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U.S DEPARTMENT OF LABOR

Office of the Chief Information Officer

IT Modernization Listening Tour

Findings, Analysis, and Recommendations

Final Report

September 12, 2011

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Table of Contents

Table of Contents ..................................................................................................... 2

Executive Summary ................................................................................................. 3

Background .............................................................................................................. 4

Why Modernization? ................................................................................................................. 5

Drivers ........................................................................................................................................ 6

Modernization Program ......................................................................................... 7

Description ................................................................................................................................. 7

Mission, Vision, and Goals......................................................................................................... 7

Stakeholder Engagement ........................................................................................ 8

Approach and Methodology ..................................................................................................... 9

Data and Metrics ...................................................................................................................... 12

Analysis and Findings ............................................................................................................. 19

Modernization Roadmap .......................................................................................... 35

People Recommendations ...................................................................................................... 36

Process Recommendations ..................................................................................................... 40

Technology Recommendations .............................................................................................. 43

Initiatives ................................................................................................................................. 44

Next Steps ............................................................................................................... 47

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Executive Summary

In October 2010, the Department of Labor (DOL) announced its IT Modernization Program

aimed at transforming its IT operations and services in order to improve customer service,

streamline operations, and maximize its technology return on investment. DOL was driven

to initiate this wide scale change to address disparate and aging IT infrastructures that

lacked interoperability and scalability. Additionally, DOL wanted to be able to deliver a

shared information environment and provide enterprise-wide solutions that allowed

agencies to successfully fulfill their missions. Finally, DOL was driven to modernize its IT

infrastructure by external forces such as the expectations of customers (U.S. citizens),

increasing levels of security threats, and compliance requirements such as the “25 Point

Implementation Plan to Reform Federal Information Technology Management” established

by the former U.S. Chief Information Officer, Vivek Kundra.

DOL asked Booz Allen Hamilton to work with them to design a nationwide stakeholder

listening tour to gather employee feedback related to perceptions of the current state IT

environment, interests, and employee capacity to resist or adopt IT Modernization-driven

reforms. The findings, analysis, and recommendations presented in this report are based

on outcomes of 360 interviews, 32 focus groups and 5,895 survey responses to an on-line

survey of DOL employees during the listening tour conducted from January through March

2011. The stakeholder analysis highlighted several recurring areas for improvement that

were identified across agencies, regions, and employee levels. These top areas for

improvement included:

IT Leadership: Stakeholder feedback on DOL IT leaders, primarily from the OCIO and

OASAM, face significant challenges in establishing and maintaining trust and credibility

with key agency IT and business personnel. Leadership challenges stem from IT

governance, IT strategy and policy setting, performance accountability, and the

OCIO/OASAM organizational structure.

Management: Stakeholders identified the need for end user involvement early in the

planning and design stages of IT planning and design. Additionally, stakeholders perceived

gaps in communications and training through most IT implementation efforts.

Workforce Access and Mobility: Stakeholders perceived remote access, security policies

and interoperability as the greatest deterrents to productivity and workforce mobility. The

inadequacy of access and lack of compatibility with DOL systems disproportionately most

directly affects staff on the frontlines in area, field, district and regional offices.

Collaboration and Information Sharing: To varying degrees, staff across all agencies

lacks the tools and processes necessary to effectively access and share information.

Additionally, siloed organizational structures and perceived cultural aversion to sharing

information results in time lost looking for information, inadequate and unreliable data,

and limited effectiveness of analyses and enforcement actions. To combat the situation,

staff must create inconsistent workarounds and promote manual processes, such as

mailing physical documents, to accomplish their work.

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Innovation: Employees exhibit a lack of confidence in DOL and the agencies to develop

innovative and modernized solutions to business problems. Workarounds are often

developed in multiple locations across the country to resolve common process or

technology challenges that are not being addressed at the National level.

Our top recommendations for immediate action are as follows:

� Establish a comprehensive IT governance model that addresses policy setting

around IT planning, acquisition, and service delivery management in a transparent

and inclusive manner

� Develop a Department-level IT Strategic Plan supporting the DOL strategic plan to

more clearly specify vision, goals, and objectives and allow agencies to prepare for,

collaborate on, and coordinate IT change

� Establish and execute structured project management practices during the

identification, planning, design, development, and implementation of all IT

initiatives. Particular focus should be on providing a coordinated and consistent

approach to stakeholder involvement in design, targeted communications, and

timely and role based training

These recommendations will assist DOL in achieving its vision for IT Modernization: “To

offer the highest quality IT services that allow our agencies to provide world class

customer experiences.”

Background

In March 2010, the Department of Labor’s (DOL) Office of the Chief Information Officer

(OCIO) developed a white paper, entitled “Enabling Business Modernization – A DOL

Unified IT Infrastructure” that highlighted the need to improve the customer experience

with DOL through transforming the Department into a twenty-first century organization

through modernization of its technology infrastructure.

DOL relies on its IT systems to deliver on its mission and fulfill growing business needs.

The Department’s IT infrastructure has evolved into nine disparate independent

infrastructures that support clusters of agencies. With the Deputy Secretary’s memo of

October 10, 2010 announcing the DOL IT Modernization Program, the Department

embarked on a wide ranging initiative to modernize IT operations and services.

DOL asked Booz Allen Hamilton to work with them to design a nationwide listening tour to

gather employee feedback related to perceptions of the current state of IT, interests, and

employee capacity to resist or adopt IT Modernization-driven reforms. The findings,

analysis, and recommendations presented in this report are based on outcomes of 360

interviews, 32 focus groups and 5,895 survey responses to a Web survey of DOL employees

during the listening tour conducted from January through March 2011. The report

provides an understanding of the existing challenges and key factors critical to the success

of IT Modernization. Accordingly, this report aims to answer the following questions:

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� Who are the various stakeholder segments and stakeholders critical to the success of IT

Modernization?

� What are their views on the current state of key facets of DOL’s IT infrastructure?

� What are stakeholders’ desires for the future state of DOL’s IT infrastructure?

� What are the critical factors that facilitate stakeholder adoption of IT Modernization-

sponsored changes?

� How can leadership develop realistic and sustainable IT Modernization initiatives that

minimize adverse impact of Modernization on employees and enhance its benefits?

This analysis provides a baseline for change management-related decision making

throughout the IT Modernization effort. It also highlights potential areas of resistance to IT

Modernization, and offers specific recommendations to increase the likelihood of

successful and timely implementations and user adoption.

Why Modernization?

The siloed nature of DOL’s nine IT infrastructures has become a significant business

challenge in recent years. It has resulted in high costs of ownership for Agencies,

difficulties implementing changes to meet business needs, inability to adequately meet

compliance demands, and inefficiencies in the way that employees perform their work.

The impetus for DOL’s IT Modernization Program can be linked to a January 2010

Presidential forum on Modernizing Federal Government IT focused on exploring ideas and

best practices for leveraging technology to streamline federal operations, improve

customer services, and save money. The discussion centered around three tracks:

� Improving Customer Service: Best practices for measuring customer satisfaction

and improving the ways in which the government delivers services to the

American people.

� Streamlining Operations: Best practices for managing long-term business

transformation and IT projects.

� Maximizing Technology Return on Investment: Best practices for prioritizing

technology investments and managing the overall technology budget to deliver

results.

As a result of this forum, Vivek Kundra, the then U.S. Chief Information Officer, developed a

twenty-five point plan to reform Federal IT. It mandated that all federal agencies

consolidate IT services with the goal of instituting shared service models that are cost

effective and customer-focused. At the same time, increasing IT cost pressures and

demand for DOL Agency services perpetuated existing challenges in service delivery that

compelled the Department’s leadership to consider solutions to address them.

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Drivers

Modernization drivers are those factors that create a compelling case to drive changes to

how the Department delivers IT services to its agencies charged with serving the American

public. This report delineates internal driver as separate and unique from external drivers.

Internal Drivers:

Business drivers: Modernized IT systems are critical to the DOL’s success in fulfilling its

business mission in the future. These business drivers include:

� Effective Leadership and Governance

� Cost Savings

� Shared Information Environment

� Enhanced Customer Service

� Enterprise-wide Solutions

� Realigning Agency Staff to Mission Support

Fulfilling all of these needs without major increases in operating costs requires DOL to

become more efficient and effective in utilizing its resources.

Technology Drivers: In addition to increasing demand for improved business services, the

need for IT modernization is driven by the Department’s technological environment. Since

IT services are central to meeting DOL’s mission, they are essential to maintain and

improve IT service delivery and the performance and operational efficiency of existing

systems. These technology drivers include:

� Disparate and Aging IT infrastructures

� Lack of interoperability

� Scalability

� Portability

� Reduced Complexity

External Drivers:

Citizen Expectations: DOL IT Modernization also will be driven by the expectations of

citizens and consumers of DOL services. It will be essential to update the DOL

infrastructures and services to keep pace with the development of technology externally

and to maintain compatibility with file formats and systems utilized by citizens and

external partners.

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Security: External security threats will drive the need for the implementation of more

sophisticated technology with the objective of delivering substantial benefit to the

Department in safeguarding data, systems, and resources, as well as enhancing the

protection of Privacy Act information handled by agency systems.

Compliance Requirements: IT Modernization must comply with recent Federal IT

management reform mandates established by the Office of Management and Budget (OMB).

These mandates include:

� OMB Memorandum M-11-29 “Chief Information Officer Authorities” – August 8,

2011

� Vivek Kundra, U.S. Chief Information Officer “25 Point Implementation Plan to

Reform Federal Information Technology Management” – December 9, 2010

� OMB Memorandum M-09-02 “Information Technology Management Structure

and Governance Framework” – October 21, 2008

� Public Law 107-347, “E-Government Act of 2002”

� Public Law 104-106, Division E, Clinger-Cohen Act of 1996

� OMB Circular A-130, “Transmittal Memorandum #4, Management of Federal

Information Resources”

Modernization Program

Description

The DOL IT Modernization Program is aimed at strengthening IT service delivery and

support by aligning IT with the Department’s business needs through improvements to

existing IT infrastructure and IT services. Such alignment is intended to realize cost

efficiencies for the Department and its Agencies. It will transform the Department into an

organization of efficient and collaborative employees that are well equipped to achieve

their Agency missions and deliver high standards of service.

Mission, Vision, and Goals

Booz Allen worked with DOL to develop an IT Modernization Program Mission and Vision

that supported the overarching goals of the Program.

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Program Mission

“Create a modernized, standardized IT infrastructure that streamlines operations,

improves customer service and collaboration opportunities, and maximizes technology

return on investment to support agency business missions.”

Program Vision

“To offer the highest quality IT services that allow our agencies to provide world class

customer experiences.”

Goals

By improving IT service delivery and addressing outdated technology issues the

Department’s aim is to:

� Improve Delivery of Services: Help DOL employees better perform their jobs by

enabling the Department to quickly implement new IT solutions that improve the

level and quality of services available to the agencies.

� Enhance Information Sharing: Eliminate internal barriers to accessing cross-agency

information, by reducing technical complexity and improving data sharing between

agencies and offices to meet business missions.

� Encourage Greater Efficiency: Streamline operations and provide a better return on

investment on technology expenditures, to support cost savings across the

Department and to funnel cost savings into new IT programs and offerings.

