Enterprise Content Management and the Federal Enterprise Architecture

FEA & ECM Federal Enterprise Architecture & Enterprise Content Management Content Technologies for Government 2006 06 14 James Melzer

Agenda Federal Enterprise Architecture (FEA) What it is and why you should care Enterprise Content Management & FEA How to use the Business Reference Model How to use the Data Reference Model

1 The FEA is... • an IT planning methodology • for the entire federal government • to enable cross-agency analysis • to identify redundancies, gaps, and opportunities for collaboration between agencies.

2 The FEA is... • business-driven, • meaning that it is concerned with efﬁciency and effectiveness, • and organized around ‘Lines of Business’ (which are essentially business functions).

3 The FEA is... composed of 5 inter-related reference models: http://www.whitehouse.gov/omb/egov/images/a-1-fea-chart.gif

A ‘reference model’ is... • a framework for describing and working with a domain. • Most of the FEA reference models are taxonomies (hierarchical lists of categories)

ECM and the FEA There is no FEA reference model for content. However...

Business Reference Model (BRM) is a top-level taxonomy for categorizing the functional domain of everything in government Data Reference Model (DRM) deals with the categorization, discovery, and use of unstructured (and structured) data (i.e. documents and other content)

ECM and the FEA BRM Business Reference Model DRM Data Reference Model

The BRM is... • the business-based anchor for the FEA; • a high-level taxonomy of all government functions. • It is functional, not organizational. • It identiﬁes Lines of Business that the federal government conducts, regardless of which agency conducts them.

Business Reference Model Figure 7: BRM Overview The Business Reference Model (BRM) Services for Education Defense and National Security Citizens Energy Environmental Management Homeland Security Natural Resources Purpose of Intelligence Operations Education Disaster Management Government Law Enforcement Energy Community & Social Services International Affairs & Commerce Health Economic Development Litigation & Judicial Activities Transportation Workforce Management Correctional Activities Income Security General Science & Innovation Government Service Delivery Financial Vehicles Mechanisms Direct Services for Citizens Mode of Federal Financial Assistance Federal Financial Assistance Used to Knowledge Creation & Mgmt and Mgmt Credit & Insurance Achieve Delivery Credit and Insurance Transfers to States & Local Public Goods Creation & Mgmt and Mgmt Transfers to States & Purpose Regulatory Compliance and Enforcement & Enforcement Governments Local Government Legislative Relations Support Delivery Controls & Oversight Operations Public Affairs Revenue Collection Support Regulatory Development of Services of Services Internal Risk Mgmt & Mitigation Functions Planning & Budgeting General Government Supply Chain Management Administrative Management Administrative Management Resource Supply Chain Management Management of Management of Information & Technology Management Human Resource Management Government Resources Government Resources Information and Technology Management Functions Financial Management Management Financial Management

Business Reference Model (Simpliﬁed) • Mission • Mode of Delivery • Mission Support • Resource Management

Business Reference Model • Mission • Mode of Delivery • Mission Support Every agency conducts these two • Resource Management sets of functions

Business Reference Model • Mission • e.g. Public Affairs; Legal Services Mode of Delivery • Mission Support Every agency conducts these two • Resource Management sets of functions e.g. Human Resources; Financial Mgmt.

Business Reference Model • Mission Each agency has a different combination • Mode of Delivery of these functions • Mission Support • Resource Management

Business Reference Model e.g. Disaster Management; Law Enforcement • Mission Each agency has a different combination • Mode of Delivery of these functions •e.g. Regulatory Compliance and Enforcement Mission Support • Resource Management

Business Reference Model • Mission “Unique” • Mode of Delivery • Mission Support “Common” • Resource Management

