Notice2022-23503
Secretary's Order 03-2022-Delegation of Authorities and Assignment of Responsibilities to the Chief Information Officer
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
October 28, 2022
Issuing agencies
Labor Department
Full Text
<html>
<head>
<title>Federal Register, Volume 87 Issue 208 (Friday, October 28, 2022)</title>
</head>
<body><pre>
[Federal Register Volume 87, Number 208 (Friday, October 28, 2022)]
[Notices]
[Pages 65254-65257]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-23503]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF LABOR
Secretary's Order 03-2022--Delegation of Authorities and
Assignment of Responsibilities to the Chief Information Officer
1. Purpose. This Secretary's Order (Order) updates the delegation
of authority and assignment of responsibilities to the Chief
Information Officer (CIO) for implementation of the Federal Information
Technology Acquisition Reform Act of 2014 (FITARA), the Federal
Information Security Modernization Act of 2014 (FISMA), the Modernizing
Government Technology (MGT) Act, the E-Government Act of 2002, the
Clinger-Cohen Act of 1996 (also known as the Information Technology
(IT) Management Reform Act of 1996), and the Paperwork Reduction Act of
1995 (PRA).
2. Authority and Directives Affected.
A. Authorities. This Order is established pursuant to the following
authorities.
1. Public Law 85-67, Title I, 71 Stat. 210 (June 29, 1957), as
amended.
2. Public Law 99-619, Reorganization Plan Number 6.
3. Public Law 104-13, the Paperwork Reduction Act (PRA).
4. Public Law 104-106, The Clinger-Cohen Act.
5. Public Law 104-231, The Electronic Freedom of Information Act
Amendments (E-FOIA).
6. Public Law 106-554, Consolidated Appropriations Act, 2001,
Section 1(a) (incorporating Section 515 of H.R. 5658, the Treasury and
General Government Appropriations Act).
7. Public Law 107-347, The E-Government Act of 2002 [Sections 101,
202-204, 206-212, 214, 301, 302 & 305].
8. Public Law 113-235, FITARA of 2014; and Public Law 115-88, the
FITARA Enhancement Act of 2017.
9. Public Law 113-283, the FISMA of 2014.
10. Public Law 115-91, the MGT Act, 131 Stat. 1332.
11. 5 U.S.C. 301, 552(g), 3701-3707 & 5315 (2018).
12. 29 U.S.C. 551 & 563 (2018).
13. 40 U.S.C. 11312-11319 & 11331.
14. 41 U.S.C. 266a.
15. 44 U.S.C. 3505-3506, 3553-3554, 3603 & 3606.
16. OMB Circular A-130, Managing Information as a Strategic
Resource (2016).
17. OMB Memorandum M-15-14, Management and Oversight of Federal
Information Technology (2015).
B. Directives Affected.
1. This Order does not affect the authorities and responsibilities
assigned by any other Secretary's Order, unless otherwise expressly
provided in this or another Order.
2. This Secretary's Order replaces the previous Secretary's Order
06-2020 regarding CIO responsibilities, and as such, Secretary's Order
06-2020 is cancelled.
3. Background. This Order replaces Secretary's Order 06-2020, which
delegated authority and assigned responsibility for implementation of
FITARA, FISMA, MGT Act, PRA, Clinger-Cohen Act, and E-Government Act.
This Order further implements guidance provided by OMB in Memorandum M-
15-14 that, in situations where ``the CIO and other management
officials report to a COO, Undersecretary for Management, Assistant
Secretary for Administration, or similar management executive, the CIO
shall have direct access to the agency head (i.e., the Secretary, or
Deputy Secretary serving on the Secretary's behalf) regarding programs
that include information technology''.
4. Reporting Authority. The CIO has direct access to, and authority
for direct contact with, the Secretary for any matters the CIO deems
necessary to carry out the responsibilities of this Secretary's Order.
5. Assignment of Responsibilities to the CIO.
A. The Clinger-Cohen Act established the position of the CIO with
information resource management duties as their primary duty. The CIO
performs the responsibilities set forth below.
1. Ensure compliance by all DOL agencies with the prompt,
efficient, and effective implementation of IRM responsibilities and
reduction of information collection burdens on the public.
2. Provide advice and assistance to the Secretary and other DOL
senior management personnel to ensure IT is acquired, and information
resources are managed, effectively and efficiently.
3. Perform strategic planning for all IT management functions
including developing, updating, and maintaining the DOL IT strategic
plan.
