Telecommunications Management and Operations Policy

ORDER

FAA O r d e r 1830.3A Us. Department of Appendix 1 Tronrportatlon 9 / 2 1 / 9 2 DOT 5400.1 A Off- o f the Secretary o f Tronsportdion 5-18-84 Subject: TELECOMMUNICATIONS MANAGEMENT POLICIES PURPOSE. This Order establishes policies and res~onsibilities - - -

for the management of telecommunications systems ,- equipment

and services within the Department of Transportation (DOT).

DOT 5400.1, Telecommunications Management Policies, 8-2-82.

REFERENCES. Appendix A lists those policies, references and regulations external to the Department that apply to the management, acquisition and use of telecommunications through- out the Federal Government.

BACKGROUND. DOT annually spends over $1 billion for tele- communications services, equipment and systems, which are acquired by and for individual programs, offices and adminis- trations. The substantial expense of the diverse telecomuni- cations resources of the Department warrants the establishment of more uniform, centralized management via policy and over- sight to minimize total costs and yet meet user requirements.

The high cost for telecommunications in the Federal Government has been recognized at all levels. Legislative actions have occurred which place strong controls on agency management of telecommunications. The Office of Management and Budget (OMB) is conducting close reviews of budget documentation in an effort to hold down costs while still providing needed services with required efficiency.

The Paperwork Reduction Act of 1980 (P.L. 96-511) assigns each Federal Agency the responsibility for intensive management of automated data processing, telecommunica- tions and paperwork reduction programs. The law requires that each agency identify a Single Official to be respon- sible for centralized management of these resources.

Within the Department of Transportation, the Assistant Secretary for Administration is the Single Official. The Director of Information Systems and Telecommunications Policy supports the Assistant Secretary for Administra- tion in exercising responsibilities under the Act.

P.L. 96-511 also requires that each agency initiate com- prehensive multi-year planning for telecommunications systems, forecasting user needs and projecting expendi- tures.

OPI O f f i c e o f I n f o D'STR'BUT'ON s e c r e t a r i a l O f f i c e r s systems - ? l ; - , 8 Telecom Head; o f O p e r a t i n g Adrnini s t r a t i o n s

Page 2 d . The Federal Property Management Regulations (FPMR), 41 CFR subpart 101-37, Telecommunications Management, prescribe criteria and standards applicable to the procurement and use of telecommunications and direct all agencies to implement these criteria and establish control procedures to ensure that only telecommunications equipment necessary to carry out agency responsibilities is provided. Certain DOT telecommuni- cations systems and services are exempt from the provisions of the FPMR. The FPMR is managed and regulated by the General Services Administration (GSA).

e. OMB Circular No. A-123 requires each agency to: prescribe ' agency policies and standards for internal control of program and administrative activities, conduct vulnerability assessments of all agency activities, and based on internal control reviews, implement necessary improvements.

5 . G E N E R A L - . The following apply to the statements of policy and responsibility contained in this Order.

a. Telecommunications support and services shall be provided at a minimum total cost consistent with requirements for capacity, effectiveness, efficiency, and reliability.

b . A DOT-wide common approach with assigned responsibilities is necessary to effectively manage telecommunications.

a. Telecommunications. Telecommunications services include, without limitation: the transmission, emission or reception of signals, signs, writings, images, sounds or intelligence of any nature, by wire, radio, visual or other electrical, electromagnetic or accoustically coupled means.

Telecommunication facilities include equipment used for such modes of transmission as: telephone, telegraph, teletypewriter, data, facsimile, telephotography, video, audio, and such corollary items as distribution systems and communications security facilities (41 CFR Subpart 101- 37.105-1).

a .

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b. -~ive Telecommunications. Administrative telecommunications include general purpose services, lines and equipment that are used to handle routine office communications and to accomplish day-to-day business. Acquisition and use of such facilities are subject to GSA Federal Property Management Regulations.

DOT 5400.1A C h g 1 P a g e 3 8-22-85 c. ODeratlonal Te-w. O p e r a t i o n a l telecommunica- t i o n s i n c l u d e t h o s e l i n e s , f a c i l i t i e s and s e r v i c e s t h a t a r e used t o s u p p o r t c e r t a i n s p e c i f i e d m i s s i o n s . Loss o r d e g r a d a t i o n of t h e s e telecommunications s y s t e m s c o u l d a d v e r s e l y a f f e c t m i s s i o n s u c c e s s o r s a f e t y of l i f e and p r o p e r t y . These o p e r a t i o n a l t e l e c o m m u n i c a t i o n s systems a r e exempt from GSA management under t h e FPMR.

d. P e d e m l Telecommunications Svstem (FTS). The F e d e r a l Tele- communications System, o p e r a t e d by t h e G e n e r a l S e r v i c e s A d m i n i s t r a t i o n , i s a Government network p r o v i d i n g admin- i s t r a t i v e l o n g d i s t a n c e communications s e r v i c e s t o a l l F e d e r a l c i v i l a g e n c i e s . A l l DOT elements have a c c e s s t o t h e FTS (DOT Order 1740. l A , A d m i n i s t r a t i v e Telephone S e r v i c e a n d Equipment).

