E-GOVERNMENT ACT 

IMPLEMENTATION

OFFICE OF MANAGEMENT AND BUDGET

MARCH 1, 2014

FY 2013 ANNUAL REPORT TO CONGRESS: 


Identical Letter Sent to:

The Honorable Darrell E. Issa

The Honorable Elijah Cummings 

The Honorable Thomas R. Carper

The Honorable Thomas Coburn 

Page 2 of 150
INTRODUCTION

Since the passage of the E-Government Act of 2002 (P.L. 107-347) (E-Gov Act),

1 Federal agencies 

have made significant progress in using the Internet and other technologies to enhance citizen access to 

government information and services, and improve Government transparency and decision making. The 

E-Gov Act requires Federal agencies and the Office of Management and Budget (OMB) to report 

annually on their progress implementing the various provisions of the E-Gov Act, as described in more 

detail below.

OMB developed this report in accordance with 44 U.S.C. § 3606, which requires OMB to provide a 

summary of the information reported by Federal agencies and a description of compliance by the Federal 

Government with the provisions of the E-Gov Act. Additionally, consistent with previous E-Gov Act 

Reports, this report includes information required under Section 2(g) of the Federal Funding 

Transparency and Accountability Act of 2006 (P.L. 109-282). Under this Act, OMB was required to 

oversee and report to Congress on the development of a website through which the public can readily 

access information about grants and contracts provided by the entire Federal Government.

2

 The E-Gov 

Act, under Section 3543(a)(8), also requires OMB to report on certain information security activities. 

This information can be found in the annual report to Congress on agency compliance with the Federal 

Information Security Management Act of 2002. Previous reports to Congress are available online at: 

www.WhiteHouse.gov/omb/e-gov/docs. 

The E-Gov Act includes a number of requirements for OMB and Federal agencies to ensure effective 

implementation of the Act. For example, the Act requires OMB to report on the management of the EGov Fund, development and oversight of various websites, and the development of IT workforce, disaster 

management, and geospatial policies. This report provides a summary of OMB and agency compliance 

with these requirements. This report is structured in numerical order according to the required sections of 

the E-Gov Act. For a description of reporting requirements and the corresponding report sections, please 

see Appendix P. This report is organized as follows: 

• Section I – E-Government Fund

In accordance with Section 101 of the E-Gov Act (44 U.S.C. §3604), this section

provides a description of projects receiving E-Gov funds in FY 2013, including funding

allocations and results achieved.

• Section II – Government-wide IT Workforce and Training Policies

In accordance with Section 209 of the E-Gov Act, this section provides a summary of

activities related to IT workforce policies, evaluation, training, and competency

assessments.

• Section III – Disaster Preparedness

In accordance with Section 214 of the E-Gov Act, this section provides a summary of

how IT is used to further the goal of maximizing the utility of IT in disaster management.

• Section IV – Geospatial

In accordance with Section 216 of the E-Gov Act, this section provides a summary of

activities on geographic information systems and initiatives, and an overview of the

Geospatial Platform.

• Appendices – Compliance with Other Goals and Provisions of the E-Gov Act

Page 3 of 150
These appendices provide a description of compliance by the Federal government with 

other goals and provisions of the E-Gov Act:

• Appendix A - Capital Planning and Investment Control Procedures for IT: In accordance with 

Section 101 (44 U.S.C. § 3602(e)), this appendix describes agency activities pertaining to capital 

planning and investment control procedures for IT.

• Appendix B - Enhanced Delivery of Information and Services to the Public: In accordance with 

Section 101 3602(f)(9), this appendix describes agency activities that enhance delivery of 

information and services to the public.

• Appendix C - Performance Integration: In accordance with Section 202(b) of the E-Gov Act, this 

appendix describes what performance metrics are used and tracked for IT investments, and how 

these metrics support agency strategic goals and statutory mandates.

• Appendix D - Accessibility: In accordance with Section 202(d) of the E-Gov Act, this appendix

provides URL’s agency websites describing actions taken by agencies in accordance with section 

508 of the Rehabilitation Act of 1973, as amended by the Workforce Investment Act of 1998 (P.L. 

105-220).3

• Appendix E - Government-Public Collaboration: In accordance with Section 202(e) of the E-Gov 

Act, this appendix describes how agencies utilize technology to initiate government-public 

collaboration in the development and implementation of policies and programs.

• Appendix F - Credentialing: In accordance with Section 203 of the E-Gov Act, this appendix

describes current activities agencies are undertaking to achieve interoperable implementation of 

electronic credential authentication for transactions within the Federal government and/or with the 

public.

• Appendix G - Internet-Based Government Services: In accordance with Section 204 of the E-Gov 

Act, www.USA.gov serves as an integrated internet-based system for providing the public with 

access to government information and services. In accordance with Section 207(f)(3), this 

appendix provides URL’s for agency activities on www.USA.gov.

• Appendix H - E-Rulemaking: In accordance with Section 206 of the E-Gov Act, this appendix

describes agencies’ online electronic regulatory submission capabilities, specifically the usage of 

www.Regulations.gov and the Federal Docket Management System.

• Appendix I - National Archives Records Administration Recordkeeping: In accordance with 

Section 207(d) and (e) of the E-Gov Act, this appendix describes agencies’ adherence to the 

National Archives and Records Administration recordkeeping policies and procedures for 

electronic information online and other electronic records. 

• Appendix J - Freedom of Information Act: In accordance with Section 207(f)(1)(A)(ii) of the EGov Act, this appendix provides the URL’s for agencies’ primary Freedom of Information Act

website.

• Appendix K - Information Resources Management Strategic Plan: In accordance with Section 

207(f)(1)(A)(iv) of the E-Gov Act, this appendix provides the URL’s for agencies’ Information 

Resources Management strategic plans.

Page 4 of 150
• Appendix L - Public Access to Electronic Information: In accordance with Section 207(f)(1)(B) of 

the E-Gov Act, this appendix provides URL’s that contain agency customer service goals and 

describe activities that assist public users in providing improved access to agency websites and 

information, aid in the speed of retrieval and relevance of search results, and use of innovative 

technologies to improve customer service at lower costs. 

• Appendix M - Research and Development: In accordance with Section 207(g) of the E-Gov Act, 

this appendix provides URL’s for publically accessible information related to R&D activities 

and/or the results of Federal research. 

• Appendix N - Privacy Policy and Privacy Impact Assessments: In accordance with Section 208(b)

of the E-Gov Act, this appendix provides information regarding each agency's privacy impact 

assessment and provides URL's for agency privacy policies and privacy impact assessments. 

• Appendix O - Agency Information Technology Training Programs: In accordance with Section 

209(b) of the E-Gov Act, the appendix describes agency training programs for the IT workforce.

• Appendix P - Description of E-Gov Act Reporting Requirements and Corresponding Report 

Sections. 

Page 5 of 150
SECTION I: E-GOVERNMENT FUND 

The E-Gov Act, under 44 U.S.C. § 3604, established an E-Government Fund (E-Gov Fund) to 

provide financial support to the innovative use of technology in the Federal government. According to 

Section 3604(a)(3), projects supported by the E-Gov Fund may include efforts to: 

• Make Federal government information and services more readily available to members of the 

public;

• Make it easier for the public to apply for benefits, receive services, pursue business opportunities, 

submit information, and otherwise conduct transactions with the Federal government; and, 

• Enable Federal agencies to take advantage of information technology (IT) in sharing information 

and conducting transactions with each other and with state and local governments.

In accordance with Section 3604(e), the General Services Administration (GSA) is required to

provide Congress with notification and a description of how E-Gov funds are to be allocated and how the 

expenditure will further the purposes of this chapter. The following table provides a summary of Fiscal 

Year (FY) 2013 funding allocations included in GSA’s notification to Congress:

*Amounts reflect the FY 2013 enacted appropriations for the E-Gov Fund per Consolidated and Further Continuing 

Appropriations Act, 2013 (P.L. 113-06), including sequestration.

E-Gov project are used to improve government operations through the strategic use of IT to increase 

citizen participation in government and improve the transparency of Federal operations. In accordance 

with Section 3604(f), the following section provides a brief description of projects receiving E-Gov funds, 

and the results achieved in FY 2013.

Accessible and Transparent Government

Description

This investment area supports the on-going effort to make government data open and easily 

accessible to citizens and businesses. This includes improving public access to high value, machine 

readable datasets generated by Federal agencies on www.Data.gov, which provides citizens with access to 

approximately 184,000 collections of information, including 400,000 datasets from 144 agencies and subInvestment Area FY 2013 Allocation*

Promote Transparency and Accountability – Accessible and Transparent 

Government $2.25 million

Accelerate Cross-Government Innovation - Cloud Computing and Security $3.75 million

Accelerate Cross-Government Innovation – Innovations in Technology $1.80 million

Promote Transparency and Accountability – Federal Funding Accountability 

and Transparency Act (FFATA) Implementation $2.20 million

Promote Transparency and Accountability – Performance Dashboards $1.75 million

TOTAL $11.75 million

Page 6 of 150
agencies. Over 236 citizen-developed applications have been built by the public using the data provided

on this website. It is the centerpiece of the global open democracy movement and has been emulated by 

over 39 US states, 40 US cities and counties, and 43 countries, seeking to increase transparency and 

accountability, while fostering innovation. The software powering www.Data.gov is open-source,

allowing governments around the world to implement their programs faster and with less cost. It also 

provides descriptions of the Federal datasets, information on how to access the datasets, contact 

mechanisms, metadata information, and links to publicly accessible applications that leverage the 

datasets. End users are provided with opportunities to provide information feedback and ratings.

Results

• In FY 2013, www.Data.gov launched a comprehensive catalog of federal government datasets on 

an open source platform. The unified data catalog is based on an open source standard, making it 

easier to federate with other Federal agency catalogs, as well as those of states, cities, and counties.

• Seven new www.Data.gov Communities were launched in FY 2013. 

• A web-based Application Programming Interface (API) catalog was built in FY 2013, which

centrally aggregates web APIs posted on agencies’ developer pages. A pilot API Key Management 

Program for Federal agencies was also established, providing a common API key for participating 

agencies on the use of Federal agency APIs. 

• Collaboration with open data Presidential Innovation Fellows will continue in order to build the 

next generation of www.Data.gov, including enhancements to improve data discovery and use.

Cloud Computing and Security

Description

Cloud computing offers an opportunity to significantly improve the efficiency of the Federal 

government’s IT infrastructure by reducing wasteful spending. By deploying cloud computing solutions, 

agencies can avoid costly IT infrastructure projects by reducing the amount spent on hardware and 

fluctuating program demands. To operationalize the benefits of cloud computing, the Federal government 

began the Federal Risk and Authorization Management Program (FedRAMP) in 2011. FedRAMP is a 

government-wide program that provides a standardized approach to security assessment, authorization, 

and continuous diagnostics for cloud products and services. This approach uses a “do once, use many 

times” framework that will reduce cost, time, and personnel restraints by avoiding redundancy.

Results

• FedRAMP implemented repeatable processes and standards for assessment, authorization and 

continuous diagnostics to support the transition of FedRAMP from initial operational capabilities,

to full operations; 

• FedRAMP issued eight Joint Authorization Board Provisional Authorizations and three Agency 

Authorizations to cloud service providers, for a total eleven FedRAMP compliant cloud service 

offerings available for use by agencies;

• Developed a comprehensive concept of operations, conformity assessment process, and 

continuous diagnostics framework for Federal agencies to leverage;

• As part of the FedRAMP process, cloud service providers must use a FedRAMP approved Third 

Page 7 of 150
Party Assessors (3PAO) to independently validate and verify that they meet the FedRAMP 

requirements. Twenty-four 3PAOs were accredited to ensure a consistent assessment process. 

FedRAMP leverages a rolling application process to accredit 3PAOs. A current list of FedRAMP 

accredited 3PAOs is available at: www.fedramp.gov; and,

• FedRAMP approved the American Association for Laboratory Accreditation (A2LA) to accredit 

FedRAMP 3PAOs. Through the use of technical experts as assessors, the A2LA assessment 

process involves a rigorous evaluation of technical competence of the 3PAOs, as well as an 

assessment of their compliance to general requirements. More information about the 3PAO 

accreditation program is available on the FedRAMP 3PAO website.

Innovations in Technology

Description

This investment area supports various initiatives that enhance citizen engagement by simplifying and 

improving access to Government information through increased use of mobile and web technologies. For 

example, this investment area supported initial funding for www.BusinessUSA.gov, a platform launched in 

2012 that consolidates information and services from across the government into a single, integrated 

network for business owners and entrepreneurs. The www.BusinessUSA.gov website allows businesses to 

search through full range of Government information, programs, and services in a more streamlined 

manner. Other initiatives include efforts to implement the Digital Government Strategy, improve 

government mobile technologies, partner with the public to find innovative solutions to challenges facing 

the country, and improve citizen interaction with government through the MyUSA project.

Results

• Digital Government

• The Digital Government Strategy is aimed at building a 21st century government that works 

better for the American people. The goals of the strategy are to enable the public to access highquality digital government information on any device; ensure the government procures and 

manages devices, applications, and data in smart, secure, and affordable ways; and use government 

data to spur innovation and improve the quality of government services. In FY 2013, GSA 

established a Digital Services Innovation Center to enhance delivery of digital services across 

government and help agencies achieve the objectives of the Digital Government Strategy.

• GSA also updated government website domain guidance and procedures to help ensure all new 

digital services meet improvement guidelines and provide support to agencies.

• The Mobile Application Development Program was also launched, which included publishing

testing guidance, piloting federal-crowd sourced testing on multiple devices, creating the Mobile 

Code Sharing Catalog, publishing mobile user experience guidelines, and publishing common 

Request for Proposal and Statement of Work language for mobile procurements.

• GSA developed www.sites.usa.gov, a shared service to help agencies focus on creating great 

content rather than on building systems to deliver that content.

• The Digital Analytics Program (a program offering advanced web analytics to Federal agencies) 

was also implemented in 3,000 government and military websites. All 24 Chief Financial Officer 

Act agencies are participating, providing an extraordinary array of web analytics and insight into 

website performance across government.

Page 8 of 150
• MyUSA

• The MyUSA platform is one of five initiatives that are part of the White House Presidential 

Innovation Fellows Program. The project aims to improve how citizens are able to interact with 

the government, reduce redundancy and duplication of effort, and provide a simplified, and more 

unified experience for citizens. The MyUSA platform continued to be developed in FY 2013, 

enabling agencies to build custom apps and integrate with the MyUSA user account tool.

• An Unclaimed Money application was also developed. The application aggregates search results 

from multiple databases at the state and Federal level to present citizens with information about 

unclaimed money from the government. The application provides a single point of access to 

millions of dollars of unclaimed money, which is consistently a top search term and topic on 

www.USA.gov. The application is currently being tested for deployment on www.USA.gov;

• Developed of a form completion application continued. This tool will result in agency savings,

increased efficiency, and create a better experience for citizens. Additionally, integration of 

MyUSA with www.BusinessUSA.gov and www.Benefits.gov continued, which will allow these 

portals to create user accounts and provide better experiences for millions of users.

• Challenge.gov

• The www.Challenge.gov website was launched in 2010 as a partnership between the Federal 

government and the public to seek innovative solutions through technical, scientific, and creative 

competitions. The platform enables Federal agencies to launch challenges and contests to leverage 

expertise and knowledge from the public. More than 260 challenges have been run since the 

program's inception, and have yielded extremely cost effective, creative solutions. The website has 

been visited more than 3.5 million times by people from 220 countries and territories, including 

over 11,000 U.S. cities, reflecting broad interest and commitment to engage citizens and tap into 

the creativity of experts outside government.

• In FY 2013, the website received over 900,000 visits and hosted 80 challenges. Ten new agencies 

were also added to the Challenges “family,” which now includes 59 Federal agencies.

• Federal Cloud Credential Exchange (FCCX)

• FCCX simplifies the method by which individuals log onto Federal websites. Without FCCX, 

individuals log into a government website and get a digital credential from each separate Federal 

agency. FCCX allows the public to securely access online services from multiple agencies without 

the need for separate passwords, and other digital identification. A FCCX pilot program began in 

FY 2013, which includes the Departments of Agriculture and Veterans Affairs, GSA, and the 

United States Postal Service. 

• In FY 2013, GSA created the FCCX Program Management Office in order to oversee the 

program, and issue policy guidance during the FCCX pilot implementation. 

• FCCX working groups were also launched to address various work areas, including a technical 

working group, liability working group, and a business model working group. A FCCX Customer 

Advisory Group was also launched to serve as a voice for agencies.

Federal Funding Accountability and Transparency Act (FFATA) Implementation

Description

Page 9 of 150
In FY 2013, the FFATA initiative included www.USAspending.gov, a public-friendly website that 

provides easy access to information on government funds through contracts, sub-awards, grants, loans, 

and other mechanisms. The website was created in December 2007 to fulfill the requirements of the 

FFATA. Data on the website is provided by agencies to the website through the Federal Assistance 

Awards Data System and the Federal Procurement Data System which provides details regarding each 

Federal award. The dashboards presented on www.USAspending.gov provide agencies and the public 

access to details of various Federal contracts, grants, loans, and other types of spending online. The 

website also allows users to track progress over time. Additionally, the FFATA Sub-award Reporting 

System (FSRS) was added to the website in October 2010 to report data on first-tier sub-awards under 

grants and contracts subject to the FFATA reporting requirements. It also provides some visibility of

Federal funds that flow through state governments to cities and counties. The website has proven itself 

useful to government and the public and has been used by Congress and a variety of non-Federal 

stakeholders including state governments, non-profit organizations, and organizations interested in 

Federal spending trends and transparency. Stakeholders have acknowledged the unprecedented levels of 

transparency the site provides; however, they have also identified areas of improvement both in the view 

and functionality of www.USAspending.gov and FSRS. 

As reflected in the President's FY 2014 Budget and consistent with funds provided in the 

Consolidated Appropriations Act, 2014 (P.L. 113-76), management of www.USAspending.gov will 

transfer to The Department of Treasury in FY 2014. 

Results

• USASpending.gov

• The www.USAspending.gov website was enhanced in FY 2013 to display executive compensation 

for prime contracts and prime grants. An export feature was also added to show complete 

transaction details for both prime and sub-award data. Users are now able to export the data via 

CSV, TSV, XML, and ATom. 

• FFATA Sub-awards Reporting System (FSRS)

• FSRS developed, tested and implemented a bulk upload module, an off-line capability for

uploading large volumes of records which reduces timing-out errors and improves user satisfaction.

• FSRS also isolated and quantified system limitations that prevented sub-award reporting in FSRS. 

Clear instructions were published to help users navigate actions in FSRS, bypass reporting errors 

and comply with FFATA reporting requirements.

• Significant outreach to key stakeholders was also performed to help users work through issues, 

and give users a voice where none previously existed.

Performance Dashboards

Description

A key component of performance management is transparency of the key activities and related 

metrics of operations within agencies. The www.Performance.gov website was created to publicly share 

this type of information in support of the Government Performance and Results Modernization Act of 

2010 (P.L. 111-352). The performance dashboards on the website enable the public, Congress, Federal 

employees, and others to monitor progress being made in cutting waste, streamlining government, and 

improving performance. Specifically, www.Performance.gov provides information on government-wide 

initiatives related to procurement, financial management, human resources, technology, performance 

improvement, open government, and sustainability. 

Page 10 of 150
Results

• Established the Performance Management Line of Business charter, which includes agency 

contributions to cover operations and maintenance costs.

• Enhanced user experience by improving data collection capabilities for all agencies.

• Developed a data management framework that will allow for more robust reporting and search 

capabilities.

Page 11 of 150
SECTION II: GOVERNMENT-WIDE IT WORKFORCE AND TRAINING 

POLICIES 

Section 209 of the E-Gov Act requires the Office of Personnel Management (OPM), in coordination 

with OMB and the Chief Information Officers (CIO) Council, to analyze the personnel needs of the 

Federal government related to IT and information resource management. The Act further states that 

OPM, in coordination with OMB and the CIO Council, must identify where current training does not 

satisfy current personnel needs, and then issue policies to promote development of performance standards 

for training. In accordance with Section 209 of the E-Gov Act, this section provides a summary of FY 

2013 activities related to IT workforce policies, evaluation, training, and competency assessments. 

Center for Strategic Workforce Planning

In FY 2013, OPM created the Center for Strategic Workforce Planning within the OPM Employee 

Services group. The Center, created as part of a readjustment to help provide more technical assistance to 

the HR community, is instrumental in coordinating the efforts of the Federal IT workforce to meet their 

missions, specifically with regards to cybersecurity. The cybersecurity work function will be the focal 

point for Strategic Workforce Planning through FY 2015, with a particular emphasis on closing skill gaps 

in the workforce. For example, the Center assisted with the development of OPM Memorandum, Special 

Cybersecurity Workforce Project, issued to Federal agencies in July 2013. The Memorandum launched a 

special FY 2014 project to rapidly build a new statistical dataset of Federal IT cybersecurity positions 

across the government. The dataset, which will reside in OPM’s Enterprise for Human Resources 

Integration data warehouse, will provide more insightful strategic workforce planning information about 

the Federal cyber workforce that is not currently available. For example, Federal positions performing 

cybersecurity work as a major duty will be labeled and inventoried into 31 specialty areas within several 

distinct work categories.

As part of this project, Chief Human Capital Officers, Chief Information Officers, and Chief 

Information Security Officers will partner with staff from their agencies to review and characterize the 

positions where cybersecurity work is performed as a major duty. The cybersecurity work function exists 

in over 39 occupational series, including the IT series 2210. The new characterization allows the skill 

sets for this type of work to be updated, and ensures alignment with the National Cybersecurity 

Workforce Framework issued by the National Initiative for Cybersecurity Education (NICE) in March 

2013. The framework issued by NICE re-defines cybersecurity work, and provides a common 

understanding of and lexicon for cybersecurity work. It also captures dynamic changes that have 

occurred due to advances in technology. By FY 2015, the databank will be available to inform Federal 

agency decision makers about strategic workforce planning concerns. Additionally, the Center revised a

government-wide Manager Satisfaction survey to capture FY 2014 data, using the new characterizations 

for cybersecurity work, so that cybersecurity hiring managers can opine more specifically on the quality 

of cybersecurity job applicants. These two new data sources will further inform future hiring decisions 

and practices. 

Page 12 of 150
SECTION III: DISASTER MANAGEMENT 

Section 214 of the E-Gov Act requires OMB, in consultation with the Department of Homeland 

Security (DHS) and the Federal Emergency Management Agency (FEMA), to report on activities that 

maximize the use of IT for disaster management activities. This section, developed in consultation with 

DHS and FEMA, provides a summary of these activities, including how IT enhances crisis preparedness 

and response.

 

Disaster Assistance Improvement Program

Each year, approximately 50 presidentially declared disasters destroy homes and business, and 

disrupt the lives of hundreds of thousands of citizens across the nation. The Disaster Assistance 

Improvement Program (DAIP) maintains a government-wide, single portal for disaster survivors to 

submit electronic applications for assistance following a presidentially declared disaster. The mission of 

the DAIP is to ease the burden on disaster survivors by simplifying the process of identifying and 

applying for disaster assistance.

The DAIP created www.DisasterAssistance.gov, a website that consolidates disaster assistance 

information and application interfaces from multiple Federal forms of assistance (FOAs) into one place. 

This website provides a single source for disaster-related information, information regarding assistance 

programs, easy access to applications for assistance. Seventeen Federal agencies currently contribute to 

the portal, which offers application information for approximately 71 FOAs, as well as resources to help 

individuals, families, and businesses recover from disasters. Users can also access

www.DisasterAssistance.gov to apply for Small Business Administration loans, and can receive referral 

information for FOAs that do not currently offer online applications. Additional benefits of 

www.DisasterAssistance.gov include:

• Reduces the number of forms users complete when applying for assistance;

• Shortens application time by providing assistance through an online questionnaire, which 

identifies opportunities to apply for assistance from multiple Federal agencies; 

• Allows users to upload supporting documents related to their application (versus mailing paper 

records), monitor the status of their application online, and receive status updates via SMS text 

messaging; 

• Ensures disaster survivors who may be displaced continue to receive benefits from non-disaster 

related assistance programs, while ensuring information is only shared with agencies selected by a 

user; and,

• Enhances data sharing among Federal agencies, which simplifies the application process for 

survivors.

In FY 2013, DAIP focused on providing disaster survivors access to needed assistance. In the days 

immediately after a disaster such as Hurricane Sandy, survivors are often displaced without access to their 

residence, traditional landline telephones and desktop computers. Providing access to critical recovery 

mechanisms via web-enabled mobile devices allows survivors to begin the recovery process 

sooner. DAIP greatly enhanced services around mobile optimized versions of 

www.DisasterAssistance.gov in time to address major disaster declarations in Fiscal Year 2013. Prior to 

Hurricane Isaac in FY 2012 and Hurricane Sandy in early FY 2013, only 4% of applicant inquiries came 

Page 13 of 150
from mobile devices. Following those hurricanes, the percentage increased to 25%. In FY 2013, 32% of 

applicant inquiries came from mobile devices. DAIP estimates the trend will continue, and has made 

mobile improvements a priority for the program moving forward. The program has optimized the website 

for mobile viewing through the universal page rendering site optimization project, and added SMS text 

messaging capabilities for application status changes. These changes have increased the distribution of 

disaster assistance information, and provided rapid access to applications and FOA’s through 

www.DisasterAssistance.gov.

SAFECOM

SAFECOM is an emergency communications program within DHS, established in 2001 in response 

to the lack of emergency response interoperability. Although several government programs had made 

strides in addressing the issues pertaining to emergency response interoperability, much of the work was 

disconnected, fragmented, and often conflicting. SAFECOM facilitates the input of local and state 

emergency response practitioners, and has taken a stakeholder-driven approach to achieving its mission of 

advancing interoperable communications across all levels of government.

With over 60,000 distinct emergency response agencies across the country, SAFECOM provides a 

representative, formalized, and regular process to obtain input and feedback on its activities. SAFECOM 

created the Emergency Response Council (ERC) and Executive Committee (EC) to ensure emergency 

communications stakeholders have a voice in the development of nationwide planning efforts. The 

SAFECOM EC and ERC work with existing Federal communications programs and key emergency 

response stakeholders to address the need to develop better technologies and processes for the multijurisdictional and cross-disciplinary coordination of existing communications systems and future 

networks. The SAFECOM website provides members of the emergency response community and other 

constituents with information and resources to help them plan for effective interoperable emergency 

communications for disaster preparedness, response, and recovery. It offers comprehensive information 

on topics relevant to emergency response communications, and features best practices that have evolved 

from real-world situations.

In FY 2013, SAFECOM updated the annual SAFECOM grant guidance document to provide the 

most current information on emergency communications policies, eligible costs, technical standards and 

best practices for state, local, territorial, and tribal grantees seeking Federal funds for interoperable 

emergency communications projects. SAFECOM also updated the Public Safety Communications 

Evolution Brochure to help educate the public safety community and elected and appointed officials about 

the future of emergency communications. In addition, SAFECOM provided guidance and support to 

DHS's SAFECOM Office of Emergency Communications as it updated the National Emergency 

Communications Plan, and provided guidance and support to the Office of Emergency Communications 

in its delivery of state-wide and technical assistance to state, local, and tribal governments and first 

responder organizations.