EPA (1) Services for Citizens ** (103) Defense and (111) Homeland Security (113) Intelligence (104) Disaster National Security Operations Management 210: Strategic National & 033: Border and 213: Intelligence Planning & 007: Disaster Monitoring Theater Defense Transportation Security Direction / Needs and Prediction 211: Operational Defense 034: Key Asset and Critical 214: Intelligence Collection 008: Disaster Preparedness 212: Tactical Defense Infrastructure Protection 215: Intelligence Analysis & and Planning 035: Catastrophic Defense Production 009: Disaster Repair 216: Dissemination and Restore 010: Emergency Response (114) International Affairs (117) Natural Resources (107) Energy (108) Environmental and Commerce Management 041: Foreign Affairs 056: Water Resource 019: Energy Supply 023: Environmental Monitoring 042: International Development Management 020: Energy Conservation and and Forecasting and Humanitarian Aid 057: Conservation, Marine Preparedness 024: Environmental Remediation 043: Global Trade and Land Management 021: Energy Resource 025: Pollution Prevention 058: Recreational Resource Management and Control Management and Tourism 022: Energy Production 059: Agricultural Innovation and Services (105) Economic (101) Community and (118) Transportation (106) Education Development Social Services 011: Business Industry 001: Homeownership Promotion 060: Air Transportation 015: Elementary, Secondary, Development 002: Community and 061: Ground Transportation and Vocational Education 012: Intellectual Property Protection Regional Development 062: Water Transportation 016: Higher Education 013: Financial Sector Oversight 003: Social Services 063: Space Operations 017: Cultural and Historic 014: Industry Sector Income 004: Postal Services Preservation Stabilization 018: Cultural and Historic Exhibition (119) Workforce (110) Health (112) Income Security (115) Law Enforcement Management 064: Training and Employment 217: Access to Care 036: General Retirement 044: Criminal Apprehension 065: Labor Rights Management 246: Population Health Mgmt. and Disability 045: Criminal Investigation 066: Worker Safety and Consumer Safety 037: Unemployment Compensation and Surveillance 247: Health Care Administration 038: Housing Assistance 046: Citizen Protection 248: Health Care Delivery Services 039: Food and Nutrition Assistance 047: Crime Prevention 249: Health Care Research and 040: Survivor Compensation 048: Leadership Protection Practitioner Education 049: Property Protection 050: Substance Control (116) Litigation and (102) Correctional (109) General Science Judicial Activities Activities and Innovation ** Investments mapping to Lines of Business within the “Services for 051: Judicial Hearings 005: Criminal Incarceration 026: Scientific and Technological Citizens” business area should also 052: Legal Defense 006: Criminal Rehabilitation Research and Innovation require an additional mapping to the 053: Legal Investigation 027: Space Exploration “Mode of Delivery” business area. 054: Legal Prosecution and and Innovation Litigation 055: Resolution Facilitation

EPA (4) Management of Government Resources (403) Human Resource Management (401) Administrative Management 250: HR Strategy 119: Facilities, Fleet and 251: Staff Acquisition Equipment Management 252: Organization and Position 120: Help Desk Services Management 121: Security Management 253: Compensation Management 122: Travel 254: Benefits Management 123: Workplace Policy Development 255: Employee Performance and Management Management 256: Employee Relations 228: Labor Relations 257: Separation Management 258: Human Resources Development (405) Supply Chain Management (402) Financial Management 143: Goods Acquisition 124: Accounting 144: Inventory Control 125: Funds Control 145: Logistics Management 126: Payments 146: Services Acquisition 127: Collections and Receivables 128: Asset and Liability Management 129: Reporting and Information (404) Information and Technology 261: Cost Accounting / Management Performance Measurement 136: System Development 137: Lifecycle/Change Management 138: System Maintenance 139: IT Infrastructure Maintenance 140: Information Systems Security 141: Record Retention 142: Information Management

EPA Ofﬁce of Solid Waste and Emergency Response includes “Superfund” and “Brownﬁelds” programs

Cleanup FEA BRM Agency

Agency Program

How to use the BRM taxonomy for ECM: • The BRM is a comprehensive taxonomy of business functions, • common across all agencies, • with each agency making its own higher- granularity reﬁnements.

BRM for ECM at EPA Records Management: BRM as the top-level ﬁle plan Process Management: BRM as the top-level workﬂow structure

BRM in Records Management • Relevant subset of BRM is basis for file plan • Records retention schedules mapped to BRM-based file plan • Logical implementation within ECM solution, tied to DoD5015.2-certified lifecycle management

Agency-wide File Structure Agency File Code Title Function No. Item 0 Nonrecord Materials 008 Nonrecords 1 Services for Citizens 104 Disaster Management 104-008 Disaster Preparedness and Planning 104-008-01 EPA Emergency Prevention 056 Accidental Release Information Program (ARIP) a Electronic software programs b Input c Electronic data d Output and reports e Supporting documentation 092 Spill Prevention Control and Countermeasure (SPCC) Facility Plans a Record copy 104-008-02 EPA Emergency Preparedness 044 Risk Management Plan (RMP) Implementation Records a Record copy 047 System for Risk Management Plans (SRMP) a Electronic software program b Input c Electronic data (RMP*Maintain) Executive Summary d (RMP*Maintain) Data e (RMP*Maintain) Graphics f (RMP*Review) Audit and User-Defined Data g All other h Output and reports

