FGDC
Coordination Group. The FGDC Coordination Group will work with communities of interest to
determine which geospatial datasets should be part of the NGDA Portfolio under each NGDA Theme.
The Coordination Group will present recommendations based on their determinations on NGDA
Dataset candidates to the FGDC Steering Committee annually. Determinations by the FGDC
Coordination Group will be based on the following high-level criteria:
•
Used by multiple agencies and partners;
•
Applied to achieve Presidential priorities as expressed by OMB;
•
Required to meet shared mission goals of multiple Federal agencies; or
•
Expressly required by statutory mandates.
The FGDC Coordination Group will recommend to the FGDC Steering Committee candidate NGDA
Themes and NGDA Datasets (with NGDA Theme assignments) for inclusion in the NGDA Portfolio.
After the initial update of the NGDA Themes and their associated NGDA Datasets is complete, the
selection process will primarily apply to addition, change, or deletion of datasets. NGDA Themes and
their associated datasets have already changed on a limited basis within the span of OMB Circular A-16,
and will surely continue to do so. Agencies are required to establish the proposal for a new NGDA
Theme and/or a new NGDA Dataset therein. The FGDC Steering Committee reviews proposals for
acceptance or rejection as part of the annual NGDA Portfolio management process.
3.4.
Manage
The “manage” phase of portfolio management consists of activities at both the NGDA Theme and
NGDA Dataset levels. Activities for this phase of portfolio management include:
•
An initial baseline assessment of the state and maturity of each NGDA Dataset within the
NGDA Portfolio.
•
Annual development of an NGDA Theme Report that covers the status of each associated
NGDA Dataset. The NGDA Theme Report will also address those areas where NGDA
Datasets need to be developed and/or managed jointly to ensure that they can be used most
effectively to support mission goals and objectives and that they are developed in a manner that
is most cost effective by minimizing duplicate development and leveraging resources. An annual
NGDA Portfolio Summary will roll up this information in support of continuously improving
the quality and value of the NGDA Datasets.
14
•
NGDA Theme Leads will periodically present NGDA Theme status based on NGDA Theme
and NGDA Dataset Reports to the FGDC Coordination Group to address status, plans, and
resources.
3.4.1.
NGDA Dataset Management
NGDA Dataset Managers should use the Geospatial Data Lifecycle (Reference Document: Stages of the
Geospatial Data Lifecycle pursuant to OMB Circular A-16 Sections 8(e)(d) , 8(e)(f), and 8(e)(g)) to plan,
develop, maintain, evolve, and archive the NGDA Dataset(s) for which they are responsible. Figure 3
summarizes the Geospatial Data Lifecycle stages: Define Inventory/Evaluate, Obtain, Access, Maintain,
Use/Evaluate, and Archive. Business requirements drive recommended management practices in each
stage. The expected outcomes of adopting this lifecycle management framework include:
•
Better understanding of the current maturity of NGDA Datasets;
•
Identification of management practices that NGDA Dataset Managers use to develop NGDA
Datasets;
•
Provision of timely and high-quality geospatial data to support business processes and operations;
•
Creation of stronger partnerships and coordination across all levels of government (and when
appropriate, the private sector) to increase cost efficiency and return on investment;
•
Improved strategies for completing and maintaining the NGDA Themes and their associated
NGDA Datasets to enhance services to citizens; and
•
Improved efficiencies in addressing Federal and national priorities.
NGDA Dataset Managers should evaluate their NGDA Dataset(s) against the Geospatial Data Lifecycle
stages in order to report on their maturity and status. They should also report on how they are
conforming to the NGDA Dataset Managers’ responsibilities, expended resources (dollars and full time
equivalent [FTE]) staff), and other performance measures concurred upon by the FGDC Steering
Committee. If funding information is not currently available, NGDA Dataset Managers should work with
their agency leadership to develop means of tracking this financial information. The NGDA Dataset
Manager will annually submit an NGDA Dataset Report to the relevant NGDA Theme Lead and will
assist with incorporation of that information into a comprehensive annual NGDA Theme Report. The
NGDA Theme Report will be submitted to the FGDC Secretariat for analysis by the FGDC
Coordination Group and development of a NGDA Portfolio Summary. Based on their analysis the
FGDC Coordination Group will make annual recommendations to the FGDC Steering Committee on
NGDA Portfolio actions.