Page 14 of 150
SECTION IV: GEOSPATIAL 

In accordance with Section 216 of the E-Gov Act, this section provides a summary of activities on 

common protocols for the development, acquisition, maintenance, distribution, and application of 

geographic information. This includes common protocols that maximize the degree to which unclassified 

geographic information can be made electronically compatible and accessible; promote the development 

of interoperable information systems technologies that allow widespread, low-cost use, and sharing of 

geographic data by Federal agencies, state, local, and tribal governments, and the public. 

Geospatial Platform

The activities of the Geospatial Platform focus on the implementation of www.Geoplatform.gov as a 

mechanism for developing and delivering geospatial shared services across government. These activities

support geospatial activities across Federal, state, local and tribal agencies, and help to improve the 

efficiency of government by making trusted geospatial data, services and applications more accessible, 

reliable, and less expensive to acquire.. These activities also generate cost-savings through the use of 

shared infrastructure and enterprise solutions.

The volume of geospatial information made available to agencies and the general public has 

increased through the expanded use of the Geospatial Platform. In FY 2013, Version 2.0 of 

www.Geoplatform.gov was released, which allowed the advancement of a collaborative effort to support 

geospatial activities. The Geospatial Platform was also integrated with www.Data.gov, a resource which 

increases public access to high value, machine readable datasets generated by the Executive Branch of the 

Federal Government. Major features of Version 2.0 include:

• National Spatial Data Infrastructure (NSDI) Strategic Plan

The Department of the Interior (DOI) and its partners from the Federal Geographic Data Committee 

(FGDC) led an effort to develop a new strategic plan for the National Spatial Data Infrastructure (NSDI). 

Developed through extensive outreach and collaboration with Federal agencies, external partners, and the 

National Geospatial Advisory Committee, the plan describes a shared national vision for the NSDI, and 

outlines the actions the Federal government will take to contribute to this vision.

A new NSDI plan is important and timely because the FGDC has engaged in a series of strategic 

initiatives over the past several years, including the Geospatial Line of Business (Geo LoB) and 

Geospatial Platform, but the current NSDI strategic plan has not been revised for a number of years. 

Secondly, geospatial technologies, industries, and applications have evolved over the past several years, 

and our strategies need to be modernized to align with and leverage these changes. In addition, a recent 

report by the Government Accountability Office (GAO) on geospatial information reaffirmed the 

importance of improving coordination and reducing potential duplication and recommended the 

development of an updated NSDI strategy.4

• Geospatial Data and Technology Standards

In FY 2013, the FGDC formally endorsed five geospatial technology standards to be used by all federal 

agencies that leverage geospatial information. Throughout FY 2013, the FGDC continued its strong 

support of external standards activities, consistent with the directives of OMB Circular A-119 on Federal 

Participation in the Development and Use of Voluntary Consensus Standards and in Conformity 

Page 15 of 150
Assessment Activities.

5

 The FGDC and member agencies continued to participate in the International 

Committee on Information Technology Standards Technical Committee L1 (INCITS L1) Geographic 

Information Systems, the means by which segments of the geospatial community participate in American 

National Standards Institute and International Organization for Standardization (ISO) geospatial 

standardization activities. INCITS L1 serves as the U.S. Technical Advisory Group to ISO Technical 

Committee 211, Geographic Information and Geomatics.

The FGDC also continues to be an active participant in the Open Geospatial Consortium (OGC), an 

international industry consortium of over 460 companies, government agencies and universities 

participating in a consensus process to develop publicly available interface standards. FGDC Community 

members participate in the OGC working groups and interoperability programs, bringing the community 

needs into the OGC process.

• Geospatial Platform Marketplace

The Geospatial Platform has also focused on the advancement of “Communities,” and the integration of 

the new Geospatial Platform Marketplace. The Geospatial Platform Marketplace is a new feature which 

allows agencies to post information regarding their planned geospatial data acquisitions for their partners 

to be able to view in an effort to facilitate collaboration and shared acquisition for data that are of interest 

among multiple agencies. “Communities” are sections of the website designed specifically for 

collaboration within communities of interest where users can highlight and share their maps, data and 

tools. Additionally, the Geo LoB has been instrumental in advancing the development of the new 

Strategic Plan for the National Spatial Data Infrastructure, a major initiative that will bring DOI and all 

Geo LoB partner agencies considerable benefits for years to come.

Page 16 of 150
APPENDICES: COMPLIANCE WITH OTHER GOALS AND 

PROVISIONS OF THE E-GOV ACT 

These appendices provide a description of compliance by the Federal government with other goals 

and provisions of the E-Gov Act. These appendices are listed in order according to the corresponding 

sections of the E-Gov Act. The information within the appendices is organized alphabetically by 

department, then agency.

APPENDIX A: CAPITAL PLANNING AND INVESTMENT CONTROL PROCEDURES (CPIC) 

FOR IT

The E-Gov Act, under 44 U.S.C. § 3602(e), requires OMB to oversee implementation of the E-Gov 

Act in a number of areas, including capital planning and investment control for IT. This appendix

describes agency activities that pertaining to capital planning and investment control procedures for IT.

Department of Agriculture

USDA published the department-wide CPIC Guide and has started to implement the USDA 

Integrated IT Governance Framework (IITGF) to provide a framework for project management and IT 

governance that incorporates best government and commercial practices through a consistent and 

repeatable process. The IT governance process provides a standard structure for planning, managing and 

overseeing IT investments over their entire life cycle, reducing overall project risk. The governance 

process also provides an effective vehicle for adopting and propagating best practices in IT 

management. By managing and governing projects from an enterprise perspective, USDA will be better 

positioned to take advantage of economies of scale, IT commodity consolidation, and shared 

services. Furthermore, this enterprise perspective enables improved compliance with the Clinger-Cohen 

Act and other legislative and regulatory requirements that require USDA to manage and govern its IT 

projects at an enterprise level.

In addition to focusing on the planning, development, and operation and maintenance of individual 

IT projects, USDA also works to ensure the overall portfolio of IT projects achieves alignment with 

USDA strategic goals, and maximizes the return on investment. For example, in FY 2013 the USDA 

Enterprise Data Center (EDC) saw a 22% rate decrease for its private government cloud Infrastructure as 

a Service and Platform as a Service. The rate decrease achieved $19.40 million in cost-savings in FY 

2013 compared to FY 2012 rates and volumes, and is primarily due to data center consolidation within 

USDA. Additionally, USDA is projected to achieve $1.0 million in cost-savings by consolidating 

helpdesk support under a central contract that is structured on a cost-per-call basis, and designed to 

decrease the cost of each incident ticket as the volume of tickets increases.

Department of Commerce

DOC’s IT CPIC process integrates monthly reviews of major IT investments, with monthly 

Commerce Information Technology Review Board (CITRB), TechStat sessions (as needed), site visits,

and follow-up interviews (when appropriate) to illuminate and resolve project oversight concerns. This 

integrated process provides a mechanism for identifying issues, monitoring subsequent progress and, with 

the support of the senior managers who serve on these boards, aids the CIO in facilitating and promoting 

cost effective enterprise solutions.

The effectiveness of this process is aided by the presence of non-IT senior management including the 

Page 17 of 150
Chief Financial Officer, Budget Director and Chief Acquisition Officer as members of the CITRB and 

TechStat boards. For example, the National Weather Service (NWS) had several programs which had 

components involved in disseminating weather information. At the suggestion of the DOC CPIC team, in 

April 2012, the CIO invited the NWS and the National Environmental Satellite Data and Information 

Service (NESDIS) to provide a strategic portfolio review of their systems. During the review, the NWS 

and NESDIS presented capability-centric views of shared services that cut across the currently siloed IT 

investments. During the meeting and in follow-up action items, the Board endorsed a more holistic 

enterprise view, and encouraged the development of more detailed project plans and clearer project 

management authority to implement this vision.

Additionally, at a CITRB of the NexGen Air Transportation investment, held in August 2012, the 

National Oceanic and Atmospheric Association (NOAA) presented plans for an Integrated Dissemination 

Program that would support dissemination services for a variety of programs. This included providing 

services for Next Generation Air Transportation, the NWS Telecommunication Gateway (NWSTG), and 

the Centralized Distribution Service component of the Ground Readiness Program. NOAA envisioned an 

Integrated Dissemination Program (IDP) that will manage these projects holistically to deliver enterprise 

dissemination services in a cost effective manner. However, in the monthly dashboard review process the 

DOC expressed concern regarding the inadequacy of project management resources for this effort, as well 

as lack of evidence of tangible progress toward the ambitious goals.

In early FY 2013, NOAA replaced the interim project manager of IDP with someone with extensive 

technical and managerial expertise and gave him a greater programmatic authority. During 2013, the 

Commerce CPIC team periodically conferenced with NOAA to assess progress in developing detailed 

project plans and acquisition strategies. In the summer of 2013, NOAA moved forward with formal plans 

to consolidate the dissemination aspects of NWSTG, Ground Readiness and NextGen Air Transportation.

Using the IDP, NOAA is moving to a shared services model for disseminating environmental data (e.g., 

weather, hydrologic, climate products) to internal and external users, in a more effective and efficient 

manner. 

Department of Defense

The Capital Planning and Control processes employed by DOD are designed to optimize information 

IT investments by maximizing value, assessing and managing risks, and fulfilling DOD responsibilities. 

IT investment choices, priorities, and resources are managed through the direction and oversight 

conducted by the CIO. The CIO’s oversight includes programs and capabilities the CIO is directly in 

charge of, as well as those capabilities led by partners and stakeholders. In each case, it is critical to 

ensure that solutions across the DOD can operate together, share information, and improve overall 

capabilities without causing unexpected problems or interference. Consequently, the CIO is designated to 

ensure that programs are accountable and comply with the established rules, policies, and standards of 

DOD.

Optimizing IT investment and ensuring accountability and compliance with policy and guidance is 

made challenging by the distributive nature of program decisions spread across three major DOD 

processes. The first is the Joint Capabilities Integration Development System (JCIDS), which supports 

the Chairman of the Joint Chiefs of Staff and the Joint Requirements Oversight Council (JROC) in 

identifying and assessing joint military capability needs. Second, the Planning, Programming, Budgeting 

and Execution (PPBE) system seeks to provide operational commanders the best mix of forces, 

equipment, and support attainable within fiscal constraints. Third, the Defense Acquisition System 

(DAS) manages the nation's investments in technologies, programs, and product support.

Page 18 of 150
The DOD CIO engages in the JCIDS, PPBE, and DAS processes, and establishes DOD IT 

policies. The DOD CIO portfolio management policy assigns responsibilities for the management of 

DOD IT investments as portfolios to ensure IT investments support DOD’s vision, mission, and goals, 

ensure efficient and effective delivery of capabilities to the warfighter, and maximize return on 

investment. For example, the Army began migrating 1.40 million mailboxes from Army-owned legacy 

email systems to the Defense Information Systems Agency Enterprise Email service in February 

2011. The Army attained significant results through this migration, including:

• A single user identity for the entire career of a DOD member;

• Enforced two-factor, Public Key Infrastructure-based logon using common authentication 

credentials (reducing vulnerability inherent in using passwords);

• Reduced attack vulnerability by retiring over 500 mail servers and associated infrastructure, and 

eliminating enclave variations;

• Cost-savings of $75.0 million per year and true cost transparency;

• Standardized technology and business processes across the enterprise;

• Consolidated incident reporting and coordinated problem resolution; and,

• Established configuration management.

These results contribute to a more effective and secure capability, greater stewardship of resources, 

and global accessibility. Supported by the Army’s success with enterprise email, in September 2013, the 

DOD CIO designated the DOD Enterprise Email as an Enterprise Service for the Joint Information 

Environment. As a result of that designation, all DOD Components must develop an enterprise email 

implementation plan to initiate implementation to enterprise email no later than the first quarter of Fiscal 

Year 2015. Looking ahead, the DOD CIO, in coordination with other DOD components, will continue to 

work to reform IT acquisition and ensure that the DOD's IT investments are streamlined, deliver required 

capability, require fewer decision points and paperwork, reduce the "time to market," and drive more 

efficient IT resource management that support Federal green IT initiatives.

Department of Education

ED uses the G5 grants management system to promote shared development of common business 

processes, data, information, applications and technologies within grants-making offices, and to promote 

interoperability with other Federal agencies and external resources. ED has outlined a strategy called the 

Grants Management Roadmap in order to migrate existing functionality and systems into G5, enabling a 

reduction in the current IT investments or systems and providing a path for new functional requirements 

to be incorporated.

The CPIC process benefits the G5 roadmap by helping increase its effectiveness and efficiency 

through periodic assessments of its value as a business service to its customers. The annual portfolio 

selection process assesses the G5 investment’s current funding needs and gives the investment owner the 

opportunity to reassess the service and justify any funding modifications. The process assesses whether 

the G5 investment is still adding value, and if it’s being effectively managed based on planned 

performance measures and portfolio selection criteria. The process also identifies areas for improvement 

as reflected by lower score results in assessed areas. As part of the control and evaluate phases, an annual 

Page 19 of 150
program assessment is conducted to evaluate the G5 investment over several key program management 

criteria. This helps ED identify troubled management areas within the investment, make suggestions for 

improving the investment’s health (if necessary), and maintain a positive and collaborative 

communication with the Office of the CIO. This exercise helps establish management and performance 

metrics, as well as plans for improving governance and management activities, operating procedures, and 

other plans for improvement to ensure the investment is meeting its customers’ business needs while 

performing well from the program management perspective. 

Department of Energy

The DOE At Your Service (DAYS) IT Service Management ServiceNow solution was identified in 

December 2012 as part of DOE’s shared service delivery model, and is being managed through DOE’s 

CPIC process. The DOE ServiceNow solution provides CIO customers with service desk capabilities,

including asset management in a configuration management database and integrated solutions for IT 

change management, IT portfolio and project management and project reporting requirements, service 

catalog hardware and software provisioning, employee on-boarding, and end user self-service. The 

project went live in July 2013 with an online service catalog, incident management, change management, 

project management, asset management, and end-user self-service. The implementation of DAYS has 

yielded business benefits such as automated approvals, automatic task creations, automated forms to 

promote common best practices resulting in significant cost savings and efficiencies.

Department of Health and Human Services

HHS developed and implemented CPIC and Enterprise Performance Life Cycle (EPLC) policies and 

processes to enable effective IT project, program, and portfolio management across its 11 Operating 

Divisions and the Office of the Secretary. In FY 2013, HHS and its operating divisions undertook more 

than 450 IT projects and conducted reviews to ensure that the IT projects were meeting their planned 

budgets and schedule and the projects were delivering the requirements established by the business 

owners. The CPIC and EPLC policies and processes help HHS effectively manage and govern IT. For 

example, HHS participated in a number of TechStats completed by HHS components in FY 2013, 

analyzing investments throughout the department. These TechStats included reviewing IT investments at 

the Center for Disease Control, the Centers for Medicare and Medicaid, the Administration for Children 

and Families, the Substance Abuse and Mental Health Services Administration, the National Institutes of 

Health, the Health Resources and Services Administration, and the Indian Health Service. The HHS 

TechStat team will follow up on the results of the review sessions to ensure the health of the investments 

remains intact, and to capture best practices and lessons learned. 

Department of Homeland Security

The Disaster Assistance Improvement Program (DAIP), an e-Government initiative comprised of 17 

Federal agencies and managed by DHS, has incorporated CPIC functions into all of its Program 

Management Office (PMO) functions. The DAIP PMO uses a variety of CPIC tools to manage 

budgeting, risk, schedule and reporting using OMB standards, DHS directives, Federal Emergency 

Management Agency (FEMA) policies, and industry standard best practices. DAIP implemented a 

transparent annual budgeting and funding process to support the diverse needs of contributing partners 

and address the need for performance metrics. DAIP’s CPIC processes (such as planning, controls and 

reporting) allow management to plan funding, and manage and execute against that plan. All DAIP

investments are planned with the oversight of the DAIP Executive Steering Committee, which represents

each participating Federal agency partner, and with input provided by the Integrated Project 

Team. Planned investments in DAIP are examined using cost-benefit analysis tools and weighed against 

Page 20 of 150
the established enterprise architecture model targets prior to funding. DAIP projects are actively 

managed using a unified risk register, detailed time and expense tracking, earned value management

controls, and operational analysis tools.

DAIP has demonstrated success in applying CPIC practices to achieve effectiveness, efficiency and 

cost avoidance. For example, DAIP has embedded CPIC processes to transparently report risk, funding, 

and performance to DHS, DAIP funding partners, OMB and the Government Accountability Office. 

DAIP also has reduced the management overhead needed to manage budgeting and reporting to the 17 

Federal partners. Additionally, by using standardized portfolio analysis tools, DAIP is able to better 

select and control ongoing IT projects within the program to avoid duplication and increase use of 

existing services. The DHS CIO has recognized DAIP’s progress towards a mature method of planning 

and executing successful outcomes using CPIC based practices in the most recent DHS CIO Program 

Health Assessment with a “green” rating of 5 out of 5.

Department of Housing and Urban Development

HUD's IT capital management process comprises all the elements of traditional CPIC as well as 

activities focused on the development of HUD's IT Budget. Through the IT capital management process, 

IT investments are selected and then continually monitored and evaluated to ensure each chosen 

investment is well-managed, cost-effective, and supports the mission and strategic goals of the 

organization. During the annual IT budget formulation process, HUD reviews each IT investment in terms 

of the validity of its business case and its resource needs, and compares and evaluates those investments 

with the other IT requests for funding in the portfolio. The proposed inclusion of new and existing IT 

investments is evaluated on the basis of a number of criteria, which includes risk management and 

measurable benefits. A specific example of how HUD selects and monitors IT investments that directly 

result in measurable operational benefits is the new Integrated Budget Forecasting Module (iBFM), which 

is an operational asset in the IT portfolio. HUD reviewed the funding justification for iBFM, which

explained how the requested funding would reduce the risk of understating or overstating budgetary needs 

for the Rental Assistance portfolio, and contribute to the accuracy of data in iBFM, therefore helping to

reduce the number of late Section 8 payments. The IT decisional document explained how better 

management controls improve financial management, in particular, enabling HUD to more accurately 

monitor program expenditures and forecast program needs.

HUD IT investment managers are required to enter their operational performance metric targets in 

the eCPIC system, and report the actual results. The review of the results of operational performance 

metrics is an integral part of the IT investment assessment process, and the data in eCPIC is the 

authoritative data source. The improvements in data accuracy and granularity provided by iBFM have 

helped HUD achieve an annual reduction of hundreds of late payments since iBFM was implemented.

Department of the Interior

In 2013, the DOI CPIC team continued to improve its procedures through the establishment of a 

performance baseline management policy. The performance baseline management policy is intended to 

provide clear direction for IT investment managers explaining how to manage baselines as DOI continues 

to work to mature its management of the IT portfolio baseline. In addition, the DOI CPIC team is driving 

IT governance reform. During 2013, DOI established the Support Services Board (SSB), which oversees 

a number of IT investments. The DOI SSB, formerly known as the Office of the Secretary Investment 

Review Board, surveyed the portfolio and identified a need for a practical approach to meet business 

transformation objectives. To satisfy this need, the DOI CPIC team collaborated with the DOI Enterprise 

Page 21 of 150
Architecture team to develop Line of Business Segment Roadmaps, which are strategic implementation 

plans geared towards improving the delivery and efficiency of business services. They are also intended 

to ensure any decisions made regarding the portfolio are aligned with priority investments; prioritize 

activities with business needs and funding; identify investments for consolidation, replacement or 

retirement; sequence investments and activities on a timeline for action; serve as a living document to 

guide the business on an ongoing basis; and identify areas for increased IT cost-savings and/or 

efficiencies in spending.

Department of Justice

In an effort to leverage the effectiveness of capital planning and investment control procedures, DOJ 

components are working with the DOJ OCIO Vendor Management Office to promote IT cost savings 

through consolidated purchasing, price sharing, and strategic sourcing. In September 2012, the FBI 

executed a "Network Delivery Order" for CISCO Network Products and Services. This "SWEEPS" 

contract permits the FBI to provide blanket coverage for the current network inventory as well as cover 

all CISCO equipment with SMARTnet maintenance at an aggregated level versus each program having to 

establish individual maintenance service agreements on individual orders. This enterprise maintenance 

agreement has resulted in a significant reduction to equipment maintenance costs. The terms of the FBI 

agreement also allows other DOJ components to use this "SWEEPS" contract. By leveraging the FBI 

contract, the Federal Bureau of Prisons (BOP) executed a CISCO Maintenance Agreement in FY 2013, 

which will result in BOP cost-savings in FY 2014. As a follow-on activity, the Vendor Management 

Office within the OCIO office reviews all CISCO equipment maintenance procurements to expand the 

SWEEPS contract across all of DOJ with the expectation of additional savings in the future.

Department of Labor

In September 2012, the Office of the CIO (OCIO) finalized the migration of the Capital Planning and 

Portfolio Management tool to a shared service provider, and DOL’s locally hosted eCPIC application 

migrated to the GSA cloud-hosted environment. This initiative was implemented to achieve significant 

benefits and cost avoidance, and to leverage GSA’s IT infrastructure for increased 

availability. Throughout FY 2013, DOL realized cost-savings in many areas, including IT infrastructure 

costs, maintenance costs, and application service costs. As part of the benefit of being hosted by GSA’s 

cloud hosted environment, DOL is no longer required to complete application patches and/or upgrades to 

the system, and was able to eliminate a previously planned technology refresh scheduled for FY 

2014. DOL was also able to offload and utilize three dedicated servers and server rack space for other 

OCIO initiatives. Additionally, with the decrease in technical support service, DOL has been able to 

utilize OCIO resources to assist with the development of the eCPIC application to an enterprise Portfolio 

Management capability. In the long term, this may allow DOL to avoid procuring another application at 

added cost. 

The DOL OCIO continues to manage a version of the eCPIC application, and has realized an 

increase of application availability from approximately 95% to 99.9% of standard business 

hours. Another intangible benefit realized from this migration is the increase in workforce 

mobility. While adhering to all agency security standards, DOL eCPIC users are able to access this 

application from their home offices and other remote offices. Migrating to an interagency cloud-based 

environment allows DOL users to access the eCPIC site via a website interface with an approved secure 

login. DOL users also experience decreased application downtime for upgrades and maintenance, and 

increased application availability.

Page 22 of 150
Department of State

The Foreign Assistance Coordination Tracking System (FACTS) Program is an example of how 

effective CPIC procedures have benefited Federal agencies across the government. The FACTS Program 

centralizes and consolidates all State and USAID foreign assistance planning, budgeting, and performance 

reporting, including other Federal agencies (DOD, DOC, DOL, HHS, and the Peace Corps) that 

implement the President’s Emergency Plan for AIDS Relief (PEPFAR). FACTS Info enables faster 

global data collection using fewer man hours, and facilitates comprehensive and accurate reporting.

The FACTS Program has achieved efficiencies through the use of effective CPIC procedures, 

including a TechStat. Following a February 2010 TechStat session, the functionality of the Country 

Operational Planning and Reporting System (COPRS) was merged with FACTS Info, and COPRS was 

eliminated. Since the TechStat, the number of users of the system has grown from 700 to over 4,200 in 

over 175 countries. With the growth of users, senior management recognized that the current FACTS 

architecture can no longer support future software enhancements. In FY 2013, the FACTS program 

kicked off an independent Analysis of Alternatives (AOA) to determine the optimal Next Generation 

system architecture. The AOA coordinator worked with representatives from the FACTS Executive 

Steering Committee stakeholder groups who served on a Technical Evaluation Panel (TEP) to evaluate 

and recommend an alternative to the FACTS Next Generation system platform. The AOA coordinator, in 

cooperation with the TEP, reviewed several alternatives including Budget Formulation and Execution 

Line of Business offerings, commercial off-the-shelf systems, government off-the-shelf systems, and 

multiple cloud alternatives, including Solution-as-a-Service and Infrastructure-as-a-Service (IaaS). The 

FACTS program presented a recommendation to the Executive Steering Committee members, who voted 

to implement a hybrid cloud-based Platform-as-a-Service (PAAS) solution, and to expand the 

implementation of the existing IaaS cloud hosting agreement.

A FACTS Program cost benefit analysis was completed in FY 2013, and was based on the 

implementation of the Next Generation system in a hybrid PAAS solution. The analysis indicated a 

positive return on investment and a cost savings of $2.0 million beginning in FY 2016. The current 

FACTS Info system aligns with the State/USAID Strategic Plan and the system modules are designed to 

meet the needs of the foreign assistance business processes, following the recent guidance from the 

Secretary’s Quadrennial Diplomacy and Development Review strategy.

Department of Transportation

The National Highway Traffic Safety Administration (NHTSA) has continued to build new CPIC 

process and mature existing processes, promoting strong collaboration among business and IT executives, 

enabling thorough investment oversight, and ensuring effective program management. NHTSA has 

demonstrated the effectiveness of its CPIC processes with the Crash Data Acquisition Network (CDAN) 

Major IT investment. CDAN will merge and consolidate the functionality of multiple disparate traffic 

safety systems into a unified IT Investment that operates in a modern, virtualized environment. The scope 

of the modernization includes collection of data, storage and analysis of data, and distribution of output 

data, essentially modernizing the full life cycle of the crash data collection and management from point of 

entry in the field through distribution to users.

The initial schedule for the CDAN investment was based on high-level scope and objectives 

identified in FY 2012, with projected cost savings resulting from the incremental consolidation of system 

functionality and subsequent shutdown of legacy systems expected to be achieved in in FY 2016. To 

ensure thorough planning of modular, interrelated development efforts for CDAN, NHTSA performed an 

analysis of alternatives and detailed planning for the project in FY 2013. These efforts identified risks 

Page 23 of 150
and dependencies that prompted the logical restructuring of the iterations related to CDAN IT 

development. Working through the NHTSA Investment Review Board (IRB), resources were 

reprioritized to ensure these critical planning and funding efforts were completed with minimal overall 

schedule impacts. While the decision resulted in a slight delay of the development phase of CDAN, 

planning costs were reduced by leveraging the IRB-identified resources. Furthermore, the planning and 

subsequent IT investment re-baseline resulted in minimal overall investment delays, preserving the 

overall return on investment for CDAN with cost savings still projected to be realized beginning in FY

2016.

Department of the Treasury

In 2011, Treasury revised their CPIC guide to provide standard policy and guidance to Treasury 

bureaus in the performance of capital planning functions. Fiscal Service (FS) has used the guide in 

developing and reporting cost schedules and performance information during annual, quarterly, and 

monthly reporting for the Do Not Pay Business Center (DNP BC) investment. The DNP BC provides a 

centralized business center to access data and analytical services to help detect, prevent, and recover 

improper payments. The DNP Portal is used by agencies to verify information about potential and actual 

recipients of Federal payments or benefits. To the extent permitted by law, the DNP BC employs data 

analytics to help Federal users reduce the amount of improper payments made in Federally-funded 

programs. The DNP BC allows agencies administering federal programs to better utilize technology to 

access eligibility information in a timely, more cost effective manner. The long-term strategic direction is 

to assist agencies in using database checks and analytics to identify improper payments through seamless 

integration into the Treasury payment stream. The DNP BC supports FS's mission of promoting the 

financial integrity and operational efficiency of the U.S. government.