Stakeholder Engagement

Stakeholder engagement is the process by which an organization reaches out to its

employees, customers, suppliers, etc., who may be affected by a change or can influence a

change, in order to gain an understanding of their perceptions, attitudes, and dispositions.

Before DOL can develop and execute a plan for IT Modernization, the organization must

have a full understanding of stakeholders’ support for the change and what currently

works, what does not work, and what can be improved with regard to the IT infrastructure.

In addition, it is critical to identify individual program supporters and resistors and their

motivations at the outset of the initiative to help ensure success and progress.

An effective change management program will ensure that more stakeholders are engaged

Department-wide throughout all IT Modernization activities. Targeted stakeholder

engagement activities will encourage stakeholders at all levels to contribute relevant and

critical insights that will influence the direction of the IT Modernization Program. The

intent is to establish an honest, two-way dialogue with business and IT staff regarding their

requirements in order to establish a shared long-term vision for DOL’s modernization

efforts. The stakeholder engagement process will aid in shaping:

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� An accepted, shared vision of the future-state infrastructure

� Desired performance improvements

� Required future staff competencies

� The value proposition for internal stakeholders

� End-users’ and business owners’ needs, concerns and desired new capabilities

� The future IT organization including its governance and related decision-making

� The attitudes of change supporters and resistors, and

� The culture, values, concerns, preferences, and characteristics of all stakeholder

groups

Approach and Methodology

Stakeholder analysis is a structured process to identify, assess, prioritize, and develop

plans for engaging the most critical and relevant stakeholders in the change process. It

follows a stepped approach for selecting and then interacting with the range of

stakeholders that help to define and characterize the need for change. It is through

stakeholder analysis that needs and issues of the key stakeholders can best be understood

and then addressed during the change process. The stakeholder analysis approach consists

of three key steps as described below.

Step 1: Segment Stakeholders and Prepare Materials for Outreach

The Booz Allen team worked with DOL leadership to define, identify, validate, and segment

internal and external stakeholders into four categories and 11 groups for participation in

multiple program engagement activities. The intent was to engage as many Agency leaders

and staff as possible across the infrastructures in multiple locations to ensure planning for

the design, development, and implementation phases of the IT modernization initiative was

reflective of the agency’s vision, needs, challenges, and opportunities. The segments used

during stakeholder engagement activities are described in the table below.

Table 1: DOL IT Modernization Stakeholder Segments

Stakeholder Segment Characteristics

I. Department and Agency

Senior Leadership

Example Stakeholder Groups:

� Senior-level Department/ Agency

leadership, including Assistant

Secretaries/ Agency Heads

� Dep. Assistant Secretaries/ Dep.

Agency Heads

� Agency leads for Management and

Administration functions,

including Agency Administrative

Officers

� Enterprise Implementation

Department and Agency Senior Leadership are the

leaders, decision-makers, and influencers for DOL’s IT

Modernization program. They are involved in setting

IT Modernization policy and guiding implementation

of IT Modernization initiatives. This group is

comprised of Department and Agency-specific Senior,

Deputy Leadership (e.g., Agency Heads). The majority

of staff in these positions is located in the Washington,

DC National office and is a mix of political appointees

and career staff.

Collectively, this group has a high degree of influence,

and a low degree of day-to-day impact regarding IT

Modernization.

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Stakeholder Segment Characteristics

Committee (EIC) members

II. Department and Agency

Management

Example Stakeholder Groups:

� Directors, Administrators, SES

charged with administering

discrete mission programs or

functions

� Directors of IT management

functions

� Mid-level business function

managers, including Program

Managers, Office Directors,

Division Chiefs

Department and Agency Management hold critical

roles in the day-to-day, operational success of

Department and Agency initiatives. This group is

comprised of Business Leadership and Managers; they

need to be consulted in key decisions that impact their

organization. This group is located primarily within

the National office, but also has a presence at the

regional level.

Collectively, this group has a medium degree of

influence, and a medium degree of day-to-day impact

regarding IT modernization.

III. National Staff

Example Stakeholder Groups:

� Business staff

� Administrative staff (i.e., business

support)

� IT staff

National staff consists of Business and IT personnel in

the Washington, DC metro area, including Division

Chiefs and Action Officers. They are responsible for

the direct, day-to-day execution of Department and

Agency mission, business support, and IT support

activities. They utilize technology to increase their

productivity in executing business processes, and

sharing, storing, and securing information.

Collectively, this group has a low degree of influence,

and high degree of impact regarding IT

modernization.

IV. Field and Regional Staff

Example Stakeholder Groups:

� Business staff

� Administrative staff (i.e., business

support)

� IT staff:

Field and Regional staff include Division Chiefs and

Action Officers. Staff is located throughout the nation,

primarily in government and partner sites outside of

the Washington, DC geography. They often spend

substantial time on travel in the field and feel

disconnected from decision-making processes at the

National Headquarters.

This group needs to be actively engaged and informed

when new IT tools and resources are established.

Collectively, this group has a low degree of influence,

and a high degree of day-to-day impacts regarding IT

modernization.

The team developed initial data and material requirements to support engagement

activities and identified key points of contact for each agency that assisted with scheduling

interviews and data gathering opportunities. Key outputs of this planning phase of the

stakeholder engagement included a stakeholder matrix vetted with agency leadership,

individual interview guides, focus group and group interview guides, and an online survey.

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Step 2: Gather Stakeholder Data

The team focused on the collection of data from stakeholder interactions consisting of

interviews, focus groups, the online survey, and feedback through the DOL IT

Modernization homepage. Each data collection method is described below:

Stakeholder interviews: The team performed one-on-one interviews in the field,

regions, and at the National office. The intent of the interviews was to identify

attitudes, priorities and influences of change sponsors, shape the vision and

governance approach, and identify senior leaders’ capacity to strengthen or weaken

achievement of the IT Modernization mission. One-on-one interviews provided a

forum to gather more information than normally possible in a group setting. As a

result of the more personalized approach, individual comments were generally

uninfluenced by group reactions and “group think.” These data informed the

underlying change management strategy supporting the IT Modernization

initiatives.

Focus groups and group interview sessions: The primary goal of the focus groups and

group interview sessions was to elicit information and feedback from participants

on the needs, perceptions, and barriers to the achievement of the IT Modernization

mission. The focus groups and group interviews were designed to collect data from

stakeholders regarding:

� Supports and barriers to the IT Modernization program

� Understanding of end-user and business needs, and agency differences

� How to improve responsiveness to business needs

� The value proposition for internal and external stakeholders, and

� Effective strategies for the socialization and rollout of the IT Modernization

program

Focus group topics included collaboration, knowledge management, training and

education, remote access/telework, and general IT Modernization issues.

Online survey: The online survey questionnaire provided an opportunity for the

program to pulse a broader cross-section of agency staff to participate anonymously

in the assessment of the IT Modernization Program. The team worked with OASAM,

OIG, and BLS to gather employee e-mail addresses and distribute the survey to DOL

stakeholders.

DOL IT Modernization Homepage: This forum provided an opportunity for DOL staff

to submit real-time questions or feedback to the team through a means independent

of face-to-face discussions or targeted survey questions. A contact e-mail address

was advertised on the homepage: ITModernization@dol.gov.

Key outputs of this phase included a detailed rolling report incrementally developed during

the regional Listening Tour that captured key current and future state issues from

interviews and focus groups and identification of potential change agents to further

support IT Modernization change management efforts.

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Step 3: Analyze Stakeholder Data

Following the collection of stakeholder data during the Listening Tour, the team focused on

analysis of the data to identify trends in the stakeholder feedback to inform and shape the

vision, design, development, and implementation of IT Modernization initiatives that would

address the critical issues impacting DOL agencies and their employees. A stakeholder

database was created to store the stakeholder responses and facilitate sorting by agency,

stakeholder group, location, and infrastructure. Key outputs of the analysis included:

� Stakeholder analysis report

� Survey report

� Summary reports of National office interviews and focus groups

� Executive organization summary

� Agency summary

� Specific issue summaries such as e-mail and remote access, summaries for posting

to LaborNet

Data and Metrics

Through the online DOL IT Modernization survey, focus groups, and interviews, the

Listening Tour provided the means for robust quantitative and qualitative DOL stakeholder

data collection. The team worked collaboratively with OASAM to engage DOL employees,

fostering a statistically significant response rate. The following section highlights key data

and metrics gleaned from the Listening Tour; the detailed raw data is found within a

separate Appendix volume to this report.

Listening Tour Participation

Throughout the Listening Tour, DOL stakeholders from all 26 agencies in the Department’s

five regions and National office participated in stakeholder engagement in multiple ways,

including individual interviews, group interviews, topic-specific focus groups, and

completion of the IT Modernization survey. Participation details are shown below.

Interviews: The team conducted individual and small group interviews with 360 key DOL

staff and Agency leadership. Figure 1 below depicts the locations of the interview

participants in the regions and the National office.

Focus Groups: The team conducted a total of 36 focus groups with 316 DOL staff. Each

focus group ranged in size from 10-12 individuals and lasted approximately ninety

minutes. Figure 1 below depicts the locations of the interview participants in the regions

and the National office.

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Figure 1: Listening Tour Locations

Online Survey: The survey was distributed to 17,549

DOL staff, encompassing email domain in all agencies

and regions. 5,895 staff responded, representing a

statistically significant response rate of 33.6%,

surpassing the minimum requirement of 18%

required for the survey to be considered statistically

significant. Additionally, DOL employees submitted

more than 18,000 open text comments. Table 2 to the

right indicates survey response rates by location.

Qualitative and Quantitative Findings

Through the stakeholder engagement, the team identified recurring themes and issues. Key

data points in these areas are reflected below.

Enterprise Password Management:

� 38% of all respondents disagree or strongly disagree that DOL’s password

requirements are easy to address to complete work

� 8 of 9 infrastructures identified multiple passwords as an issue that requires

substantial time for staff to manage

� Multiple passwords and password requirements complicate security, inhibit system

use and create additional barriers to remote access

Table 2: Survey Responses

by Location

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� Staff have difficulties using multiple passwords and multiple cumbersome password

requirements; they require additional technical assistance to unlock systems when

they are unable to recall passwords

� Staff generally try to track passwords to aid in recalling them

Remote Internet Connectivity:

� Across all agencies, 29% of respondents reported they do not have reliable remote

access to their agency network; 38% reported they do

� 34% of respondents reported they do not have the devices needed to work remotely

� IT and Admin Staff responded more favorably about their satisfaction with remote

connectivity than the other levels

� Senior Leaders, Supervisors, Managers, and Business Staff were consistent in their

views on reliable access (33-38% do not have reliable remote access)

� 41.6% of respondents reported there are not sufficient remote access devices

available for staff

� Wide-spread compatibility, security, and speed challenges result in inconsistent

access to agency networks

� Remote access to networks via Citrix is intermittent and unreliable particularly

during prime business hours

� Events (e.g. snow days) drive up numbers of staff telecommuting, creating

significant network performance issues for those using remote access and create

concerns about COOP performance in the case of emergencies

� Telework is a cornerstone and critical response strategy of continuity plans; current

IT infrastructures are not capable of supporting large-scale teleworking.