15
Figure 3. The Geospatial Data Lifecycle
QA/Q
C
DEFINE
feedback
C
ARCHIVE
INVENTORY
INVENTORY //
EVALUATE
drivers
QA/Q
feed
back
rs
drive
C
/Q
back
QA
feed
drive
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ack
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C
QA/Q
f
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Requirements
rs
drive
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A/
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Stage 1. Define: Characterization of data requirements based upon business-driven user needs.
Stage 2. Inventory/Evaluate: The creation and publication of a detailed list of data assets and data gaps
(both internal and external) as they relate to business-driven user needs.
Stage 3. Obtain: Identify the mechanism(s) for the collection, purchase, conversion, transformation,
sharing, exchanging, or creation of geospatial data that were selected to meet the business needs
Stage 4. Access: Making data produced known and retrievable to the community through
documentation and discovery mechanisms so the users can meet their business requirements.
Stage 5. Maintain: Ongoing processes and procedures for data operation and maintenance to ensure
that the data continue to meet business requirements.
Stage 6. Use/Evaluate: The ongoing assessment, validation, and potential enhancement of data to meet
user needs and business requirements.
Stage 7. Archive: Required retention of data and the data’s retirement into long-term storage.
16
3.4.2.
NGDA Theme Management
Figure 4 depicts a standard process for NGDA Theme management and evaluation. NGDA Theme
Leads should comprehensively coordinate with their NGDA Dataset Managers to provide overall
management for the NGDA Datasets associated with the NGDA Theme. This will ensure that their
NGDA Datasets effectively support the business processes reliant on them and that they are produced in
the most cost effective manner. Coordination and integration of NGDA Dataset management will
frequently occur across agencies, making interagency coordination a key responsibility of the NGDA
Theme Lead. NGDA Theme Leads will also coordinate with other NGDA Theme Leads to ensure that
NGDA Datasets applicable to more than one NGDA Theme are effectively co-developed. The FGDC
Secretariat will facilitate these coordination activities.
The baseline and subsequent annual NGDA Dataset Reports comprise a key foundational element of the
NGDA Theme Lead’s ability to collaborate with the NGDA Dataset Managers associated with the
NGDA Theme, and to identify and execute common practices and shared services across NGDA
Datasets within the NGDA Theme.
NGDA Dataset
Manager
NGDA
Theme Lead
FGDC
Coordination
Group
Figure 4. Standard Process for NGDA Theme Management
Analyze
recommendations
provided by NGDA
Theme Lead
Manage
NGDA Theme
Manage NGDA
Dataset
Analyze NGDA Dataset
Reports provided by
NGDA Dataset
Managers across the
NGDA Theme
Annual NGDA
Theme Report and
geospatial business
priorities
recommendations
NGDA Dataset
Manager selfreporting:
maturity model,
etc.
17
3.5.
Evaluate/Monitor
Completion, maintenance, and evolution of the NGDA Portfolio will require the governance and
organizational structures described in this Supplemental Guidance to be in-place. As noted earlier, the
NGDA Dataset Managers will annually submit NGDA Dataset Reports to their relevant NGDA Theme
Leads and will assist with incorporation of that information into a comprehensive annual NGDA Theme
Report. NGDA Theme Leads will develop NGDA Theme Reports that capture plans for, milestones
for, and progress in establishing the necessary organizational structures and resources. Theme Lead
Agencies will submit NGDA Theme Reports to the FGDC Secretariat for summarization, and to the
FGDC Coordination Group for analysis and development of a NGDA Portfolio Summary. Based on this
analysis the FGDC Coordination Group will make annual recommendations to the Steering Committee
on NGDA Portfolio actions.
3.6.
Identify and Execute Interagency Priorities
A key goal of NGDA Portfolio management is to enable the FGDC Steering Committee to make
informed decisions on setting both short- and long-term priorities on NGDA Themes and NGDA
Datasets as well as cross-agency collaboration targets for NGDA Dataset development and funding.
Portfolio-wide metrics will provide a comprehensive picture of the NGDA Portfolio allowing better
enterprise-level decision-making than is possible under the current decision process. Under the current
process where decisions are made without the benefit of inter-agency discussions, decisions are often
“stove-piped” 8 and made with insufficient information in terms of the benefits and risks associated with
multiple investment paths. Under the new process, NGDA Theme Leads and the FGDC Coordination
Group are responsible for identifying collaboration opportunities. This more inclusive process is one of
the advantages of NGDA Portfolio management.