During FY 2013, new requirements were identified due to the Improper Payments Elimination and 

Recovery Improvement Act of 2012 (P.L. 112-248) for DNP to support payment verifications for 

Executive Branch agencies.6 To adjust for the development of these requirements, including the 

integration of DNP data checks against payment information submitted to Treasury for disbursement,

DNP restructured its Development, Modernization, and Enhancement (DME) plans, and began work on 

previously unscheduled DME. Plans to include the functionality slated for FY 2013 were moved out to 

FY 2014 and FY 2015 releases. Through Treasury’s monthly reporting process, DNP started reporting 

cost and schedule variances, while waiting for approval of a Baseline Change Request (BCR), which was 

approved in June 2013. The DNP investment was monitored at the CPIC Monthly Review meetings and 

analyzed through cost, schedule and operational performance metrics and monthly reports. The FS CPIC

team and the DNP program managers coordinated and monitored the new IPERIA-related DME activities 

through monthly variance reporting, while re-planning DME activities and preparing the DNP annual 

budget submission. We previously estimated that by reducing the amount of improper payments, DNP 

BC would achieve a gross cost-savings of $12.50 million in FY 2013. By reducing the time employees 

spend verifying eligibility and payment accuracy, Treasury also estimates nearly $9.60 million in gross 

cost-avoidance in FY 2013, for a total savings of $22.10 million for FY 2013.

Department of Veterans Affairs

The VA Office of Information Security is a centralized effort that is independent of the VA 

Administration. It is responsible for maintaining the security and privacy of the personal data, in storage 

and transmission, for over 26 million Veterans. The Enterprise Security and Privacy program uses its 

network scanning capability Visibility to Everything (V2E), which is an expanded view of the endpoints 

in the IT network. This tool provided critical information to VA facilities about equipment connected to 

their local IT networks. This information was used to proactively address security and privacy concerns 

Page 24 of 150
by taking action to remove improperly secured equipment from the network. In FY 2013, the Enterprise 

Security and Privacy program distributed a Security Calendar to help VA employees plan and carry out 

roughly 30 security and privacy related actions tied to the on-going Continuous Readiness in Information 

Security Program effort. The investment also addresses the security and privacy elements that are a part 

of the increased use of mobile IT equipment such as the new generation of phones and tablet devices. 

Additionally, VA is pursuing more cloud computing opportunities and has a growing number of academic 

affiliates and business partners. These data exchanges are outside the VA IT network; however the 

investment will maintain data integrity and security whether in transmission or in storage by establishing

secure and maintainable channels thru the use of partner extranet connection to the VA IT network from 

outside the domain. 

U.S. Agency for International Development

PortfolioStat is a tool that agencies use to assess the current maturity of their IT portfolio 

management process, make decisions on eliminating duplication, augment current CIO-led capital 

planning and investment control processes, and move to shared solutions in order to maximize the return 

on IT investments across their IT portfolio. USAID has worked extensively on PortfolioStat for USAID 

in FY 2012 and FY 2013, including creating a plan to reduce duplicative commodity IT. The USAID 

PortfolioStat lead, in partnership with the Bureau for Management’s Chief Information Officer (M/CIO), 

submitted a plan to consolidate USAID’s commodity IT services and establish measurable financial goals 

for reduced spending through more consolidated commodity IT and interagency shared services. 

USAID’s annual PortolioStat activities have included the following mandatory actions:

• Completed a high-level survey of agency IT portfolio status;

• Completed an information request for specific types of commodity IT investments that will be 

used to baseline the maturity of agency portfolios;

• Drafted an action plan to consolidate the commodity IT spend under the CIO, and established a 

measurable financial goal to reduce total IT spend based on more consolidated commodity IT buys 

and intra-agency shared services;

• Completed the consolidation of a number of commodity IT services (including email, human 

resources support, data center hosting, and public-facing websites); and,

• Documented and catalogued successes, challenges, and lessons learned from the process.

Environmental Protection Agency

EPA’s Central Data Exchange (CDX) is the electronic gateway for environmental data entering the 

agency and serves as EPA’s Node on the Environmental Information Exchange Network (EN). CDX 

enhances the timeliness, quality and availability of data for EPA programs and their stakeholders. CDX 

provides cost effective shared technology services that replace over 70 different independent data 

collection processes at EPA with a single interface. CDX supports the EPA’s key mission functions of 

Environmental Management and Regulatory Compliance and Enforcement and achieves the agency’s 

strategic goals by collecting information used to implement and monitor compliance requirements for 

greenhouse gases, air and water quality, site cleanup, chemical safety and pollution prevention. CDX 

serves as the Information Sharing segment of EPA’s business architecture, and contributes to the overall 

vision by providing a set of reusable information sharing services. The investment also supports EPA’s 

strategy of advancing state, tribal, and international partnerships. The EN improves data quality and 

reduces the burden of environmental reporting and information exchange among state and tribal partner 

Page 25 of 150
governments. Reusable CDX technology services ensure that EPA program offices and partner 

governments meet standards for identity management under the Federal Information Security and 

Management Act; and legal non-repudiation and electronic signatures in accordance with the CrossMedia Electronic Reporting Regulation.

CDX utilizes the CPIC process to build, analyze and review the investment to present the most 

comprehensive business case. This investment control process involves three major steps, including the

initial budget forecast, CPIC team analysis of data to identify potential gaps in the investments and

feedback about the investment, and the development of a budgetary business case which is reviewed by 

the agency program manager and CPIC team. CDX achieves cost-avoidance as a result of efficiencies 

gained through time savings for government employees. By re-using centralized services, the EPA 

program offices and Environmental Information EN partner governments will avoid redundant investment 

in the development and operations of information exchange and identity management services. The 

central components of CDX will play a key role in achieving burden reduction through streamlined 

transactional services.

 

General Services Administration

Through the CPIC process, proposed IT investments indicate whether the investment in whole or in 

part addresses a statutory mandate, GSA IT Strategic Plan goals, and GSA’s Annual Plan to assess 

whether:

• Investments continue to be aligned with strategic direction;

• Projects are prioritized, implemented, and managed efficiently;

• Projects support achievement of the desired initiative outcomes; and, 

• Initiatives move the agency toward the achievement of the IT strategic goals

GSA has developed a strong CPIC process in order to lay the groundwork for budget requests and 

prioritization. To effectively govern the IT portfolio, the IT CPIC/Governance Program evaluates and 

determines a strategy for each system. GSA has also strengthened their IT governance program 

by establishing the Milestone Review Process that examines key, agency-spanning investments or 

investments determined to have performance challenges. This process is administered by IT experts 

drawn from across IT disciplines and experts from the business lines. The outcomes of these 

examinations are reported to the agency’s Investment Review Board (IRB) for consideration and 

disposition. The IRB is also supported by a new governance board, the Business Review Board (BRB),

composed of executives drawn from all the business lines at GSA. This board assists in the selection and 

prioritization of business-critical IT investments. GSA IT conducts an annual business user survey and 

technical reviews of existing systems to assess the business and technical value of each application. The 

technical review enables GSA to determine whether the agency should tolerate, invest, migrate, or 

eliminate IT investments based upon scoring against assigned criteria. GSA also manages the 

government-wide eCPIC system which is used by 20 Federal agencies, and is used by GSA to manage 

and control GSA initiatives, portfolios, and investment priorities.

National Aeronautics and Space Administration

The NASA Enterprise Application Competency Center (NEACC) provides operation and sustaining 

support for numerous agency business applications supporting various stakeholder communities. The 

Page 26 of 150
NEACC also implements new systems and transitions any Center-developed applications targeted to 

become integrated enterprise applications. New requirements are coordinated by the NEACC Release & 

Deployment Management activities. Release content is approved and prioritized by the Agency Business 

Process Leads. New requirements are identified through Service Requests (SRs) and are coordinated with 

the affected Lines of Business (LoBs) prior to additional review. SRs are sent for review and 

prioritization by the respective Functional Control Board (FCB)/Change Control Board (CCB) after LoBs 

provide an impact assessment for new requirements. The FCB then prioritizes the SRs relevant to that 

FCB's functional area.

The NEACC Internal Governance Board (NIGB) convenes monthly to review application 

architecture management, infrastructure management, and system security initiatives necessary to provide 

a platform that ensures application stability and supports integration with other components. All 

decisions and recommendations are made in compliance with superior IT governance bodies including the 

Business Systems Management Board (BSMB). The NEACC Cross-Organizational Review convenes 

monthly following the FCB/CCB and NIGB meeting, and prior to Sprint Planning Sessions to review 

cross-organizational business, technical and operational priorities (including strategic roadmap 

initiatives), identify where there are cross-LoB/delivery area capacity constraints or priority conflicts, 

provide guidance, and seek resolution of those conflicts.

Major Development Modernization Enhancement (DME) projects are individually managed and 

tracked and their implementation is executed via the Enterprise Applications Service Technologies 

contract. Each LoB operates under product/delivery managers who monitor SRs, points, priorities, and 

issues to ensure the product owners' needs are met and operations are smoothly executed. New projects 

are executed in compliance with NASA's system development methodology. Formal phase reviews are 

conducted under the decision authority of the NASA OCIO and funding for these efforts is approved and 

overseen by the BSMB or a superior board depending on the project's cost, risk and visibility levels. 

National Archives and Records Administration

NARA's in-house email system was replaced with a cloud computing-based email system to improve 

the availability of email services to employees, contractors, and volunteers while providing an innovative 

approach for email archiving. The cloud-based email service modernized the NARA email system while 

reducing the government’s hardware and software expenses, data center footprint, power and cooling 

requirements, and contract support personnel costs. The resulting system provides increased uptime, 

improved backup and recovery, improved records management of email, calendaring, contacts, chat, and 

tasks within the email system, and improved redundancy capabilities. The solution also improves the 

email support by using the cloud email provider’s Tier 2 and Tier 3 support.

A key part of the NARA implementation was the inclusion of ZL Technologies Unified Archive 

(ZLUA). ZLUA provides for long term message storage, eDiscovery, and records management that is in 

compliance with DOD Electronic Records Management Software Applications Design Criteria Standard 

5015.2.

7 The ZLUA solution provides the ability to manage all data types under a single, unified 

platform while providing global enterprise-wide search and global de-duplication. This effort used the 

planning portion of CPIC to efficiently highlight technical and business concerns while effectively 

outlining the appropriate requirements. The business needs summary was discussed at Architecture 

Review Board meetings. These discussions emphasized the need for the contract solicitation to clearly 

articulate the Service Level Agreements, data conversion, and reporting requirements. In addition, it 

prompted an assessment of current and planned bandwidth utilization and impact on NARA’s network. 

NARA business units then had an opportunity to review and comment on the draft business case, 

requirements, and objectives. These comments and other feedback were discussed at various business and 

Page 27 of 150
technical Integrated Project Team meetings. This review and feedback process ensured that functional, 

operational, records management, security, and privacy requirements were clearly incorporated into the 

final business case and Statement of Objectives. The contract was awarded in September 2012, and status 

reports tracking the scope, risks, schedule and cost were completed by the project manager and reviewed 

at weekly IT Projects meetings to monitor implementation. Additional briefings and stage gate reviews 

were also held before pilot and early adopters were initiated, as well as design and risk reviews. The 

solution was deployed to all users in April 2013.

National Science Foundation

NSF is working to reform its IT CPIC processes to ensure that agency IT dollars are allocated as 

efficiently and effectively as possible. To further strengthen its IT investment review process, NSF

implemented a more formal and disciplined IT investment approval process driven by IT strategic 

thinking and NSF’s Enterprise Architecture. Specifically, in FY 2013, NSF implemented the following 

enhancements to its CPIC processes:

• Established four IT strategic goals to ensure IT priorities are aligned with agency-wide business 

priorities and the NSF Strategic Plan. These strategic goals will help guide the decisions made by 

IT senior leaders, particularly NSF’s CIO and IT Governance Boards.

• Strengthened the review process for centrally-funded IT investments by requiring advocates for 

new IT investments to complete an IT Investment Justification Worksheet and (for major 

investments) a formal business case. This ensures that advocates for new IT investments have fully 

considered the business need, benefits, impacts, and NSF strategic alignment of each investment 

proposal. It also helps the CIO and governance boards verify that IT, rather than policy changes or 

business process re-engineering, is the appropriate solution to a business need. This also provides 

the CIO and governance boards with information needed to review, approve, and prioritize 

investment proposals using a comprehensive evaluation methodology.

• Added the NSF Chief Acquisition Officer (CAO) and Chief Human Capital Officer (CHCO) as 

official members of agency IT Governance boards, formalizing their roles as part of the IT budget 

process.

• Strengthened the process by which its IT governance boards select new investments. In prior 

years, NSF’s governance boards provided input on, and selected among, IT budget package 

options. NSF’s IT governance boards are now able to select both an IT budget package, and also 

make individual decisions for IT investments within the approved package. NSF’s IT governance 

boards base their selection decisions on written business cases, presentations from the advocate of 

the investment request, the level of alignment with NSF’s Mission and Strategic Plan, and the 

extent to which they benefited NSF’s proposal review and award management process. NSF plans 

to continue using this revised process for future year planning.

NSF expects these activities to strengthen the Foundation’s existing ability to allocate IT spending as 

efficiently as possible to deliver the greatest contribution to NSF’s mission.

Nuclear Regulatory Commission

The NRC routinely employs CPIC and IT/Information Management (IM) Governance throughout the 

life cycle of all major IT/IM investments. One requirement is that investments receive an annual control 

phase review (CPR) by the IT/IM Board (ITB). Through the CPR, the ITB considers past activities, 

Page 28 of 150
spending, and schedule adherence, and also evaluates plans for the upcoming year. In the case of the 

NRC’s Budget Formulation System (BFS), this oversight enabled the agency to significantly increase the 

efficiency and cost-effectiveness of their budget formulation process, including:

• Incorporating staffing plan functionality into the BFS Salary and Benefits forecasting application 

and retiring the Enterprise Staffing Plan Application, thereby avoiding planned modernization 

costs; and

• Planning and designing a Spend Plan System to automate and streamline how offices request, 

plan, and distribute appropriated resources, thereby eliminating the use of a disconnected process 

utilizing spreadsheets and custom databases.

The BFS investment will also contribute to the NRC’s target Enterprise Architecture and support the 

Enterprise Roadmap through the future innovations planned for FY 2014 and FY 2015. In addition, as 

the centralized authoritative data source for formulation activities, BFS provides reporting capabilities 

that support a baseline analysis of formulation versus execution at the agency, office, and division 

levels. This degree of resource synergy has enabled the agency to accurately identify and fund missioncritical needs, despite external challenges of continuing resolutions and sequestration cuts.

Office of the Director of National Intelligence

The annual IRP Portfolio Review provided insight into proposed IT investments for coming years. This 

process is managed by IC CIO and involves all IC agencies in an effort to identify where IT investments 

will be made across the IC to achieve increased efficiencies - particularly with regard to the IC IT 

Enterprise. Once in place, the IC ITE will result in cost savings and/or avoidance across the IC.

Office of Personnel Management

OPM IT investments are managed by a comprehensive CPIC program in which OPM stakeholders 

are actively engaged. All annual IT investment decisions go through rigorous business and technical 

panel reviews and oversight by the IRB. CIO subject matter experts (SMEs) are assigned to the technical 

panel in order to assess the technical merits of the proposed IT investments. The technical panel presents 

their findings to the business panel. The IRB nominates SMEs from across the agency to serve on the 

business panels. These business panel members assess each investment for its business value to OPM, 

the government, and citizens and whether future funding is justified, and discuss return on investment and 

strategic alignment. The business panel briefs the IRB on each investment. The IRB then votes on 

whether the IT investment should be part of the OPM portfolio, and provides recommendations to the 

OPM Director. OPM investments also go through periodic monthly self-assessments (which is an 

industry recognized best practice). Additionally, the CIO and Chief of Staff receive bi-weekly investment 

health status analyses and briefings to help OPM proactively manage risks before they materialize, as well 

as drive program effectiveness and efficiency.

Small Business Administration

The Human Resources (HR) LoB initiative was launched in 2004 as a service delivery model where 

HR services related to HR information systems and payroll move from the agency HR to Shared Service 

Centers. As a consolidated HR investment, the SBA’s Office of Human Resource Services (OHRS)

adopted the “Shared-First” approach and supports government-wide, modern, cost-effective, standardized 

and interoperable HR solutions providing common core functionality. The goals of this investment are to 

Page 29 of 150
provide improved management, operational efficiencies, cost savings or avoidance, and improved 

customer service to all agency stakeholders. The consolidated HR investment consists of a cloud-based 

Talent Management Center, an integrated portal-based Performance and Learning Management 

system. The OHRS and SBAs governing body, the Business Technology Investment Council, reviewed 

and approved the investment for sound oversight and utilization of shared services.

Social Security Administration

SSA’s mature and disciplined CPIC processes and procedures ensure that investments align with 

agency mission and strategies; are integrated with enterprise architecture; strictly adhere to IT information 

security policies; are coordinated among related functions, processes and procedures; have thorough and 

detailed planning, sound management, and control during all process phases; have the lowest life cycle 

cost, highest return on investment, and carefully assessed risk; include accurate enterprise and initiative 

reporting; and have complete retrospective analysis and adoption of lessons learned.

One example of a cost effective investment is SSA’s Citizen’s Access Routing Enterprise (CARE) 

through 2020 program provides the public with access to automation and agent services via a national toll 

free number. SSA’s toll-free number receives approximately 85 million calls per year. The transition to 

CARE Through 2020’s cloud-based Voice over IP (VoIP) solution was completed in September 2013.

As of November 3, 2013 over 26.5 million calls have been handled on this platform. The initiative has 

modernized SSA’s telecom services and related circuits, cabling, hardware and software, and has been 

designed to support features such as click-to-talk, screen sharing and instant messaging. Additionally, 

CARE Through 2020 has reduced overall per minute usage rate costs from approximately four cents to 

one cent.

Page 30 of 150
APPENDIX B: ENHANCED DELIVERY OF INFORMATION AND 

SERVICES TO THE PUBLIC

As mentioned in Appendix A, the E-Gov Act requires OMB to oversee implementation of the E-Gov 

Act in a number of areas (44 U.S.C. § 3602(e)). Section 3602(f)(9) requires OMB to sponsor ongoing 

dialogue to encourage collaboration and enhance understanding of best practices and innovative 

approaches in acquiring, managing, and using information resources to improve the delivery of 

government information and services to the public. This appendix describes agency activities that 

enhance delivery of information and services to the public.

Department of Agriculture

• USA Search Implementation

In January 2013, the U.S. Department of Agriculture (USDA) implemented USASearch, a hosted site 

search service provided by GSA's Office of Citizen Services and Innovative Technologies. USASearch 

provides a search box that searches across all public-facing digital content on a website. The service 

supports an unlimited number of websites, and integrates Rich Site Summary (RSS) feeds and social 

media pages. USASearch provides significant improvements to the search technology used for

www.usda.gov , and allows the department to leverage free, open-source technology provided by 

GSA. The tool allows USDA to deliver a modernized and customer-centric search experience on 

www.usda.gov with relevant, multi-channel content. Website users now enjoy a better, enhanced search 

experience with features such as social media integration with Flickr, Twitter, and YouTube, 

integrated RSS feeds such as listings on www.USAjobs.gov, type-ahead search suggestions based on 

commonly used terms, and fast results returned in less than 400 milliseconds.

USDA manages the tool independently and has reduced the amount of needed resources to maintain an 

enterprise-wide search solution. USDA employees and customers have expressed satisfaction with the 

service. USDA will continue to work with agencies to further improve the value of www.usda.gov

through enhancements provided by this technology.

Department of Commerce

• USA Search Implementation

The U.S. Census Bureau’s Digital Transformation Program is using 21st century technology to make

statistics more accessible than ever before. Two key examples of this are the America’s Economy mobile 

application (app), and the Census Data Application Programming Interface (API). Launched in 2012, 

America’s Economy provides smartphone and tablet users with the real-time government economic 

indicators that drive business hiring, sales and production decisions, and that inform economists, business 

owners, researchers, planners, and policymakers. The app has been downloaded over 110,000 times from 

app stores.

The Census Bureau, Bureau of Economic Analysis (BEA), and Bureau of Labor Statistics (BLS) worked 

together to develop America’s Economy jointly to provide access to key economic indicators, to raise 

awareness around them, and to increase usage of economic data. With America’s Economy, users have 

access to 20 indicators from key statistical agencies. Users can send feedback directly to the project team 

through the app, which helps the team prioritize features and enhancements. For example, users 

frequently requested the addition of the Consumer Price Index (CPI), which is now one of the indicators 

included. This project provides employees and the public with greater access to government data. 

America’s Economy has improved citizen service by providing economic data and also access to 

Page 31 of 150
additional economic information such as press releases, schedules, and economic databases for further 

exploration. America’s Economy provides a better value to citizens by bringing key economic data 

together for easier access to that data.

• Use of the Web and Social Media

In 2013, BEA continued to expand and enhance data dissemination tool, Interactive Data Tables (aka 

“iTables”). BEA’s website contains a myriad of methods and social-media techniques to collaborate and 

engage with the public. For example, BEA has two Twitter accounts (@BEA_News and @BEA_Jobs), a 

blog, RSS feeds, several contacts links containing topic-specific email addresses, a Frequently Asked 

Questions site that includes a feature for the public to ask BEA questions, an email subscription service, 

and large amounts of online documentation on estimation methodologies and data quality 

guidelines. BEA is exploring additional public facing options such as mobile optimized pages, additional 

bulk download options, and search optimization with major search providers.

Department of Defense

• Arlington National Cemetery Explorer

Arlington National Cemetery (ANC) has developed ANC Explorer, an app that is available across 

common web browsers and on Android and iOS mobile devices such as smart phones and tablets. This 

app enables veterans, family members, and the public to explore ANC's rich history as if a virtual tour 

guide were accompanying them.

The first version of ANC Explorer allows users to locate gravesites, events, or other points of interest; 

generate front and back photos of a headstone or monument; and receive directions to those locations. In 

the future, ANC Explorer will offer features such as emergency and event notifications, restroom and 

water fountain locations, shuttle stops, and self-guided tours. Kiosks for accessing the ANC Explorer are 

available for public use in the Welcome Center and in several locations throughout the cemetery for those 

without access to a mobile device.

• U.S. Army Corps of Engineers Lock Performance Monitoring System

In 2012, the U.S. Army Corps of Engineers (USACE) launched a website to provide the public and 

industry with real-time data on U.S. flag and foreign vessels transiting USACE-owned and operated lock 

structures. Data is entered into the USACE Lock Performance Monitoring System (LPMS) each time a 

vessel transits a lock. The site provides half-hourly information on current vessel traffic and hydrologic 

conditions. In 2013, USACE developed a web API for the information so automated systems could get 

data from the LPMS in near-real time.

USACE has collected vessel traffic data through its lock structures since 1975 and has provided

information to industry and the public in various formats from compact discs, electronic files, web forms, 

and now in the form of a web API. This web API gives industry and the public the ability to develop 

third-party apps to analyze traffic patterns around busy locks, and predict the best time to arrive in order 

to minimize wait time to cycle through the lock; therefore, resulting in minimized operating 

costs. Additionally, USACE operations personnel use the web APIs internally to monitor the physical 

performance of their locks, to study the characteristics of vessel traffic on specific segments of a 

waterway, and to predict the impact of system changes.

Page 32 of 150
Department of Education

• Web Broadcasting Services to the General Public and Teleworkers 

In February 2013, the Department of Education (ED) implemented new capabilities to provide 

public-facing web broadcasting services to the general public and teleworkers via EDstream.ed.gov.

ED provides an event webcasting solution allowing senior leadership to conduct a myriad of 

communications and outreach activities, including the ED Youth Policy Briefing Sessions. By 

broadcasting these sessions externally, ED has reduced travel and conference spending, while actively 

engaging the general public. This new capability also enables teleworkers to be more engaged with ED’s 

activities, including the ability to view Principal Office-specific “All-Staff” meetings.

Originally implemented in 2010, ED’s web broadcasting system was limited to internal audiences logged 

into the network. The expanded system provides event webcasting services to internal and external 

audiences supporting both live and on-demand viewing options. Since the first public broadcast event in 

February 2013, ED has supported over 62 hours of content for 57 events resulting in more than 6,300 

views and over 4,400 viewership hours of content by the general public and/or teleworkers.

• Loan Counseling Tools

With nearly 40 million student loan borrowers and a portfolio of over $1 trillion, one of the ED’s key 

missions is to ensure that timely, accurate, personalized information is available to help borrowers 

manage their debt. The recently implemented Loan Counseling Tools on www.studentloans.gov provide 

students and borrowers with interactive, comprehensive, and personalized information regarding their 

financial aid choices and repayment options. Since being implemented, the Loan Counseling Tools have 

allowed the ED to deliver relevant information to about 12 million student/borrowers.

The tools include the new Financial Awareness Counseling Tool (FACT), which borrowers can complete 

at any point in the financial aid lifecycle. FACT, which includes personalized loan history, loan basics, 

and budgeting tools, can be completed each academic year to remind borrowers of their financial 

commitment and reinforce basic financial literacy concepts. Entrance counseling is also available for all 

first-time undergraduate and graduate borrowers, who are required to complete the presentation prior to 

receiving their first loan disbursement. The counseling provides foundational information such as basic 

loan and budgeting concepts, college cost comparison data, and loan repayment terms and 

conditions. Exit counseling is also available to all borrowers as they prepare to leave school, providing

borrowers with information regarding their loan servicer, available repayment plans including incomedriven repayment options, and the consequences of default. It allows borrowers to forecast their future 

income to better understand how student loan repayments may impact their financial situation.

The Loan Counseling Tools provide personalized real-time data in an interactive format, allowing 

students and borrowers to build a budget using a downloadable spreadsheet, and evaluate their financial 

aid options and/or other resources available to them. All three tools are accessible at 

www.studentloans.gov/myDirectLoan/counselingInstructions.action and provide broader financial literacy 

content, such as details about private educational loans, credit cards, and income taxes.

Department of Energy

• RightPath Initiative

The Department of Energy (DOE) is enhancing the delivery of information and services to the public and 

Page 33 of 150
others through the Right Path initiative. The RightPath initiative was jointly established by the DOE and 

the National Nuclear Security Administration (NNSA) to deliver an efficient and modernized IT 

infrastructure that enables a virtual workforce where employees may work anywhere, anytime, from any 

device while enhancing collaboration, business intelligence, and the agency’s cybersecurity posture by 

combining transformative changes in people, processes, and technology.