Enhanced Collaboration:

� 86% of all respondents need to share files and documents electronically

� 42% of staff slightly agree that document sharing using available electronic tools is

convenient; 56% of all respondents were either neutral to or stated not applicable

to the convenience of the Pointsec encryption tool as a means to secure shared data

� OSHA and SOL reported more than other agencies that document sharing is less

convenient using available electronic tools

� Eight of nine infrastructures identified the need for a real-time collaboration tool to

use within agencies, across DOL and with external federal agencies, states and

partners

� Stakeholders supported by nine infrastructures at the regional level and seven

infrastructures at the national level identified access to VTC equipment as an issue

affecting Department-wide and internal agency collaboration; stakeholders from

five of the nine supporting infrastructures report needing VTC for external

collaboration

� Seven infrastructures identified security policies and firewalls as negatively

impacting business processes and collaboration because they limit access to data

residing in heavily secured systems

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Email:

� Survey results indicated that email archiving is an issue across DOL, and is

particularly problematic for those managing and leading staff

� Leadership/management has more need to archive than lower level staff

� In eight agencies, greater than 60% of respondents identified frequent archiving as

an issue (ETA, OASAM, ILAB, SOL, VETS, WB, OPA, and OSHA)

� EBSA reports less need to archive than many other agencies

� OFCCP shows a big difference between staff and leadership archiving needs

� Seven of nine infrastructure agencies raised e-mail capacity as a regional issue

� Five of nine infrastructure agencies raised e-mail capacity as a National office issue

� Daily email archiving interrupts the execution of daily tasks and consistently

reinforces the limitation of Department and agency IT systems (accounts limited to

80-200MB)

� Staff exchange massive files with other agencies or customers as part of their daily

responsibilities and have to delete to avoid exceeding email box limits

� Email attachment and storage limitations will compound issues associated with

losing access to network drives during continuity events

Knowledge Management:

� The National office reported using shared drives to store documents more than all

other offices; IT and admin staff find documents stored on shared drives more easily

than other levels

� Managers report greater needs for video conferencing equipment and webcams

� Staff in many agencies that use case management solutions as data repositories

stated that data stored in these repositories is poorly maintained

� Case management tools are generally not user friendly

� Employees have less knowledge of where to find training resources the longer their

tenure with the Department

� Agencies are typically not able to readily share access to authoritative data because

of lack of authoritative data sources or lack of functionality of authoritative data

repositories in cases where they exist

Standardized Process:

� IT acquisition process is broken – often takes five months or longer to get a contract

in place for IT projects, resulting in delays and missed dates

� For capital planning process, costs are not tracked properly making it difficult to

understand what cost responsibilities for a particular agency or office

� Lack of standardized systems (e.g., configuration management databases) and

processes impede IT managers’ ability to manage, configure, and implement IT

assets to support regional mission and business processes

� Lack of standardized processes impedes efficient use of enterprise resources and

inter-agency collaboration, which leads to workarounds that often fail resulting in

significant amounts of time spent in “fire-fighting” mode

� Frustration with current business processes that require dual adherence to paper

requirements as well as electronic requirements

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� Business processes are not always documented, resulting in delayed actions and

frequent workarounds

Process Enablers:

� National office uses shared drives to store documents and manage version control

more than the other offices

� Respondents only slightly agree that documents are easy to find on shared drives

� 75% of respondents use their email folder and personal hard drives to store and

manage important documents

� Lack of compatible systems (e.g. Configuration Management Database- CMDB)

impedes ability to manage, configure, and implement IT tools to support business

processes

� Limitations in enterprise infrastructure capacity (e.g. bandwidth, unstable

connections, etc.) impedes ability to efficiently use IT tools to optimize business

processes

� Fragmented agency-level and DOL enterprise application environment does not

support cross-agency exchange of data among DOL stakeholders

� In some cases, enterprise tools are developed and deployed without properly

considering existing business processes result in substantial and costly

workarounds

IT Policy / IT Security:

� IT acquisition process is challenged – it can take five months or longer to get a

contract in place for IT projects, resulting in delays and missed dates

� For capital planning process, costs are not tracked properly making it difficult to

understand cost responsibilities for a particular agency or office

� Lack of standardized systems (e.g., configuration management databases) and

processes impede IT managers’ ability to manage, configure, and implement IT

assets to support regional mission and business processes

� Lack of standardized processes impedes efficient use of enterprise resources and

inter-agency collaboration, which leads to workarounds that often fail resulting in

significant amounts of time spent in “fire-fighting” mode

� Frustration with current business processes that require dual adherence to paper

requirements as well as electronic requirements

� Business processes are not always documented, resulting in delayed actions and

frequent workarounds

� Staff are frustrated by the lack of transparency around the “what” and “why” of IT

policy/decision making; IT security policy stifles innovation

� Current IT security policy constraints lead to agencies implementing alternative

solutions to meet their needs (i.e., one agency bought stand-alone desktop cameras

even though their laptops had them, as they were turned off due to IT security

policy

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Technical Support:

� The National office less than other offices reported that the New Core Financial

Management System (NCFMS) provides necessary support and resources to resolve

business process questions and challenges

� SOL and EBSA reported less than other agencies that the E2 travel system provides

the necessary resources to streamline and expedite the travel process, from making

travel reservations to claiming reimbursement for travel expenses

� OFCCP and OWCP report more satisfaction with the DITMS help desk than other

agencies

� OSHA is less satisfied with the OSHA helpdesk than other agencies

� A lack of standardized help desk and incident management processes exists

� Multiple desk side and help desk resources exist; users prefer local desk-side

support staff who they know and rely on to assist with IT issues

� Help desk staff turnover due to annual lowest contract bid approach results in

pervasive inconsistencies in the quality of service and knowledge of staff

� Responses to help desk requests are not timely

� The fractured nature of IT support impacts the business mission

Training:

� Senior leaders and managers reported less than other levels that training on new

technology is tailored to their role and work

� Only 45% of admin staff and 42% of IT staff agree that training on new technology is

effective, and they reported more than other levels that training on new technology

is effective

� IT and admin staff represent the largest portion of know where to access web-

based, on-demand training resources more than other levels

� IT and admin staff reported that training on new technology is tailored to their role

and work more than other levels

� Eight of nine infrastructures identified the need for enhanced/improved training

� Staff are largely unaware of training resources available to them

� Training is not often aligned to the rollout timeline of technology deployments

� Staff requested modifications to the Learning Link online system so certification

training could be tracked electronically

� Staff have to print Learning Link certificates, scan them, then email the scanned

certificate to their supervisor; in some cases with the Learning Link system, staff are

unable to produce proof of their required annual certification training

� Staff require training on use of alternate IT systems and telework processes prior to

a COOP event; lack of familiarity with alternate systems and processes will inhibit

effective work during a continuity event

Communication:

� Staff at all levels interviewed at the regional and National offices identified

inadequate and inconsistent IT communication related to upgrades, rollouts,

accreditation and approvals, as well as IT training and IT planning

� Regardless of level, DOL staff prefers to receive communications on Department-

wide initiatives through Email, Staff Meetings, and their Supervisor. GovLoop.com,

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Blogs/Wikis, and Frances, The DOL-E magazine are the least favorable methods of

communications. Based on this information, the Department should continue to

deploy communications through a variety of mechanisms, but should concentrate

efforts via email, staff meetings, and supervisor interactions.

� While there is some level of agreement on the use of social networking tools among

job levels at DOL, in general, staff at levels of DOL trend towards not using social

networking tools and indicate these tools are not applicable to their job and/or role.

Based on this information, social networking tools are not the best mechanism to

deploy information, but there is an opportunity to elevate the importance and

applicability of these tools for staff.

� Regardless of DOL staff level, LaborNet is viewed as an effective website for sharing

information about the Department. Even though LaborNet was not ranked as one of

the most preferred communication mechanisms, it is a valuable mechanism for

sharing information across the Department.

Change Readiness:

� Infrastructure agencies and staff levels differ in their readiness for change; most

desire IT improvements and enhanced capabilities to support mission and business

processes and more than 85% are willing to use new IT tools to improve their

effectiveness

� Staff listed budget as the primary reason obstacles to implementing IT change

� Staff who are more satisfied with their computer equipment also are more satisfied

with the implementation of major changes over the last 3 years

� Likewise, those who are more satisfied with remote access are more satisfied with

their computer equipment and with major implementations

Innovative Solutions:

� Tools are needed to support challenging work environments, such as with mine

inspectors

– Remote access to mine instruments - allows access to instruments at mine

fires/emergencies so multiple individuals can troubleshoot instruments

when they malfunction.

– Palm devices – allows inspectors in coal mines to expedite notes on the spot.

This would allow uploading of citations, notes and other pertinent

information without sitting down at the desk and spending hours updating

an intricate Inspection Tracking System.

– Rugged/heavy duty computers – provides for greater reliability in dirty

environments which leads to premature failure in current computers.

– Data warehouse – provides for easier access to MSHA

inspection/investigation data. Inspection documents could be scanned and

uploaded, reducing/eliminating the need to store hard copies in field and

district offices. The scanned data could be made available instantaneously.

� You Tube for training - Develop You Tube type videos for specific training needs to

show how to operate the new technology, accessed via a secure website

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� Voice Recognition software – Capture conversations, dictation, etc. real time to

expedite note taking process; particularly useful in challenging environments such

as mines and other hazardous job sites

� Handheld Scanners – Aids staff capturing inspection information at job sites;

addresses file accountability and allows for ability to print barcodes for tracking

files or other types of inventory

� Wikis – Develop wikis to capture SOPs in order to reduce use of outdated policies

and guidelines; encourages staff to access real-time SOPs, making dissemination of

updates quicker, and reduces the paper footprint

� VTC/Webinar – provides an alternative to travel for meetings/training due to

budget issues/travel restrictions

Analysis and Findings

Information Technology Leadership

Stakeholder feedback on DOL IT leaders, primarily from the OCIO and OASAM, face

significant challenges in establishing and maintaining trust and credibility with key agency

IT and business personnel. Leadership challenges stem from IT governance, IT strategy and

policy setting, performance accountability, and the OCIO/OASAM organizational structure.

IT Governance

Feedback on DOL IT governance constitutes a large portion of the findings on the

leadership. Governance encompasses the formal oversight bodies, protocols, and processes

that structure organizational decision-making around critical activities such as policy

setting and budget formulation. DOL stakeholders, particularly senior business and IT

leaders, view strong IT governance as critical to supporting the technology needs of the

business and perceived the Department’s IT governance model to be largely ineffective in

meeting this end.

For instance, stakeholders viewed the Technical Review Board (TRB) (disbanded July 31,

2011) as incapable of fulfilling its charter to guide enterprise-wide IT planning. The

perceived challenges facing the TRB included a lack of business participation to align the

development of enterprise IT strategy and policy to mission needs. At some point the TRB

is perceived to have ceased making substantive decisions and evolved into a forum for

informational briefings. One senior IT leader came to call the body the “TIB” or “Technical

Information Board” because of the preponderance of IT project updates and the absence of

true decision-making during meetings. Over time, as the perceived consequence and value

of TRB meetings diminished in the view of the participating agencies, many representatives

began to consistently delegate meeting attendance to subordinates, thereby further

decreasing the capacity of the board to execute its governance function.