NGDA Theme Leads and members of the FGDC Coordination Group have roles in identifying and
recommending NGDA Dataset development priorities to the FGDC Steering Committee; the FGDC
Steering Committee, in turn, assesses them and makes/shares the recommendations with agency CFOs
and CIOs and OMB. NGDA Theme Leads will periodically make presentations to both the FGDC
Coordination Group and FGDC Steering Committee providing updates on NGDA Theme requirements
as determined by their Thematic Committees and communities of interest, as incorporated in the annual
NGDA Theme Report, or as requested by agency or FGDC leadership.
8 "Stove-piped - to develop, or be developed, in an isolated environment; to solve narrow goals or meet specific needs in a way
not readily compatible with other systems." (http://www.doubletongued.org/index.php/dictionary/stove_pipe/)
18
The FGDC Coordination Group will use NGDA Theme Lead presentations in conjunction with
performance metrics contained in or derived from the annual NGDA Theme Reports to make annual
recommendations on cross-agency NGDA Theme and NGDA Dataset development and investment to
the FGDC Steering Committee. The FGDC Steering Committee will be responsible for 1) assessing the
recommendations in the context of overall FGDC strategic goals and objectives; 2) coming to
concurrence on cross-agency NGDA Dataset development and funding priorities; and 3) presenting these
recommendations to agency CFOs and OMB. Linkages between NGDA Theme planning, annual
NGDA Theme progress reporting, and setting cross-agency funding priorities are portrayed in Figure 5.
Budget activities remain under the purview of the agencies and OMB.
Figure 5. Relationship of the NGDA Theme planning, reporting, and budget advisory
processes
FGDC
Coordination
Group
Provide
recommendations on
NGDA Theme Plans/
Portfolio Summary
Analyze NGDA
Theme Reports
Draft NGDA
Theme Plans
Annual NGDA
Theme Reports
Stakeholder Input
Budget
Request to
OMB
Recommend Portfolio
Priorities and NGDA
Theme Budget
Recommendations
Approve NGDA
Theme Plans
NGDA
Theme
Lead
FGDC Steering
Committee
OMB
Official FGDC Steering
Committee-Approved
Portfolio Summary
Recommend
Portfolio
Priorities
(Portfolio
Summary)
NGDA Dataset
Manager/Stakeholder
Input
NGDA Dataset
Reports
Q1
Q2
PLANNING PROCESS REPORTING PROCESS
Develop Budget
Request reflecting
FGDC Steering
Committee
Recommendations
Transmit Copy of
Funding
Recommendations to
Agency CFO's
Q3
BUDGET PROCESS
19
4. Roles and Responsibilities Pursuant to
OMB Circular A–16 Section 8
4.1.
Purpose of Roles and Responsibilities Framework
This section of the Supplemental Guidance defines the roles and responsibilities of Federal agencies as
they implement OMB Circular A-16. Implementation of OMB Circular A-16 via these roles and
responsibilities will help ensure that the Nation has a rich collection of NGDA Themes and NGDA
Datasets that are accessible to Federal, State, Tribal, and local agencies and their clients to support their
business needs, requirements, and priorities. Reference Document: Key Roles and Responsibilities defines
in greater detail what is expected of participants in the NGDA Portfolio management process. As the
NGDA Portfolio management process matures, Reference Document: Key Roles and Responsibilities
will be updated as needed.
Successful management of the NGDA Portfolio requires coordination across a wide variety of
organizations, each of which has specific roles to fulfill. Some of these roles and responsibilities involve
management across NGDA Themes that helps maximize potential return on investment and identifies
and reduces any overlap that currently exists. OMB Circular A–16 implementation promotes overall
NGDA Portfolio management and leverages the Federal Enterprise Architecture.
Implementing the framework:
•
Facilitates proactive execution of business and implementation strategies for each NGDA Theme
and its associated NGDA Datasets;
•
Helps NGDA Theme Leads and NGDA Dataset Managers identify, develop, quantify, allocate,
and sustain the resources necessary to develop the NGDA Themes and NGDA Datasets for
which they are responsible;
•
Enables a range of people with business requirements for NGDA Datasets to be involved in
every component of the NGDA Portfolio management process to ensure business requirements
are satisfied;
20
•
Ensures people involved in making management decisions about NGDA Themes and associated
NGDA Datasets are fully apprised of implications for the NGDA Portfolio; and
•
Helps ensure that NGDA Themes and NGDA Datasets meet OMB Circular A–16 and FGDC
goals, objectives, and milestones.
4.2.