RightPath will modernize the infrastructure, improve the cybersecurity posture, and deliver service with 

lower operational costs. This transformation will be accomplished by constructing the IT toolbox for the 

21st century that integrates and leverages technology trends of the future, such as cloud computing, 

mobility, social computing, and big data/analytics. Through RightPath, DOE and NNSA are focusing an 

enterprise approach on non-differentiated Federal IT. Examples include: core desktop computing, 

storage, and connectivity provided by datacenters and server rooms; mainframes/servers; 

telecommunications; desktop systems; mobile devices; email; non-email collaboration tools; identity 

access and management; corporate cybersecurity services; and web hosting infrastructure.

• Website Reform

Website reform is another part of DOE’s efforts to achieve cost-savings and provide better service to the 

public, and internal and external stakeholders. DOE is working to streamline public-facing web 

operations into a single collaborative platform while also improving overall web and digital 

communications. The www.Energy.gov website improves how consumers and businesses access the 

information and resources they need to save money and energy while improving the ability of DOE staff 

to interact with the public and each other. The system democratizes content production, providing an 

interface for users to create and update pages, blog posts and documents without the assistance of 

dedicated technical staff. The new platform utilizes the latest technologies in information visualization, 

bringing updated and interactive graphics, charts and maps to www.Energy.gov.

To date, several staff and program offices have migrated into the www.Energy.gov platform. Migration 

allows for significant cost-savings by allowing DOE to consolidate contracts for hosting, training, 

helpdesk support, and technical development. Additionally, having offices on the same platform allows 

for greater sharing of information, reducing duplicate content, and better serving the needs of users who 

often see the Department as a single entity rather than a collection of offices.

Department of Health and Human Services

• Interactive Web-Based Tools

The Department of Health and Human Services (HHS) aggressively uses IT to meet its mission of

enhancing the health and well-being of Americans by providing for effective health and human services 

and by fostering sound, sustained advances in the sciences underlying medicine, public health, and social 

services. Some examples include:

• Health Indicators Warehouse - Provides a single point of access to high quality data and metadata 

for over 1,100 population health indicators from a variety of Federal and non-Federal sources;

• Community Health Status Indicators - A web-based tool that provides local public health 

agencies access to county health status profiles for improving community health by identifying 

resources and setting priorities;

• County Health Rankings - An interactive website that provides access to 50 state reports with 

Page 34 of 150
rankings of each county within each state according to its health outcomes and health determinants. 

The County Health Rankings are a key component of the Mobilizing Action toward Community 

Health project, a collaboration between the Robert Wood Johnson Foundation and the University 

of Wisconsin Population Health Institute; and 

• Federal Parent Locator Service (FPLS) - Enables the Agency for Children and Families' Office of 

Child Support Enforcement to facilitate communication and data exchanges between states, 

employers, financial institutions, insurers, and other Federal agencies, helping to eliminate barriers 

between government agencies and promote data sharing to improve program efficiencies and 

customer service. The FPLS provides a centralized source of employment and location data for 

authorized programs, and is comprised of multiple systems, including the National Directory of 

New Hires, the Federal Case Registry of Child Support Orders, Debtor File (which assists states 

with collection of delinquent child support), and the Enterprise Services Portal (which provides 

authorized users a secure gateway into FPLS web applications).

Department of Homeland Security

• Office of the Chief Information Officer (OCIO) Program Health Assessments

DHS has implemented the DHS IT Investment Baseline Management process to include monitoring the 

IT investment baselines. The OCIO is enhancing the manner in which it monitors IT investment baseline 

breaches to minimize the risk of cost and schedule shortfalls. This process requires corrective action or 

recovery plans for any project experiencing a 10% or greater variance in cost or schedule baselines. 

Projects with shortfalls of 10% or greater must develop and document corrective actions. The OCIO

follows up with Program Managers, through the CIO’s IT Program Health Assessment process, on a 

monthly, quarterly, and semi-annual basis, based on the CIO’s rating of the program.

• TSA Pre✓TM

TSA Pre✓TM is an expedited screening program that allows pre-approved airline travelers to leave on 

their shoes, light outerwear and belt, keep their laptop in its case and their compliant liquids/gels bag in a 

carry-on in select screening lanes. To date, more than 15 million passengers have utilized TSA Pre✓TM 

since it launched in October 2011. If a passenger is eligible for expedited screening, a TSA Pre✓TM 

indicator will be embedded in the barcode of the boarding pass so that when scanned at the checkpoint, 

the passenger may be referred to a TSA Pre✓TM lane.

Many participating airlines already print a TSA Pre✓TM indicator directly on the boarding pass so 

passengers will know in advance they have been cleared for expedited screening. TSA will always 

incorporate random and unpredictable security measures throughout the airport. Even with TSA Pre✓TM,

no individual will be guaranteed expedited screening.

In December 2013, TSA launched the TSA Pre✓TM Application program allowing U.S. citizens and 

lawful permanent residents to apply directly for participation in the program. Enrollment consists of an 

on-line application and then a visit to an enrollment site for verification of identification documents and 

submission of fingerprints required as part of the security threat assessment. For an $85 fee, approved 

applicants are eligible to participate in the program for five years. More than 300 enrollment centers are 

scheduled to open across the country during the first half of calendar year 2014. This initiative supports 

TSA's goal of providing the most effective security in the most efficient way by allowing TSA to 

concentrate more attention to travelers who have not been evaluated as lower risk or travelers identified as 

posing a higher risk to commercial aviation while expediting the physical screening for lower-risk 

Page 35 of 150
travelers. More than 114 airports are currently providing dedicated TSA Pre✓TM screening lanes with 

nine domestic air carriers participating in the program. Working in partnership with DOD, TSA extended 

TSA Pre✓TM participation to all active duty, National Guard, reserve, and Coast Guard uniformed 

personnel by connecting the Defense Manpower Data Center (DMDC) personnel database to the TSA 

Secure Flight system. Uniformed military personnel are now able to use the serial number on their 

military identification as a known traveler number for their flight reservation when traveling aboard one 

of the participating airlines. TSA will always incorporate random and unpredictable security measures 

throughout the airport. Even with TSA Pre✓TM, no individual will be guaranteed expedited screening.

Department of Housing and Urban Development

• Homeless Analytics Initiative

The Homelessness Analytics Initiative, one of the Department of Housing and Urban Development’s

(HUD) Open Government flagship initiatives, provides users with easy access to national, state, and local 

data about homelessness among both veterans and the general population, including risk and protective 

factors, support services and resources. In June 2013, HUD, in collaboration with the U.S. Department of 

Veterans Affairs (VA) and the National Center on Homelessness Among Veterans (NCHAV), launched 

the Homelessness Analytics web app. This interactive online tool gives communities, organizations and 

individuals' critical information on trends in homelessness among both veterans and the general 

population.

The application provides a feature-rich interface that offers easy access to data on the size of the homeless 

population and sub-populations, as well socio-economic indicators related to homelessness gathered from 

dozens of data sources such as the American Community Survey, the Centers for Disease Control’s 

Behavioral Risk Factor Surveillance System, HUD’s Fair Market Rents, the National Survey on Drug Use 

and Health, and the USDA Food and Nutrition Service Program. Users can manipulate the data by 

exploring maps, creating customized tables, and generating charts. They can download brief formatted 

reports providing snapshots of homelessness, resources to address homelessness, and related socioeconomic indicators for states and local communities. It is also possible to select indicators of interest 

and download those data in a spreadsheet or database to conduct an independent analysis. The 

Homelessness Analytics application also includes modeling and forecasting features that enable users to 

simulate expected changes in homelessness given changes in an underlying community level 

indicator. For instance, a user can model the relationship between median rent levels and rates of 

homelessness to better understand how changes in housing market conditions might impact homelessness. 

The access to data and the tools available in the Homelessness Analytics application make it a critical 

resource for achieving the goals of Opening Doors: Federal Strategic Plan to Prevent and End 

Homelessness.

Department of the Interior

• Cloud Services

DOI awarded a Foundation Cloud Hosting Services contract in July 2013. The contract involves seven 

service lines, including virtual machine services, storage services, database hosting services, secure file 

transfer services, web hosting services, development and test environment hosting services, and Systems 

Application Products (SAP) hosting. The contract will streamline access to commercial cloud services in 

support of the Federal Data Center Consolidation Initiative, the cloud-first policy outlined in the 25 

Point Implementation Plan to Reform Federal Information Technology, the DOI Information Technology 

Transformation Initiative, and emerging system owner demand for application and data hosting services.

Page 36 of 150
The contract provides an alternative to purchasing and maintaining hardware and software, and helps

improve "speed to market" for developing and modernizing applications by providing our developers and 

system owners with access to computing and storage resources on demand. This will enable DOI to 

deliver services to the public taxpayer more efficiently, and with a lower capital expenditure. The 

contract provides the opportunity to shift from a capital intensive, asset-based perspective on delivering 

infrastructure services, to a service-based perspective. As a metered service, it is paid as an operating 

expense, after it is consumed, and based solely upon resources utilized, thus reducing the burden of 

providing large scale government operated infrastructure services.

DOI expects this service model to be cost competitive, because it leverages the economies of scale, and 

maintains competition throughout the acquisition lifecycle. This contract leverages FedRAMP, to 

evaluate and maintain security consistently across the government enterprise. The "Authorize Once, Use 

Many" approach of the FedRAMP processes and governance will simplify compliance activities, reduce 

the market barriers-to-entry, and unlock additional economies of scale for cloud service providers. The 

service lines available within the contract form the building blocks for defining future services, and were 

developed to meet the most urgent hosting needs for our internal customers. DOI has worked with the 

vendors on ensuring compliance with the FedRAMP processes and overall program. DOI has issued an

internal task order to support the migration of the DOI Finance and Business Management System to a 

cloud environment, as well as, one external task order (Federal Housing Finance Agency). DOI has 

approximately 25 additional requirements that are currently in the cloud hosting technical evaluation and 

acquisition phases. DOI is also in the process of developing business processes to support the operation 

and management of the Foundation Cloud Hosting Contract to include the development of a StoreFront 

where all customers of the contract can learn about the options available, download forms/templates to be 

used in the process and points of contact information.

• Unified Messaging

DOI began the final phase of migrating to a cloud-based "Software as a Service" (SaaS) email and 

collaboration system in August 2012. In FY 2013, DOI achieved their goal to transition its email and 

collaboration services from 13 disparate, on-premise systems to a highly integrated, innovative, creative, 

cost-effective, and evolving cloud-based environment that better serves its employees and the American 

people. In January 2013, the last group of DOI employees were migrated. The implementation of a suite 

of tools and capabilities now allows DOI to transform the way business is conducted with the American 

people, as well as, manage and monitor service performance, quality, and delivery through clearly defined 

roles and business rules. With all employees on one system, intra-department communication has been 

enhanced as new email, calendaring, and collaboration capabilities gain wider use. Feedback from DOI

employees indicates that users are satisfied with the new systems, and find it easy to use. 

Department of Justice

• Mobile Device Capabilities

In recognition of the rapid expansion of the use of mobile devices (e.g., smartphones, broadband 

linked tablets, and embedded devices in vehicles), the department has taken steps to enable persons using 

these devices to more easily access department information. As part of DOJ's Digital Strategy 

Implementation, the department published a "mobile friendly" version of the Department of Justice main 

agency website (m.Justice.gov) that is formatted to be more readable and usable on smaller screen mobile 

devices. This is an interim step toward a fully mobile friendly website that will be delivered via an 

automated Content Management System in late 2014. The department will continue to evaluate the 

Page 37 of 150
information delivered to the public via the agency website to identify additional high value content 

that should be included in the mobile-ready version of the site until the new web content delivery system 

is operational. In the meantime, public users of the Justice mobile-ready site can communicate 

recommendations for improving the mobile site via direct e-mail to the webmaster at 

webmaster@usdoj.gov.

• Enhanced Business Operations

In October 2012, 2,200 users in the U.S. Marshals Service (USMS) joined the UFMS 2.0 Sensitive 

But Unclassified (SBU) shared environment and transitioned to UFMS as the financial system of 

record. Post implementation milestones were achieved ahead of schedule and USMS successfully 

completed the first year-end close in November 2013. This implementation provided the USMS with an 

opportunity to standardize 28 standard business processes within DOJ’s financial management programs. 

In addition, the integration of acquisition business processes with the financial data has greatly enhanced 

the USMS visibility to their costs during these challenging budget times.

In October 2012, UFMS 2.1 SECRET platform went live for over 300 FBI pilot users from the 

Criminal Justice Information Services Division in field offices in Louisville, Chicago, Pittsburgh, and the 

Ottawa, Canada Legal Attaché. The FBI pilot served to validate the operational readiness of the new 

business processes, tested the robustness of the training approach and provided experience to a core of 

knowledgeable users to lead the business transformation across FBI for the final phase of 

implementation. In October 2013, UFMS was deployed to the remaining 3,000 FBI users as the financial 

system of record. Many of the business practices, which were part of a thirty year old legacy system, 

were redesigned to leverage workflow and integrate FBI financial business processes which have greatly 

assisted their mission critical activities. UFMS is now one of three financial systems supporting DOJ (the 

others are FMIS2 serving the Bureau of Prisons, Offices, Boards and Divisions and the Office of Justice 

Programs, and SAP serving industrial operations of the Federal Prison Industries). The reduction of core 

financial systems has provided DOJ with the transparency of financial data and has assisted in the 

reporting of many different program aspects associated with financial management.

Department of Labor

• Benefits.gov Mobile Site

The www.Benefits.gov website provides citizens with information and eligibility prescreening services for 

more than 1,000 Federal and state benefit and assistance programs across 17 Federal agencies. In July, 

2013, www.Benefits.gov successfully implemented Phase I of a mobile roadmap strategy, called “One 

Web,” which focuses on technology enhancements to better serve the growing number of users accessing 

the website from their mobile devices, including smartphones and tablets.

In the year before launching the mobile friendly site, www.Benefits.gov saw the number of visits from 

mobile device users increase by more than 200%. The growth underscored the need to update and 

improve the website to better accommodate mobile users and enhance their viewing experience. As a 

result, the www.Benefits.gov program office planned and implemented a new responsive design 

technology enabling the site to identify the resolution of the user’s viewing screen, and dynamically 

adjust the page format to accommodate the device. The new capability optimizes the user’s viewing 

experience, and makes it easier for citizens to access government benefit information anytime, anywhere, 

regardless of the mobile device type or brand. In the four months following the responsive design 

implementation, mobile visits to the site increased by almost 60% over the same four month period the 

previous year, bringing mobile visits up to about a third of all traffic to the website today. The new look 

of the mobile-friendly www.Benefits.gov homepage will continue to highlight news articles and helpful 

Page 38 of 150
information to get users started with locating and applying for assistance.

Another key feature of the www.Benefits.gov website is the "Benefit Finder" search tool, which allows 

users to anonymously answer questions to determine which government programs they may be eligible to 

receive. Visitors can also search for more information about available programs by browsing the site by 

state, category, or Federal agency. Citizens will also find a YouTube tutorial to guide them through using 

the Benefit Finder. Visitors can keep up with the latest benefit-related information by subscribing to 

benefit program page updates directly from the site, subscribing to the site's quarterly eNewsletter called

the Benefits.gov Compass, or by following www.Benefits.gov on Twitter (www.twitter.com/benefitsGOV), 

Facebook (www.facebook.com/benefitsGOV), and YouTube (www.youtube.com/BenefitsGOV).

• Departmental E-Business Suite (DEBS)

The DEBS program is an internal, Department of Labor (DOL) system of record that automates the 

budget formulation, execution, performance, and programming disciplines. Beginning in FY 2006, 

DEBS has supported the formulation of five appropriation account budgets throughout the annual Federal 

budgeting lifecycle. Because of the program’s success, DEBS expanded to become a complete one-stopshop for Federal agency budget management and reporting including annual budget submissions, 

quarterly operating reports, financial status of funds, and annual performance reports. DEBS integrates 

commercial and government off-the-shelf solutions to reduce the total cost of ownership. The innovative 

tools and functional capabilities within DEBS allows users to track, spread, report and analyze financial, 

programming, budget, and performance data across agencies with efficiency for greater transparency. For 

example, in FY 2013 a reporting and analytical dashboard capability was added to DEBS, promoting

greater budget visibility and transparency.

The program also provides e-budget management related services to the VA and HHS as a shared service 

provider. HHS uses DEBS budget and performance reporting capabilities for Congressional budget 

justifications, and budgetary briefing and review books. In FY 2013, twelve HHS appropriation accounts 

(comprising 66 budget activities) were supported by DEBS through three separate budget cycles. VA 

used DEBS to formulate their five-year outlook across six organizations within 22 programs representing 

17 appropriations. DEBS improved the VA’s budget transparency and consistency by providing data in a 

one-stop-shop solution rather than in multiple, disparate Excel spreadsheets. By leveraging the DEBS 

interface, users could rapidly identify the impact of program activity changes on appropriations, which 

streamlined the communications between VA's programming and budgeting communities. 

Department of State

• Catalog of Foreign Relations of the United States (FRUS)

The Department of State’s (State) Office of the Historian created an API and mobile-friendly products for 

its FRUS series. The Foreign Relations volumes contain documents from Presidential libraries, 

Departments of State and Defense, the National Security Council, the Central Intelligence Agency, U.S. 

Agency for International Development (USAID), and other foreign affairs agencies, as well as the private 

papers of individuals involved in formulating U.S. foreign policy. The documents featured in the Foreign 

Relations volumes highlight policy formulation, and the implication of these policies once put into 

place. Recently published volumes have expanded the scope of the series in two important ways: first by 

including documents from a wider range of government agencies, particularly those involved with 

intelligence activity and covert actions, and second by including transcripts prepared from Presidential 

tape recordings.

The web API provides a method for querying the FRUS series catalog, using the latest version of the 

Page 39 of 150
Open Publication Distribution System standard for publication data and feeds. Publications are linked 

from feeds and accessible as downloadable e-books. The web API allows third party web and application 

developers to integrate the live catalog into their products. It also allows end users to manually add the 

catalog to applications that support the standard on which the API is based. The mobile friendly project 

was called the “Foreign Relations of the United States series e-book edition,” and includes approximately 

110 e-book editions of the series. The e-book edition offers the full content of each volume, and makes

use of the full-text search and other reading features of most e-book devices and applications, including 

bookmarking and note-taking. Unlike the web-based edition of FRUS, the e-book edition, once 

downloaded, can be accessed even without internet connectivity. The e-books can be downloaded 

directly from State’s website, or by using an e-reader application that embeds the department’s e-book 

catalog.

• DOSCareers

State’s Office of Recruitment, Evaluation, and Employment (HR/REE) created a mobile app called

“DOSCareers.” The app focuses on Foreign Service careers and allows users to learn about State’s 

mission, work, and goals. It also educates aspiring Foreign Service candidates about the different career 

tracks and specialist skill codes, acquaints them with the 13 dimensions that are assessed in the selection 

process, and connects them to nearby recruiting events and Diplomats in Residence in their region. In 

addition, the app will allow users to review more than 500 “retired” Foreign Service Officer Test 

multiple-choice questions. With the increased use of smartphone technology across a diverse 

demographic, HR/REE developed this app to reach potential candidates from various educational, 

cultural, and geographic locations throughout the United States and to provide a variety of resources to 

help them pursue a Foreign Service career. The mobile app showcases State’s continuing commitment to 

innovative recruitment efforts.

Department of Transportation

• Website Improvements and Apps

The Department of Transportation’s (DOT) www.DOT.gov website migrated to a cloud-based platform as 

part of DOT’s consolidation and expansion of services. The new website uses a responsive design 

template allowing customers to view the website regardless of the size of their screen. DOT has seen a 

significant increase in web traffic from mobile devices since the launch of the mobile site. DOT 

continues to add additional websites to this enhanced platform, and continues to expand the presentation 

of safety related information in digital formats. DOT leveraged content available on their websites to 

develop the SaferBus app for iOS and android devices. The app provides access to information on the 

FMCSA website including bus company operating authority and insurance status, bus safety performance 

records, and bus company safety. The app also has the ability for individuals to report a complaint. DOT 

also created a user-friendly iOS smartphone product to streamline access to information on 

www.SaferCar.gov, including vehicle 5-star safety ratings, vehicle defects, and the Child Safety Seat 

Locator. The app also enables consumers to search and submit vehicle complaints.

Department of the Treasury

• Invoice Processing Platform (IPP)

The IPP provides a centralized electronic invoicing and payment information portal accessible to Federal 

agencies, payment recipients, and the Bureau of the Fiscal Service (BFS). The IPP enables the 

presentation of electronic orders, receipt of electronic invoices, automated routing and approval, 

electronic notifications and Treasury payment information. To encourage adoption of the IPP, Treasury 

Page 40 of 150
has made the IPP service available at no charge to all Federal agencies and their suppliers. The IPP is 

designed to yield government-wide efficiencies by reducing or eliminating paper-based processing by 

accounts payable, enhancing Treasury’s value and service to its citizens by increasing access to and the 

quality of payment data, and providing a central application in which Federal agencies and their vendors

can engage with one another.

• Do Not Pay Business Center

The Do Not Pay Business Center is a Treasury program designed to give paying agencies access to the 

critical information needed to identify, reduce, and prevent improper payments. Improper payments 

occur when funds go to the wrong recipient, the recipient receives the incorrect amount of funds 

(including overpayments and underpayments), documentation is not available to support a payment, or 

the recipient uses funds in an improper manner.

The Do Not Pay Business Center provides a number of services to assist Federal agencies, including 

access to various databases through: the Do Not Pay Portal, analytical services, and the ability to compare 

payment information submitted to Treasury for disbursement against databases of deceased individuals 

and contractors barred from doing business with the Government. The Do Not Pay Portal provides users 

with a secure single entry point for multiple data sources online. The Do Not Pay analytics services

provides agencies with additional customized analysis to combat improper payments. This includes 

matching and analyzing the agency’s payment file against currently available data sources and analyzing 

the payment file itself for irregularities such as same unique identifier (Taxpayer Identification Number, 

Social Security Number, Employer Identification Number, and Data Universal Number) and different 

names. Treasury continued service implementation of these services to new customers throughout 2013.

Department of Veterans Affairs

• eBenefits

The VA is committed to improving the online experience for veterans and service members. The 

eBenefits portal is a central location for veterans, service members, and their families to research, find, 

access, and manage their benefits and personal information. The eBenefits portal offers a personalized 

workspace called My Dashboard which provides quick access to eBenefits tools, and allows users to 

complete various tasks such as applying for benefits, viewing benefits status, downloading personnel files 

such as the DD 214, Certificate of Release or Discharge from Active Duty. The portal also offers a 

catalog of links to other sites with information about military and veteran benefits. The VA has continued 

to add more features allowing direct access to benefits and information, including links with information 

regarding benefits by state, compensation, death benefits, education benefits, employment, financial 

services, health and prescription benefits, insurance, housing, retirement, transition assistance, 

transportation, and travel. 

U.S. Agency for International Development

• Consolidated Human Resources Reporting and Personnel Systems (CHRRPS)

The USAID CHRRPS project is an effort to meet the agency’s HR LOB obligations and modernize its 

HR systems. The CHRRPS project better positions USAID staff to efficiently and effectively accomplish 

their personnel management responsibilities through a secure and reliable system, with enhanced user 

interfaces, enterprise integration, and improved data management and reporting capabilities. In FY 2013, 

the CHRRPS team successfully migrated the agency to a new Learning Management System. By 

Page 41 of 150
utilizing the new Learning Management System, USAID was able to efficiently implement and manage

information security training for the entire staff. Other agency training, including gender-awareness for 

development training, will follow the same model. The new system includes a single sign on, eliminating 

the need for users to remember multiple passwords, and provides a more accessible, cloud-based system 

with an updated look and feel. Increased transparency and social collaboration functions also allow for 

expanding the learning experience including better management of asynchronous learning.

• Development Innovation Ventures (DIV) Initiative

USAID’s Office of Innovation and Development Alliances (IDEA) was created to pioneer, test, and 

mainstream models, approaches, and mechanisms that can lead to improvements in development 

outcomes while establishing and coordinating partnerships that can lead to more process and results-based 

enhancements for the public and government operations. IDEA implemented the DIV initiative, which

utilizes technological investments to enhance services and welfare for some of USAID’s public 

stakeholders. In June 2013, USAID partnered with industry to increase access to broadband services via 

satellite to advance development in Latin America and the Caribbean, and improve services to the public 

in those regions. Additionally, USAID, in partnership with industry and the Colombian Ministry of 

Education, worked to improve access to technology to extremely remote and conflict-prone communities. 

The project provided electricity and internet to 12 community centers and 26 schools, benefitting more 

than 4,200 students. It also provided communities with an online connection to their local government, 

educational resources for children, sustainable, improved cell phone service, refrigeration, and economic 

benefits from reliable internet connection.

USAID will continue to work with industry partners to design and support activities, which:

• Leverage broadband services to improve livelihoods, placing particular emphasis on activities 

that develop cost-effective and efficient broadband solutions and boost affordable connectivity;

• Electrify and connect USAID-supported outreach centers, community centers, and schools with 

internet access to enhance education and training;

• Improve the ability of small-scale farmers, producers, and producer groups to connect with 

distant markets, export and improve access to agri-support services, and share information about 

crop production problems;

• Strengthen the capacity of small-scale producers, small businesses, and the public to access and 

manage their finances via mobile financial services; and,

• Utilize satellite imagery and geographic information systems to foster climate change adaptation, 

disaster risk reduction, humanitarian relief, and post-crisis reconstruction.

Environmental Protection Agency

• Envirofacts Data Warehouse and MyEnvironment Application

The Environmental Protection Agency’s (EPA) Office of Environmental Information is charged with 

managing the lifecycle of information to support the Agency’s mission, including enhancing public access 

to environmental information. One of the ways EPA meets this charge is with the Envirofacts 

application. Envirofacts allows the public to search for environmental data about regulated industry in 

their community, and generate reports on a wide variety of EPA programs such as air, water and land 

emissions of toxic chemicals, and compliance information through the integration of multiple agency data 

Page 42 of 150
sets.

This application provides a one-stop source for information contains a mapping interface for data 

visualization, and powers an entire suite of other EPA applications, such as MyEnvironment.

MyEnvironment is used by school teachers and college professors to explore environmental issues in their 

specific community. This year, the American Libraries Association selected MyEnvironment as one of 

the top 26 websites, declaring it an outstanding site for reference information and including it in a list of 

the best free reference websites of 2013. The Envirofacts Data Warehouse and the host of information 

access tools that it powers, including MyEnvironment, allow unprecedented access, integration and 

visualization of EPA data for both the casual and advanced data consumer.

Other applications include the Enviromapper for Envirofacts, a website providing a single point of access 

for EPA environmental data, and NEPAssist, a tool which facilitates the environmental review process 

and project planning in relation to environmental considerations. For more adept data consumers, the 

Envirofacts API allows developers to access the data warehouse using machine readable formats and 

extract custom information requests. This functionality provides increased access to EPA data, and is 

integrated with MyEnvironment.