Senior-level stakeholders cited various reasons for the TRB’s problems, but many focused

on the role of OCIO, in particular. In the end, they viewed the OCIO as either unwilling or

unable to foster a constructive governance environment in which DOL business and IT

leaders could come together to discuss, negotiate, and coordinate enterprise-level IT policy,

budgetary, planning, and acquisition decisions.

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IT Strategy

The current IT strategy is described in multiple disparate documents including a 2010

white paper, a one page graphic of the IT Modernization roadmap, multiple project level

implementation plans and project summaries, timelines that include DOL IT projects

planned prior to the 25 Point OMB summary, and other Federal and DOL agency IT

projects. The previous IT strategic plan was developed in September 2005 and serves as

the baseline for IT Strategy currently. Stakeholders expressed great concern that vision and

strategy were missing and critical components of a strategy were created in a piecemeal

approach. As it relates to the IT Modernization Program, stakeholders expressed a need for

more specificity around the vision, goals, and strategy of the effort. They want to gain a

better, more detailed picture of the enterprise-level change that will eventually impact

their agency or office and have an opportunity to influence the process.

Large numbers of business stakeholders, including leaders, managers, and staff, expressed

the view that the Department’s IT leaders and staff dictate the direction of technology to

the business. Rather than the business identifying mission needs to be supported by new or

improved IT capabilities, IT organizations simply make non-transparent, uncoordinated

decisions about the design and implementation of IT functionality. This often results in the

deployment of solutions misaligned to business need and thus misuse of scarce financial

and technical resources. Field and regional stakeholders, in particular, voiced frustration

with the manner in which major IT decisions are made by Department IT leadership. They

view it as exclusive, National office processes in which the unique field- and regional-level

needs, priorities, and issues are given little to no consideration. Ultimately, business

managers and staff expressed a desire for more assertiveness by Department and agency

business leaders in providing clear, direct guidance to DOL IT leaders.

IT Policy Development

Stakeholders across the Department feel that IT policy, at the Department level and within

certain agencies, is too often developed in a vacuum without adequate oversight by the

Department’s leaders, input from affected stakeholders, and proper evaluation of the

impact on mission execution. The most cited policy area of concern related to IT security.

Stakeholders at all levels, within all agencies, and at all locations stated that the unintended

consequences of uncoordinated IT security policies negatively affect their ability to do their

job efficiently and effectively. Stakeholders recognized that security is a key consideration

and that there are levels of security constraints that they must accept and operate under.

However, they wanted IT security policy to remain reasonable and desired access to better,

more clearly articulated explanations and justifications for IT security policy. They also

desired a method to provide feedback to IT security personnel on the effects of IT security

policies and have an opportunity to see their issues adjudicated in a transparent manner.

Numerous stakeholders stated a need for greater insight into the IT policy-making process.

The current lack of transparency causes confusion and frustration among staff and

negatively influences their view of agency and/or Department-level IT leaders and

organizations, undermining credibility and trust.

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IT Leadership and Decision-making

Stakeholders noted IT Leadership, decision-making, and accountability around enterprise

IT implementations as core areas of concern. Specifically, stakeholders provided strong

feedback around the willingness and ability of DOL’s IT leadership to garner support for

large IT changes at the most senior levels of the Department. Staff cited a consistent failure

by IT leaders to gain early buy-in, particularly from their peers in the business community,

for major IT implementations. Enterprise-level IT decision-making within DOL has become,

in the view of stakeholders, uncoordinated and lacking in transparency, with small, isolated

groups of IT leaders, managers, and staff responsible for making decisions that have a

broad impact upon the Department. This dynamic has had a negative impact on the ability

of IT leaders within DOL OCIO to establish and maintain trust and credibility with

Department stakeholders. They view this as a substantial impediment to the successful

execution of IT change within individual agencies and offices and across the Department.

Many stakeholders noted that IT-related change is often initiated and rolled out before key

agency actors are fully aware of and on board with the initiative. This uncoordinated

approach negatively affects the prospects for effective coordination and collaboration in

support of planning, design, and implementation. Going forward, stakeholders stated a

strong desire to better understand the Department’s IT strategy and the planning and

decision-making around specific initiatives.

Accountability

Stakeholders widely perceive that IT leadership, particularly within OASAM/ITC, are either

unwilling or unable to hold their organizations, including managers, staff, and contractors

accountable for failed IT implementations or poor customer service (e.g., Service Level

Agreement (SLA) enforcement, financial management). Stakeholders stated a strong desire

to see IT leaders institute greater accountability within their organizations. When IT does

not perform as promised, they feel those in charge need to be held responsible in order to

correct the issue and deter future instances of ineffective behavior.

OCIO Organization

Finally, other infrastructure-owning agencies view the OASAM/OCIO organizational

structure with concern and mistrust. Many stakeholders, particularly from the IT

leadership in these agencies, perceive the arrangement as a conflict of interest. They do not

believe that the OCIO can act in a fair and impartial manner when making enterprise-wide

IT policy and budgetary decisions that affect all IT infrastructure-owning agencies. These

stakeholders expressed a desire for the OCIO to become a fully independent office, separate

from OASAM, thereby enabling the CIO to become a more trusted leader.

In summary, DOL IT leaders, in general, and OCIO leadership specifically, suffer from a lack

of trust and credibility with key stakeholder groups. These conditions result primarily from

a perceived ineffective enterprise IT governance model, non-transparent and

uncoordinated IT decision-making around strategy, policy, and implementation, a lack of

perceived accountability for performance within Department IT organizations, and a

perceived conflict of interest related to the relationship between the OCIO and OASAM.

Stakeholders, particularly business leadership and staff, feel strongly about these topics

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and voiced clear needs and desires with regard to the actions that should be taken to

resolve issues and improve the standing of IT leadership within DOL.

Management

The effective management of IT Modernization initiatives requires program oversight on

multiple dimensions - technological, regulatory, financial, structural, and people. In order

for an IT program to be successful, all dimensions must be integrated and managed in

parallel, internally and externally to the enterprise. The focus of this section is on the

people dimension and DOL’s customer needs in connection with the deployment of new IT

programs. DOL customers within this context include agency leadership, business

managers, end users, IT staff resources, and contractors. Agency cultures also play a strong

role in the people dimension. A significant amount of stakeholder feedback relates to the

Department’s management of IT programs, which can be analyzed in terms of the phases of

a project management framework as discussed below.

Planning

Eleven DOL agencies expressed the need to be engaged in the early stages of planning for

enterprise IT changes, and that input should be solicited at the appropriate levels across

the Department. Participation in IT planning could include agency executives, business

managers, and end users at national and regional offices and in the field. Agencies have

felt that OASAM has had a “take it or leave it” approach and that agency requirements,

especially in the regions, have not been considered. Agencies want to participate in the

development of IT policies and enterprise applications, want to have a seat at the table, and

see that decisions are not simply dictated without their input.

In addition, agency leadership expressed a need to implement effective planning processes,

including enterprise architecture and IT portfolio management, to sufficiently inform IT

decision-making, such as through as structured and dedicated project management office

(PMO) within the OCIO, equipped with a well-trained cadre of project managers to ensure

that new IT solutions are delivered on time and within budget, particularly in light of

regulatory mandates and anticipated budget constraints.

The need for rigorous planning and project management was further supported by IT staff

at the National office and in the regions, who expressed that previous modernization

failures were due to lack of core planning, no cost benefit analysis, and lack of engagement

and feedback from key stakeholders early enough in the project. In general, stakeholders at

the National office, in regional offices, and in the field have expressed a willingness to

participate and contribute to the planning process.

Design

Agencies expressed a need for better, more comprehensive requirements gathering to

precede the design of any Department-wide IT solution, particularly focused on the

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inclusion of key agency stakeholders early and throughout the requirements and design

phases. There is a need for continuity across the Department in terms of software,

hardware, common applications, interoperability, and data sharing practices.

An area of particular concern centered on lack of standardized business processes across

DOL. Currently many enterprise-wise business processes are not standardized, leading to

workarounds, inefficiencies in execution and inconsistencies in outputs and outcomes.

Agencies noted that many Department organizations still rely heavily on paper-based

business processes, leading to increased cycle times and slower delivery of services to

citizens. One agency indicated its FOIA request process is manual and time consuming; its

staff spends hours searching paper files, making copies, and redacting content with a black

marker. There is also frustration with requirements to maintain both paper and electronic

records.

Beyond standardization of processes, DOL must address standardization of associated

policies and procedures during requirements and design. For example, IT and security

policies and procedures are perceived to be an impediment to workflow and limit the

adoption of new technologies

Acquisition Management

Multiple agencies cited the IT acquisition process as a major impediment to the execution

of an efficient procurement function. The perception is that the approval process is too long

for new hardware/software purchases; some agencies noted that it often takes five to six

months to get an IT contract in place and often there is duplicative management of certain

IT contracts. There is no clear, standard guidance on IT procurement processes; rules and

procedures change mid-stream, creating significant re-work and prolonging the

procurement process.

There is disparity between agencies on the standards applied for acquisition of hardware

and software, and the policy of limiting the number of vendors to 13 limits agencies’ ability

to competitively shop for resources. Stakeholders commented that there is also no

apparent enforcement of SLAs and no penalties imposed for poor performance by services

providers, i.e., no tracking of SLA breaches.

Agencies perceive that the process for updating ITC’s approved products list is inefficient,

requiring long lead times, sometimes months, to make additions of individual technologies

to the list. IT staff stated that the EA catalog needs huge improvement and a shortened

refresh cycle, and regional business staff cites the ECN approved technology list as being

poorly managed. Out-of-date technologies are on this list, and there are discrepancies

between the list and technology procurement contracts.

Implementation

Frustration was expressed at multiple staff levels with the deployment of recent IT systems

such as NCFMS, where there were perceived gaps in communications, training, and

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support. Given these gaps, stakeholders expressed concern over being ready and able to

adopt the IT changes to come.

Agencies feel the Department’s current approach to communications around large-scale IT

implementation is ineffective and impacts the Department’s credibility. Feedback on the

quality and value of communications varies by agency, but staff noted transparency as a

common issue. In particular, regions are not told of changes in advance and are caught

unprepared to adopt new technologies. Too often communications on new rollouts have

not been distributed broadly or frequently enough. The risk of insufficient or ineffective

communications is lack of trust and resistance to new IT programs, leading to

disengagement, end user errors, under-utilization of functionality, and even inability or

unwillingness of users to adopt the new technology. Agencies indicated that DOL’s

Enterprise 2.0 technologies such as GovLoop, blogs, wikis, webcasts, LaborNet and dol.gov

are underutilized and could increase the depth and breadth of stakeholder reach.

Agencies uniformly expressed concern with the timeliness, relevance, and quality of

training associated with DOL-wide IT implementations. Training resources are not

centralized and there is a lack of standardization in the approach to training. Training is

perceived to be an afterthought within DOL; little emphasis is placed on providing

adequate IT training to staff and regional employees are left on their own to learn how to

use IT tools. Staff regularly relies on informal networks of colleagues to learn the

technology or for troubleshooting assistance. Figure 2 below depicts training satisfaction

levels by agency captured through the online survey.