050 Comprehensive Environmental Response, Compensation and Liability Information System (CERCLIS) ... a Electronic software program b Input c Electronic data d Output and reports e Supporting documentation 108-024-01 Site and Area Evaluation and Cleanup 010 Site Assessment a Record copy - No further remedial action planned sites (NFRAPs) b Record copy - sites placed on the NPL c Record copy - sites warranting a removal action d Record copy - sites not yet assigned to the NPL or NFRAP e Record copy - Brownfields sites 018 Sampling and Analytical Data Files - Superfund Site-Specific a Current files b Purge files c HQ and Sample Management Office (SMO) files d EMSL/LV lab performance evaluation files e Regional lab records which include in-house sampling 019 Administrative Records - Superfund Site-Specific a Record copy 064 CLP Analytical Results Data Base (CARD) a Electronic software programs b Input c Electronic data d Output and reports e Supporting documentation 065 Sample Tracking and Invoice Payment System (TIP) a Electronic software programs b Input c Electronic data

BRM in Business Process Reengineering • Full business process documentation, building down from BRM to workﬂow level • Explicit agreement with agency Enterprise Architecture, IT funding and systems stewardship • Systematic agreement with BRM-based records solution, so records capture and indexing simpliﬁed

*Clean Up Contaminated Land ER Emergency Response and Removal RA Remedial Action as handled in SDMS: ... 013.ER.12 Interim Remedial Measures (IRM) Document … 013.ER.13 Engineering Evaluation / Cost Analyses (EE/CA) … 013.ER.14 Non-Time Critical Removal ... … 014.RA.06 Final Remedial Action Report … 014.RA.07 Final Inspection… 014.RA.08 - Final Close-Out Report … 014.RA.09 Trial Burn… Superfund Remedial & Removal Response ROD Amendments ESDs can occur throughout this time period Any site off the Docket already has a Preliminary * Denotes a process that is only Assessment (PA) completed for sites on the NPL * OSRTI HQ Staff EPA RPM / Docket Site FFRRO RPM EPA RPM / Prepare FFRRO RPM Partial NPL Explaination of Deletion Difference (ESD) * Perform or ROD Statutory 5 * Perform Policy Amendmants Tools: Year Review 5 Year Review, CERCLIS if necessary Tools: ROD 5 Year CERCLIS Tools: Amendmant Review SDMS 5 Year CERCLIS Does site Review SDMS meet partial EPA Regions/ NPL deletion requirements? States ESD Regional EPA Superfund Alternative Site - not as closely Citizen Staff / SAM monitored as NPL but still warrents monitoring Notification EPA RPM / EPA RPM / FFRRO RPM OSRTI HQ Staff EPA RPM / FFRRO RPM OSRTI HQ Staff OSRTI HQ Staff EPA RPM / Regional EPA OSRTI HQ Staff Regional EPA Regional EPA EPA RPM / EPA RPM / EPA RPM / OSRTI HQ Staff OSRTI HQ/ Archive and FFRRO RPM FFRRO RPM Staff Staff Staff FFRRO RPM FFRRO RPM FFRRO RPM Region Staff Mark Site as No Break out site *Submit PCOR Is an Is * Partially * Add site to Further Is Superfund work Place site on into smaller Process and conduct Accept and Develop Initiate Conduct to HQ Staff Perform O&M Does site Add site Site stays in Response SIgn ROD & ESD or ROD construction Delete from Construction Submit FCOR Delete from Finalize AR for still required NPL, if Create AR Operable Units Remedial Investigation/ respond to Remedial Remedial Remedial when all activities, if meet full NPL deletion information to Populate AR Amendmants complete at the NPL, if Complete List to HQ Staff NPL Deletion Region's Action Planned following cleanup? necessary (OUs), if Feasibility Study (RI/FS) public comment Design Action Action projects are necessary requirements? Archived Sites WasteLAN (NFRAP) needed? entire site? appropriate (CCL) necessary complete Intent to Tools: Tools: Tools: Delete Tools: Tools: Tools: Tools: Final