7. p O J I I C X . I t i s t h e p o l i c y of t h e Department t o : a. F o s t e r c o m p e t i t i v e procurement of telecommunications s y s t e m s , f a c i l i t i e s and s e r v i c e s whenever p o s s i b l e i n o r d e r t o o b t a i n t h e maximum b e n e f i t s a t t h e l o w e s t c o s t c o n s i s t e n t w i t h t h e p r o v i s i o n of t h e r e q u i r e d u s e r s e r v i c e .

b. E s t a b l i s h and m a i n t a i n a telecommunications m u l t i - y e a r plan- n i n g system c o n s i s t e n t w i t h t h e budget p r o c e s s s t i p u l a t e d by OMB C i r c u l a r A-11, P r e p a r a t i o n a n d Submission of Budget E s t i m a t e s . The p l a n n i n g system s h o u l d p r o v i d e f o r t i m e t o o b t a i n maximum c o m p e t i t i o n i n a c q u i s i t i o n a s s t a t e d i n 7a.

i) c. Optimize telecommunications f a c i l i t i e s by p r o v i d i n g t h e r e q u i r e d l e v e l of s e r v i c e a t least c o s t t o t h e Department.

d. S h a r e o r c o n s o l i d a t e telecommunications f a c i l i t i e s Department-wide c o n s i s t e n t w i t h m a i n t a i n i n g t h e r e q u i r e d l e v e l of s e r v i c e .

e. P r o v i d e telecommunications programs and systems c a p a b l e of s u p p o r t i n g DOT emergency r e s p o n s i b i l i t i e s and o p e r a t i o n s .

f . E s t a b l i s h and m a i n t a i n a system t o : (1) review and c e r t i f y b i l l i n g s f o r a c c u r a c y f o r FTS a n d commercial telecommunica- t i o n s s e r v i c e s , and ( 2 ) e n s u r e t h a t t h e s e s e r v i c e s a r e used o n l y f o r o f f i c i a l Government b u s i n e s s .

a. The A s s i s t a n t S e c r e t a r y f o r A d m i n i s t r a t i o n i s t h e S i n g l e O f f i c i a l (P.L. 96-511) r e s p o n s i b l e f o r Department-wide t e l e c o m m u n i c a t i o n s management.

V e r t i c a l l i n e d e n o t e s c h a n g e .

DOT 5400. l h Page 4 5- 18-84 (1) The Director of Information Systems and Telecommunica- tions Policy will: (a) Develop overall Departmental policy and guidelines for DOT telecommunications.

(b) Support the Assistant Secretary for Administration in exercising the Single Official Departmental telecommunications management responsibilities.

(c) In coordination with Secretarial Offices and the Operating Administrations, establish and maintain a multi-year plan for telecommunications, including both administrative and operational systems and facilities. Planning will be accomplished on a DOT-wide basis consistent with the five-year budget framework established by OMB Circular A-11. The planning process will forecast Departmental telecommunications requirements and expenditures.

Annual planning direction and guidance will be provided to DOT elements in conjunction with the budget preparation and review cycle.

(dl Review and approve the individual multi-year plans (c) above, and develop a consolidated Departmental telecommunications plan.

(el Review and approve each Secretarial Office and Operating Administration A-11 budget estimate submission. This will be an integral part of the subsequent preparation and submission to OMB and Congress of the annual consolidated Departmental A-11 budget estimates.

(f) Provide Departmental liaison with GSA to meet the requirements of FPMR 41 CFR 101-37.

( g ) Coordinate and analyze telecommunications systems studies for new or improved major systems or services.

(h) Review and approve planned telecommunications system procurements requiring GSA approval in accordance with FPMR 41 CFR 101-37 to obtain procurement authority from GSA and redelegate authority to the Operating Administrations or the Office of Administrative Operations as appropriate.

DOT 5400.1A Page 5 5-18-84 (i) Provide interface with and membership on national level and interagency telecommunications policy committees and groups including support of the National Security Council, the National Communications System, and the Interagency Tele- communications Committee.

(j) Provide or coordinate DOT-wide technical consult- ing services.and maintain a current technical library for Information Resources Technology.