• FOIAonline System

EPA launched the new multi-agency web-based Freedom of Information Act (FOIA) system FOIAonline

in October 2012. FOIAonline reduces time and effort in preparing FOIA responses and provides greater 

transparency and public access to information released through the FOIA process. The public can search 

existing and completed FOIAs, submit and track their own FOIA requests, and view any records released 

through the system. The FOIAonline system was developed as a shared service solution. Initially funded 

by EPA, DOC and the National Archives and Records Administration, other agencies have joined the

partnership, including the Merit System Protection Board, the Federal Labor Relations Authority, DHS

Customs and Border Protection, and the Pension Benefit Guaranty Corporation. Cumulatively, these 

agencies receive an average of approximately 65,000 FOIA requests annually. Several other agencies 

have expressed interest in the use of the service. The expansion of the FOIAonline partnership allows 

other Federal agencies to leverage the existing technology platform provided by FOIAonline, which 

decreases the number of redundant IT systems in government. 

 

General Services Administration

• USA Services

GSA's USA Services provides a one-stop source for information about Federal government programs and 

services and provides consumer information on money management, scams, Federal benefits, identity 

theft, government auctions, health, housing, and jobs. The www.USA.gov website is the U.S. 

Government's official web portal and premier website which provides trusted, timely, valuable 

government services and information when and where the public and federal agencies across government 

require, in English and Spanish. GSA continues to expand search functionality and make mobile 

applications available for download on www.USA.gov to provide access to information on a variety of 

government services. The www.USA.gov website received over 55 million public visits in 2013, and is 

linked to by over 14 million other sites. GSA works closely with other agencies to push important 

information to the public through guest blog posts on www.Blog.USA.gov, targeted e-mail marketing, 

Facebook, Twitter, and promoting its most popular publications on the e-commerce site, 

Publications.USA.gov.

Page 43 of 150
GSA also developed a new API to add to their existing collection on the developer resource page. The 

API was developed to make the A-Z Index of US Government departments and agencies available in 

machine-readable format. The content was developed in response to requests from the public to make 

this data available in a format that is easy for developers to use. The data in the API is available in 

English and Spanish, and both the government app gallery data and the www.USA.gov iPhone app are 

open sourced.

Additionally, the www.USA.gov website and www.GobiernoUSA.gov (the Spanish language website)

launched a responsive design, making both sites accessible and easy to use from smartphones and 

tablets. About one third of the adult population in the U.S. can be considered a mobile-only user, 

meaning a tablet or smartphone is the primary way to access the internet. The percentage of mobile-only 

users is even higher for minority or low-income populations. The new design increases efficiency and 

cuts costs by centralizing content management across platforms. All versions of the sites contain the 

same useful information, presented in a different format to optimize the user experience depending on the 

size of the screen. 

• Data.gov

The www.Data.gov website is the flagship initiative for making the Federal government open and

transparent through accessible and easy-to-use online government data. The platform provides citizens 

with access to approximately 184,000 collections, including 400,000 datasets, from 144 agencies and subagencies, allowing individual agencies to save money by not having to create their own data integration 

platforms. The www.Data.gov website empowers citizens to drive innovation and use high-value, 

machine-readable government datasets to improve their daily lives. It also fuels the development of 

innovative applications that provide cost-effective services to citizens, and creates and supports global 

communities focused on cross-agency priorities and data sharing. Over 236 citizen-developed 

applications have been built by the public using the data provided. It is the centerpiece of the global open 

democracy movement, and has been emulated by over 43 countries, 39 U.S. states, and 40 U.S. cities and 

counties seeking to increase transparency and accountability, while fostering innovation. An open source 

version is being used by other governments to advance transparency and democracy.

National Aeronautics and Space Administration

• Open Government Flagship Initiative

The National Aeronautics and Space Administration’s (NASA) web environment provides a wealth of 

information to the public and is critical in fulfilling the agency's statutory requirement to disseminate 

information about its programs to the widest extent practicable. NASA's web capabilities provide outside 

audiences direct access to agency programs and information, allowing the public to participate in the 

excitement and results of research and exploration. Internally, NASA personnel use websites and services 

to support NASA's core business, scientific, research, and computational activities.

The first NASA websites appeared in the early 1990s, and the agency's primary site, www.NASA.gov, has 

evolved since then through four major iterations. The website is the main touch point for millions of 

people around the world regarding the agency's space exploration and aeronautics mission, attracting

600,000 unique visitors per day, with an average of 43 million hits and average network traffic of 1.29 

terabytes per day. The NASA portal alone generates more than 140,000,000 visits a year. The 

www.NASA.gov website also currently serves as a hub for NASA's social media presence, which includes 

over 250 social media accounts on Twitter, Facebook, Flickr, Foursquare, Google+, YouTube, UStream, 

Slideshare, and more.

Page 44 of 150
The NASA website infrastructure also provides development and hosting of approximately 140 internal 

and external web applications and websites, which are developed using various technology stacks. The 

www.NASA.gov domain includes 1,590 total websites. External audiences include the interested public, 

media, students, educators, researchers, industry partners and government partners. As NASA continues 

to adapt to today's complex, interlinked and fast-changing environment, NASA recognizes that effectively 

and efficiently creating, researching, managing, preserving, protecting, and disseminating the information 

required to achieve the objectives of research and space exploration, as well as other NASA missions, is 

vital to its continued mission success.

As the Flagship Initiative for the second version of NASA's Open Government Plan, NASA will take a 

fresh look at its web architecture and processes to manage content in order to build an accessible, 

participatory and transparent web environment based on open and interoperable standards. This effort 

will provide a new agency-wide capability to create, maintain, and manage the www.NASA.gov website 

and associated services. NASA will also aim to leverage open source software and cloud computing 

technologies, and take an integrated approach to create, host, and disseminate digital information in all 

forms and formats. The goal of this effort will be to provide a consistent, capable and agile, cloud-based 

enterprise infrastructure that provides a Platform as a Service and Software as a Service supported by an

Infrastructure as a Service for internal and external web applications and a majority of the 1,590 external 

websites using an interoperable, standards-based and secure environment. NASA’s goal is that

www.NASA.gov will continue to represent the latest in online innovation, and serve as an example of how 

NASA is rethinking the way its services are delivered online. The new architecture aims to keep NASA 

relevant across all audiences by creating a flexible platform that can respond to rapidly changing 

technologies and citizens' expectations.

• Mobile Applications and E-Books

NASA's delivery of information to citizens has been enhanced through the implementation of mobile 

device applications and electronic books. These new communication channels take advantage of the 

growing use of mobile devices and tablets by the public. Current examples of mobile applications include 

Rocket Science 101, International Space Station Live, and 3D Sun. A list of available applications can be

found at: www.nasa.gov/connect/apps.html. Electronic Books, or e-Books, are also used to provide 

information to the public and are offered in three different file formats to accommodate as many 

electronic reading devices as possible. A listing of e-Books can be found at: 

www.nasa.gov/connect/ebooks/index.html.

National Archives and Records Administration

• Digital Government Strategy

The National Archives launched a new API for the dataset, “Executive Orders from 1994-2012,” through 

Data.gov. Additional implementation efforts are available at Archives.gov/digitalstrategy. Staff has begun 

on the agency’s implementation of the related Open Data Policy and creation of an Enterprise Data 

Inventory and Public Data Listing. 

• Open Government

The National Archives continued to work on the implementation of NARA’s Open Government Plan for 

2012-2014, including the flagship initiative to provide innovative digital access to our records. NARA 

expanded electronic datasets available on Data.gov, including datasets from the Office of the Federal 

Register and grants data from the National Historical Publications Records Com-mission. With these 

Page 45 of 150
additions we are now featuring 48 NARA datasets on Data.gov. Additionally, we participated in the 

National Day of Civic Hacking with challenges related to visualizing historical datasets and developing a 

mobile scanning app for researchers.

• The Citizen Archivist Initiative

In May 2013, NARA’s Citizen Archivist Initiative was announced as a Top 25 program in the 

Innovations in American Government Award from the Ash Center for Democratic Governance and 

Innovation at Harvard University. Additionally, the Citizen Archivist Initiative received the Walter 

Gellhorn Innovation Award from the Administrative Conference of the United States in December 2012. 

National Archives staff continued to work with citizen archivists and provide engaging opportunities on 

the Citizen Archivist Dashboard, the portal for the National Archives’ crowd sourcing activities. We 

invited public participation in tagging, transcription, editing articles, up-loading images, and contests 

through a variety of social media posts and presentations, including presentations at Social Media Week 

2013 and at South by Southwest. 

NARA featured “Old Weather” as an activity on the Citizen Archivist Dashboard. Images of Arctic ship 

logs from the National Archives were digitized in partnership with the National Oceanic Atmospheric 

Administration (NOAA). Almost 70,000 images are available in the National Archives’ online catalog 

and are featured on the Oldweather.org for transcription and indexing by citizens. The transcriptions help 

scientists recover Arctic and worldwide weather observations made by United States ships. 

• Wikipedia/Wikimedia Foundation

Since beginning our collaboration with Wikipedia and Wikimedia in 2010, the National Archives has 

added 127,368 digital copies of its records to Wikimedia Commons and other Wikimedia users have 

added 2,415 NARA images to the Commons. Of these media files, 5,726 have been used in 44,265 

articles in Wikipedia. Wikipedia pages which contain NARA images have been viewed approximately 

1,250,000,000 times in FY2013.

• Today’s Document Tumblr

Time magazine named Today’s Document Tumblr as one of the top 30 Tumblrs to follow in 2013. By the 

end of the first quarter of FY 2014, the blog had over 140,000 followers. Additionally, GIFs created by 

Today’s Document Tumblr for the Thanksgiving holiday were featured on GSA’s Blog in the “Best Week 

Ever in #SocialGov edition.” 

• The Digital Public Library of America (DPLA)

Records from NARA's Online Public Access Catalog became available in the DPLA in April 2013. This 

collaborative project provides online access to millions of digital items from state and regional digital 

libraries and several large cultural institutions, including the National Archives, the Smithsonian, the New 

York Public Library, and Harvard University. In the first quarter of FY 2013, NARA provided content 

for DPLA’s joint online exhibit with Europeana: Leaving Europe: A new life in America. NARA 

contributed 1.2 million digital copies of records from their online catalog for the April 2013 launch, 

including the nation’s founding documents, the Documerica Photography Project of the 1970s, World 

War II posters, Mathew Brady Civil War photographs, and a wide variety of documents that define 

human and civil rights. NARA will provide updated datasets from our online catalog on a regular basis 

for ingest into DPLA. As of September 2013, NARA has contributed more than 1.9 million digital 

objects from the agency’s online catalog to the DPLA platform, which received more than 180,000 pages 

Page 46 of 150
views in September 2013.

• Google+

NARA joined the Google+ social platform in October 2012 to provide further access to the records 

through this social media channel. Through daily posts and creative hash tags, the NARA's page on 

Google+ has been circled by more than 167,000, and has been “plus one’ed” by more than 181,000 

people. One post announcing the public program on the Space Program under Presidents Nixon and Ford 

was shared in June 2013 and received 164 “plus ones” and 52 shares. The addition of Google+ to 

NARA’s social media offerings has opened up another important channel to reach the public online.

National Science Foundation

• Award Cash Management $ervice (ACM$)

In April 2013, the National Science Foundation (NSF) rolled out ACM$, an approach to award payments 

and post-award financial processes that transitioned financial processing of payments from a “pooling” 

method to a “grant-by-grant” method. ACM$ allows awardee organizations to submit cash requests and 

adjustments to open and closed awards, and provides access to award-level information on payments and 

award balances. This requires the submission of award-level payment amounts each time awardees 

request funds, and, because award information is presented in real-time, eliminates the need for awardees 

to submit quarterly Federal financial reports. The implementation of ACM$ provides increased 

transparency and accountability in the stewardship of federal funds, more up-to-date information on how 

tax dollars are being spent, and complies with new standardized financial reporting requirements. It 

reduces the need for manual accounting processes, including reconciliations and adjustments, and allows 

for quicker identification of awardees that need technical assistance. Since its implementation, ACM$ 

has processed 316,947 cash requests worth $3,856,014,399.

• Research Performance Progress Report (RPPR)

The RPPR is the result of a government-wide effort to create greater consistency in the administration of 

Federal research awards by streamlining and standardizing reporting formats for research or researchrelated activities. NSF has led research agencies in the development of an RPPR data dictionary. In 

March 2013, annual, interim and final project reports were transitioned from NSF’s legacy system, 

FastLane, to www.Research.gov using the RPPR format. The new www.Research.gov Project Reporting 

Dashboard has made it easier for NSF awardees to see which reports are due or overdue, and provides 

access to all reports submitted to NSF. It also provides a more structured collection of data, access to a 

rich text editor and PDF upload to support images, charts and other complex graphics, and improved 

citation search. Additionally, special reporting requirements are now controlled by solicitation, and 

awardees no longer have to manually enter demographic information on significant participants. Since 

project reports were transitioned, awardees have submitted more than 48,000 project reports and NSF has 

released four sets of enhancements (prioritized based on user feedback) to continue to update the project 

report service. NSF will continue to enhance www.Research.gov to meet the high standards expected 

from awardees. 

Nuclear Regulatory Commission

• Web Analytics and Site Enhancements

The Nuclear Regulatory Commission (NRC) uses web analytics to identify frequently requested official 

agency information to enhance delivery via web APIs and mobile solutions. NRC also obtains input to 

Page 47 of 150
identify, scope, and prioritize opportunities by reaching out to stakeholders across functional, 

programmatic, and geographic areas. For example, NRC invited the public to comment on proposed 

choices through a web-based comment form, traditional mail, email, phone, fax, a blog post, their Twitter 

feed, and RSS feeds. In addition, NRC published an article, entitled “Digital Government and 

Technology Enhancements,” in the staff newsletter (the NRC Reporter) to provide an update on the status 

of the Digital Government program and work to leverage current infrastructure. The article invited staff 

to share their thoughts on systems (data feeds) that should be given priority to be made available via web 

APIs, as well as priority services to be optimized for mobile use. Customer feedback and NRC responses 

are available at: www.public-blog.nrc-gateway.gov/2012/08/22/taking-the-next-step-building-a-21stcentury-digital-government/#comments.

Using input obtained through these channels, NRC prioritized opportunities for implementation based on 

strategic alignment, scope, anticipated efficiencies, complexity, development time, enterprise 

applicability, and costs, and developed a plan for transitioning high-value systems to leverage APIs and 

mobile services. Consistent with that plan, NRC released an API for the web-based Agencywide 

Documents Access and Management System in February 2013, ahead of the deliverable date of May

2013. The API enables users to make more complex queries to a library of more than 800,000 publicly 

available documents and reports. In addition, developers, entrepreneurs, and interested citizens can use 

NRC’s RSS Feeds as simple APIs for packaging information on nuclear power plant status, event reports, 

recent news releases, and more. In May 2013, NRC also published a new web page for developers, which 

includes a Developer’s Guide and sample queries for available APIs.

NRC expanded mobile services in January 2013 to include support for the 2013 Regulatory Information 

Conference. NRC also plans to support web-based staff access to email, calendaring, and contacts using 

personally owned mobile devices, and include mobile web-based access to their Public Meeting Feedback 

System to collect feedback from stakeholders who attend public meetings.

Office of the Director of National Intelligence

In FY13, all ODNI public websites were assessed for system compliance with Section 508 of the

Rehabilitation Act of 1973 and all deficiencies were addressed, resulting in 100% compliance of ODNI 

public websites. In late FY12, ODNI procured a 508 auditing tool to streamline the process of 508 

compliance testing after completing an evaluation of over 125 tools. Evaluations were performed against 

all ODNI external facing websites, using this tool, which identified deficiencies to be addressed. All site 

owners were provided the 508 scan analysis results sighting all failures and all failures were resolved to 

reach 100% compliance. ODNI continues to monitor each site to ensure continued compliance and 

regular audits.

Concurrently, ODNI underwent an effort to incorporate Section 508 compliance in the development and 

policy of our websites. Section 508 auditing will be built into each development team requirements, test 

plan, and deliverables as addressed in the Application Development Strategy Plan. ODNI has created

templates and other tools to provide for ease of use and to ensure consistency among development efforts, 

including a 508 checklist, 508 standard requirements, and 508 standard test scripts. Application 

development contracts now include 508 compliance standards in the contract document and Statements of 

Work. All COs and COTRs have been briefed on the requirement to include this Section 508 language in 

future contracts. ODNI is in the process of creating an Internal Process Document, as well. ODNI has 

begun to reach out to the Intelligence Community CIOs and DOD and actively participates in the 

evolution of Section 508 technical approaches. In particular, ODNI meets with several IC agencies, such 

as NSA and CIA, to help them with their efforts and ensure we stay on the same track as we move 

towards

Page 48 of 150
creating a tiger team across the IC to further incorporate Section 508 compliance.

In FY14, ODNI will be briefing the IC CIO Council meeting to officially kick off the

IC effort and to support the next steps by assimilating this into other IT

environments and web-based applications.

Office of Personnel Management

• Mobile Applications

In FY 2013, OPM launched mobile applications with accompanying APIs for two major OPM services: 

USAJOBS and the Federal operating status. The USAJOBS application improved a highly valued 

government service by making it more widely available to users on mobile devices. USAJOBS 

introduced an iOS (for Apple devices) application in FY 2012, and subsequently received requests to add 

an Android version, which they introduced in FY 2013. Both versions of the application allow users to 

search for jobs, save jobs and searches, receive status notifications, share job openings via email and on 

social networks, and view the status of their applications. At the same time, OPM released a 

Representational State Transfer-based API that is lightweight and designed to provide data on public jobs 

to commercial job boards, mobile applications, and social media, and a Simple Object Access Protocolbased API that provides full Job Opportunity Announcement content for public jobs. The data available 

via this API mimics the data presented on USAJOBS and has more detailed content that agencies require 

for their personalized career sites.

The Federal government’s operating status decisions affect the lives of nearly everyone in the 

Washington, DC metropolitan area. Federal employees use OPM’s operating status information 

whenever there is bad weather or an unexpected major event such as an earthquake. Local businesses and 

other organizations often make their own operating status decisions based on the Federal government’s 

decision. The Federal Government Operating Status application, OPM Alert, improved the speed of

delivery of key information to a wider range of people, and automatically delivered information to users’ 

devices. The application works on both iOS and Android devices, as well as BlackBerry and Windows.

Since many Federal employees use BlackBerry devices for work, it was particularly important that OPM

served users on that platform. In conjunction with the app, OPM released three APIs, one that provides 

real-time data on the Washington, DC-area operating status, one that lists the available status types, and 

one that provides status history back to January 1, 1995.

Small Business Administration

• Mobile Applications

The Dynamic Small Business Search (DSBS) is a search tool that accesses information pooled from 

internal and external systems and offices. This system is used by small businesses to increase their 

visibility to government and business procurement offices searching for small businesses to meet small 

business contracting goals. The DSBS mobile application will allow contracting officers to search for 

small businesses that meet their supply chain needs from a mobile device. Additionally, small businesses 

on the go can search for other small business for possible partnership. The available API with metadata 

tag is available at: www.sba.gov/content/dynamic-small-business-search-dsbs-api.

Another SBA application is the Lender Search Mobility Application, a centralized database containing 

information on organizations that partner with the SBA to provide services to the small business 

community. Phase 1 of the Lender Search mobility application will provide users summary and detailed 

access to organizations that partner with SBA to provide services to the small business community. The 

Page 49 of 150
available API with metadata tag is available at: www.sba.gov/content/lender-search-api.

Social Security Administration

• Online Disability Package

Electronic government has been a core tenet in the Social Security Administration’s (SSA) plan for 

continuous improvement in service delivery to the public. SSA provides data and services via several 

digital service channels including telephone, online, formal data exchanges, web-services (machine to 

machine), and most recently, mobile. SSA also offers many electronic services to third parties who do 

business with SSA, including the military, Federal and state agencies, foreign agencies, and private 

service providers.

The online disability package combines the internet claim application (iClaim), the internet form 3368 

“Disability Report,” and the electronic form 827, “Authorization to Disclose Information to the Social 

Security Administration.” This package provides a complete online disability application process for 

most first parties who do business with SSA online. For the field offices, this release ensures all new 

i3368 forms have a corresponding iClaim on file, saving time and improving service by reducing the need 

to contact claimants for additional information. This release will eliminate direct access to the i3368 and 

provide a single re-entry and confirmation number for all steps in the application process. The 

application may also save users time due to the elimination of redundant data elements and increased 

propagation from the iClaim to the i3368. An additional new feature for the disability report will be the 

ability to use foreign, military, or diplomatic mailing addresses.

• iAppeals Improvements

SSA is enhancing the online application, which allows the public and their representatives to file an 

appeal of an unfavorable medical decision on a claim for Social Security disability benefits. SSA has 

reorganized forms, simplified the submission process, reduced redundant typing, improved navigation, 

and made a variety of general customer friendly improvements. SSA will add a new feature allowing 

users to upload and submit supporting documents with their online appeal. Currently, users must mail or 

fax additional forms and documents to a local office after submitting an online appeal. These changes 

will help users complete their appeals online, reduce the need for contact with local SSA agents, and 

speed up the processing of appeals that were previously delayed due to incomplete submissions.

Page 50 of 150
APPENDIX C: PERFORMANCE INTEGRATION

In accordance with Section 202(b) of the E-Gov Act, this appendix describes what performance 

metrics are used and tracked for IT investments, and how these metrics support agency strategic goals and 

statutory mandates. The performance metrics described in this section focus on customer service, agency 

productivity, innovative technology adoption, and best practices. Where applicable, this section also 

includes a description of agency valuation models, how those models are used, and URL’s for 

performance goals related to IT.

Department of Agriculture

The USDA Office of the Chief Information Officer (OCIO) through its ACIO Technology Planning, 

Architecture, and E-Government capital planning staff, works closely with IT investment owners to 

emphasize alignment with business functions. The new USDA IT governance process integrates program 

management, capital planning, enterprise architecture, security, and budget formulation to enable critical 

decision making by the CIO and USDA executive boards throughout the program's life-cycle. The 

USDA OCIO ensures that key IT investment stakeholder and partner interests are included at every step 

of the IT life-cycle by monitoring IT projects for the regular use of comprehensive and inclusive project 

charters that encourage stakeholder and customer involvement, and by emphasizing the use and 

management of key stakeholder and customer performance goals and measures in the ongoing execution 

of IT projects.

For example, in FY 2013 more than half of USDA’s total discretionary IT funding is dedicated to 

providing services to citizens. Additionally, $1.0 billion of the FY 2013 IT portfolio is managed as Major 

Investments. These Major Investments include nearly 1,400 individual performance measurement Areas. 

357 measures of these measures are focused on mission and business results, and 284 measures are 

focused on customer results. These measures include the average number of days required to complete 

Direct Loan processing (from application completed to final disposition); the number of states with 

average Direct Loan processing time greater than 35 days; and the number of resolutions that occur within 

five business days, or in some cases, within agency agreed upon timelines.

Department of Commerce

DOC continues to use several processes to effectively monitor and track performance of IT 

portfolios and investments. A primary initiative is the Balanced Scorecard (BSC) system, which tracks 

and measures program and bureau performance in support of departmental priority goals on a quarterly 

basis. BSC progress, issues and concerns are briefed on a quarterly basis to the Deputy Secretary of 

Commerce. Another method is the Commerce IT Review Board (CITRB) which evaluates IT 

project/program and portfolio performance, progress risk and health. The CITRB is chaired by the CIO 

and co-chaired by the Chief Financial Officer (CFO). All major IT projects brief the CITRB either 

annually or bi-annually depending on criticality, risk, and CIO concern. The CITRB also conducts 

TechStat reviews at the departmental and bureau level for IT initiatives that have problems, or issues that 

are preventing the initiative from successfully meeting the mission, or being completed on schedule or on 

budget.

For tracking IT investment performance, DOC utilizes two BSC metrics that measure the activities 

of the CITRB:

1. TechStat reviews performed on “red” rated IT projects/programs that are "red" rated for three or 

more consecutive months within a one year period. DOC's target is to review 100% of sustained 

Page 51 of 150
“red” rated IT Projects within a 12 month period.

2. Percent of major IT projects undergoing CITRB or TechStat reviews per fiscal year. DOC's 

target is to review 50% of major IT projects per fiscal year (approximately 21 reviews 

conducted).

Department of Defense

DOD Instruction 8115.02, “Information Technology Portfolio Management Implementation,”

provides the procedural foundation for the analysis, selection, control, and evaluation of IT investment 

portfolios that focus on improving DOD capabilities and mission outcomes.8 Evaluation includes the 

development and application of outcome-based performance measures that are used to guide portfolio 

development and evaluate performance. Governance forums are established to manage these 

portfolios. For example, the Defense Business Council, chaired by the DOD Deputy Chief Management 

Officer, serves as the principal governance body to the Deputy’s Management Action Group (DMAG) as 

a mechanism for defense business operations and as the department’s IRB for defense business 

systems. This forum oversees application of system outcome oriented performance measures and reviews 

performance results to track progress against strategic goals such as interoperability and reduction in 

duplication. Various metrics are used in the structured review process of systems by the IRB and other 

review governance forums in support of the review and certification of systems.

Department of Education

The performance metrics for agency IT investments are developed in the Enterprise Architecture 

Segment Modernization Planning Process. The department categorizes its IT investments into 13 lines of 

business (LOB). LOB performance goals and objectives are aligned to those of the agency and are 

focused on innovation, customer service, continuous process improvement and organizational 

performance management. The Planning and Investment Review Working Group periodically evaluates 

performance metrics of these LOB's. The department also uses value and performance metrics to 

evaluate its IT investments with its value measurement methodology (VMM); the results are used to make 

funding and management decisions. The VMM process contains five steps:

1. Establish mission priorities

2. Define value drivers

3. Prioritize and select

4. Execute and deliver

5. Assess value and benefit

In conducting the VMM process, the OCIO and LOB Senior Executives develop and prioritize 

mission priorities to which all IT investments align. These mission priorities include:

• Managing loan and grant programs efficiently and effectively;

• Effectively disseminate information about Education programs;

• Ensuring compliance with Federal law regarding access to education;

• Evaluating Education program performance; and,

Page 52 of 150
• Providing common services that improve workforce productivity.

The department's senior executives develop value drivers in specific performance areas, including 

strategic plan alignment, cost reduction and avoidance, productivity and efficiency, and effectiveness and 

capacity. IT investments are then given a value score based on their alignment to the established mission 

priorities and value drivers. IT Operational Performance Metrics are available at: 

www.itdashboard.gov/portfolios/agency=018.

Department of Energy

The DOE Annual Performance Report (APR) provides detailed performance information related to 

the Department's suite of performance metrics and a description of the annual result for each measure. 