Close CERCLIS Tools: WasteLAN Tools: Tools: Preliminary Tools: CERCLIS Notice in CERCLIS CERCLIS Record of 1) Perform scoping. CERCLIS CERCLIS CCL Out Report SDMS CERCLIS CERCLIS Remedial CERCLIS Close Out CERCLIS SDMS Federal SDMS Decision 2) Perform site characterization SDMS SDMS 1) Any necessary physical Archived Sites SDMS Action Report SDMS Report SDMS (FCOR) Register (ROD) 3) Develop screening alternatives construction is complete, whether or Site Assessment (PCOR) not final cleanup levels or other (FR) Deletion 4) Perform treatability investigations Remedial Manager (SAM) EPA RPM / requirements have been achieved Notice in FR 5) Provide detailed analysis of alternatives Final ROD Design [Regional EPA Staff] FFRRO RPM 6) Draft ROD 2) EPA has determined that the Tools: response action should be limited to Does site Perform Site Is Is Closeout Perform Pre- Are Non-NPL CERCLIS measures that do not involve meet screening Assessment short-term cleanup long-term cleanup Report CERCLA Cleanup Programs SDMS construction Screening criteria? (PA/SI) needed? needed? Available? 3) Qualifies for Deletion from the NPL. Tools: 1) Does release quantity concentration CERCLIS warrant federal response? SDMS 2) Is release from a vessel or facility as defined in 300.5? Notice of 3) Are hazardous substances, pollutants, Preliminary Action or contaminants present? Assessment Releases 4) Is release eligible for CERCLA sec 104 response pursuant to 300.400 (b)? (Critical) 5) No other federal or state response mechanisms are available to respond to Inspection the release? Lead Agency Federal/Local/State Report 6) Has there been a site assessment (HQ, Region, or Lead Agency OSC Lead Agency Agencies & Tribal _____________________? State) Lead Agency OSC OSC Lead Agency OSC Lead Agency Lead Agency * (Non-Critical) Conduct Place EE/CA in Prepare Mark Site as No Begin Is a Draft Action Close out Begin Superfund Engineering Administrative Pollution Can Conduct post- Is Further Administrative Assign planning period Memo or Implement Is project Finalize AR for contracts/ Agency Removal Evaluation/ Record (AR) Reports Removal Action removal site Remedial Action Response Record (AR) Removal OSC of 6 months Pollution Report Removal Action complete? site management Referral Response Cost Analysis and solicit (POLREPS) if be improved? control activities required? Action Planned File available? and place in AR requirements (EE/CA) public comment necessary (NFRAP) Tools: Tools: RP is assigned OSC Tools: CERCLIS Tools: Tools: Tools: Tools: Tools: CERCLIS EE/CA Tools: responsibilities if SDMS POLREPS SDMS CERCLIS OSC Report CERCLIS CERCLIS CERCLIS Approval CERCLIS RACMIS identified and agree to Action Memo SDMS fund Memo SDMS EE/CA 1) Prepare approval memo 2) Develop sampling or analysis plans 3) Ensure environmental samples are collected Actor(s) Process Decision Trigger Diagram Key * Site can be withdrawn at any process step * Site can be broken out into Operable Units (OUs) throughout the process Document or * Sampling & Analysis can occur at any process step Report * Conduct Community Involvement as handled in CERCLIS: ... AY - REMOVAL AERIAL SURVEY ... EE - ENGINEERING EVAL/COST ANALYSIS ... BK - Fact Sheet ... … OQ - Cleanup Goals Achieved … CQ - CLOSE OUT REPORT … FE - FIVE YEAR REVIEW … Removal Remedial Pipeline (RP2M) *Perform Removals

Issues with using the BRM 1. Lack of granularity 2. Little guidance on semantic metadata 3. May not match existing agency taxonomies 4. May not match agency Public Affairs terminology

ECM and the FEA BRM Business Reference Model DRM Data Reference Model

The DRM is... • a common framework to describe, categorize and share data. • This should simplify collaboration between agencies, and • enable cross-agency systems.