Implementation of the Roles and Responsibilities Framework
The roles and responsibilities contained in this Supplemental Guidance describe activities needed for
successful NGDA Portfolio management. All agencies are encouraged to make these roles and
responsibilities operational, especially those agencies that have NGDA Theme Lead responsibilities. It is
important to note that these roles are generic, particularly in the case of a Theme Lead Agency and its
stakeholders. NGDA Theme Leads will work with their communities of interest and members of their
Thematic Committees to customize the NGDA Portfolio management process in ways that meet the
specific needs of their stakeholders. To accommodate the planning needs and timelines of agencies,
NGDA Theme Leads and, by extension, the associated NGDA Dataset Managers should submit,
through an initial NGDA Dataset and/or NGDA Theme to the FGDC Secretariat for development of a
NGDA Portfolio Summary. The FGDC Steering Committee will annually submit to OMB the Portfolio
Summary that includes the performance of each Theme Lead Agency in meeting its roles and
responsibilities.
4.3.
Roles and Responsibilities
A Federal agency may perform multiple functions and serve multiple roles related to NGDA Portfolio
management. It may, for example, have leadership responsibility for one or more NGDA Theme, or be
in a non-leadership role for a NGDA Theme but contribute NGDA Datasets to a NGDA Theme.
Likewise it may not be leading or contributing to an NGDA Dataset, but may still have a programmatic
interest associated with a NGDA Theme or NGDA Dataset. Whatever the case, any agency or individual
with a role described in OMB Circular A-16 or this Supplemental Guidance is accountable to their
SAOGI, the FGDC Steering Committee, and ultimately OMB for fulfilling their responsibilities.
Roles Specific to NGDA Theme Management
•
Executive NGDA Theme Champion – A member of the Senior Executive Service or a senior
level individual designated by a Theme Lead Agency’s SAOGI, who advocates for, raises
awareness of, and promotes the implementation of a NGDA Theme and its NGDA Datasets.
An Executive NGDA Theme Champion provides recommendations to, and advises the SAOGI
on, important matters relative to the NGDA Theme’s role in the NGDA Portfolio.
21
•
NGDA Theme Lead – Individuals who provide interdepartmental leadership and coordination
at the NGDA Theme level. They work with component NGDA Dataset Managers to develop
standards and provide guidance. The NGDA Theme Lead, or designee, chairs the NGDA
Theme’s Thematic Committee and manages the annual process of providing NGDA Dataset
collaboration and funding recommendations to the FGDC Steering Committee for those NGDA
Datasets within their NGDA Theme. Additionally, the NGDA Theme Lead reports to the
Executive NGDA Theme Champion and the FGDC Coordination Group on the NGDA
Theme’s activities and investments (both current and planned).
•
NGDA Dataset Manager – Individuals who provide coordination and standards for NGDA
Datasets at a national level. NGDA Dataset Managers provide information to their NGDA
Theme Lead for management and reporting.
•
Data Steward – Data Stewards manage that part of a NGDA Dataset that their organization
contributes to a seamless national dataset. They work with the NDGA Dataset Managers in
providing coordination support, implementing needed changes to data, informing and
cooperating with stakeholders, performing field work, ensuring data standards are followed, and
performing data maintenance. Data Stewards are often not Federal employees, coming from
other levels of government, academia, or the private sector.
The responsibility assignment matrix, or RACI matrix, (Table 1) describes the roles and responsibilities of
the entities involved in NGDA Portfolio management. The matrix is simplest to follow by starting with
the responsible party. For example, under Inventory – NGDA Dataset Managers, Data Stewards, and
stakeholders are responsible for creation and update to NGDA Datasets whereas NGDA Theme Leads
are accountable for coordination, review, and reporting on the inventory.
The RACI matrix is composed of the four key responsibility areas as follows:
Responsible (R) - the person or entity assigned to do the work including core work elements such as
managing, executing, controlling, and implementing. Other work elements include prioritizing,
evaluating, and directing.
Accountable (A) - the person or entity who makes decisions about and who has ultimate ownership of
the work including core work elements such as deciding, approving, prioritizing, allocating, evaluating, or
directing.
Consult (C) - the person or entity conferred with before a decision can be made or an action can be
taken. This responsibility also includes facilitation and core work elements such as prioritizing. Other
work elements will be done in consultation with persons or entities that are “accountable” and
22
“responsible”, and may include functions such as approving, evaluating, or directing. This is usually a
two-way communication.
Inform (I) - the person or entity that must be made aware that a decision or action is pending or has
been taken. This is usually a one-way communication.
Facilitate (F) – the person who assists, coordinates, directs, or guides people or entities in various stages
of the NGDA Portfolio management approach (added for the F this guidance).