This information is available on line at:

• www.energy.gov/ig/downloads/combined-fiscal-year-fy-2012-annual-performance-results-andfys-2013-and-2014-annual

Additionally, the DOE performance goals are linked to key stakeholders, private sector, other 

agencies, and internal operations in the DOE Strategic Plan and Annual Performance Report. These 

documents are available for review by the public and posted to:

• www.energy.gov/downloads/2011-strategic-planhttp://www.energy.gov/ig/downloads/combinedfiscal-year-fy-2012-annual-performance-results-and-fys-2013-and-2014-annual

Department of Health and Human Services

HHS requires annual operational analyses of IT investments. The Annual Operational Analysis 

Practices Guide describes how to measure performance in four specific areas:

1. Customer Satisfaction - Measures performance in terms of the extent to which the investment 

supports customer processes as designed. Focuses on how well the investment delivers the 

services it was funded to deliver (i.e., effectiveness), and considers stakeholder perception on 

whether the costs associated with providing the service is as low, to the customer, as it could be. 

Customer Satisfaction data is typically collected via surveys and measured via both quantitative 

and qualitative metrics.

2. Strategic and Business Results - Measures the investment's impact on the performance of the 

operating division and HHS. These results provide a measure of how well the investment is 

meeting business needs, whether it is aligned with and contributing to the achievement of the 

operating division or HHS strategic goals.

3. Financial Performance - Measures and compares current cost-related performance with the preestablished cost baseline. While financial performance is typically reported as quantitative 

measures, the investment should also be subjected to regular reviews for cost effectiveness and 

efficiency.

4. Innovation - Addresses the extent to which the project team is tracking emerging technologies. 

Also involves performing ongoing analyses of alternatives for achieving the same or better 

customer results and strategic goals at better cost, performance, and risk levels than the current 

solution.

Page 53 of 150
Department of Homeland Security

DHS uses performance metrics to track and evaluate IT investment performance through budget 

submission, operational analyses (OA's), and IT program health assessments. The annual budget 

submission for IT investments uses performance measures related to mission and business results, 

customer results, process and activities, and technology. These measures are tracked monthly and scored 

annually to ensure the investment is performing. OA's are required on an annual basis on operational IT 

systems. The OA's require investments with operational IT systems to provide performance metrics to 

justify continued investment in the asset. Specifically, the Program Manager must provide performance 

measurement results in areas of customer satisfaction, overall operational performance, and 

innovation. By design, the OA requires the agency to consider innovative technology and best practices 

as part of the evaluation. Additionally, DHS conducts Program Health Assessments using criteria to 

determine the health of IT programs, and reports the scores on the Federal IT Dashboard. The scoring 

criteria contain performance targets that are assigned a point value (0-10) based on the level of 

achievement in a particular area. Scoring also covers the degree to which performance areas were 

addressed in any OA's associated with the program. The Health Assessment is used to help ailing IT 

programs course correct and may lead to a TechStat being performed on the program.

The results of these evaluations are used to support Federal mandates for increased accountability 

and performance in IT investments. Well performing, relevant IT investments may continue to be funded 

by DHS while poor performing IT investments may be paused for review and course correction or 

stopped and perhaps eliminated. DHS also participates in required monthly reporting to the Federal IT 

Dashboard, www.itdashboard.gov.

Department of Housing and Urban Development

The HUD IT Strategy Implementation Action Plan (IAP) will define a specific set of activities 

intended to allow HUD to achieve the goals and objectives established in the IT strategic plan. The IAP 

encompasses target performance measures, activity phases, subordinate actions, and time periods 

associated with achieving all objectives of the IT strategy. Consequently, this plan provides the basis for 

assessments that monitor progress of the IT strategy. Performance will be measured against two 

interrelated dimensions: performance goals identified for each objective in the strategic plan; and progress 

made on tasks/activities listed in the IAP. Periodic assessments will compare current performance to the 

performance baselines and performance established in the prior assessments. At the investment level,

HUD tracks both operational performance and other investment level metrics.

Department of the Interior

The DOI Enterprise Architecture (EA) Program is involved in strategic planning and performance 

management at various levels of the organization. DOI has established metrics and a measurement 

methodology for measuring the value of EA to DOI. The EA Program performs the measurement process 

annually, updates measures, re-baselines, identifies appropriate targets and timelines, collects and 

analyzes results, and drives increased EA Program value. In addition, one of the key fundamental 

processes implemented by DOI's OCIO officials is managing IT organizational change. DOI recognized 

the importance of establishing targets and monitoring actual performance to effectively achieve IT 

Transformation goals. 

Page 54 of 150
Department of Justice

At DOJ, performance planning and reporting is companion to the budget process. Effectively 

defining and measuring program results are essential elements of resource allocation decisions and are an 

integral part of the budget planning and monitoring process. DOJ provides detailed component-specific 

annual performance plans within individual budget submissions, which also serve as the department's 

annual performance plan. The DOJ Performance Accountability Report (PAR) provides a summary 

discussion of the progress that DOJ has made against its three strategic goals. The report provides clear 

information about performance against the 12 key performance measures for the department's goals by 

detailing program objectives and FY 2011 targets and actual performance, as well as whether targets were 

or were not achieved. Each key performance measure also includes information related to data collection 

and storage, data validation and verification, and data limitations. These metrics represent just a portion 

of the workload and performance metrics that components report to the budget office on a quarterly basis.

In addition to the PAR, DOJ collects performance metrics on each of its major IT Investments. Each 

major IT Investment must have a set of performance metrics which measure the effectiveness of the 

investment in delivering the desired service, support level, or program result. The investment-specific 

metrics cover a wide area of performance including Customer Results, Processes and Activities, 

Technology, and Mission and Business Results. These metrics are tracked and reported throughout the 

year through the Federal IT Dashboard. Additionally, these metrics are linked to the DOJ and Component 

Strategic Goals and Objectives as appropriate.

Department of Labor

DOL IT investment performance goals, measures, and metrics are developed and aligned to the 

Department’s Strategic Plan, the DOL 5-year IRM Strategic Plan, and to applicable agency’s annual 

operating plans. IT investment performance measures and metrics are developed and managed in 

accordance and compliance with the Performance Reference Model (PRM) as described in The Common 

Approach to the Federal Enterprise Architecture. The PRM defines thirteen standard measurement areas 

and the associated measurement categories used to track measures and metrics. At DOL, IT Investment 

Integrated Project Teams (IPTs) create annual IT Investment Target Architecture documents that describe

the specific performance measures and metrics that are used, tracked, and managed for each IT 

investment and report that data to the OCIO as part of the CPIC process and the monthly OMB IT 

Dashboard reporting process. Specific DOL IT investment performance goals and metrics can be viewed 

on the OMB IT Dashboard at: www.itdashboard.gov/portfolios/agency=012. 

In FY 2013, the DOL OCIO established an IT investment focused Program Review Board (PRB) to 

oversee and manage the performance of cross-cutting department-wide IT investments at DOL. The PRB 

is comprised of OCIO and agency subject matter experts and key agency stakeholders whom review the 

status of project activities and provide recommendations to support the timely and successful 

implementation of the major IT investments. The PRB process is working effectively and has already 

proven to be a valuable proactive performance management tool in managing DOL’s major IT 

investments as well as stakeholders’ expectations. The DOL annual Operating Plans align with and 

support the DOL Strategic goals and describe their fiscal year priorities and key program activities and 

strategies to be accomplished, including associated performance measures. Agency performance 

measures include mission operations, productivity, service, and/or customer service oriented 

measures/milestones. The department tracks progress toward achieving its annual and strategic goals by 

using quantifiable performance measures.

Page 55 of 150
Department of State

State IT investments adhere to an enterprise-wide standard for the development and tracking of 

performance metrics. Investment performance metrics are centered on four strategic areas: customer 

service, mission and business, process and activities, and technology. Performance metrics are 

developed, measured, and reported at the program level to ensure greater insight into the IT operational 

activities supporting the department’s mission and are reported monthly to the Federal IT Dashboard as 

part of OMB’s capital planning and investment control (CPIC) requirements. Metrics are aligned to the 

department’s Quadrennial Diplomacy and Development Review (QDDR) and address how programs 

support the goals and objectives identified in the IT Strategic Plan.

The E-Gov Program Board, a governance body comprised of department senior leaders, prioritizes 

the IT portfolio based on business value, health, and the management of IT resources in adherence to 

State project management standards. This prioritization process is used to evaluate IT investments and 

make funding and management decisions, and involves the following: assessing the investment’s business 

value; evaluating the investment’s alignment to the QDDR and IT Strategic Plan, customer/stakeholder 

needs, and the identification of continuous customer and technology improvements methodology;

monthly reporting of investment cost and schedule health to determine if investments are meeting 

performance standards; and evaluating the execution of projects against department project management 

standards. Each phase of the prioritization process is reported to members of the E-Gov Program Board 

by the CIO and the Director of Budget and Planning to support budget and management decisions. IT 

Operational Performance Metrics are available at: 

www.itdashboard.gov/portfolios/agency=014. Information on Planning, Performance, and Budget can be 

obtained on the state.gov website located at: www.state.gov/s/d/rm/c6113.htm.

Department of Transportation

DOT's Integrated Program Planning and Management (IPPM) framework suggests a risk-adjusted 

Net Present Value (NPV) approach for evaluating the value of agency IT investments. DOT recognizes 

that NPV is but one method for evaluating an investment's worth against its costs, and has reallocated 

contractor resources to develop a more robust IT investment valuation model. The model will build on the 

DOT EA Roadmap, which identifies a number of IT-related strategic themes. These include:

• Data accessibility and information sharing;

• Data completeness and granularity;

• Root cause analysis and risk-based resource targeting;

• Transparency, participation, and collaboration;

• Delivering [operational] efficiencies to increase [transportation infrastructure] capacity;

• Improved forecasting and prioritization capabilities;

Department of the Treasury

Treasury's CPIC portfolio contains 252 investment performance metrics, of which 151 are tied to 

agency strategic goals. Treasury's strategic goals are supported by a number of metrics measuring 

customer results, mission and business results, process and activities, and technology. Specific details of 

individual performance metrics may be found on the IT Dashboard as part of Treasury’s statutory CPIC 

Page 56 of 150
reporting.

Department of Veterans Affairs

The FY 2014-2020 VA Strategic Plan provides the department’s long-term direction and places a 

stronger emphasis on defining success by veterans’ outcomes; enhancing the quality of and access to 

benefits and services through integration within VA and with our partners; and developing our workforce 

with the skills, tools, and leadership to meet our clients’ needs and expectations. The VA seeks to 

transform into a high-performing 21st century organization that adapts to new realities, leverages new 

technologies, and serves a changing population of veterans. VA has built their strategy around three 

guiding principles: people-centric, results driven, and forward-looking. The VA's strategy is aimed at 

accomplishing four strategic goals:

1. Improve the quality and accessibility of health care, benefits, and memorial services while 

optimizing value.

2. Increase Veteran client satisfaction with health, education, training, counseling, financial, and 

burial benefits and services.

3. Raise readiness to provide services and protect people and assets continuously and in time of 

crisis.

4. Improve internal customer satisfaction with management systems and support services to 

achieve mission performance and make VA an employer of choice by investing in human 

capital.

U.S. Agency for International Development

USAID's Office of the Chief Information Officer Project Management Office (USAID/CIO/PMO) 

assists project teams with developing and tracking performance metrics that support agency strategic 

goals, statutory mandates, and other governmental goals and requirements. Unique performance 

measures are developed for each project in the IT portfolio. These measures focus on:

1. Mission and business results that projects deliver in support of agency strategic goals;

2. Customer service;

3. Improvements to business processes and activities;

4. Deployed technology performance; and,

5. Project execution.

These performance measures incorporate the following “Performance Indicators” as some of the 

metrics of effective project performance: Customer Benefit, Service Coverage, Timeliness and 

Responsiveness, Management and Innovation, Productivity, Technology Costs and Effectiveness. All 

performance measures developed for the projects are mapped to the agency’s strategic goals and 

objectives. The performance measures are tracked through the project’s development, modernization and 

enhancement phase into the operations and maintenance phase.

In coordination with the PMO, USAID M/CIO’s Process and Quality Management (PQM) office has 

developed an IT Project Governance Manual that establishes the processes and procedures used to 

manage IT projects at USAID. The manual outlines the basic IT Project Governance requirements for the 

agency, including system engineering, project management, and governance processes codified as the 

Page 57 of 150
USAID “IT Project Life Cycle Methodology (ITPLCM).” The manual provides for a formal, structured, 

and integrated approach to managing agency IT projects. USAID IT Project Governance emphasizes best 

practices and decision processes that enhance the effectiveness of system development projects and the 

delivery of IT systems. The manual identifies a methodical progression of best practice action items that 

are to be systematically and uniformly performed throughout the life cycle of an IT project. This 

progression ensures that key decisions made along the way result in effective systems that fully consider 

enterprise direction, priorities, and business processes; functional process, data, and information 

requirements; laws, mandates, and audit requirements; economic and technical constraints; and

development and on-going operational risks.

USAID IT Project Governance incorporates project, configuration, security, and portfolio 

management processes as well as complementary enterprise disciplines, including CPIC, Enterprise 

Architecture, and USAID’s Automated Directives System’s required policies and procedures. IT Project 

Governance focuses on delivering IT systems that:

• Meet or exceed customer needs and expectations;

• Work effectively and efficiently within the current and planned technical infrastructure;

• Offer production-quality reliability and performance;

• Are inexpensive to maintain and cost-effective to enhance IT projects undertaken at the agency; 

and,

• Follow USAID’s framework or use a comparable best-practices methodology with similar phases, 

tasks, milestones, and deliverables.

The implementation approach specifies a well-defined governance structure with change 

management procedures, and periodic status and phase-gate reporting. During the project start-up phase 

and on an annual basis, project managers and senior technical and functional team members will complete 

training on the IT Project Governance Framework and Manual. At the end of training, all participants 

will be required to pass a certifying test that demonstrates knowledge of the Governance Manual and its 

use.

The strategic objectives for the IT project governance methodology are to:

• Provide predictably consistent systems within cost estimates;

• Institutionalize policies, procedures, standards, and best practices;

• Facilitate cross-functional communication, coordination, and collaboration; and,

• Provide for ongoing process improvement and a means to incorporate “lessons learned.”

The IT Project Governance Manual specifies that compliance with IT Project Governance at USAID 

is mandatory, and all IT projects, including software development and third-party systems, are subject to 

compliance reviews and audits. These reviews are formally identified as “Phase Gate Reviews.” Phase 

gate reviews are conducted to assess project status, quality, risks, compliance with requirements, and 

ensure stakeholder / customer acceptance and ownership. This process helps determine if the project is 

ready to proceed into the next stage or phase. Projects cannot continue beyond a current phase gate 

Page 58 of 150
without full or conditional approval from the applicable review board. The most common phase gate 

review body is the Project Review Board (PRB). The PRB is composed of senior stakeholders 

representing USAID IT functional, governance, and customer areas.

Environmental Protection Agency

The EPA’s approach to IT-metrics is multi-faceted. EPA reports performance metrics on major 

investments to the OMB IT dashboard monthly. These metrics capture cost and schedule, and operational 

metrics that are unique to each investment. EPA is finalizing its Information Resources Management 

Strategic Plan. This plan evaluates the five-year strategic objectives of the agency and aligns its IT 

objectives to the agency strategic objectives. The appendices to this plan tie together the agency strategic 

objectives, the metrics for those objectives, and the IT data sources for assessing the metrics. The EPA 

Enterprise Architecture (EA) team works with investments to ensure that they address documented 

business needs and that they map to Agency strategic objectives. The EA team is has developed metrics 

that establish the value of EA services, such as the standardized Solution Architecture models and the 

completeness of mandatory data sets.

General Services Administration

Performance measurement plays a critical role in ensuring GSA meets its IT Strategic Business Plan 

goals and objectives. By monitoring various levels of performance measures, the agency is able to 

identify whether the strategic plan is relevant and responsive to changing conditions. Agency-wide IT 

strategic goals are issued as part of the IT Strategic Business Plan.

Major IT investments are required to demonstrate how the IT investment will move toward agency’s 

strategic goals’ achievement, using specific performance metrics appropriate to the business mission and 

link to program, and process management. The CPIC process also enables project performance measures 

to be monitored monthly to ensure investments are updating their measures timely and identifying 

whether investments are meeting the stated targets. Review of the operational measures enables the 

agency to perform root cause analysis and identify opportunities for improvement. GSA is also 

consolidating its IT resources and developing a new IT services-focused strategy and is re-baselining its 

IT Portfolio, both of which will be articulated in the annually updated IT Strategic Plan for FY 2014-FY 

2016.

National Aeronautics and Space Administration

As NASA's consolidation efforts matured over the past ten years, the Agency has addressed the 

needs related to the on-going analysis of mission needs to ensure systems, equipment, and services meet 

operational performance requirements. NASA has reduced the total number of data centers from the 

original 79 reported to 35. NASA reaffirmed its commitment to reduce to approximately 22 data centers 

by 2015. NASA has also completed the laptop encryption effort for all computers containing personally 

identifiable information, and international traffic in arms regulations and export administrations 

regulations information. The installation of this encryption software is required before a laptop can be 

removed from a NASA facility.

Over the past year the Enterprise Service Desk (ESD) supported the I3P initiative and NASA 

customers 24 hours a day, 7 days a week, and 365 days a year. ESD provides a central service desk, 

service request system, a self-service, Tier 0 Web portal, knowledge sharing capability, ability to centrally 

capture and provide notifications, and system status capabilities. Since ESD began operating in 

November 2011, metrics show the progress and success of the project whereby customer satisfaction is at 

Page 59 of 150
95%; 85% of calls are answered within 60 seconds; the call abandonment rate is 2.8%; and first call 

resolution on Tier 1 related items is at 92%. Overall, 280,000 incidents and over 115,000 service requests 

have been processed, which represents an increase of approximately 12% and 15% respectively in volume 

year over year.

NASA is working to re-architect NASA’s Wide Area Network to establish a defensible Agency 

network perimeter. This will greatly enhance NASA's security posture. On NASA’s mission network, the 

Agency will complete the replacement of all routers on the core mission backbone and has begun work to 

have the mission and corporate utilize a common backbone providing significant cost savings as well as 

increased security posture. OMB's IT Dashboard assists NASA in the monthly monitoring of strategic 

investments. Investment metrics are captured and reviewed at both the Center and Agency level and 

periodically reviewed with the NASA CIO. Performance metrics are included in this effort and are also 

published to the IT Dashboard. The majority of these metrics focus on customer service (i.e., response 

time to the customer) and productivity (i.e., uptime of a system). NASA IT infrastructure metrics can be 

found at: www.itdashboard.gov/investment?buscid=46. Other metrics are shown under the individual 

NASA IT investments listed in the "Investment" tab on the following page: 

www.itdashboard.gov/portfolios/agency=026.

National Archives and Records Administration

NARA uses performance metrics to track progress towards achieving strategic goals and objectives. 

The same process is followed with an IT investment as with any mission or non-IT program. NARA 

recently realigned their investments into a concise set of six portfolios to better represent NARA’s 

business practices. In addition to being aligned with the specific business functions, these portfolios and 

investments are aligned with the enterprise technical and business architecture. Three of these portfolios 

are currently also tracked as major IT investments, with multiple performance measures in the areas of 

business results, customer results, process and activities, and technology. These metrics are reviewed 

regularly and have aggressive annual targets. NARA performance based reporting is focused on public 

facing applications. A variety of performance metrics are tracked and reported such as availability, 

number of users, and cost per visit for public facing applications. In addition, customer satisfaction with 

NARA’s helpdesk services and the percent of help desk responses that are completed within four hours 

are also tracked. These portfolios relate directly to NARA’s ability to carry out major operational 

processes, which enable mission accomplishment. These investments support the processes and 

infrastructure required for NARA to preserve and protect its holdings while providing access in an 

efficient and timely manner. For investments that are in an operations and maintenance phase, 

performance metrics are designed to illustrate the outcomes and results of these investments.

National Science Foundation

NSF’s information technology systems support the key business processes related to the agency’s 

mission: identifying and funding work at the frontiers of science and engineering. The Federal IT 

Dashboard includes metrics tied to NSF’s key IT investments, covering a range of goals related to the 

agency systems that support the mission. For example, NSF’s Legacy Mission Applications investment 

includes metrics demonstrating that the processing of research proposals, our core mission, is performed 

in an automated environment from receipt of the proposal through to the actual award. The metrics 

indicate that 100% of agency awards are processed electronically through NSF’s proposal processing 

system. This high level of automation contributes to agency productivity. Similarly, our IT 

Infrastructure, Office Automation, and Telecommunications investment includes several metrics related 

to customer service and agency productivity. The results of these metrics indicate high levels of customer 

satisfaction, illustrating that NSF’s integrated help desk, which focuses on internal and external 

Page 60 of 150
customers, is operating effectively. Additionally, NSF demonstrates a high level of system and network 

availability, which contributes to the efficient operational performance of the agency. NSF’s IT 

Dashboard page is located at: www.my.itdashboard.gov/portfolios/agency=422.

Nuclear Regulatory Commission

The NRC requires identification, tracking, and monitoring of performance metrics for each 

investment throughout the “control” and “evaluate” phases of the CPIC process. Additionally, a summary 

metric for each major system is included in the System Owners’ performance plans and combined with 

other performance plans. For each IT investment, the NRC develops key performance metrics based on 

goals outlined in the agency’s IT/IM Strategic Plan, specifically Information Access, IT Solutions, and 

Customer Service. To support the IT Solutions goal, the NRC initiated a pilot of our recently approved 

Value Model, which values IT/IM investments based on factors such as number of users, mission impact, 

and cost to the agency. As part of this pilot, the NRC used the Value Model to identify opportunities to 

reduce FY 2014 spending on IT/IM investments, and to evaluate proposed FY 2015 investments. The 

results of the pilot will assist the agency’s senior management in identifying budget reduction 

opportunities, as well as refining the Value Model for FY 2016 budget formulation. In addition, the NRC 

will use the Value Model to establish accurate portfolio information for IT/IM investments that require 

submission to OMB for sound planning, budgeting, acquisition, and management throughout the project 

life cycle. For FY 2013, the existing measures focus on customer service, IT investment transparency, 

business value of technology solutions, productivity, and operational effectiveness (with a focus on 

infrastructure to support business needs). All of these metrics are aligned with OMB guidance and the 

Reference Models associated with the Federal Enterprise Architecture Common Approach. Specifically, 

the NRC tracked and monitored the following performance metrics for IT/IM investments in FY 2013:

• IT Investment Management Score

• Agency IT Investment Transparency

• PortfolioStat Assessment

• Value Model Assessment Score 

Office of the Director of National Intelligence

The third strategic goal in the August 2009 National Intelligence Strategy, Deliver Balanced and 

Improving Capabilities, necessitates IT Service Management (ITSM) service providers continuously 

reassess and adjust to prepare for tomorrow's challenges while ensuring the user community can meet 

today's missions. Enterprise Objective 4 (E04), Improve Information Integration and Sharing, supports the 

NIS third strategic goal.

The main ODNI ITSM Service Provider, the Infrastructure Services Group (ISG), a forward deployed 

CIA service provider, adopts several best practices in the delivery of IT service. Most noteworthy are the 

Information Technology Infrastructure Library (ITIL) and the Project Management Body of Knowledge 

(PMBOK) based Project Management Framework (PMF). ISG has adapted these best practices to meet 

the diverse requirements of the ODNI IT user community.

A comprehensive view of IT health is provided through the monthly DNI Dashboard and ISG Scoreboard, 

and the Weekly DNI IT Status Report. These reports provide a series of Key Performance Indicators 

(KPIs) that track volume and trends of IT service delivery. Service Level Targets (SLTs) are tracked as an 

indication of how well ISG and other service providers meet mission requirements. Network availability, 

Page 61 of 150
time to grant accesses, capability, volume of email, customer satisfaction, help desk activity, requirements 

and projects created and closed, incidents and service requests created and closed, and video 

teleconference service are examples of metrics regularly viewed. Additional weekly reports are shared 

with service providers such as missed SLTs and new requirements. Ad hoc reports, such as root-cause 

analysis of SLTs missed and process variation, are produced.

Office of Personnel Management 

OPM IT investments analyze and establish their performance metrics. OPM tracks the performance 

metrics to ensure excellent customer service, to maximize business value of IT, and to find ways to 

manage the programs more efficiently. Performance metrics are reported monthly, quarterly, and semiannually on the Federal IT Dashboard demonstrating the "business value" of the investments to the 

taxpayer beyond just successful project cost or schedule management. These metrics are analyzed and 

briefed to the CIO weekly, to the IRB, and in Chief of Staff meetings as to progress of whether the 

metrics are met or not and any corrective actions to follow if necessary. Multiple statutory mandates and 

OPM strategic goals drive the metrics. For instance, the OPM strategic goals “Ensure the Federal 

workforce and its leaders are fully accountable, fairly appraised, and have the tools, systems, and 

resources to perform at the highest levels to achieve superior results" and “Help agencies recruit and hire 

the most talented and diverse Federal workforce possible to serve the American people” are evident in the 

following performance metric examples:

1. Consolidated Business Information System: Resolution of help desk tickets/incidents, 

percentage of time taken to resolve incidents by criticality. Number of incidents solved within 

the acceptable timeframe/total number of incidents*100 (monthly).

2. EHRI eOPF: Web-based customer satisfaction survey to HR Specialists and employees using 

eOPF. Percentage of respondents that are satisfied or extremely satisfied (quarterly).

3. USA Staffing: Customer satisfaction and organizational effectiveness, i.e., percentage of 

customers confirming USA Staffing services contribute to improved organizational effectiveness 

(semi-annually).

Small Business Administration

SBA assesses performance at both the program and agency-wide levels. SBA uses the Annual 

Performance Report to report the agency’s performance with respect to each of its particular missions. 

SBA’s Summary of Performance and Financial Information FY 2012 is available at:

www.sba.gov/sites/default/files/files/FY%202012%20Summary%20of%20Performance%20and%20Finan

cial%20Information.pdf.pdf.

SBA has linked performance goals to key stakeholders, private sector, other agencies, and internal 

operations through strategic goals being set with positive outcomes and achievements. The SBA 

Strategic Plan 2011-2016, Strategic Objective 1.4, “Ensure that SBA’s disaster assistance resources for 

businesses, non-profit organizations, homeowners, and renters can be deployed quickly, effectively and 

efficiently in order to preserve jobs and help return small businesses to operation.” SBA’s Summary of 

Performance and Financial Information FY 2012 shows that the Strategic Objective 1.4 for Disaster 

Assistance was met. There are significant percentage increases shown within the Actuals for each of the 

Fiscal Years. The FY2013 Summary of Performance and Financial report should be available in early 

2014.

Page 62 of 150
Social Security Administration

The SSA IT program develops and tracks progress towards agency and IT investment-specific 

performance goals as part of its annual budget process and ongoing management and oversight processes 

for major IT investments and smaller-scale projects as appropriate. Business cases for each investment 

are tied to agency mission statements, long-term goals and objectives, and annual performance plans. 

Performance measures are a required element of the business case for each of the agency’s major IT 

programs. Each investment must contain results specific metrics to measure the effectiveness of the 

investment in delivering the desired service or support level. These metrics support the business case 

justification and provide the foundation of a quantitative approach to defining benefits in a cost-benefit 

analysis. Investments must also contain activities and technology specific metrics to measure the 

program against its defined process standards or technical service level agreements.