( 2 ) The Director of Administrative Operations will: (a) Implement Departmental telecommunications policy relating to the use of FTS and commercial tele-' phone circuits and equipment for administrative purposes (as differentiated from circuits and equipment used for operational purposes).

(b) Provide administrative telephone and telecommuni- cations services and facilities for OST, all Headquarters, and designated field elements of the Depa r tme ; I t , (c) Provide analyses of administrative telephone systems for OST, all Headquarters, and designated field elements of the Department. For the entire Department, provide cost analyses and billing for use of the FTS system.

b. Heads of Operating Administrations will: (1) Designate a single office to be responsible for all telecommunications management, administrative and operational, within their respective Operating Administrations.

( 2 ) Develop aid maintain a multi-year telecommunications plan that forecasts telecommunications requirements and expenditures.

( 3 ) Develop the annual OMB Circular A-11 budget estimates - for submission to the Assistant Secretary for Admin- istration for review, approval and submission to OMB and the Congress. This will be accomplished in con- junction with the multi-year plan submission defined above in subparagraph b.(2).

( 4 Develor, a program to opt.j_;l::_ L L:L-C : . : . . g st;.,;^, . .

facilities and services irt srciex t c : t oldicr ~ . ~ . . L : : i . r r i l . > cspability at minimum cost.

( 5 ) Consider shared use of existing or p:..ojc:c-iec ~tel~ecmmunications capabilities withic ~ ! I L ~ o z p c ; c t i \ ~ ~ Operating Administration= in lieu of initi,.ei; ; , ; r:e;: syst$ms, ( 6 ; Cozsider shared use of the t e l e c o m m u n i c a t i ~ ~ ~ ~ cap3Silities of other Operating Admizistrctlc>i:;i., xherever feasible, instead of initiating lie.!.: 2:jstexs.

( 71 E s t a b i . i s h and implement for telecommunicatic~~:~ I,;z!;zCe-- m ~ n t an internal control system as prescribe6 hy as3 Cirzslsr A - 1 2 3 .

( 8 ) Farticipate as needed in national level and li?ter-agsricy telecommunications policy committees and qroL2F inzlud- i n g support of the National Security Counci? Z I : : ! t h e kkional Communications System.

(9) Establish and maintain telecommunications programs 2nZ opsrational systems which provide the capability to effectively conduct assigned emergency activities.

c. Seci-etzrizl Officers, where applicable, shall have manage- ment responsibilities, similar to those outlined in sub- pzragraph b . , with regard to their own teleconxiunications resources.

a. Those Secretarial Officers and Operating Administration Officials responsible for implementing programs shall forward two copies of the directives implementing Departm2n- tal telecommunications management policies to the Directvr of Informtion Systems and Telecommunications Policy, M-30, within 180 days of publication of this Order, and sh&ll also subnlt revised and supplemental directives when issued- b . Those Secretarial Officers and Operating Administration Officials responsible for implementing programs shzll forwazd two copies of the directives implementing OMB Circular A - 1 2 3 in the area of telecommunications management to the Director of Infcrmation Systems and Telecommunications Policy, within 180 days of publication of this Order, and shall also submit revised and supplemental directives when issued.

FOR T Z SECPZT-Wf Or TKX-YSPORTATION: Robert L. Fairman Assistant Secretary for Administration

Appendix A Page 1 (and 2 ) APPENDIX A References 1. u e d o m of Information, 5 U.S.C. Section 552.

2 . m v a c v A d , 5 U.S.C. Section 552a.

3 . QMR Circular A - 76 , Policies for Acquiring Commercial

Procedures and Services for Government Use.

4 . C i - r A-94, Discount Rates to be Used in Evaluating Time Distributed Costs and Benefits.

5. - A U - , Major Systems Acquisition.

1. P.1,. 89 - 306 , ('Brooks Acta), 40 U.S.C. 759.

-

2, EJI. 96 5 1 1 . P - o n Act of 1984, 44 U.S.C.

Sections 3501-3520.

3. Q K B C W A l l - , Preparation and Submission of Budget

Estimates.

4. QMB Circular A - 71 , Responsibilities for the Administration and

Management of ADP Activities.

5. DMB A - 90 , Cooperating with State and Local

Governments to Coordinate and Improve Information Systems.

. .

6. - a 1 P r ~ ~ ~ f t y m s t r a t i v e Act of 1942 (63 Stat. 3 7 7 ) Title I, as amended by P.L. 89-306, Automatic Data Processing, which covers standards and related procedures for systems procurement and management.

7. Federal Proplertv - n t R e - , 41 CFR Chapter 1, provides procedures and controls for the procurement of equipment and services.