4. Establish, implement, and ensure compliance with the DOL
information security program.
5. Develop, facilitate, and maintain the implementation of the
enterprise architecture for DOL.
6. Promote the effective and efficient design and operation of all
major IRM processes for DOL, including improvements to work processes
of the Department.
7. Monitor and evaluate the performance of IT programs of DOL based
on applicable performance measurements, and advise the Secretary of
Labor and other senior management personnel regarding whether to
continue, modify, or terminate a program or project.
8. Annually, in consultation with DOL agencies and as part of the
strategic planning and performance evaluation process, assess the
requirements established for DOL personnel regarding knowledge and
skill in IRM, develop plans for hiring and training aimed at meeting
those requirements, and report to the Secretary on the progress made in
improving IRM capability.
9. Serve as a member of the executive branch Chief Information
Officers Council, participate in its functions, and monitor the
Department's implementation of IT standards.
10. Perform any additional duties which are assigned to the CIO by
applicable law, including OMB regulations and circulars.
B. FITARA, the FITARA Enhancement Act of 2017, and the MGT Act
further enhanced the responsibilities of the CIO in the following areas
as defined below.
1. Resources, Planning and Portfolio Management. It is the
responsibility of the CIO to:
a. Have a significant role in the decision processes for all annual
and multiyear planning, programming, budgeting, and execution
decisions, related reporting requirements, and reports related to IT;
b. Have a significant role in the management, governance, and
oversight processes related to IT;
c. Review and approve the IT budget request;
d. Certify IT investments are adequately implementing incremental
development, as defined in capital
[[Page 65255]]
planning guidance issued by the Office of Management and Budget (OMB);
e. Review and approve any contract or other agreement for IT or IT
services. Governance process can be used to approve contracts or other
agreements as long as the CIO is a full participant in the governance
processes; and
f. Review and approve the reprogramming of funds for IT.
2. Agency Risk Management Information. It is the responsibility of
the CIO to:
a. Provide the Director of OMB with a list of each major IT
investment on at least a semiannual basis, using existing data systems
and processes;
b. Categorize each major IT investment according to risk, in
consultation with other appropriate agency officials; and
c. Conduct a review of the investment to identify the root causes
of the high level of risk, the extent to which these causes have been
addressed, and the probability of future success for each major IT
investment receiving a high risk rating.
3. Information Technology Portfolio, Program and Resource Reviews.
It is the responsibility of the CIO to:
a. Identify or develop ways to increase the efficiency and
effectiveness of the IT investments;
b. Identify or develop opportunities to consolidate the acquisition
and management of IT services, and increase the use of shared-service
delivery models;
c. Identify potential duplication, waste, and cost savings, and
develop plans for actions to optimize the IT portfolio, programs, and
resources;
d. Develop ways to better align the IT portfolio, programs, and
financial resources to any multi-year funding requirements or strategic
plans required by law; and
e. Conduct an annual review of the IT portfolio.
4. Government-wide Data Center Consolidation and Optimization
Metrics. It is the responsibility of the CIO to:
a. Assist the Secretary in the submission to the Federal CIO in the
Office of the Federal Chief Information Officer (formerly the
Administrator of the Office of Electronic Government and Information
Technology), and OMB, a comprehensive inventory of the data centers
owned, operated, or maintained by or on behalf of the agency and a
multi-year strategy to achieve the consolidation and optimization of
the data centers inventoried;
b. Submit a statement to the Federal CIO stating whether the agency
has complied with the requirements and make the statement publicly
available. If the agency has not complied with the requirements, the
CIO must submit a statement to the Federal CIO explaining the reasons
for not complying with such requirements; and
c. Provide updates to the Federal CIO on a quarterly basis
regarding the completion of activities by the agency; all progress of
the agency towards meeting the Government-wide data center
consolidation and optimization metrics; and the actual cost savings and
other improvements realized through the implementation of the strategy
of the agency.
5. Technology Modernization Fund. It is the responsibility of the
CIO to evaluate applications for funding from the Technology
Modernization Fund including a strong business case, technical design,
consideration of commercial off-the-shelf products and services,
procurement strategy (including adequate use of rapid, iterative
software development practices), and program management.
6. Delegation of Authorities and Assignment of Responsibilities.
A. Subject to the Reservation of Authority in section VII of this
Order, the following duties assigned by the PRA, E-FOIA, and related
legislation, and OMB guidance to the Secretary are hereby delegated to
the CIO.