Figure 2: Training Satisfaction Levels

Stakeholders perceive that training is not developed in a timely manner (e.g., staff learn MS

Office on their personal machines by the time DOL training is rolled out), and if training is

available, the mode of delivery is not always accessible by state partners. Many staff

commented that they do not have ready access to collaboration tools (e.g., video

teleconference (VTC) equipment) that facilitate training delivery, requiring reliance on

systems owned by other agencies that are not readily available. The use of VTC and

webinars is preferred and these capabilities are not ideal for delivery of long training

sessions (i.e., eight hours or more). In addition, there is limited or no training for end users

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with special needs who require accommodations. Section 508 compliant equipment is not

always compatible with agency systems and applications, so training has to be

individualized.

Stakeholders also perceive that Learning Link is not user friendly, and sound and graphics

often do not work. Course verification requires a paper process. Learning Link is unable to

record programs completed – staff must print completion certificates, scan them and fax to

their supervisors. Stakeholders commented that technology-related course materials on

Learning Link also seem outdated.

The perception is that DOL does a poor job with sustainment training. New staff and new

managers do not receive IT orientation or training upon joining DOL and must find their

own way with regard to using IT. Staff is largely unaware of training resources available to

them; in many cases, no training is offered at rollout of new technology or it is offered too

late. One of the most cited gaps in training is on use of common equipment and

applications (e.g., MS Office, how to use an air card, how to set up a video teleconference,

etc.).

Operations and Maintenance (Help Desk Support)

The effectiveness of help desk staff varies widely across infrastructures. For certain

agencies such as BLS, ETA, and OASAM, help desk staff are often slow to respond and

ineffective in fulfilling their responsibilities once they do. For other agencies, such as ODEP,

help desk staff are knowledgeable and prepared to assist.

Many agencies noted there is a disconnect between the perception of IT support and how it

actually plays out in the regional offices and in the field with inspectors. Stakeholders

stated that technical support for staff in the field or on travel is inadequate, limiting the

ability of staff to execute mission and business activities in a timely and effective manner

within normal working hours. Once cited example was about a recent COOP exercise

where staff could not access the system using an RSA token between 7:30am-11:30am and

no one from the help desk could respond. The unavailability of local IT support is

disruptive to workflow. One agency also pointed out the only IT support for its field staff is

in Atlanta, so field staff has to mail their computers to Atlanta to get fixed.

Agencies perceive there is a major customer service barrier and significant gap between

the attitude of OASAM ITC and its ability to support the agencies’ missions and DOL's

mission and security needs. Level and quality of service cannot be guaranteed. Agencies

that provide IT services to other Department agencies are unable to provide service level

guarantees to their customers because they have not been able to implement SLAs with

ITC. This presents significant customer service challenges for these agencies because they

have no control over the underlying infrastructure environment.

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Workforce Access and Mobility

Access and mobility issues impact every DOL employee and are constantly evolving

components of DOL’s technology platforms. DOL stakeholders at all levels acknowledged

lack of access as a primary barrier to mission and daily business productivity. This section

addresses stakeholder perceptions of access and mobility and its related impact on DOL’s

mission, business and workforce. Stakeholder findings on access and mobility issues is

broad and consistent including policy issues, remote access connectivity, security and

passwords, telework, standardization, 508 compliance, infrastructure and interoperability,

communications, patches and upgrades, redundancy, communications, training and

innovation.

Staff is supported by antiquated IT infrastructures incapable of supporting stable and

reliable remote connectivity to critical systems required to fulfill mission and business

functions. In general stakeholders perceive remote access, security policies and

interoperability as the greatest deterrents to productivity and workforce mobility. The

inadequacy of access and lack of compatibility with DOL systems disproportionately most

directly affects staff on the frontlines in area, field, district and regional offices.

Policy

Stakeholders identified multiple IT policy barriers related to accessibility and mobility. The

most frequently mentioned policies include the One Person, One Computer Policy, security

and data encryption policy and policy related to wireless access.

One Person, One Computer Policy

Staff expressed a high degree of frustration with the One Person, One Computer policy. This

is especially a problem for continuity personnel; however, the most surprising finding is

that staff at all levels does not carry their laptop to and from their office and home; they

leave it at the office. This finding was consistent across levels, agencies and geographies

and highlights an organization culture issue to be addressed moving forward. There are

several dimensions of the policy intertwined with daily operations and continuity

preparedness:

� The policy is perceived as inflexible driven only by budget versus advancement of DOL’s

commitment to access and mobility

� Telework is a cornerstone and critical response strategy of continuity plans; DOL

technology is not capable of supporting large-scale telework remote access

� Continuity personnel are bound by the policy and some essential continuity personnel

actually need both desktop and laptop computers to do their job on behalf of DOL in an

emergency

� Some agencies laptops are shared thus every staff person does not have a laptop

� The policy supports agency staff and leaders perception that DOL executives and IT

leaders apply a “one size fits all approach” to diverse complex technology related

mission and business issues

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The One Person, One Computer policy highlights continuity vulnerabilities, and reinforces

the inability of DOL to support the diversity of DOL mission and business needs through

technology.

Security and Passwords

Security policy is perceived as the “trump card” to any and all recommendations to

improve remote access and mobility. Without exception, staff identified security policies

and mandates as prohibitive to connectivity and mobility improvement and innovation.

Current IT security policy constraints lead agencies to implement alternative solutions to

meet their needs (i.e., one agency bought stand-alone desktop cameras to replace the

disconnected laptop camera; another agency enabled the laptop wireless for staff). In

addition, staff addresses security challenges with workarounds such as emailing

documents to their home computer, downloading documents on jump drives and using

potentially unsecure systems to access and transmit DOL data.

Staff reported data encryption devices are useful in some instances while also perceived as

a barrier to access especially from a continuity perspective. Pointsec encryption has been

configured differently across agencies and its functionality is perceived as inconsistent.

Staff at all levels cited multiple passwords and cumbersome password requirements as an

impediment to access, mobility and performance. Staff at times inadvertently circumvents

security by noting their passwords in writing near their computers. An unintended

consequence of multiple passwords is the need for additional technical assistance to unlock

systems when staff is unable to recall passwords. Senior leaders and staff responsible for

multiple systems and applications are more inclined to note all passwords on one sheet of

paper maintained at their computer or in an easily accessible location. Multiple passwords

and password requirements complicate security, inhibit system use and create additional

barriers to remote access.

Remote Internet Connectivity

Generally, across all agencies and levels staff reports a need to improve the reliability,

quality, and capacity of remote access in order to enhance employee productivity. Wide-

spread compatibility, security, and speed challenges result in inconsistent access to agency

networks. However, both survey and interview/focus group data suggest that the extent to

which improvements are desired differs by agency mission, agency size, staff segment, and

geography.

Consistent across agencies, leaders, supervisors, managers and staff reported remote

access challenges hinder their productivity and effectiveness. Regional and field staff,

smaller agencies, and non-IT staff reported a stronger desire for improvements in remote

access than National office staff, IT staff and staff that spend less than a day a month away

from their primary office. Issues range from unreliable connectivity due to bandwidth, lack

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of standardization of equipment and network systems, to lack of sufficient remote access

devices such as wireless cards or Blackberries.

Additionally, there was general frustration and annoyance regarding DOL’s approach to

stripping laptops and Blackberries of wireless connectivity and other features that support

remote work. Disconnecting wireless was perceived as inefficient, costly and without

regard to the workload of remote staff. Staff consistently cited a shortage of wireless card

availability especially for staff traveling; the most commonly cited reason was budget.

Further, staff cannot delete emails remotely thus e-mail In Boxes fill quickly. Email

attachment and storage limitations compound issues associated with losing access to

network drives. OSHA, OALJ, SOL, VETS, and the Women’s Bureau reported significant

incidents of unreliable remote access. Figure 3 below depicts the percentage of survey

respondents by agency who commented on lack of reliable network access.

Remote access to networks via

Citrix and ECN is intermittent

and unreliable particularly

during prime business hours.

Geographic differences in

access were noted – the

Western regions perceive

their remote access is slower

with more limited bandwidth

than Eastern regions. Events

like strong storms or snow

days increase the number of

staff telecommuting, creating

significant network access and

performance issues and further raise concerns about continuity preparedness. Telework is

a cornerstone and critical response strategy of continuity plans however the current DOL

IT infrastructure is not capable of supporting large-scale telework. Agency leaders and

supervisors indicated there was growing pressure to expand Federal telework mandates.

Specifically, 61% of staff indicated improved telework tools would increase productivity as

shown in Figure 4 below.

The perception of current systems is

that they are not interoperable and

staff with access to data

management systems described

0

20

40

60

BLS

EB

SA

ET

A

MS

HA

OA

LJ

OA

SAM

ILA

B

SO

L

VE

TS

WB

OP

A

OIG

OSH

A

OW

CP

OFC

CP

OLM

S

WH

D

% Survey Respondents Reporting Lack of Reliable

Network Access

61%

7%

19%

13%

Improved Telework Tools Would Increase

Productivity

Agree/Strongly

Agree

Disagree/Stron

gly Disagree

Neither Agree

Nor Disagree

Figure 4: % of Staff Agreement on Telework

Tools and Increased Productivity

Figure 3: % Lack of Reliable Access by Agency

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their inability to remotely access needed documents and data. As a result, staff develops

inefficient and unsanctioned workarounds to support their remote work including

downloading database documents before traveling, emailing documents to their home

computers, duplicate data entry, delays in transmitting data from the field, and using

potentially unsecure systems in the field.

Interoperability

Staff reports that internal systems are not compatible across agencies and geographies.

Access is often intermittent resulting in duplicate data entry. Field staff perceives their use

cases are not considered in the design, testing and implementation of new and upgraded

systems. The lack of interoperability prohibits integrated enterprise document

management and is an increasing barrier to collaboration and interagency information

sharing. Agencies investigating the same company are unaware of other agency

investigations and cannot share findings; Staff within different regions is often unaware

that other regions are working with the same client or addressing the same client issue.

Access via Assistive Devices

A very small percent of DOL staff requires 508 compliant assistive technologies. However,

the leaders and managers supporting those staff perceive they do not have access to the

most economic or efficient support devices. National and regional leaders identified policy

and process conflicts as a deterrent to hiring and supporting staff requiring assistive

devices. They spoke of the limited list of approved assistive devices, the difficulty in gaining

approval and certification for devices not pre-approved, and the prohibitive cost of devices

on the approved list. Many agencies purchase devices that are not approved and create

workarounds to support staff requiring visual, hearing or mobility devices. Remote access

connectivity and systems issues experienced by other staff are compounded when using

assistive devices.

Collaboration and Information Sharing

The ability to share information within and across DOL agencies is viewed by stakeholders

at all levels as a critical component of their ability to accomplish their work and effectively

serve their customers. Operational pressures such as geographic dispersion, reduction in

travel budgets, and security constraints impact achievement of mission goals. This section

addresses stakeholder perceptions of existing enterprise information sharing capabilities

to include document management, knowledge management, case management, and

collaboration.

To varying degrees, staff across all agencies lacks the tools and processes necessary to

effectively access and share information. Additionally, siloed organizational structures and

perceived cultural aversion to sharing information results in time lost looking for

information, inadequate and unreliable data, and limited effectiveness of analyses and

enforcement actions. To combat the situation, staff must create inconsistent workarounds

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and promote manual processes, such as mailing physical documents, to accomplish their

work.