IT performance goals for major investments include programmatic impact, customer service, and 

technical goals for operational IT systems, developed by investment program managers in concert with 

business sponsors and other members of the investment's established integrated program team.

At the conclusion of the development life-cycle of selected major IT investments, a Post Implementation 

Review (PIR) is conducted to evaluate areas including:

• How the IT investment aligns with the agency’s mission;

• Performance expectations and actual outcomes; and,

• Contributions of the project toward achieving both the Agency Strategic Plan and the 

performance measures in the Annual Performance Plan

With operations and maintenance activities at times consuming the majority of the total life-cycle 

costs of a program, it is critical to monitor the effectiveness and productivity of those 

investments. Collecting and analyzing performance data is essential to ensuring that programs continue 

to deliver value to the organization and the public. Performance metrics are an important element of 

Operational Analysis, the continued measurement of a program’s strategic and business results. Agency 

management, OMB and the Federal IT Dashboard receive performance goals reports on a monthly, 

quarterly, or semi-annual schedule. An investment’s performance against established goals is a key 

consideration in both CPIC processes and steady state system operational analysis.

 

Page 63 of 150
APPENDIX D: ACCESSIBILITY

In accordance with Section 202(d) of the E-Gov Act, this appendix provides URL’s agency websites 

describing actions taken by agencies in accordance with Section 508 of the Rehabilitation Act of 1973, as 

amended by the Workforce Investment Act of 1998 (P.L. 105-220).

Agency Agency URL(s)

U.S. Department 

of Agriculture

www.ocio.usda.gov/policy-directives-records-forms/section-508

U.S. Department 

of Commerce

www.ocio.os.doc.gov/ITPolicyandPrograms/IT_Accessibility/index.htm

U.S. Department 

of Defense

www.dodcio.defense.gov/DoDSection508.aspx

www.dodcio.defense.gov/DoDSection508/Std_Stmt.aspx

U.S. Department 

of Education

www2.ed.gov/web-guidance/accessibility-requirements.html

www2.ed.gov/web-guidance/technical-standards-implementing-section-508.html

U.S. Department 

of Energy

www.energy.gov/cio/department-energy-doe-and-section-508

U.S. Department 

of Health and 

Human Services

www.hhs.gov/web/508/index.html

www.hhs.gov/ocio/policy/508_policy.html

www.hhs.gov/web/508/Standards/index.html

U.S. Department 

of Homeland 

Security

www.dhs.gov/accessibility

U.S. Department 

of Housing and 

Urban 

Development

www.hud.gov/offices/cio/sdm/devlife/def/trm/assistivetech.cfm

U.S. Department 

of the Interior

www.doi.gov/ocio/information_management/section-508.cfm

U.S. Department 

of Justice

www.justice.gov/accessibility/accessibility_info.htm

U.S. Department 

of Labor

www.dol.gov/oasam/ocio/ocio-508.htm

www.dol.gov/oasam/regs/statutes/sec508.htm

www.dol.gov/oasam/foia/dlms-chapters/dlms9-0600.htm

U.S. Department 

of State

www.state.gov/accessibility/

Page 64 of 150
U.S. Department 

of Transportation

www.dot.gov/drc/section-508

www.fta.dot.gov/about/13056.html

www.faa.gov/about/office_org/headquarters_offices/aio/programs/ites/sec_508

www.fra.dot.gov/Page/P0165

www.marad.dot.gov/about_us_landing_page/accessibility_certification/accessibility

_certification.htm

www.nhi.fhwa.dot.gov/resources/section508.aspx

www.nhtsa.gov/About/Accessibility

www.phmsa.dot.gov/about/accessibility

U.S. Department 

of the Treasury

www.treasury.gov/about/role-of-treasury/orders-directives/Pages/td87-06.aspx

U.S. Department 

of Veterans 

Affairs

www.section508.va.gov

U.S. Agency for 

International 

Development

www.usaid.gov/sites/default/files/documents/1868/508.pdf

Environmental 

Protection Agency

www.epa.gov/epahome/accessibility.htm

General Services 

Administration

www.gsa.gov/portal/content/105254

www.section508.gov/

National 

Aeronautics and 

Space 

Administration

www.nasa.gov/accessibility/section508/sec508_overview.html

National Archives 

and Records 

Administration

www.archives.gov/global-pages/accessibility.html

National Science 

Foundation

www.nsf.gov/policies/access.jsp

Nuclear 

Regulatory 

Commission

www.nrc.gov/site-help/access.html

Office of the 

Director of 

National 

Intelligence

www.dni.gov

Office of 

Personnel 

www.opm.gov/html/access.asp

Page 65 of 150
Management

Small Business 

Administration

www.sba.gov/about-sba-info/accessibility

Social Security 

Administration

www.socialsecurity.gov/accessibility/508_overview.html

*This is government-wide website managed by GSA.

Page 66 of 150
APPENDIX E: GOVERNMENT-PUBLIC COLLABORATION

In accordance with Section 202(e) of the E-Gov Act, this appendix describes how agencies utilize 

technology to initiate government-public collaboration in the development and implementation of policies 

and programs.

Department of Agriculture

USDA continually supports the Digital Government Strategy through customer engagement, 

collaboration and evaluating analytics or social media feedback. In order to prioritize high-value 

customer services and systems, USDA sought feedback directly from the public via the USDA blog, 

social media channels, and through traditional contacts in the field. Nearly 30 comments to the blog, and 

additional feedback received through other social media channels helped the department prioritize 

candidates for developing mobile-optimized tools or services, and helped USDA make data or systems 

available as APIs. High-value deliverables are showcased on the USDA Developer page, including the 

Farmers Market Directory API, as well as the mobile-optimized USDA Service Center locator. USDA 

also established an issues and feedback tracking forum on the department’s official USDA GitHub 

account to communicate directly with data users and developers.

Department of Commerce

In June 2013, the U.S. Census Bureau joined other Federal agencies and nonprofit organizations to 

issue a challenge to participants in the “National Day of Civic Hacking.” The Census Bureau issued "The 

Census American Community Challenge," which asked developers to use publicly available American 

Community Survey statistics in the agency's open API to develop an application that helps communities 

either with economic development or with disaster planning. The National Civic Day of Hacking brought 

together citizens, software developers and entrepreneurs from across the nation to collaboratively create, 

build, and invent solutions using publicly released data, code and technology to solve challenges relevant 

to neighborhoods, cities, states and the nation. More than 11,000 people across the country participated in 

the National Day of Civic Hacking, with many of them using the rich array of local statistics from the 

Census Bureau's American Community Survey to develop new online apps. Census Bureau staff 

participated in 31 events throughout the country to help developers use American Community Survey 

statistics to build new apps.

The Census Bureau's API and participation in this national event opened up Census Bureau statistics 

beyond traditional uses, giving developers in research, business and government the means to customize 

the statistics into applications that their audiences and customers need. During the event, software 

developers and entrepreneurs from across the country collaborated to invent and build solutions using 

publicly released data, code and technology to solve challenges relevant to communities. One app 

developed at the event creates heat maps that show American Community Survey statistics at the county 

level across the United States. More examples can be found on the Census Bureau's Developer's Forum 

in the Application Showcase. This forum is used to provide support, get feedback and collaborate with 

developers on prioritizing new features in the API. The API is in line with the goals of the Digital 

Government Strategy to create "open data" to allow the public to access government data and to make 

information more transparent and customer-centered.

Department of Defense

The Federal eRulemaking initiative facilitates public participation in the Federal regulatory process 

by improving the public’s ability to find, view, understand, and comment on federal regulatory actions 

and rulemaking materials. E-rulemaking has enabled DOD to harness the power of advanced digital 

Page 67 of 150
technologies to make its rulemaking process more manageable, as well as expand and enhance the 

public’s involvement in its rulemaking process. Through the use of information technology, DOD has 

increased the public’s understanding of rulemaking, improved policy decisions by making it easier for 

regulatory officials to analyze large volumes of data drawn from multiple sources, reduced the cost of 

resources, and increased regulatory compliance by increasing the public’s understanding of what 

regulations require. Additionally, in FY 2013 DOD harnessed the capabilities of the FDMS and 

www.Regulations.gov to pre-test public facing forms requiring approval by OMB in accordance with the 

Paperwork Reduction Act. This allowed the public to view, download, test the forms, and provide 

comments to DOD using the electronic docket. As a result, DOD produced better quality forms with 

plain language instructions, and reduced the time and cost to components to pre-test their forms through 

other means.

Department of Education

More than 150 American entrepreneurs, software developers, education experts, and policy makers 

came together Oct. 9, 2012, for an Education Datapalooza at the White House. The gathering was a 

chance to celebrate new products, services, and apps built with freely available data from the government 

and other sources that have the potential to help American students succeed, and empower students and 

their families to make informed educational decisions. Examples of achievements include:

• Over 78 million people are now able to download their own Federal student loan and grant data 

from the Department of Education via the National Student Loan Data System for Students;

• On the K-12 level, pioneering school districts and states are committing to give students the 

ability to access and download their own academic data;

• A new state-led effort will make it easier to transfer academic information digitally and securely 

when moving between schools, an especially valuable service for children of active military and 

foster children; and

• A new collaboration between ED and higher education institutions to work on a data standard for 

postsecondary course catalogs, degree requirements, and related information. 

ED also held two data jams held at the Massachusetts Institute of Technology and Stanford 

University in the fall of 2013. The data jams focused on data related to postsecondary education. The 

goal of the ED data jams and Datapalooza is to spark interest and collaboration among entrepreneurs and 

developers in creating apps and other digital tools to facilitate easier access to higher education 

information for prospective and current college students. These efforts build upon the MyData Initiative,

a collaboration between ED and software developers to help students securely export or download their 

own educational data in open, machine-readable, human-readable formats, on any system. Open data 

standards can also solve problems inherent in the antiquated paper-based student record system. For 

example, many teachers and principals across the country deal with new students who arrive in

classrooms with virtually no paper trail, forcing educators to make important decisions without student 

records, data, or points of reference. Student information systems that can import and export student 

academic records in the same standardized format make it easier for schools to transfer information 

internally and with other schools.

Department of Energy

DOE uses a number of online tools to directly collaborate with the public. Not only does the 

Page 68 of 150
department have a documented customer engagement approach consistent with the Federal Digital 

Strategy, DOE also uses social media, email lists, and the Energy.gov website to communicate with the 

public. In April 2012, DOE challenged the American developer community to build apps that help utility 

customers make the most of Green Button electricity usage data. DOE continues to build upon this 

success and the department is currently preparing a new Apps for Energy challenge that launched in 

November 2013. Additionally, DOE continued to engage with the data and developers community 

through a series of data jams and other events.

Department of Health and Human Services 

The work of the National Library of Medicine has transformed access to biomedical information for 

researchers, practitioners, and patients. HHS has used the Health Data Initiative to make more data from

HHS easily available and accessible to the public and to innovators across the country. This includes 

clinical care provider quality information, nationwide health service provider directories, databases of the 

latest medical and scientific knowledge, consumer product data, community health performance 

information, government spending data and much more. Both www.HealthData.gov and 

www.Healthindicators.gov are examples of technology solutions to the Health Data Initiative. The 

growing momentum of the Health Data Initiative was recently highlighted at a Health Data Initiative 

Forum (a.k.a. "Health Datapalooza") hosted in June 2013 by the Institute of Medicine and HHS. This 

forum showcased 50 of the best products and services developed by companies that have harnessed HHS 

data to help consumers get the information they need, help doctors deliver better care, help employers 

promote health and wellness, help local policymakers make better-informed decisions and much more.

Department of Homeland Security

The DHS Office of Public Affairs (OPA) initiated the use of Idea scale, a web-based dialogue tool 

that enables the department to directly engage with the public on a range of issues and policies. Idea scale 

creates participatory, self-moderated communities and allows agencies to interact directly with the 

community that is formed around an idea. Agency representatives can leave comments and communicate 

the status of an idea while building strong relationships with citizens by confirming that their voices are 

heard. Idea scale is available for headquarters offices, directorates, and operational components for 

separate dialogues and stand-alone iterations of the tool, with prior approval from OPA. Some recent Idea 

scale dialogues include:

1. Federal Emergency Management Agency (FEMA) Employee Collaboration Community

2. FEMA

3. E-Verify Listens

4. DHS Office of Emergency Communications

5. Beta review of www.DHS.gov

Department of Housing and Urban Development

In March 2013, HUD unveiled the first housing discrimination mobile app. Developed by HUD’s 

Office of Fair Housing and Equal Opportunity (FHEO) and HP, the app uses the latest technology to 

provide the public with a quick and easy way to learn about their housing rights and file housing 

discrimination complaints, and inform the housing industry about its responsibilities under the Fair 

Housing Act. The app will also be an important tool to assist fair housing groups and other civil rights 

advocacy organizations in their efforts to help individuals pursue their housing rights and industry to 

educate their members on their responsibilities. Several groups indicated their intent to promote the app 

with their members and in communities where they work, including MomsRising, Illinois Department of 

Page 69 of 150
Human Rights, Access Living, League of United Latin American Citizens, Asian Real Estate Association 

of America, National Association of Hispanic Real Estate Professionals, National Association of Real 

Estate Brokers, and the National Center for Lesbian Rights. In addition to facilitating real-time delivery 

of housing discrimination complaints, the app can be used by individuals researching their housing rights 

after a natural disaster, when power outages make mobile devices one of the few ways to access the 

internet. The app also provides information about the fair housing complaint process, and allows the 

public to access HUD’s toll-free discrimination hotline and link to HUD’s fair housing website.

Department of the Interior

The U.S. Geological Survey (USGS) is incorporating data obtained from volunteers to update 

information about the location and names of common buildings such as police stations, fire stations, 

schools, and hospitals. This information becomes part of The National Map once it has undergone 

appropriate quality assurance. The National Map is a set of national databases that contain basic map 

information for the United States. The USGS typically maintains information in The National Map 

through partnerships with other governmental agencies and contracts with private sector firms. While the 

USGS has had a volunteer program in the past to maintain map information, technological advancements 

have made it much more feasible for the public to provide accurate locational information and for the 

USGS to incorporate information into The National Map. As of November 1, 2013, over 1,000 

volunteers have joined the project, and over 18,000 edits have been made to the data in The National 

Map. The USGS is working with national volunteer organizations to recruit additional volunteers. A set 

of virtual badges have also been established to reward volunteers for providing a specified number of 

edits. More information about the volunteer program can be found at: 

www.nationalmap.gov/TheNationalMapCorps/index.html.

Department of Justice

DOJ continued to expand mechanisms for improving engagement with the public for participation in 

policy and program development and implementation. In support of the department's implementation 

of the Federal Digital Strategy, DOJ has actively solicited public comment in two areas of Digital 

Strategy implementation:

1. What Justice Department information would members of the public like to be able to access on 

mobile devices? 

2. What Justice Department information, data, or applications would you like to us make available 

via APIs? 

As part of the milestones for implementing the Open Data Policy, DOJ published multiple datasets 

which are accessible through an open API, and significantly expanded the number of datasets published to 

the public and accessible via Data.gov and through the department's Open Data website at 

www.justice.gov/data. A key aspect of this expanded effort at public release of datasets is participation 

by the public in identifying department information of interest, which is solicited via the department's 

Open Government mailbox at opengov@usdoj.gov.

Department of Labor

In 2012, DOL issued a series of open data-fueled competitions focused on equal pay, worker 

protection, disability employment and young workers. Each contest was listed on www.Challenge.gov, 

leveraged DOL data listed on www.Data.gov and APIs, software development kits (SDK's), and same 

Page 70 of 150
code hosted on developer.dol.gov. Each competition received national attention and praise, resulting in 

the development of over 100 quality applications by the general public. These public challenges 

demonstrate DOL’s leadership in liberating government data and making it publicly accessible and easyto-use via agile apps. These collaborative government and public efforts are a great example of the value 

that can be achieved by making DOL agency program data available to and usable by the public.

Additionally, in 2011, the DOL Office of Public Affairs (OPA) implemented a public-facing 

developer web page to support the development and use of publically available DOL data. Since that 

time DOL has published 34 open datasets, representing 201 data tables of DOL agency information, to its 

public developer website. As part of its vision to implement this vast amount of publicly-available data 

efficiently and effectively, DOL OPA took an innovative approach and implemented a centralized public 

API based portal to its developer web page. This public API portal acts as a centralized communications 

and access point for all of DOL’s public data which allows user access to all of the datasets. In addition 

to the open datasets, DOL supports public application developers with SDK's to make access to DOL data 

as easy as possible. DOL has lowered the barrier to entry for developers by publishing SDKs for six 

common platforms: iOS, .Net, Android, Ruby, Blackberry and PHP. DOL has published the SDKs to 

www.GITHUB.com for developers to download and utilize in creating innovative mobile and/or web 

applications.

Department of State

State completed an extensive revision of the FOIA website intended to make already-public 

information easier to find and requests for documents not yet public easier to file. The site offers a more 

intuitive design with improved information and guidance for requesters, and enhanced, robust search 

capabilities and search tips for finding information already available to the public. The redesigned 

website takes the user through the FOIA request process step-by-step, decreasing the likelihood of filing 

invalid or incomplete requests for State records. The new website is designed to encourage users to learn 

about State and the FOIA process, search for documents already in the public domain, and submit a 

request for documents if they are not already available. The new full-text search tool has an interactive 

results hit list that offers the user the ability to view, sort, and refine search results, as well as conduct 

additional searches for all documents associated with a particular FOIA case number. Specific 

instructions are provided to assist customers in framing search queries for the best results from searching 

more than 84,000 public documents. The redesign of the FOIA website is part of State's overall approach 

to dramatically increase transparency and openness by posting as much information as possible, in as 

timely a manner as possible. A re-examination of guiding principles for posting new material as well as 

new developments in the department’s case processing system advanced efforts to implement a 

technology-based streamlined process for web posting. This new approach has allowed the department to 

post more documents online than in any previous fiscal year.

Department of Transportation

DOT has leveraged the IdeaScale platform to gather public and expert feedback early in the policy 

development lifecycle. DOT launched a series of online dialogues in support of policy development after 

its most recent reauthorizing legislation, Moving Ahead for Progress in the 21st Century (MAP-21). 

During FY 2013, DOT operated dialogues on transit asset management, grants for ferry programs, and 

transit provider representation in Metropolitan Planning Organizations. In addition, DOT continues to 

use IdeaScale to support strategic planning activities, operating a dialogue on the Intelligent 

Transportation Systems Strategic Plan and meeting the Government Performance and Results Act 

Modernization Act requirements for public consultation on its updated strategic plan. Finally, DOT led 

an online dialogue in support of the interagency Committee on the Marine Transportation System 

Page 71 of 150
eNavigation plan. These dialogues have reached over 8,500 unique visitors, signed up over 2,000 users, 

with over 1,000 of those users participating by submitting ideas, commenting on ideas, or voting on one 

another’s ideas. 

Department of the Treasury

Treasury has established a cross-departmental, data focused working group known as Digital 

Government Innovation at Treasury (DiGIT) for coordinating efforts across the department. DiGIT is 

tasked with coordinating “Open-Data” oriented efforts across Treasury while also supporting critical 

elements of Treasury’s mission. The goals for this working group are to create and maintain an 

Enterprise Data Inventory; promote the release of data in machine readable format; create a process to 

engage with Treasury customers to help prioritize and sequence the release of Treasury data; and

encourage the development of applications for mobile devices. In addition, IRS has created a free mobile 

app, IRS2Go, in English and Spanish that provides access to tax tips, news, and the relevant tools to help 

taxpayers navigate tax related information and key IRS services. The Bureau of Engraving and Printing

has created EyeNote, a free mobile app that identifies denominations of US currency as an aid for the 

blind or visually impaired. This application works with or without network connectivity or equipment 

modification, and the spoken output can be in English or Spanish. 

Department of Veterans Affairs

The Advisory Committee Management Office advisory committees are used extensively by the VA 

to provide advice and guidance on a wide variety of programs that deliver benefits and services to 

veterans. Some of VA’s advisory committees have been mandated by Congress to ensure that federal 

laws, as carried out by the executive branch, are meeting their intended goals. Other VA committees have 

been created by the Secretary of the VA to assess specific policies or programs. Advisory committee 

members are generally acknowledged, by VA’s leadership and members of Congress, as “consumer 

representatives” of millions of beneficiaries whose lives are affected each year by VA 

programs. Advisory committees must operate in compliance with the Federal Advisory Committee Act 

(FACA), and meetings at VA are generally open to the public. One of VA’s principal objectives in 

managing its advisory committees is to ensure that committee members appropriately reflect the diversity 

of American society and the veterans’ population. Committee members are expected to have the 

technical, scientific and programmatic expertise demanded by the committees’ areas of interest and 

emphasis. Committee members are also expected to offer unbiased advice and to comply with all federal 

ethics standards.

U.S. Agency for International Development

USAID’s Mobile Solutions (MS) team leverages the capabilities and reach of mobile technology to 

accelerate USAID’s development goals through collaborations and initiatives that benefit the public. A 

key MS team engagement currently involves the development of a mobile phone based networked 

infrastructure in developing parts of the world. The effort is targeted at lowering the barrier to entry for 

the private sector and groups of potential entrepreneurs, while also creating a platform for new ideas, new 

business models, and new modes of communication and collaboration. This allows governments to 

harness the individual potential of people in parts of the world where technological gains have been 

exponential. In Africa for example, there were 49 million mobile phones in 2002, currently there are 700 

million, and by 2016, there will be an estimated 1 billion mobile phones.

USAID’s MS Team’s Strategy acknowledges that while access to information is critical to 

improving agriculture and health outcomes, not everyone has access to a mobile phone or mobile 

Page 72 of 150
broadband. While access to finance can transform lives, the vast majority of mobile money platforms are 

stuck in a subscale reality. While the mobile phone can empower the disadvantaged (significantly 

reversing the relationship between people, governments and donors) development organizations and 

governments have not kept pace with the exponential speed of technology. The MS team aims to close 

these three gaps by catalyzing mobile money platforms, mobile access to handsets and broadband, and the 

use of data collected by mobile devices to improve decision-making. Three principles guide this strategy:

1. Design for Scale: Mobile Solutions catalyzes platforms and ecosystems and then lets local 

organizations take the lead.

2. Partner for Impact: Mobile Solutions partners with private sector organizations to deepen its 

impact and extend its reach.

3. Fail Forward: Mobile Solutions intends to learn from any mistakes and facilitate best practices 

across USAID.

The MS team identifies and addresses existing barriers to mobile adoption that underpin the 

Agency’s (and beneficiaries’) ability to maximize mobile technologies to meet development needs. Its 

efforts include:

• Building the forthcoming Alliance for Affordable Internet, which brings together the public and 

private sectors to create a policy and regulatory environment to help lower the costs of mobile 

broadband for many developing countries;

• Partnering with private companies to reduce the mobile phone gender gap, enabling mobile 

ownership and more effective use by and for women in emerging markets;

• Initiating dialogue with organizations engaged in the Mobiles for Development sector and 

determining where public-private partnerships might address fundamental and persistent mobile 

access barriers; and,

• Developing a set of tools and research findings to help USAID Missions incorporate mobile 

access into existing activities or other work that can be amplified by mobile phones.

The MS team also catalyzes mobile money platforms to accelerate financial inclusion, root out 

corruption, empower entrepreneurs, and unlock the private sector. Its efforts include the USAID Forward 

Initiative, which works with missions to develop distinct mobile money programs meant to target gamechanging payment streams and integrate mobile money into their programs. Similarly, the USAID-Citi 

Mobile Money Accelerator Alliance works with Citigroup to jointly connect the mobile money ecosystem 

in five countries. Through the Better Than Cash Alliance, USAID connects a coalition of corporations, 

international development organizations, and governments who will commit to transition from cash to 

electronic payments, both for public-facing programs and internal operations.

The MS team accelerates the use of portable, electronic devices to collect information about the 

USAID-funded projects and sectors. The goal is to increase access to high quality, timely data, and 

capacity for evidence-based decision-making by USAID, its partners, and citizens with whom the agency 

works. Its efforts include:

• Working with missions like Afghanistan and Kenya to develop mobile data solutions for 

beneficiary feedback, monitoring, and evaluation that will inform project and program design;

Page 73 of 150
• Building knowledge and technical capacity throughout the international development community 

and amongst citizens to utilize these solutions and the information they generate; and,

• Developing policies to create reusable, sustainable mobile-based information systems that can 

reach the poor.

Environmental Protection Agency

During the Apps for the Environment Challenge and the subsequent My Green Apps website, EPA 

utilized technology for government-public collaboration. EPA conducted the challenge to encourage 

developers to make environmental applications that use EPA data. Thirty-eight applications were 

submitted for the public to use free of charge. The website is a clearinghouse for environmental 

applications and ideas for potential new applications. EPA encouraged the public to provide input about 

environmental applications, ideas for potential applications, and environmental data. During the 

challenge, the public submitted over 100 ideas they would like to see converted into applications and EPA 

encouraged dialogue about these ideas. EPA then identified data that could be used to create these 

applications, organized the ideas into environmental categories, and posted this information on the My 

Green Apps website. After the challenge, the public was encouraged to “like” the ideas they preferred 

most. This provided developers with market research about what applications people would use. EPA 

created a discussion forum for the public, the Data and Developer Forum, to suggest existing applications 

to include on the My Green Apps website. EPA organized and displayed the suggested applications and 

described what EPA data were used in the development of the applications. Similarly, developers and 

other members of the public used the Forum to suggest environmental data they would like to use. EPA 

was able to easily direct the public to currently-available data and encourage data owners to make data 

public.

General Services Administration

The Office of General Supplies and Services’ uses GSA Interact to communicate with industry 

partners, and solicit feedback regarding the One Acquisition Solution for Integrated Services (OASIS) 

solution. This is an example of how GSA utilizes technology to initiate government-public collaboration 

in the development and implementation of policies and programs. The community’s parent site,

www.Interact.gsa.gov, provides a social medium for:

• Creating threaded discussions with the GSA community;

• Learning about and participating in initiatives that contribute to the OASIS development process; 

and,

• Enhancing GSA Interact’s exposure beyond the federal government.

The OASIS Community on GSA Interact, to which the OASIS team has posted more than 100 blogs 

since its February 2011 launch, seeks to engage with Industry Partners to ensure transparency and 

collaboration throughout the solution’s development process. As of this month, the site has over 5,100 

members. Through this community, the OASIS team has looked to gain sufficient input and feedback 

regarding the development of OASIS as the next generation vehicle-of-choice; in addition, the community 

also facilitates communication and information sharing among group members from a variety of 

professional areas who do not normally interact with one another. Throughout the development of 

OASIS, the team has utilized the Interact community to share OASIS-related presentations given at 

industry events, promote informational events conducted by GSA, and solicit white papers for one-on-one 

Page 74 of 150
meetings with Industry Partners. As a result of the team’s focus on creating a transparent, collaborative 

community on Interact, the OASIS community has experienced an unprecedented amount of activity and 

interest. To date, we have received more than 400 questions regarding OASIS from Interact community 

participants. The work done by the OASIS team has served as a model through which GSA will continue 

to partner with our Federal Agency customers and Vendors so that we can deliver a more efficient and 

cost-effective acquisition solution that benefits government and the federal taxpayer.