1. Establish a process, sufficiently independent of DOL program
agencies, to evaluate whether proposed collections of information
should be approved under the PRA.
2. Coordinate with DOL agencies to ensure proposed collections of
information covered by the PRA are published in the Federal Register.
3. Coordinate with DOL agencies to ensure they provide notice and
an opportunity to comment on any collections of information contained
within notices of proposed rulemaking published in the Federal
Register.
4. Certify for each collection of information submitted to OMB for
review the DOL program agency has fully complied with all PRA
provisions.
5. Coordinate with DOL agencies to prepare and maintain an annual
inventory of the DOL's major information systems.
6. Maintain a leadership role in overseeing the implementation of
DOL's guidelines on information quality matters consistent with the
Department's Information Quality Guidelines, and be responsible for the
annual Data Quality report to the Director of OMB.
B. Subject to the Reservation of Authority in section VII of this
Order, the following duties assigned by the Clinger-Cohen Act and
related OMB guidance to the Secretary are hereby delegated to the CIO.
1. Design, implement, and maintain DOL's process for maximizing the
value and assessing and managing the risks of IT acquisitions to:
a. Provide for the selection of IT investments to be made by DOL,
the management of such investments, and the evaluation of the results
of such investments;
b. Be integrated with the processes for making budget, financial,
and program management decisions within DOL;
c. Include minimum criteria to be applied in considering whether to
undertake a particular investment in information systems;
d. Provide for identifying information systems investments
resulting in shared benefits or costs for other Federal agencies or
State or local governments;
e. Provide for identifying quantifiable measurements for
determining the net benefits and risks for a proposed investment; and
f. Provide the means for DOL senior management personnel to obtain
timely information regarding the progress of an investment in an
information system.
2. Institutionalize performance-based and results-based management
for IT in coordination with the Office of the Chief Financial Officer,
the Office of the Assistant Secretary for Administration and Management
(OASAM), other DOL agencies, and other DOL governance structures (e.g.,
Working Capital Fund).
3. Review and approve the acquisition of IT for DOL and, in
accordance with guidance issued by OMB, the award of contracts that
provide for multi-agency acquisitions of information technology.
4. Monitor the Department's compliance with the policies,
procedures, and guidance in OMB Circular A-130 (or equivalent
guidance), recommend or take appropriate corrective action in instances
of failures to comply and, as required by Circular A-130, report to the
OMB Director.
C. Subject to the Reservation of Authority in section VII of this
Order, the following duties assigned by the MGT Act to the Secretary
are hereby delegated to the CIO.
1. Establish an information technology system modernization and
working capital fund for necessary expenses as described in paragraph 3
of the MGT Act.
2. Prioritize funds within the IT working capital fund to be used
initially for cost savings activities.
3. Reprogram and transfer any amounts saved as a direct result of
the cost savings activities for deposit into
[[Page 65256]]
the IT working capital fund, consistent with paragraph (2)(A) of the
MGT Act.
D. Subject to the Reservation of Authority in section VII of this
Order, the following duties assigned by the E-Government Act of 2002 to
the Secretary are hereby delegated to the CIO.
1. Consider the impact of Departmental E-Government policies and
programs on persons without access to the internet and work with all
DOL agencies to ensure, to the extent practicable, the availability of
government information and services is not diminished for individuals
who lack access to the internet.
2. Submit annually to the OMB Director of the E-Government Status
Report required by Section 202 of the E-Government Act.
3. Ensure the Department's methods for use and acceptance of
electronic signatures are compatible with the relevant policies and
procedures issued by the OMB Director.
4. Work with the Office of Public Affairs and the Office of the
Solicitor to ensure a publicly accessible DOL website includes all
required information.
5. Coordinate with the Office of the Assistant Secretary for Policy
to ensure the Department implements electronic rulemaking submissions
and electronic dockets.
6. Oversee the Department's preparation of privacy impact
assessments; ensure privacy impact assessments are provided to OMB for
each information system for which funding is requested; and ensure, if
practicable and appropriate, DOL privacy impact assessments are made
available to the public.
7. Establish and operate IT training programs and encourage DOL
employee participation in such programs.
8. Establish a system for appropriately sharing OMB and DOL
policies, guidance, standards and other communications relating to IT
and IRM.
9. Ensure the Department develops performance measures
demonstrating how electronic government enables progress toward DOL
objectives, strategic goals, and statutory mandates.
10. Ensure the Department is in compliance with Section 508 of the
Rehabilitation Act of 1974 (29 U.S.C. 794d).