Collaboration

Collaboration is viewed by DOL stakeholders across all levels and agencies as a means of

better sharing information within their agencies, across agencies, and with federal, state,

and regional partners to facilitate mission activities, decision making, and to conserve

limited travel budgets. The demand for access to real-time, virtual collaboration facilities is

high and expected to increase as agencies are asked to maintain productivity levels despite

budgetary and travel constraints. Employees in the field, regional, and National offices

often lack access to collaboration tools that allow teams to work efficiently on projects, and

disparate offices to stay connected. In many cases, collaboration tools are available but they

are underutilized for various reasons, including lack of awareness of what tools exist,

where they are, and how to use them. Additionally, multiple and separate infrastructures

are not set up to collaborate with one another due to security policies and firewalls.

Document/Knowledge Management

Stakeholders commented on the lack of an

enterprise-wide standard document

management system; 86% of survey

respondents stated that they need the

ability to share documents electronically

(see Figure 5 below). As a result, many

agencies rely on alternatives such as

shared drives, SharePoint, storing

documents in Outlook e-mails, or

maintaining hard copies.

Stakeholders commented that there is no

guidance on how to manage, store, and

archive electronic files. According to an

OASAM stakeholder, last year staff was

requested to delete files from their shared

drives without an agency archive option.

Current, disparate document

management tools do not allow for efficient search, retrieval, check-in/check-out, and

version control needed to ensure document and data integrity. Atlanta-based DOL staff

report many challenges with document, particularly in storage capacities. There are email

and H drive storage limitations and jump drives cannot be used. Insufficient storage

capacities inhibit the ability to collect and track data on regional performance metrics, as

well as the ability to transfer files between government and non-government computers.

Additionally, daily data backups are performed, but OASAM does not have the hardware to

read the tapes.

Figure 5: Need for Electronically

Shared Documents/Files

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Management of agency data is critically tied to how well important information can be

transferred to staff to support learning and education as well as execution of the mission.

Agencies report that policies and procedures are sometimes captured in outdated manuals

and that there are no standardized processes for capturing and managing best practices

and standard operating procedures. This results in ineffective transfer of knowledge,

particularly in cases of retiring or departing personnel.

Case Management

There exists a lack of authoritative data sources and robust case management tools that

allow management and access to these sources creating data integrity challenges. The stove

piped nature of DOL given its nine separate infrastructures has resulted in the lack of case

management system interoperability and the inability to efficiently share reliable data with

partner agencies. Economies of scale cannot be realized, particularly with enforcement

agencies, which may ultimately benefit from the access to and sharing of critical data

elements that may shorten case work time and yield better information to bring an

enforcement action against a company.

Multiple agencies expressed concerns over their existing case management systems. ETA

stakeholders stated that their system, RAPIDS, is old and is perceived as very ineffective as

a reporting database. MSHA’s Mine Safety Information System (MSIS) is inadequate with

respect to querying and reporting, resulting in unreliable data. OALJ’s case tracking system

is outdated and is unable to meet the agency’s needs. Staff is unable to access cases

originating in other OALJ offices. OFCCP’s system is a hindrance to collaboration when

working with agency partners on a case. For example, data integrity issues arise because

manual data entry is required for information sent in from contractors and OFCCP is unable

to see trends between regions or is a case is open elsewhere.

Innovation

The average DOL stakeholder prefers optimization of the current Department IT

environment over desires to use innovative technology to produce major leaps in mission

delivery. Their first priority is to have consistent access to basic, reliable technology

capabilities that satisfy their fundamental business requirements. However, while DOL

stakeholders, generally, do not at present demonstrate a strong orientation towards IT-

related innovation, many prove to be highly adaptable and inventive in addressing day-to-

day problems and tasks stemming from technology (e.g., poor application design, policy

limitations, limited training). Informal networks of technology troubleshooters regularly

devise workaround solutions for chronic technology and process issues and disseminate

these insights for adoption throughout their local organizations. These workarounds, often

highly tactical and limited in scope, allow offices around the Department to avert or

mitigate disruptions to their mission resulting from technology gaps and inefficiencies.

They are the kinds of low-level problem solving exercises that occur regularly in any large

organization.

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There are, however, a number of more robust and insightful examples of innovation that

were documented during the Listening Tour. The key insight identified is that, while not

widespread, there are dynamic pockets of motivated actors, particularly at the regional and

field level, that not only identified a business problem or opportunity, but were also both

willing and able to take action to address the problem or exploit the opportunity. These

include innovative approaches to use of social media, technology training development,

and staff onboarding:

� OSHA Social Media: A regional OSHA manager has leveraged social media platforms

(e.g., Facebook) to facilitate broad-based knowledge management and collaboration

among a large population of dispersed safety and health specialists. The approach has

allowed OSHA to implement a rudimentary personnel expertise locator to identify

inspectors and other personnel with critical, industry-specific knowledge and

understanding and enable them to formulate and share industry specific insights and

data for broad consumption within their peer community. The community is then able

to collectively develop data-driven risk models used to inform safety program

recommendations for private companies. These recommendations are then distributed

for use by agency inspectors and public outreach specialists, and made available to the

public through online file sharing (e.g., slideshare.net).

� OLMS Computer Cadre: A group of technology-savvy, regionally-dispersed business staff

within OLMS has collaborated for over ten years to identify end user training needs, and

develop custom training and “tech tips.” The training and tech tips are focused on

enabling end users to improve their ability to use the technology at their disposal,

whether it be productivity applications (e.g., MS Office) or agency specific applications.

Each training or tech tip product is informed by the group’s collective understanding of

the nature of the OLMS mission and business functions, processes, and systems and is

designed to target key end user performance issues related to the execution of specific

role-based, mission-related activities. In this way, the group combines an intimate

understanding of its Office’s business, technology, and staff to produce an innovative

and high value technology support service.

� WHD Onboarding: Select agency offices have developed informal New Hire mentor

programs to guide new hires over a period of time to help them get up-to-speed with

new systems, tools, and processes. This mitigates productivity losses associated with

steeper learning curves that new hires would otherwise face.

The basic profile of an active innovator within DOL looks like individuals who are some of

the most creative, passionate, and dedicated personnel that DOL employs. They tend to

embody a strong independent streak that, when met by organizational constraints, (e.g.,

poor customer service, stifling IT policies, etc.) motivates them to persevere and overcome

obstacles to supporting the improvement of mission execution. They also tend to be

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technology advocates and leaders for change within their organization. In short, they are a

valuable resource that is waiting to be tapped and empowered, if Department, agency, and

office leaders and managers so desire.

Finally, many DOL stakeholders engaged during the Listening Tour also provided many

suggestions and ideas for potential innovative uses of technology or organizational

constructs based on insights gathered from exposure to technology and IT management

outside of the workplace. While each of the ideas might not be equally relevant or

implementable at DOL, this small, but compelling pool of ideas indicates that DOL

stakeholders, working at the micro-level, actively identify common business problems and

opportunities to better support the mission and attempt to think through potential

solutions to these needs. Suggested ideas included:

� OWCP Suggestion: Create a secure development environment for self-selected,

technology-savvy DOL personnel to collectively test “plug-and-play” commercial

technologies that may be of use to their agencies and the wider enterprise; facilitate the

exchange of ideas and insights between these individuals (e.g., community of interest)

in order to promote the identification of new technology solutions and sharing of best

practices to address mission challenges.

� OWCP Suggestion: Facilitate move to a paperless environment by implementing

centralized mail rooms equipped to electronically capture large volumes of paper-based

documents using high-speed document imaging technologies.

� MSHA Suggestion: Create 3-D simulations of mines and use virtual reality scenarios to

train Inspectors; make the resources available remotely. Would be more effective for

Inspectors shortening the learning curve, save training funds over time and provide

flexible efficient format to upgrade.

� MSHA Suggestion: Develop a hand-held Inspector device, similar to UPS and FedEx, for

writing citations, referencing regulations and law, and accessing database for prior

mine operator citations.

� ETA Suggestion: Create a series of “How To” snippet videos in “You Tube fashion” to

address common challenges with DOL wide applications like e2 and NCFMS; post them

on LearningLink

� ETA Suggestion: Move SOPs and other documents to Wikis to share documents created

at a regional/local level and address knowledge gaps created by lack of succession

planning

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Stakeholders

Stakeholders from every agency, region and level provided input on the technology

enablers supporting their agency and work. Stakeholders were asked about the technology

that was working and not working for them, the technology needed to do their job and

meet their agency’s mission and business goals, the technology environment envisioned for

the future, as well as, the support required to increase their awareness and utilization of

technology. Remarkably, responses were consistent across agency, staff level and

geography, and data analysis suggests that DOL employees experience a wide disparity in

service quality that is attributable to many factors, including those related to people,

process and technology areas.

Perceptions and Attitudes

A large population of DOL stakeholders is skeptical of the capacity of their internal IT

service provider’s capacity to effectively support their needs. This perception results from

their experience of failed IT implementations, ineffective IT communications, training and

customer service, and lack of clarity regarding the justification of IT policy and IT

management decision-making.

Stakeholder experiences have engendered a notable degree of distrust among affected

stakeholder groups, who feel that many DOL IT organizations are concerned less about

supporting agency missions and business than about satisfying OMB directives and their

own internal IT goals.

Needs and Preferences

The majority of DOL stakeholders simply wish to have their current technology work

better. Stakeholders’ first priority is to have consistent access to basic, reliable technology

capabilities that satisfy their fundamental business requirements, i.e., get the basics right.

They prefer optimization of the current Department IT environment over desires to use

innovative technology to produce major leaps in mission delivery. While innovative

technology would be welcome staff and managers do not dwell on innovation and

technology. Stakeholders also desire enhanced training options to allow them to acquire

the knowledge and skills necessary to fully apply technology tools to their day-to-day work

and have access to sustained support, especially after deployment of new technology.

Attributes

While DOL stakeholders, generally, do not demonstrate a strong orientation towards IT-

related innovation, many prove to be highly adaptable and inventive in addressing day-to-

day problems and tasks stemming from technology (e.g., poor application design, limited

access, policy limitations, limited training). Informal networks of technology

troubleshooters regularly invent workaround solutions for chronic technology issues and

disseminate these insights for adoption throughout their local organizations. These

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workarounds allow offices around the Department to avert or mitigate disruptions to their

mission resulting from technology gaps and inefficiencies.

Differences

Stakeholder issue differences were minimal reflecting the strength of their common

experience with DOL IT. Issues and differences cited include:

� Senior executive leadership across agencies raised issues related to IT strategy, budget,

planning, and procurement as well as the issues identified by other staff levels

� West coast staff consistently spoke of a delay and slowness in network speed especially

in the afternoons; and elevated continuity of operations issues due to systems in the

East going down

� All agencies cited issues consistent with the majority however some agencies identified

other considerations or IT advances. For instance:

– BLS consistently stated the perception that to maintain the integrity of their

statistical products their IT infrastructure must remain separate from the

Department. The primary reasons cited were risks related to Department project

management (e.g., ineffective planning and implementation) and performance

management (e.g., lack of SLA enforcement)

– WHD staff did not raise the challenge of remote connectivity to the same extent

as other agencies; this is in part due to WHD enabling laptop wireless

functionality thus decreasing dependence on limited remote access devices and

circumventing the practice of stripping laptops of functionality

– Regional staff and smaller agencies (e.g., OLMS, WB) perceive their needs are not

a priority for OCIO, IT leadership and OASAM/ITC

Stakeholders in general wanted their input to be considered through continuing dialogue

with OASAM, desired consistent reliable remote access and mobile functionality,

compatible systems and applications across agencies, consistent IT performance and

demonstrated enhanced customer service in response to requests.