The DRM has 3 Parts Data Description Provides a means to uniformly describe data, thereby supporting its discovery and sharing. Data Context Facilitates discovery of data through an approach to the categorization of data according to taxonomies, including the BRM. Data Sharing Supports the access and exchange of data where access consists of ad hoc requests (such as a query of a data asset), and exchange consists of ﬁxed, re- occurring transactions between parties. Enabled by capabilities provided by both the Data Context and Data Description standardization areas

FEA Data Data Sharing Legend: Reference Entity optional relationship mandatory relationship Model (v2.0) Supplier referrs-to Abstract Model Concept that produces is part of another Concept standardization area Exchange Payload refers-to Package Definition disseminated-to queries returns-result-set-specified-in Consumer Query Point accesses Data Asset Data Description Data Context Data Schema Entity contains Attribute Data Source participates-in relates Is-constrained-by provides-management-context-for is-a-type-of describes-structured Relationship contains Data Type Data manages Data Asset Structured Steward Data Resource Digital Data categorizes Resource Data Asset Document is-represented-as categorizes defines Taxonomy contains Topic categorizes Query Point contains contains contains categorizes Semi- Structured Unstructured is-a-type-of participates-in relates Structured Exchange Data Data Data Package Resource Resource Resource Other FEA Reference Relationship is-a-type-of is-a-type-of is-a-type-of Model describes-semi/unstructured Digital Data Resource

A simple example: Data Description • valid vCard address • valid XHTML <address class=quot;vcardquot;> <a class=quot;fn urlquot; href=quot;http://thedredge.orgquot;>Andy Hume</a> andyhume@thedredge.org The Dredge Web Developer 1980-01-20 34 Arnison Road London KT8 9JP 07957 208843 </address>

A simple example: Data Context • BRM categorization • valid XML <drm:Taxonomies> <drm:Taxonomy rdf:id=quot;#BRM_EPA_Refinementsquot;> <drm:Nodes> <drm:Node rdf:id=quot;#104-010-01quot; drm:nodeType=quot;collectionquot;> <drm:NodeName>Natural Disaster Response</drm:NodeName> </drm:Node> </drm:Nodes> </drm:Taxonomy> </drm:Taxonomies/>

How to use the DRM model for Description: ECM: Create and adopt microformats Register and harmonize internal schemas Context: Adopt the BRM taxonomy Register and harmonize internal taxonomies Sharing: Carefully select both: partners interested in data exchange and data interesting to outsiders (esp. the public)

Nodes of Standardization Excerpted from the DRM Structured Data Resource contains is-a-type-of Semi- Digital Data Structured Taxonomy contains Topic categorizes is-a-type-of contains Document Resource Data Resource contains is-a-type-of participates-in relates Unstructured Data Resource Relationship SDMS Metadata Analysis Items in bold are presently under analysis Structured Data Semi-Structured Data Unstructured Data Taxonomy Topic Relationship Digital Data Resource Document Resource Resource Resource keywords indexed metadata: full text Business from full text: owns Reference Model Business (business process) Reference Model (business process) whole-part Organizations Organizations Author Employees process-product Title Document Types Document Type synonym Date Facilities Facilities Superfund Site ID Templates pre- related populated with (may be sub-typed) File Plan relevant metadata (business process) File Plan Category parent-child Records Retention Schedules Records Retention Schedule CERCLIS Activity Codes CERCLIS Activity (business process) Code Substances Substances

Semi- Digital Data Structured Taxonomy contains Topic categorizes is-a-type-of conta Resource Data Resource is-a-type-of participates-in relates Unstruc Da Resou Relationship SDMS Metadata Analysis Items in bold are presently under analysis Structured Data Semi-Structured Data Unstructu Taxonomy Topic Relationship Digital Data Resource Resource Resource Resou keywords indexed metadata: full t Business from full text: owns Reference Model Business (business process) Reference Model (business process) whole-part Organizations Organizations Author Employees process-product Title Document Types Document Type synonym Date Facilities Facilities Superfund Site ID

Issues with the DRM 1. Flexibility may lead to lack of standardization 2. Vendor dependencies 3. Unresolved differences between human search and machine discovery

Conclusions • FEA provides a useful framework for some ECM activities • BRM, in particular, is a useful taxonomy for classifying records and for organizing workﬂow • DRM machine-to-machine applications will outstrip human search interfaces, but the model is still quite useful for the long-term

Questions? James Melzer james_melzer@sra.com http://www.jamesmelzer.com

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Enterprise Content Management and the Federal Enterprise Architecture

by James Melzer on Feb 13, 2008

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Enterprise Content Management and the Federal Enterprise Architecture — Presentation Transcript