11. Ensure the Department complies with all OMB policies relating
to the categorization of information.
12. Ensure that privacy notices posted on DOL websites comply with
OMB guidance (see Section 208(c) of the E-Government Act).
13. Ensure the Department, consistent with guidance developed by
the National Archivist, adopts policies and procedures to effectively
and comprehensively fulfill its records management responsibilities
with respect to DOL information on the internet and other electronic
records.
E. Subject to the Reservation of Authority in section VII of this
Order, the following duties assigned by FISMA to the Secretary are
hereby delegated to the CIO.
1. Designate a senior Department official who will report to the
CIO and have responsibility for Department-wide information security as
their primary duty.
2. Ensure the Department has trained personnel sufficient to assist
in complying with the requirements of FISMA and related policies,
procedures, standards, and guidelines.
3. Ensure the Department's information security management
processes are integrated into its strategic and operational planning
processes.
4. Prepare the Department's annual report to the Congress and
Comptroller General on compliance with FISMA, as required by Section
3544(c) of the E-Government Act.
5. Ensure the adequacy and effectiveness of information security
policies, procedures, and practices are addressed in plans and reports
relating to the Department's annual budget; information resources
management; IT management; program performance under the Government
Performance Results Act; financial management and financial management
systems; and internal accounting and administrative controls.
6. Ensure any significant deficiency in information security
policies, practices or procedures is reported as a material weakness
under Section 3512 of Title 31 of the U.S. Code and, if related to
financial management systems, as an instance of a lack of substantial
compliance under the Federal Financial Management Improvement Act.
7. Ensure the Department's annual performance plan includes a
description of the time periods, budget resources, staffing and
training necessary to implement the Department's information security
program.
8. Ensure the public receives timely notice and opportunity for
comment on proposed information security policies and procedures
affecting communication with the public.
9. Cooperate with the Office of Inspector General on the annual
independent evaluation of the Department's information security program
and practices, and ensure the evaluation is submitted to OMB.
10. Provide information security protections commensurate with the
risk and magnitude of the harm resulting from unauthorized access, use,
disclosure, disruption, modification, or destruction of information and
information systems.
11. Comply with the requirements of FISMA and related OMB policies
and NIST procedures, standards, and guidelines.
12. Report annually to the OMB Director, the Comptroller General of
the United States, and selected congressional committees on the
adequacy and effectiveness of agency information security policies and
procedures.
F. In addition to the above duties specifically assigned by the
PRA, the Clinger-Cohen Act, and the E-Government Act, the CIO is
delegated the following authority and assigned the following
responsibilities, subject to the Reservation of Authority in section
VII.
1. The CIO will act as the Department's spokesperson on all matters
relating to Departmental IRM and IT management.
2. The CIO will ensure the DOL is responsive to the needs of
employees who require adaptive technologies and will represent the
Department on GSA's Section 508 Committee.
3. The CIO will ensure continuous modernization of Departmental
communications and processes through adoption of new technologies, and
ensure maximum appropriate use of web technologies and electronic mail.
4. The CIO will perform any other related duties which are assigned
by the Secretary.
G. The Solicitor of Labor. The Solicitor of Labor is delegated
authority and assigned responsibility for providing legal advice and
counsel to the Department and agencies relating to the administration
and implementation of this Order and the statutory provisions,
regulations, and Executive Orders listed above, including without
limitation, providing counsel to the Secretary, ASAM, CIO, Agency
Heads, managers, and supervisors. The Solicitor of Labor shall have
responsibility for legal advice and assistance through opinions and
interpretations of applicable laws and regulations. The bringing of,
and defense against, legal proceedings under the authorities cited
herein, the representation of the Department, the Secretary, and other
officials of the Department, and determinations of whether such
proceedings or representations are appropriate in a given case, are
delegated exclusively to the Solicitor.
[[Page 65257]]
7. Reservations of Authority.
A. The submission of reports and recommendations to the President
and Congress concerning the administration of the statutory provisions
and Executive Orders listed above is reserved to the Secretary.
B. No delegation of authority or assignment of responsibility under
this Order will be deemed to affect the Secretary's authority to
continue to exercise or further delegate such authority or
responsibility.
8. Effective Date. This Order is effective immediately.
Martin J. Walsh,
Secretary of Labor.
[FR Doc. 2022-23503 Filed 10-27-22; 8:45 am]
BILLING CODE 4510-04-P
</pre></body>
</html>Indexed from Federal Register on October 28, 2022.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.