Modernization Roadmap

Based on Booz Allen’s analysis, the Department of Labor faces several primary challenges:

� Lack of an IT infrastructure and enterprise-wide tools that provide for information

sharing and collaboration across agencies

� Lack of a working environment that enables mobility and accessibility

� Lack of trust and credibility in IT Leadership, particularly with OCIO/OASAM

� Lack of effective management and oversight of IT initiatives to include timeliness of

training, communications of impacts and timing to staff, and consistence and

effectiveness of IT support

Our top recommendations for immediate action are as follows:

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� Establish a comprehensive IT governance model that addresses policy setting

around IT planning, acquisition, and service delivery management in a transparent

and inclusive manner

� Develop a Department-level IT Strategic Plan supporting the DOL strategic plan to

more clearly specify vision, goals, and objectives and allow agencies to prepare for,

collaborate on, and coordinate IT change

� Establish and execute structured project management practices during the

identification, planning, design, development, and implementation of all IT

initiatives. Particular focus should be on providing a coordinated and consistent

approach to stakeholder involvement in design, targeted communications, and

timely and role based training

To begin to address these issues, the team is currently supporting the implementation of

several IT initiatives, based on findings from the Listening Tour. These initiatives include

rollout of a pilot to test the effectiveness of a commercial IT collaboration tool (WebEx),

Identity and Access Management, video teleconferencing analysis, IT governance, and cloud

e-mail. Moving forward, the team will continue to work with DOL leadership to develop and

execute implementation plans based on the findings and recommendations identified

through the stakeholder engagement activities. Depending on the findings, IT

Modernization implementation activities may or may not be tied to consolidation of the

existing nine infrastructures.

The following section provides detailed recommendations across people, process, and

technology dimensions based on stakeholder needs, preferences, and attitudes.

People Recommendations

Interview, focus group and survey findings related to People indicate a general receptivity

to IT change and modernization premises. People-focused recommendations are designed

to leverage the goodwill that exists across the general staff and focus change management

initiatives on key stakeholders most affected by the change. Recommendations and benefits

are centered on the training, communications, and change readiness capability areas.

Collectively, the recommendations provided below are linked with the DOL Change

Roadmap.

Leadership

Governance

Strong governance was perceived as critical to supporting a modernized infrastructure and

IT organization. Leaders and staff desire strong representation from the field and regions

to ensure their needs and issues enter more prominently into the decision-making process.

The Deputy Secretary, ASAM/CIO, and DCIO must ensure that these bodies deliberate on

and make substantive decisions related to enterprise IT issues.

Recommendations

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� Establish a comprehensive IT governance model that addresses policy setting around IT

planning, acquisition, and service delivery management in a transparent and inclusive

manner.

� Facilitate governance dialogue to engage agency stakeholders, build IT plans reflective

of agency needs, and increase support for OCIO leadership.

IT Strategic Plan

Key stakeholders want to understand and see a cohesive vision and plan for achieving IT

Modernization and other OMB mandated directives that reflects agency mission and

business needs.

Recommendations

� Develop a Department-level IT Strategic Plan supporting the DOL strategic plan to more

clearly specify vision, goals, and objectives and allow agencies to prepare for,

collaborate on, and coordinate IT change.

� Use the strategic plan to gain commitment from key business and IT stakeholders to

support DOL-wide IT initiatives.

OCIO Agency Outreach

Agencies and regions desire OCIO leaders to undertake activities to establish strong

working relationships with their peers in the business community, as well as with IT

executives from the various IT infrastructure-owning agencies.

Recommendations

� Conduct a Handshake Tour to directly engage key agency business and IT leaders in

one-on-one meetings during which stakeholder needs and issues are discussed and

personal rapport is built.

� Focus on establishing and maintain contact with these individuals as a means to

enhance transparency around IT decision-making and coordination of efforts with the

Enterprise Implementation Committee

Organizational Structure

DOL needs to better position the CIO to lead Department-wide initiatives and resolve

stakeholder perceptions of a conflict of interest related to the OCIO and OASAM.

Recommendations

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� Study IT organization best practices of other Federal agencies to support the

reorganization of the DOL OCIO

� Create a new charter for the OCIO that reflects a strengthened role within DOL’s IT

� Separate the CIO and Assistant Secretary for Administration and Management roles

� Creation of an IT Services Catalog to describe the service framework and staff skills

required to meet IT Modernization management reform requirements

Change Readiness

Desire for IT Modernization

Staff at most levels expressed a significant desire for IT Modernization; however, gaps exist

in agency and staff level readiness for change. All DOL stakeholder segments, regardless of

job function, desire confidence, success, and a belief that IT Modernization will occur in

ways that are meaningful and impactful, i.e., help make technology easier to use and more

supportive of day-to-day work. The voice of IT Modernization must be consistent, visible

and led honestly with information transparency, gaining momentum and building

excitement with each modernization activity and project.

Recommendations

� Consistently include IT Modernization as part of the DOL leadership agenda, priorities

and key messages shared with staff across the Department

� To foster inter-agency collaboration and use of leading IT and change practices, DOL

and the OCIO leadership facilitates a Department-wide IT Modernization roundtable

sharing information and engaging agencies in IT Modernization project evaluation and

implementation

Disposition to IT Change

Leadership and managerial staff are skeptical of the potential success of any planned IT

changes. The DOL workforce needs to consistently see and hear that IT Modernization is a

priority among their leadership, and it is supported fiscally and politically.

Recommendations

� Organize and launch the Field IT Forum and the broader change agent network in

stages to create field office agency champions for IT Modernization

� Provide IT Modernization communications and support materials for the change agent

network and staff in a consistent structured and organized manner

� Identify staff groups impacted by specific IT projects and changes, and develop

associated support communications, training, and resource needs (e.g., Reference

Guides, Job Aids, Help desk, etc)

� Highlight short-term and longer-term IT Modernization agency, department and

individual staff wins, and acknowledge and appreciate their efforts and commitment to

the IT Modernization mission

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Training

Role Alignment

Leaders and managers requested training aligned to their roles and use of technology, as

well as training timed with the rollout of new technology.

Recommendations

� At the planning stage for each IT project rollout conduct a training audience needs

analysis to understand DOL’s stakeholder segments, their training needs, and the best

methods for delivery (e.g., classroom, web-based, virtual session)

� Based on leadership and managerial level and responsibilities, a more hands-on and

high-touch approach to training should be considered (e.g., 60 minute classroom

training session with 5 leaders, special presentation at a Manager’s meeting, or

scheduled one-on-one coaching sessions)

Awareness & Accessibility

Leaders and managers are less aware than other staff of available IT training and where to

access it when needed.

Recommendations

� To provide a coordinated approach to IT roll-outs and training, a training strategy and

plan should be developed in collaboration with the IT project teams

� Develop dedicated and easily accessible web pages with training resources linked to

associated applications; the web pages may include step-by-step instructions, a link to

Learning Link, attachments with Job Aids

Tracking

Learning Link certification does not track and store all course and certification completions

requiring staff to print certificates, copy or scan the certificate, and email the certificate as

an attachment to their supervisors. The manual process is a source of frustration and

inefficiency for staff.

Recommendation

� Determine if Learning Link upgrades and/or increased functionality for training tracking

and course and certification completion is feasible; if not, create an alternative,

electronic training tracking system or integrate tracking in the next release of Learning

Link

Communications

Staff Input

In general, regional, district, area and field office staff feels their input is not valued by the

National office.

Recommendation

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� Provide method(s) for two-way feedback and dialogue targeted to regional and field

staff (e.g., email inbox, Town Hall Meetings, Quarterly calls, Discussion Boards, Blog),

and address raised concerns through both individual, i.e., one-on-one

email/conversation, and collective approaches, i.e., Agency/ Department-wide

Communication Channels and Formats

Staff at all locations and levels requires multiple communications and formats to receive

and understand IT changes. DOL employs Enterprise 2.0 technologies that are

underutilized that could increase the depth and breadth of stakeholder reach with

increased usage for communications.

Recommendations

� Develop and implement a strategic communications plans in collaboration with IT

project teams to provide a cohesive and coordinated approach to IT roll-out

communications

� Create key messages for the IT Modernization Program and specific IT projects by

stakeholder segment; reiterate key messages from the top down in all communications

� Leverage existing and new Enterprise 2.0 technologies including GovLoop, blogs, wikis,

webcasts, LaborNet and dol.gov for communications; define the application and use of

these vehicles in the strategic communications plans coordinated with the change agent

network and used in conjunction with email and All-Hands meetings

Process Recommendations

To address the key findings and the importance of well-defined and efficient business

processes, recommendations and benefits are centered on several capability areas:

standardized business processes, process enablers, IT security, innovative solutions, and

technical support.

Standardized Business Processes

Agencies tend to focus more on IT requirements and issues without addressing or

documenting the underlying business processes. Because processes often are not

standardized, workarounds are developed that often result in more time required to do the

job. Additionally, staff is often required to adhere to both paper and electronic

requirements within the same process.

Recommendations

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� Identify processes for potential reengineering, whether for a new system or for

processes that require redundant steps (i.e., similar paper and electronic steps)

� Establish a standardized methodology and format for documenting business

processes, including using a standard process mapping software tool, e.g. Visio

� Create a centralized on-line repository for business process maps and associated

documentation such as policies and procedures. This repository will serve as the

institutional knowledge base for the business processes associated with IT systems

as well as serve as a training tool for new staff or staff in new roles within the

organization. Process maps can be interactive and link specific steps to associated

policies and forms required during the process

� Institute a continuous improvement process to ensure business processes are

streamlined and supporting the mission effectively

� Train cadres of agency staff to participate in and lead business process

reengineering efforts

Process Enablers

Robust Business Tools

Agencies do not always consider the importance of seamless integration of IT tools and

systems with business processes. In some cases, the systems that are required by an agency

to perform a specific function are not compatible with other key systems and require

workarounds or manual entry to transfer data from one system to another. Tools that do

exist to share data (i.e., shared drives) are agency owned, not user-friendly and result in

data integrity issues and inefficiencies in gathering and analyzing data.

Recommendations

� Integrate technology initiative development with business process reengineering to

minimize redundancies and exploit seamless linkages to other systems as required

� Develop user-friendly shared drives or online collaboration space to house and share

documents. Focus on enhanced search and version control capabilities

� Establish cross-agency teams on tool development/reengineering efforts to ensure that

multi-agency needs are met and that critical data can be shared. This may necessitate

policy changes to address data access requirements

IT Security Policy

Blanket security policies are not tailored to account for unique agency needs and act as

process bottlenecks

Recommendation

� Conduct an annual IT security policy review to ensure alignment with business

priorities.

Innovative Solutions

Integration of Innovative Ideas

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Employees exhibit a lack of confidence in DOL and the agencies to develop innovative and

modernized solutions to business problems. Workarounds are often developed in multiple

locations across the country to resolve common process or technology challenges that are

not being addressed at the National level.