Table 1. RACI Matrix
Entity
Inventory
OMB
Selection and
Manage (Portfolio,
Identify and Execute
Evaluate/Monitor
Theme Placement Theme and Dataset)
Interagency Priorities
Consult
FGDC EC
FGDC SC
FGDC CG
Inform
FGDC
Secretariat
Consult
Executive
Champion
Accountable
Inform
Inform
Accountable
Accountable
(portfolio)
Accountable
(portfolio)
Responsible
Responsible
Inform
Inform, Consult
Responsible
Facilitate
Facilitate
Facilitate
Inform, Consult (theme)
Accountable
(theme)
Accountable
Consult
Consult
Consult
Responsible
Inform
Consult
Accountable
(theme)
Responsible
(theme)
Responsible
Facilitate
Inform, Consult
FGDC WG
FGDC
Subcommittees
Inform
Consult
Theme Lead
Accountable
(theme)
Dataset
Manager
Accountable
(dataset),
Responsible
Accountable
(dataset)
Responsible
(dataset)
Data Steward
Responsible
Responsible
Responsible
Stakeholders
Responsible
Responsible
Responsible
Consult
Consult
Consult
Consult
Inform
Consult
Inform
NGAC Advisory
Committee
Theme
Community of
Interest
Consult
CIOC
Inform
CFOC
Inform
Key:
Responsible - an entity or person assigned to do the work
Accountable - an entity or person who makes the final decision and has ultimate ownership
Consult - an entity or person who must be conferred with before a decision or action can be taken
Inform - an entity or person who must be made aware that a decision or action is pending or has been taken
Facilitate - an entity or person who coordinates, directs, or guides activities or people
Due to the complexity of managing NDGA Datasets, multiple “accountable” designations may exist but
will in each instance be specific to the NGDA Portfolio, NGDA Theme, or NGDA Dataset. In the
RACI matrix, roles have been assigned to the lowest possible person or entity in the hierarchy. For each
task, at least one person or entity must be “responsible”, but again, due to the complexity of NGDA
Portfolio management and the need for coordination among multiple people or entities, there may be
23
more than one responsible party associated with each stage of the portfolio management process. For
“consulted,” only those persons or entities that must be always consulted are indicated. Consultations
with persons or entities not included in this matrix may also occur, but are not always required. Detailed
roles and responsibilities associated with each component of the NGDA Portfolio management process
are contained in Reference Document: Roles and Responsibilities.
Descriptions and typical tasks for each person or entity involved in NGDA Portfolio management are
listed in Table 2.
Table 2. Stakeholder Summary
Entity
Members
Role
1. OMB
OMB Deputy Director for Management, or his
designee, is co-chair of the FGDC Steering
Committee
a.
2. FGDC Executive
Committee
A subgroup of members of the FGDC Steering
Committee appointed by the Chair, whose
agencies produce or use geospatial data or
technology. The FGDC Executive Committee is
chaired by the FGDC Steering Committee Chair.
SAOGIs, designated by their agencies pursuant
to OMB Memorandum 06-07 9 or agency officials
as specified in the FGDC Steering Committee
Charter 10
3. FGDC Steering
Committee
Maintain OMB Circular A–16 and its
appendices
b. Consider NGDA Theme and NGDA
Dataset funding recommendations of the
FGDC Steering Committee
c. Budget Examiners participate at
appropriate point with support from EGov Office
Advise the FGDC Steering Committee and
establish agendas for FGDC Steering
Committee meetings
a.
b.
c.
d.
4. FGDC Coordination
Group
Representatives from Federal agencies as
specified in the FGDC Coordination Group
Charter 11
a.
b.
c.
Provide NGDA community leadership
Represent Federal agencies on the
FGDC Steering Committee
Oversee agency NGDA Portfolio
investments
Provide funding recommendations by
NGDA Theme and associated NGDA
Datasets to OMB, the CIO Council, and
the agency CFO community
Formulate recommendations by
consensus on the NGDA Portfolio
Summary for NGDA Portfolio
management
Advise the FGDC Steering Committee
Increase awareness of efforts associated
with OMB Circular A–16 implementation
and portfolio management and foster
partnerships at all levels of government
to leverage efforts and reduce
development and investment
Memorandum available at http://www.whitehouse.gov/omb/memoranda/fy2006/m06-07.pdf
Charter available at http://www.fgdc.gov/participation/steering-committee/steering-committee-charter.pdf
11 Charter available at http://www.fgdc.gov/participation/coordination-group/coordination-group-charter
9
10
24
Entity
Members
Role
5. FGDC Thematic
Committees
FGDC member agency representatives and
FGDC-recognized stakeholder groups who have
common interests that cross-cut or affect several
NGDA Themes
a.
6. FGDC working groups
Representatives from Federal agencies and
FGDC-recognized stakeholder groups who have
common interests that cross-cut or affect two or
more NGDA Themes
Executive and support staff that support the
FGDC and its interagency substructure and
working groups
7. FGDC Secretariat
8. Theme Lead Agency
Federal agencies identified in OMB Circular A–
16 Appendix E, to lead the coordination of a
NGDA Theme
redundancies
Advise NGDA Theme Leads and
associated NGDA Dataset Managers
b. Respond to guidance from the FGDC
Steering Committee by updating NGDA
Theme -specific collaboration or funding
recommendations for NGDA Datasets
within each NGDA Theme, for
consideration by the FGDC Steering
Committee
Produce cross-NGDA Theme and crossNGDA Dataset development and
management guidance and procedures
a.
b.
c.
d.
a.
b.
c.
d.
e.
9. Stakeholder
Community
a. Members can come from Federal, State,
Tribal, or local governments as well as the
private or nonprofit sectors or academia (may
vary from theme to theme)
d. NGAC composed of representatives from
Federal, State, Tribal, and local governments
and the private sector, the nonprofit sector,
and academia
a.
b.
c.
Assist agency NGDA Theme Leads and
NGDA Dataset Managers
Support the FGDC Steering Committee
Support the FGDC Coordination Group
Facilitate portfolio management activities
with other FGDC activities and
government initiatives
Oversee the development,
implementation, and maintenance of
NGDA Themes and associated NGDA
Datasets, including chairing Thematic
Committee meetings to develop funding
recommendations for NGDA Datasets
within the NGDA Theme and reflected in
the annual NGDA Theme Report
Provide Executive NGDA Theme
Champion 12
Appoint NGDA Theme Lead 13
Designate and/or work with NGDA
Dataset Manager 14
Designate and/or work with Data
steward 15
Serve as Data steward as designated
Are data end users
Are data producers
Provides advice and recommendations to
FGDC Chair
The definition of this term can be found in the Lexicon of Geospatial Terminology located on the FGDC web site
(www.fgdc.gov)
13 The definition of this term can be found in the Lexicon of Geospatial Terminology located on the FGDC web site
(www.fgdc.gov)
14 The definition for this term can be found in the Lexicon of Geospatial Terminology located on the FGDC web site
(www.fgdc.gov)
15 The definition for this term can be found in the Lexicon of Geospatial Terminology located on the FGDC web site
(www.fgdc.gov)
12
25
Entity
Members
Role
e. General users who may or may not have a
relationship with a Federal agency
Data end users 16
16 The definition for this term can be found in the Lexicon of Geospatial Terminology located on the FGDC web site
(www.fgdc.gov)
26
5. National Geospatial Data Asset Portfolio
Investment Strategy
This guidance establishes an investment analysis and collaboration process integral to strategic
management of the NGDA Portfolio. It provides a mechanism for annual peer review and consultation
to inform both potential partner agencies and OMB as to the completeness, value of, and priorities for
the NGDA Themes and their associated NGDA Datasets. By conducting such an annual investment
review, the geospatial community will increase its effectiveness by better aligning its activities with other
Federal investment processes and investments.
Two primary results arise from this approach: (1) partnering opportunities for investment collaboration
are jointly identified and considered, providing the opportunity to align resources and improve mission
delivery, and (2) on a timely basis during the annual budget process, OMB and the interagency CFO
community are informed by government-wide geospatial experts about opportunities for improved
geospatial resource alignment. This model is consistent with the CPIC process, which addresses other
components of the geospatial portfolio (specifically hardware and software).
The planning, reporting, and budget processes form the basis for establishing interagency partnerships
and provide linkages to the broader Federal agency budget process. This Supplemental Guidance
establishes an 'investment collaboration process' whereby peer review and consultation for NDGA
Themes and associated NGDA Datasets is conducted annually and whereby suggested interagency
priorities are provided to Agency CFOs and OMB to inform the budget process. Budget activities remain
under the purview of agencies and OMB. Budget information regarding NGDA Dataset investment
informs the budget process and may inform prioritization--or funding adequacy-- where relevant. Agency
SAOGIs and Executive NGDA Theme Champions update NGDA Theme Leads and NGDA Dataset
Managers on final resource disposition to complete the process.