Recommendations

� Establish a forum(s) or a group of thought leaders in DOL for capturing and sharing

innovative ideas and framing common business and/or technology problems

� Host an “Ideas Festival” to showcase innovative thinking and ideas from among the

broader DOL employee population using a carefully crafted set of incentives to induce

participation and the development of creative and thoughtful input from DOL staff.

� Offer rewards and social “carrots” to employees who submit ideas that are ultimately

implemented and that result in productivity and cost savings

� Identify and work with DOL and other federal agencies/private sector companies who

have successfully innovated in areas of interest/applicability to DOL mission activities

and apply those innovations within DOL

� Conduct thorough case studies of current instances of innovation around the

Department, identify lessons learned, and seek opportunities to replicate and push

proliferation of the innovative use of technology or people within every agency and

office

Enterprise IT Dashboards

Improve transparency and accountability related to IT organizational performance.

Recommendations

� Develop IT dashboards for customers that display up-to-date performance metrics for

IT service delivery

Technical Support

Technical support and processes are not consistent and standard across agencies,

infrastructures and regions. Survey respondents overall are satisfied with help desk

support with some exceptions; interview and focus group participants expressed

inconsistencies in help desk support

Recommendations

� Create an enterprise service center for the department to act as the “one-stop-shop”

and triage center for all help requests. Organization of this service center should be

based on industry leading practices and frameworks such as ITIL

� Standardizing Help desk processes result in efficiencies that increase turnaround time

in fulfilling help requests and ultimately reduces help requests

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Technology Recommendations

To address the key findings and DOL’s technology needs, the recommendations and

benefits that follow are centered on enterprise password management, remote

connectivity, enhanced collaboration, email, and knowledge management service areas.

Implementation of the recommendations will demonstrate Department-wide leadership

and commitment to IT Modernization, engender staff support for IT Modernization

initiatives by demonstrating tangible results, and address several long standing

impediments to employee productivity.

Enterprise Password Management

Numerous passwords for access to various enterprise systems are cumbersome; enterprise

password policies hinder workflow in many instances and create security vulnerabilities.

Recommendations

� Develop a simplified sign-on capability to support the majority systems in the short

term while ultimately planning for a single sign-on capability

� Adapt security policy to support a single sign-on

Remote Connectivity

Lack of capabilities to support robust and reliable remote access to agency systems

impedes telework, COOP and productivity of highly mobile staff.

Recommendations

� Assess remote access functionality required by staff across agencies and roles

� Work with subject matter experts in infrastructure, security, 508 compliance, COOP,

IPv6 and other relevant IT areas to develop a robust solution to bandwidth and

compatibility issues

Enhanced Collaboration

The demand for access to real-time, virtual collaboration facilities is high and expected to

increase as agencies are asked to maintain productivity levels despite budgetary

constraints that limit employee travel and face-to-face collaboration.

Recommendations

� Institute enterprise processes for facilitating sharing of collaborations resources

such as the VTCs and the VTC catalogue and webcams. The types of collaboration

tools, their availability, and location should be made available to employees through

processes to allow and manage access to these tools

� Develop training materials on use of collaboration tools to make them readily

available to encourage use of these tools by employees who may not have the skills

to use them

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Email Storage and Archiving

Limited email storage capacity impedes efficient collaboration between DOL agencies and

external partners.

Recommendations

� Expand email box storage capacity to allow greater amounts of data to be stored

without requiring archiving by staff. For example, moving email to the Cloud can result

in mailboxes as large as 5-25GB

� Configure the auto archiving feature in MS Outlook to allow emails to be automatically

archived once a pre-set size threshold is met thus freeing up storage capacity

Knowledge Management

There exists a lack of authoritative data sources and robust case management tools that

allow management and access to these sources creating data integrity challenges.

Recommendations

� Design and implement a case/knowledge management system that allows employees to

access information from multiple documents and databases, capture it in a centralized

knowledge base, and continually improve it for ongoing use by staff

Initiatives

Project Initiatives and Implementations

DOL OCIO has undertaken multiple significant projects based on the IT Modernization

Program and OMB mandates. The IT Modernization Program aims to support the

modernization of the department’s business by strengthening the IT infrastructure and

services that support the mission of the department, its agencies and offices. OMB

mandates focus on creating operational and budget efficiencies from as well as decreasing

risks. Stakeholders at all levels and in all roles and disciplines including the OCIO and IT

staff responsible for implementing the changes are affected by the sheer breadth of DOL’s

planned IT change. DOL IT initiatives impact staff and stakeholder groups in different ways

requiring the design and implementation of change activities with varying degrees of

complexity and breadth. The change management program embraces the major

modernization projects already underway and plans for their projected milestones, scope

and resource needs. Simultaneously the change management team is identifying critical

opportunities to capitalize on progress to date and mitigate project impacts with

stakeholders.

IT Organization

� IT Service Catalogue: Identification and description of the mission and services to be

supported by the OCIO

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� OCIO Organizational Framework: Identification of critical roles and functions, and

alignment to key services and outputs

IT Governance

� Governance Approach and Model: Development of governance approach and model;

identification of interrelationship and dependencies of governance groups

� Development of New IT Governance Groups

o Enterprise Implementation Committee (EIC): Sustained development of

communication, project and program materials and presentations required to

support EIC members in agency implementations

o IT Acquisition Review Board: Development of charter, criteria, processes,

meeting presentations and support communications

o IT Service Management: Development of approach to merger of Configuration

Control Subcommittee and Enterprise Change Management Committee

o Field IT Forum: Development of a plan to launch the forum, development of

member and committee charter and support materials, identification of potential

members; support once the business owner is identified

• Evolution & Revision of Governance Committee Charters for Innovation & Technology,

IT Capital Planning and IT Security; review of Strategic Business Planning Committee

Cloud Email

� User Profiles: Development of multiple stakeholder technology use profiles including

characteristics, patterns, work and life styles, and proficiency with technology

� Requirements Gathering: Interviews and focus groups with diverse users to identify

functionality requirements and use cases

HSPD12: IAM/LACS/CPS

� Change & Communication Products: Develop an integrated change management plan

for the program and project specific products including stakeholder outreach, impact

analysis communications and training supports

Collaboration

� WebEx: Create materials and presentations in support of promoting collaboration pilot

and solution

� VTC Catalogue: Promote catalogue of VTC resources across agencies and regions via

LaborNet and other communications

Infrastructure Integration

� OASAM/OWCP integration: Define the scope, timing, and implementation priorities of

integrating the DITMS infrastructure, staff and services with OASAM’s Information

Technology Center

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Other IT Projects

� As required the team will provide change management support to IT projects and

address the needs of users through change management solutions and products

Change Management Initiatives

Change Roadmap

The Change Roadmap sequences and adapts change management activities at the program

and project level to address stakeholder and agency needs for OCIO projects underway,

projects in the planning stages and projects to be defined in the coming year. The team will

establish targets for stakeholder awareness, understanding and acceptance to support the

development of activities. Change management activities for each project will be calibrated

and integrated to mitigate the impact of change on staff, facilitate transition to a more

modernized DOL IT environment and measure stakeholder movement and acceptance

toward change. To account for the unique changes and varied timelines of IT

Modernization Program initiatives, change management activities will be iterative,

adaptable, and aligned to IT projects based on users and/or agency impact. Change

activities for each project will be tailored to meet the unique needs of the initiative and

iterative including change readiness, stakeholder engagement, communications, training

and measurement.

� Change Readiness: The team will continually shape the enterprise-wide framework for

the future state, identifying workforce and operational readiness for upcoming, project-

specific changes. Change readiness outputs will include OCIO and program mission and

vision statements, IT program and project change roadmaps, and integrated IT change

implementation plans.

� Stakeholder Engagement: The team will identify by project the relevant DOL

stakeholders and their workforce needs and concerns related to project changes. The

team will create in each project opportunities for two-way communication and

initiative-based Agency involvement. The intent is to create opportunities to address

long-standing stakeholder perceptions and attitudes in a constructive way to influence

and build support for IT change and sustained stakeholder engagement. Team outputs

for stakeholder engagement include development of project based stakeholder analysis

and strategy, engagement of the DOL Field IT Forum, and the launch of the broader DOL

Change Agent Network. In each instance the team will prepare DOL leaders for their

roles in facilitating, promoting or leading the change vision.

� Communications: Focused and diverse DOL communication products will mitigate the

impacts of IT modernization and project implementations on DOL staff. The team will

apply informational awareness, understanding, and acceptance strategies and tactics to

the appropriate people at the appropriate time with the appropriate message aligned to

the stakeholder and project milestones. Utilizing new and existing resources (e.g.,

LaborNet, emails, or social media resources), the team will align communications to the

project implementation and shape the key messages to the stakeholders.

Communication outputs will include project level communication plans and diverse

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materials and products to leverage DOL formal and informal communication channels,

key messages featuring what the change will be, who it will affect and how the

stakeholder groups will be affected.

� Training: Where relevant and supportive of stakeholders and the IT project, the team

will work with IT and learning and development staff to propose and develop training

approaches and plans to support project implementation. Projects with strong day to

day impact on stakeholders will require learning and development plans outlining the

various training modes (e.g., Learning Link, etc.) and stakeholder aligned content. The

team will create training plans to ensure DOL stakeholders have access to the requisite

knowledge, skills, and abilities to be successful using new technology or adapting to

modified systems and applications. As required, DOL IT project training outputs may

include a learning and development needs analysis, training strategy, and content

development and delivery mechanisms.

� Measurement: Proven change methodology tracks stakeholders through stages of

acceptance, understanding and commitment to change objectives. Key to evaluating the

effectiveness of IT implementations and the progression of stakeholders toward

acceptance and IT change success are opportunities for feedback to capture process

improvements, efficiencies realized, and DOL lessons learned and emerging best

practices. Measurement outputs may include LaborNet email feedback box, interviews,

focus groups, roundtable discussions and forums, and stakeholder evaluation surveys

to gauge shifts in perceptions.

All of the change activities noted above require intimate project knowledge of the change

affecting stakeholders. Equipped with program and project specific knowledge and inputs,

change plans may be tailored and developed to directly support each implementation.

Next Steps

DOL should consider several key next steps in continuing to execute current IT

Modernization implementations as well as initiatives that will be considered for future

action based upon the recommendations in this report.

� Convene a senior leadership offsite meeting to confirm high return on investment

(ROI) IT projects and projects with the greatest business value for agencies (e.g.,

access and mobility, collaboration, etc)

� Articulate the vision and components of a flexible IT Strategic Plan for the

Department; share with agency leaders and IT staff for input and review; engage key

agency staff in determining next steps

� Organize and implement a program and project management office to oversee and

guide the implementation of high ROI and high business value projects

� Review the prioritization, staffing and sequencing of current project

implementations; consolidate timelines and identify opportunities for efficiencies;

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� Initiate a review and assessment of critical Federal and DOL IT policies focused on

planning, acquisition, and service delivery management; update and apply relevant

IT policies; provide guidance to all Department stakeholders facilitating work

� Continue to build relationships with DOL stakeholders across agencies to promote

understanding of their issues and to establish increasing levels of transparency and

trust