27
5.1 Benefits
Conducting an annual investment review process increases the geospatial community’s effectiveness by
focusing investment and development efforts on those assets that are most critical for supporting
missions and output goals and by integrating its activities into other Federal investment processes. The
players traditionally active in the Federal agency budget formation process, most notably the agency CFO
community, rarely have expertise in geospatial management or issues. At the same time, those with
significant geospatial expertise rarely have a distinct role in the budget process. The fact that much
Federal geospatial spending is subsumed unidentifiably within other program budgets, and therefore
opaque to the CFO community, is one reason for this disconnect. The FGDC will work with OMB,
NGDA Theme Leads, and NGDA Dataset Managers using the FGDC governance structure to lay out an
aggressive but achievable process whereby funding levels for the NGDA Datasets become known over
time. Achieving the transparency contemplated by this guidance will empower the FGDC to address
broad long-term geospatial policy issues that are presently unresolved, facilitate annual initiatives, explore
priorities across and within NGDA Themes, and enable all involved parties to assess the completeness
and quality of management of individual NGDA Datasets. While the long-term NGDA Portfolio
management activities described in Sections 3 and 4 of this Supplemental Guidance are evolving, the
annual Federal budget process provides a shorter-term opportunity to begin improved management of,
and priority setting for, the NGDA Portfolio.
5.2 The Process
The FGDC Steering Committee annually establishes a NGDA Portfolio Summary inclusive of funding
recommendations and shares it with agency CFOs and OMB E-Gov and Resource Management Offices.
This advice is timed so that it may be considered in routine agency budget formulation and operational
plan development processes. Budget recommendations of the FGDC Steering Committee align with the
budget formulation process of agency program managers and the CFO community to facilitate a
government-wide perspective on NGDA Portfolio funding priorities (OMB Circular A-16, 2002; page 6)..
Note: a publicly releasable geospatial Portfolio Summary will be included in the FGDC Annual Report.
The steps in the NGDA Portfolio investment review, submission, and approval process, as shown in
Figure 6, are described below.
28
Figure 6: NGDA Portfolio investment review, submission, and approval process
29
•
The process begins with NGDA Dataset Managers who develop annual NGDA Dataset Reports
including current level of completion, prior year (PY) and current year (CY) spending amounts,
NGDA Dataset Manager self-scoring and reporting using the Geospatial Data Lifecycle stages
maturity model, and other information as required in FGDC reporting guidance. Upon approval by
their agency SAOGI, the report is provided to the NGDA Theme Lead, who then collaborates with
all NGDA Theme-related dataset managers (including those of possibly relevant non-NGDA
Datasets) to identify opportunities for integration, collaboration, improved efficiency, or
improvements such as greater completeness, accuracy, or precision across the NGDA Theme. (midFebruary, after release of the President’s Budget; Step 1A).
•
NGDA Theme Leads develop NGDA Theme Reports, compiling their NGDA Dataset Reports and
other information including potential opportunities for cross-agency collaboration, performance
improvement, investment opportunities, and other information as required in FGDC reporting
guidance. When developing NGDA Dataset BY funding recommendations, NGDA Theme Leads
should take into account non-Federal sources of funding for the NGDA Datasets and the NGDA
Dataset’s significance in meeting the needs of both Federal and non-Federal levels of government.
•
The FGDC Secretariat compiles NGDA Theme Reports into a NGDA Portfolio Summary for the
FGDC Coordination Group. The FGDC Coordination Group develops recommendations aligned
with the NSDI Strategic Plan and Presidential priorities, and informed by NGDA Theme Reports,
NGDA Dataset Reports, and other relevant information. The FGDC Coordination Group presents
the Portfolio Summary including their recommendations on BY spending amounts organized by
NGDA Dataset (mid-February, at the same time as Step 1A and Step 1B).
•
The FGDC Steering Committee concurs or recommends BY funding by NGDA Theme based on
the Portfolio Summary, funding levels in the budget that were just released, NGDA Theme Lead
recommendations, and any shifts in Presidential priorities not yet conveyed by the FGDC reporting
guidance (mid-March; Step 2).
•
The FGDC Steering Committee communicates its BY funding recommendations for NGDA
Themes and their component NGDA Datasets, plus any corresponding performance
recommendations, to OMB, the relevant members of the CFO community, Executive NGDA
Theme Champions, and the NGDA Theme Leads via the Executive NGDA Theme Champions.
Agency CIOs should also be informed to ensure alignment with the agency’s CPIC process (late
April; Step 3).
•
Agency CFOs, in consultation with the SAOGIs and Executive NGDA Theme Champions within
their agencies, develop and submit agency budget requests reconciling the FGDC recommendations
and agency subcomponent budget requests. Agency budget requests should reflect suggested FGDC
30
investment collaboration status. Agency CIOs should be consulted to ensure alignment with respect
to the agency’s CPIC process (May-September; Step 4).
•
OMB RMOs review FGDC Steering Committee recommendations and agency budget requests to
determine consistency and funding by NGDA Dataset. In aggregate, OMB’s individual NGDA
Dataset funding decisions produce NGDA Theme level funding for the BY (October- November;
Step 5).
•
Agencies and OMB RMOs collaborate to resolve Passback and appeals to finalize the President’s
Budget (December; Step 6).
•
OMB publishes the President’s Budget (February; Step 7).
•
The Steering Committee racks up the resolved agency appeals by collecting information from OMB
RMOs by NGDA Dataset, and then organizes agency-specific information by NGDA Theme and
communicates that information to the FGDC Coordination Group (mid-February; Step 8).
•
The FGDC Coordination Group updates the Portfolio Summary to reflect recommended funding
and performance by NGDA Dataset and informs NGDA Theme Leads and NGDA Dataset
Managers of OMB decisions (mid-February; Step 9).
•
NGDA Theme Leads update the NGDA Theme Reports to reflect the final budget decisions in the
recently released President’s Budget (late-February; Step 10).
5.3 Staged Process Implementation
All NGDA Datasets across all NGDA Themes will be involved in the NGDA Portfolio management
process. In year one, the FGDC Steering Committee will indicate to OMB how and when the FGDC
plans to progressively stage implementation of this portfolio budget recommendation process. In
subsequent years, the FGDC Steering Committee will report to OMB on progress toward implementing
the NGDA Portfolio management process and outcomes. Completion of two activities is critical before
an enterprise NGDA Portfolio management process can be fully implemented. These are 1) the
designation and active leadership of NGDA Theme Leads and associated NGDA Dataset Managers and
2) the documentation and availability of financial information for NGDA Datasets within a particular
NGDA Theme.
Documenting and making financial information available presents a more complex challenge for some
agencies than others. This is because the desired degree of transparency and accountability may depend
on modest refinements to agency financial management and budget systems that would allow for NGDA
Dataset spending to be identified within the larger budget structures. It may therefore be necessary to
gradually increase over a period of years the number of NGDA Datasets within a particular NGDA
31
Theme that are capable of being fully included in this process. This is because achievement of the desired
degree of transparency and accountability may depend on modest refinements to agency financial
management and budget systems that would allow for NGDA Dataset spending to be individually
identified within the larger budget structures. However, the FGDC need not wait until relevant financial
information is available for all NGDA Datasets within a NGDA Theme before beginning to apply this
process to that NGDA Theme. This process can begin when the FGDC determines it has the necessary
financial information for a critical mass of NGDA Datasets associated with an NGDA Theme needed to
derive value from the process.
The FGDC will coordinate with OMB and the agency CFO/CIO community to ensure a consistent
approach to providing the required level of resolution of financial information for NGDA Datasets,
recognizing that some agencies may require more time in order to satisfy the reporting requirements.
This process will enable the FGDC Steering Committee to make informed decisions on setting both
short- and long-term priorities on NGDA Themes and NGDA Datasets as well as cross-agency
collaboration targets for NGDA Dataset development and funding. This collaborative process serves as
an important component in the foundation of portfolio management in fulfillment of OMB Circular A16.
32
Appendix A.
Acronym
BY
CFO
CIO
CIO Council
CPIC
CY
eGOV
FACA
FGDC
FTE
NGAC
NGDA
NSDI
OMB
PY
RMO
SAOGI
Acronyms
Definition
Budget Year (in reference to the Federal Budget Process)
Chief Financial Officer
Chief Information Officer
Chief Information Officers Council
Capital Planning and Investment Control
Current Year (in reference to the Federal Budget process)
E-Government Initiative
Federal Advisory Committee Act
Federal Geographic Data Committee
Full-time equivalent
National Geospatial Advisory Committee
National Geospatial Data Asset
National Spatial Data Infrastructure
Office of Management and Budget
Prior Year (in reference to the Federal Budget)
Resource Management Office
Senior Agency Official for Geospatial Information
33
| File Type | application/pdf |
| File Modified | 0000-00-00 |
| File Created | 0000-00-00 |