National Aeronautics and Space Administration

The International Space Apps Challenge is a two-day hackathon where teams of technologists, 

scientists, designers, artists, educators, entrepreneurs, developers, and students collaborate across the 

globe, using publicly available data to design innovative solutions for global challenges in software 

development, citizen science, hardware, and data visualization. For the 2013 event, more than 9,000 

global citizens in 44 countries and 83 cities engaged directly with NASA for the largest hackathon in 

history. In 83 total hours, they collectively developed 770 solutions -- software, hardware, and data 

visualizations. In addition, over 2,200 people participated virtually from less formal locations -- coffee 

shops, libraries, community centers, and their own homes. Both the virtual participants and the 

participants in physical locations found each other through matchmaking functionality around each of the 

challenges, forming teams that spanned the globe. 474 organizations joined NASA, including six 

international space agencies, 11 US embassies, and six US federal agencies, to offer data and resources to 

teams of humanitarian hackers and innovators. They worked on 57 challenges, submitting two or more 

solutions per challenge. The most popular challenges: asteroids and the International Space Station. 

Participants designed CubeSats for Mars; integrated wind, solar, and geothermal energy data trackers; as 

well as visualizations for air traffic control, satellite tracking, and solar electric propulsion. Sol, the first 

interplanetary weather app using actual Mars science data took one of the top global prizes.

National Archives and Records Administration

The Office of the Chief Records Officer continued to reach out to the public and offered 

opportunities for public collaboration in many different ways in FY 2013. The most significant 

opportunities occurred during the development of NARA bulletins. NARA bulletins provide fundamental 

guidance to Federal agencies, who must then determine the most appropriate ways to incorporate 

recordkeeping requirements into their business processes and identify the specific means by which their 

agencies will fulfill their records management responsibilities. NARA provided the public an opportunity 

to comment by publishing draft bulletins on NARA’s Records Express blog and requesting comments. 

Comments were evaluated by the bulletin development teams for inclusion in the final published Bulletin. 

Two NARA bulletins went through the public review process in FY 2013: Guidance on a New Approach 

for Managing Email, and Guidance on Managing Social Media Records. These bulletins represent 

significant guidance to agencies in the management of electronic records and working with public input 

helped NARA develop the best guidance possible.

 

NARA also accepted comments from the public on a number of draft General Records Schedules. 

The team revising these schedules promulgated drafts via the Records Express blog to solicit comments 

on six draft schedules in FY 2013. NARA is committed to an ongoing process of reaching out to our 

government and public stakeholders as they continue their work on revising and updating these schedules. 

In addition, in September 2013 NARA hosted an industry day event, "The Managing Government 

Records Directive: A Grand Challenge for Industry," at the National Archives Building and broadcast the 

panel speakers via Ustream to reach as broad an audience as possible. The event provided the Federal 

information management community the chance to talk directly to vendors about what automated 

solutions are needed to meet the goals of the Managing Government Records Directive. The event 

Page 75 of 150
culminated with the announcement of a Request for Information, intended to gather information about 

relevant products and services for the Federal records management community. Dozens of responses 

were received and are available to Federal agencies. 

National Science Foundation 

NSF recognizes the value of collaboration between government and the public and encourages its 

use whenever possible. One recent example of NSF’s successful collaboration with the public is NSF’s 

hosting of a local event for the “National Day of Civic Hacking” in June 2013. NSF’s goal for the event, 

in which over 40 participants competed in a mobile application-building contest, was to use information 

from publically available data to solve the Northern Virginia Challenge, a project that involves “mashing” 

data from various government agencies to provide insights about the success of NSF’s mission. 

Impactful outcomes of the event included an iPad app that allows Arlington County firefighters to keep 

track of and monitor human resources responding to fire emergencies; a web application that allows users 

to find the addresses and websites of museums near them and a conceptual sketch of a mobile app that 

uses badges and discounts at local businesses to encourage and reward residents who use Capital 

Bikeshare resources. NSF plans to use the successful National Day of Civic Hacking event as a model for 

future collaboration with the IT and research communities.

Nuclear Regulatory Commission

As an independent regulatory agency that prides itself on openness, the NRC has a long-standing 

commitment to conduct our regulatory responsibilities in an open and transparent manner, consistent with 

the NRC Approach to Open Government. NRC believes this commitment is essential to keep the public 

and other stakeholders informed of, and involved in, their regulatory, licensing, and oversight 

activities. NRC considers public involvement to be a cornerstone of strong, fair regulation of the nuclear 

industry. For that reason, the NRC is committed to providing opportunities for the public to participate 

meaningfully in the Commission’s decision-making process.

In October 2012, the NRC began to develop a policy statement on consulting with Native American 

Tribes. As a starting point, the NRC updated and disseminated the Tribal Protocol Manual. This 

document embodies the agency’s commitment to acknowledge the sovereign rights of federally 

recognized Native American tribes in the development and implementation of agency policies and 

regulatory activities that have tribal implications. It also provides guidance on effective interaction 

between NRC staff and tribal governments, as well as background on the historic relationship between the 

Federal government and Native Americans.

To initiate government-public collaboration in the development and implementation of the Tribal 

Protocol Manual and the tribal consultation policy statement, the NRC used a variety of technologies, 

including their public website, social media, and www.Regulations.gov. NRC also solicited public input 

through a Federal Register notice, a news release, a Blog posting, Twitter, and RSS feeds. NRC also used 

www.Regulations.gov to provide access to related documents and comments received. In addition, NRC

offered a variety of technological and traditional options for stakeholders to submit their comments and 

suggestions, including the NRC Blog, a web-based Contact Us form, traditional mail, email, phone, and 

fax. All of these options yielded valuable input that will ultimately strengthen the NRC’s policies and 

programs in this important area. In addition, the wealth of responses demonstrated the willingness of our 

stakeholders to use technology to engage in government-public collaboration to optimize the development 

and implementation of agency policies and programs.

Page 76 of 150
Office of the Director of National Intelligence

The Intelligence Advanced Research Projects Activity (IARPA) continues to utilize the FedBizOpps.gov

portal as its primary vehicle to initiate collaboration with the public for research. During FY13, IARPA 

posted more than two dozen announcements on FedBizOpps.com for new program Broad Agency 

Announcements (BAA) and Requests for Information (RFI). More than 200 abstracts and proposals were 

received from Industry and Academia in response to the announcements, and more than 1000 people

attended the resulting 23 public collaboration events IARPA hosted.

Office of Personnel Management

USAJOBS is governed by an executive-level board of interagency representatives. The Executive 

Steering Committee (ESC) reviews and prioritizes initiatives of the USAJOBS program by balancing 

government-wide, individual agency, and seeker benefits to ensure the continuous development and 

improvement of USAJOBS, with a focus on maintaining conservative costs. Agency needs and priorities 

are actively collected through Chief Human Capital Officer Council meetings and Human Resources 

Manager-level agency outreach. Agencies are invited to participate in initiative-specific Integrated 

Project Teams to communicate their needs and assist in developing functionality requirements, while 

seeker feedback is continuously collected and monitored through regular usability testing, help desk ticket 

trends and social media posts. An independent customer satisfaction analytics expert, ForeSee, provides 

additional in-depth seeker perspective information through surveys presented at www.USAJOBS.gov. 

ForeSee also reviews new site functionality to ensure the changes will meet seeker expectations prior to 

deployment. Together, these efforts contribute to USAJOBS providing seekers and agencies the most upto-date technology and functionality efficiently and cost-effectively.

Small Business Administration

SBA is actively using technology to support government-public collaboration. Banks, savings and 

loans, credit unions, and other specialized lenders participate with SBA to provide small business loans. 

SBA hosts a website (www.sba.gov/for-lenders) which provides lenders with resources they need to issue 

SBA loans. SBA’s Lender Portal allows lenders to view their own quarterly performance data, including 

their most current composite risk rating, the “Lender Risk Rating.” The Risk Rating System is an internal 

tool to assist SBA in assessing the risk of each active Lender’s and Certified Development Company’s 

SBA loan operations and loan portfolio.

The Lender Portal data comes from the Office of Credit Risk Management Loan and Lender 

Monitoring System (L/LMS). L/LMS obtains data from the SBA’s system of record, the Loan 

Accounting System (LAS), as well as the 504 Lender Analysis & Management Program (504 LAMP) 

database and the Partner Information Management System. L/LMS also receives third party credit quality 

and business data, including the Fair Isaac Small Business Predictive Solution credit scores. Lenders can 

also access data on peer group and portfolio averages. In addition to the Lender Portal technology, SBA 

coordinates many town hall meetings throughout the year. As an example, the National Small Business 

Week forum was open to the public. This forum provided free networking, educational sessions, and open 

dialogue for the public to give suggestions and recommendations to SBA. SBA forums encourage small 

business owners and entrepreneurs to attend and voice their opinions, ideas and concerns.

Social Security Administration

SSA used an online engagement tool called IdeaScale to hold their first engagement aimed at 

soliciting ideas to improve our disability policies for assessing individuals with multiple impairments. To 

ensure that SSA received relevant feedback, they limited the audience to internal and external disability 

partners. Participants posted ideas, shared comments on the ideas of others, and voted on posted ideas. 

Page 77 of 150
SSA is currently reviewing the ideas and comments submitted for use in development and refinement of 

disability policies. With the success of the approach, SSA is in the process of determining other disability 

policy topics for future engagements with a broader target audience.

Page 78 of 150
APPENDIX F: CREDENTIALING

In accordance with Section 203 of the E-Gov Act, this section describes current activities agencies 

are undertaking to achieve interoperable implementation of electronic credential authentication9 for 

transactions within the Federal government and/or with the public.

Department of Agriculture

The USDA OCIO is participating in the Federal Cloud Credential Exchange (FCCX) pilot, which 

will provide a centralized interface between agencies and approved identity providers. The objectives of 

this initiative are to reduce costs and complexity, speed up integration timeline for new identity service 

providers, and decreases authentication costs to the Federal government through centrally negotiated 

rates. The OCIO is aggressively pursuing authentication technological solutions for mobile devices by 

using a derived credential from the LincPass card - USDA’s HSPD-12 solution. Authenticating with a 

PIV derived credential solves many challenges such as forgotten, lost, broken, or damaged PIV cards, 

authenticating to mobile devices (e.g. smartphones, tablets) and Mac workstations. In support of 

interoperability within the federal government, OCIO is working with the Department of Interior -

Interior Business Center (IBC) and the USDA-OCFO-National Finance Center (NFC) in pilots for ICAMas-a-Service, which includes authenticating non-USDA issued PIV credentials to IBC and NFC 

customers, resulting in increased operational efficiencies and interoperability. This effort also supports 

the shared services strategy identified in the 25-Point Implementation Plan to Reform Federal IT. The 

OCIO also sponsors a Digital Signature Working Group (DSWG) with representatives over 13 

agencies. The working group is focused on sharing knowledge and experience between agencies and 

identifying standard processes, procedures, and technologies that can be shared by agencies. The DSWG 

co-chairs are working to reorganize the structure of this group to improve participation and more quickly 

achieve deliverables.

Department of Commerce

The highly-federated nature of the DOC poses significant technical and organizational challenges to 

the successful implementation of any enterprise-wide initiative. Substantial progress in individual DOC 

components such as Census and NIST was made in FY 2013 with regards to HSPD-12 logical access. 

However, department-wide adoption of HSPD-12 PIV cards for logical access and digital signatures 

remains elusive. At the request of the DOC Office of Cybersecurity, an independent study of DOC’s 

HSPD-12 logical access control capabilities was conducted in September 2013. The independent study 

found three high-level gaps: 1) need for policy guidance, 2) need for technical implementation maturity; 

and 3) need for communication and training. DOC is in the process of securing funding from 

departmental management funds to address the gaps and implement the recommendations of the study.

Department of Defense

DOD has a long history of supporting the use of externally issued, or Non-Federally Issued (NFI), 

identity credentials. As early as 2004, DOD established procedures to approve non-DOD issued Public 

Key Infrastructure (PKI) credentials for use in DOD. These procedures have been maintained and still 

exist today. They have been used to evaluate and approve Personal Identify Verification (PIV), PIVInteroperable (PIV-I), other commercial, and even foreign military PKI credentials. Additionally, on 

January 24, 2013 the DOD CIO signed the "Department of Defense Requirements for Accepting NonFederally Issued Identity Credentials," memorandum promulgating guidance on acceptance and use of 

NFI credentials. This memorandum requires DOD components to enable their information systems to 

accept approved NFI credentials for authenticating PIV-ineligible personnel. Attached to the 

memorandum is an executive summary titled "Executive Summary - Adoption and Use of Identity 

Page 79 of 150
Credentials from Non-Federal Issuers," outlining the process for DOD adoption and use of identity 

credentials.

Department of Education

In FY 2013, ED began a project to implement an enterprise single sign on (eSSO) solution which 

will allow PIV card holders to log on to department systems. The department successfully completed the 

implementation for two systems in a test environment, and initiated the transition to production for these 

systems with the objective of completing the production deployments in FY 2014. To assist system 

owners in leveraging the eSSO solution, ED drafted an Implementation Guide which details the criteria 

and requirements that system owners must meet in order to leverage the eSSO solution. The work

completed in FY 2013 also allowed ED to determine costs to system owners for implementation and 

maintenance of the eSSO solution. The department also successfully implemented required infrastructure 

changes to enable ED's transition from PIV cards with secure hash algorithm 1 (SHA-1) certificates to 

PIV cards with stronger SHA-2 certificates.

Department of Energy

DOE has implemented the use of electronic signatures allowing department officials to sign 

documents and carry out business transactions electronically. The use of electronic signatures provides 

assurance that the authors and signatories of e-mails and/or electronic files are who they claim to be and 

provides significant advantages, such as improved security and streamlining business activities.

Department of Health and Human Services

HHS has issued 117,340 PIV cards to employees and contractors out of the total eligible population 

of 121,940. Currently, 70% of staff are required to use their PIV card to login to HHS networks or gain 

access to the network remotely. HHS has also implemented a Restricted Local Access (RLA) card that is 

interoperable with the PIV card for foreign nationals who do not qualify to receive a PIV card. HHS 

implemented an Alternate Logon Toke (ALT) that is interoperable with the PIV card but is used 

exclusively for logical access for staff that require multiple Active Directory accounts such as systems 

administrators. HHS has begun requiring the use of strong authentication for staff with elevated rights 

using the ALT card. HHS is now able to bind a PIV card issued by other agencies to an HHS identity, 

achieving cross agency interoperability which enables access to HHS physical facilities and IT 

resources. The HHS Access Management System (AMS) has implemented PIV login for users to access 

HHS Enterprise applications. HHS has integrated 28 enterprise applications and two external applications

with AMS Simplified Sign-On or direct PIV login. HHS is working with other applications to allow 

integration to the HHS AMS Single Sign-On system.

Department of Homeland Security

DHS made significant progress in meeting the cross-agency priority cybersecurity goal for strong 

authentication. To date, 32% of DHS employees and contractors are required to use their HSPD-12 

smartcards for logical access to the unclassified network. In addition, 50% of users are able to use their 

smartcard for network login which stages them for mandatory use in FY 2014. Three DHS components 

are more than 75% compliant and are benefiting from fewer password resets and enhanced security as a 

result. DHS has a parallel smartcard effort underway on its classified networks and is leading the way in 

the implementation of the Defense Information Systems Agency PKI shared service. DHS is also 

addressing the mobile and privileged identity management challenges associated with HSPD-12 and is 

Page 80 of 150
actively engaged in proof-of-concept pilots in-line with emerging NIST standards.

DHS is also engaging with its many partners to enable interoperable, federated trust to access shared 

services, and is also a member of the National Identity Exchange Federation (NIEF), a law enforcementfocused trust framework for information sharing. The Homeland Security Information Network is the 

DHS gateway to NIEF. DHS also participated in the National Strategy for Trusted Identities in 

Cyberspace sponsored pilot to assess the efficacy of the Attribute Based Access Control with an Attribute 

Exchange Network. The use of PIV certificates for digital signatures is on the rise with the continued 

implementation of HSPD-12. DHS users are enjoying the efficiencies and cost avoidance gained by 

replacing manual signing processes. The process of digitally signing email is also expanding as policy for 

use matures. Two department-wide efforts sponsored by the DHS OCIO and department’s Efficiency 

Review Team are driving to institutionalize the use of digital signatures. DHS is leveraging the “Use of 

Electronic Signatures in Federal Organization Transaction” document published by GSA and the Federal 

CIO Council, and is working toward policies, best practices and guidance to fully realize the benefits of 

digital and electronic signatures.

Department of Housing and Urban Development

HUD continues to make progress on the use of the HSPD-12 card for authentication to information 

technology assets. HUD has issued PIV credentials to all of its employees and applicable contractors. 

HUD is beginning to integrate use of these two-factor authentication credentials with the access controls 

to HUD’s systems as an upgrade to the more typical user name and password approach. Externally, HUD 

has been using electronic authentication tools to permit secure access to systems and data by customers 

for many years. HUD has initiated a new project to consolidate and standardize its access control tools 

using contemporary technologies. This project will permit HUD to fully utilize the authentication 

capability on the PIV cards used by employees and contractors and reduce the number of system specific 

user names and passwords used by customers. The project will also implement better management 

controls for providing and revoking access to specific systems and data. In addition, HUD has 

implemented a remote access solution that utilizes the HSPD-12 credential for remote access from HUD 

devices. HUD has also implemented HSPD-12 authentication on all multifunctional devices to support 

scan to email and scan to network share functionality. A proof of concept was just completed for 

mandatory HSPD-12 card usage that also included the usage of the HSPD-12 card for privileged 

accounts. HUD is moving forward with the mandatory use of the HSPD-12 card for privileged accounts 

based on the success of the proof of concept. HUD has the infrastructure to support digital signing of 

documents and some program areas have implemented digital signing.

Department of the Interior

In FY 2013, DOI completed a department-wide move to a cloud-based email system, which relies 

extensively on the authentication, authorization, and federation services components which DOI deployed 

in FY 2012 as a DOI-managed, federally controlled external directory service. This external directory 

service continues to provide both authentication and authorization services to external partners and 

collaborators who use DOI's on-premise collaboration systems. Continuing its expansion of cloud 

hosting and cloud services, in late FY 2013 DOI successfully awarded a major Cloud Hosting contract 

that it views as foundational to establish the core capability DOI will use to accept externally issued 

credentials. Other DOI activities in FY 2013 activities focused strategic acquisition planning to support 

the move of DOI websites from on premise hosting services to cloud-based services, and continued 

analysis of DOI’s Level 1 and Level 2 web systems that allow or require the public and our partners to 

register for or log on to obtain access to DOI information. 

Page 81 of 150
Department of Justice

In FY 2013, DOJ continued making progress expanding the use of “identify federation” and “claimsbased” authentication technologies within the department. These technologies support a single sign-on 

(SSO) user experience for department users as well as provide a pathway for PIV Card application 

authentication compliance. These same technologies will also allow the department to interoperate with 

external identity providers such as Equifax, PayPal, Google, etc. This interoperability will provide a 

means to accept third party identity credentials issued by such providers for DOJ externally facing 

systems which allow members of the public and business partners to register or log on. During FY 2013, 

DOJ extended the coverage of the federation service to approximately 35% of the DOJ user population. 

In addition, DOJ has piloted with SSA users to be able to access a DOJ sample application demonstrating 

single sign-on capability between the two agencies. This proof of concept will be extended in FY 2014 

allowing SSA users single sign-on access to the DOJ-hosted CSAM application leveraging their SSA 

credential. For FY 2014, DOJ will continue to expand the DOJ user population covered under its 

federation service to 100%, and work with internal and external application providers to trust DOJ’s 

federation tokens. In addition, DOJ will continue to work with DOJ applications that qualify under the 

federal requirement for accepting externally-issued identity credentials to leverage the established DOJ 

federation services in meeting their authentication requirements.

Department of Labor

DOL is currently pursuing the implementation of an enterprise-wide Identity Life Cycle 

Management Program consisting of Identity Creation and Management, User Authentication and Access 

Management. This effort will provide full lifecycle management of identities/credentials for DOL 

employees and contractors and support identity management and security services within the department. 

This includes electronic credentialing and authentication services in compliance with recommendations 

and guidance from the Federal CIO Council and DHS. In 2011, DOL began expanding PIV-II usage via 

the Identity Management (IdM) project by designing and developing a framework of people, processes, 

and technologies intended to standardize and enhance DOL's capability of managing identity data across 

multiple systems. This has a short-term goal of simplifying the log-in process leveraging existing 

credentials and a long-term goal of implementing a full-scope Identity Life Cycle Management solution 

interoperable with other enterprise-wide solutions. The IdM project is in the development stage with 

simplified log-in processes utilizing technology already in use by some of DOL's enterprise-wide 

solutions. DOL will continue to introduce more advanced consolidation and integration appliances 

throughout 2014 while establishing the full-scope Identity Life Cycle Management framework.

Department of State

State’s Public Key Infrastructure (PKI) program provides employees and contractors electronic 

credentials that are interoperable with other Federal agencies as well as with the public. Each employee 

and contractor is issued a smartcard. Logical access to the department’s Sensitive But Unclassified 

(SBU) network is provided through the use of credentials that are stored on the card. In addition to user 

authentication, employees and contractors can digitally sign and encrypt/decrypt e-forms, documents in 

varying file formats, and e-mails. The PKI program also provides code signing services for executable 

files, macros and scripts to authenticate the author and to ensure codes are not altered or 

corrupted. Certificates are issued Non-Person Entities (NPE) such as internal webservers, domain 

controllers, and VPN concentrators. Interoperability with external entities is achieved through crosscertification of the department’s Root Certificate Authority (CA) with the Federal Bridge CA 

(FBCA). The FBCA acts as the trust anchor between State's Root CA and the external entities. It is 

through this infrastructure that State can achieve cross-organizational authentication with other federal 

and state agencies as well as with external business partners. The department is in the process of 

Page 82 of 150
implementing new hardware and software that will enforce compliance with new NIST standards.

Department of Transportation

DOT is continuing to refine and implement its Identity, Credential, and Access Management (ICAM) 

program to better secure the authentication and access to DOT systems and applications. Specifically, 

DOT's IT security will be improved by authenticating internal users with PIV cards and authenticating 

external users with PIV-interoperable (PIV-i) credentials and by utilizing the PKI digital signature 

certificate stored on the PIV cards. DOT employees can currently send and receive digitally-signed 

emails both within DOT and to and from external partners as well as use the digital signature features of 

the Microsoft Office Suite and Adobe products.

Department of the Treasury

The Treasury Enterprise Identity, Credential, and Access Management (TEICAM) investment 

program provides a consolidated view of Treasury’s identity management activities across the 

department. TEICAM provides a standard for secure and reliable forms of identification and facilitate 

secure and timely access to information systems and facilities. The current environment consists of 

multiple systems operating in silos and data stores with minimal communication amongst the distributed 

stacks. Treasury has recognized the challenges and risks associated with this type of environment and 

developed a phased approach to implementing Federal Identity, Credential, and Access Management 

(FICAM) by 2015. Goals include:

• Sustaining card issuance rate above 90%;

• PIV Data Synchronization;

• Completing and deploying a federated Enterprise-Single Sign-On infrastructure and integrating 

Enterprise applications;

• PIV Enabled Local Network Access at 100% by FY 2015;

• PIV Enabled Remote Network Access at 100% by FY 2015; and

• Percentage of PIV card holders required to use the PIV card for local, remote and/or privileged 

network access at 100% by FY 2015.

These goals represent the optimal schedule in which bureaus can realistically achieve logical access 

control systems implementation. Treasury will maintain a federated architecture where bureaus locally 

manage physical and logical access control systems and privileges. The HSPD-12 PIV credential will be 

the primary identification and access control badge for all physical access control systems (PACS) and 

enterprise logical access control systems (LACS). Target completion dates for usage of PIV cards for 

both PACS and LACS in most bureaus will be no later than 2014. However, bureaus with more complex 

implementations (e.g. the IRS) will not complete their activities before FY 2017. Key benefits realized 

with the implementation of the TEICAM solutions include enhanced security; increased data accuracy; 

reduced costs; data flowing through a central connection trusted identity process; utilizing a single 

authoritative identity source for employees & contractors; enables LACS utilizing PIV credentials;

eliminates redundant processes; improves efficiency & productivity through automated & streamlined 

PIV lifecycle processes.

Page 83 of 150
Department of Veterans Affairs

The PIV program will enable the VA to meet the new security standards effectively and cost 

efficiently. The main function of the PIV card is to encrypt or code data to strengthen the security of 

employee and veterans' information, and physical access to secured areas, while using a common 

technical and administrative process. The PIV card encrypts data and verifies identity to ensure: 

• Confidentiality - data can only be read by the card-holder.

• Integrity- Only the card-holder may change the data.

• Authenticity- There is a guarantee on the origin of the data.

• Non-repudiation- There is no possibility of falsified data.

With the PIV card, there is an increased reassurance that all electronic communications, data storage 

and data retrieval will be further secure and better protected. As of June 2013, a total of 333,325 

PIV credentials had been issues to VA employees, 19,351 to contractors, and 57,713 to other individuals. 

Additional information about the VA PIV project may be found at: www.va.gov/pivproject/.

U.S. Agency for International Development

HSPD-12 PIV cards have been implemented for logical and physical access into USAID networks 

and facilities. USAID’s cards are provided by the Department of State. State, with OMB approval, has 

excluded our overseas staff for PIV but a solution is in progress for the ability to issue Facility Access 

Cards to our overseas staff. The CIO and Office of Security anticipate installation of cards and readers to 

the USAID staff located in USAID Headquarters in Washington, DC no later than the end of the second 

quarter of FY 2014. In addition, USAID has implemented control gates within the SDLC to ensure that 

new applications are PIV-enabled prior to deployment and that legacy systems are required to have the 

implementation included in their SDLC roadmap in accordance with OMB guidance.

Environmental Protection Agency

EPA has made strides in the identity access management arena in accordance with HSPD12. Agency employees and contractors are able to log into their government furnished computers using 

their PIV card. This is possible through agency-wide development of the required LACS infrastructure. 

EPA’s LACS infrastructure has three main components::

1. Software - Leverages existing software such as Active Directory. Holds the users account 

information (the user principal name which is tied to the user’s workstation).

2. Hardware - All employees have the hardware required for PIV card usage for logical access. 

Agency employees have computers and/or laptops with PIV card readers.

3. Online certificate status protocol responders - Leverages certificate revocation list from the 

approved service provider, Operational Research Consultants. Operational Research 

Consultant’s online certificate status protocol responders provide timely information regarding 

the revocation status of a certificate by utilizing the Active Directory provided path for PIV card 

certificate validation. The certificate revocation list provides a list of certificates that have been 

revoked, which ensures only valid EPA employees have access to the network.

In the future, online certificate status protocol infrastructure can be used to obtain certificates for 

Page 84 of 150
other federal employees and federation with identified applications where both entities have a trust 

relationship.

General Services Administration

GSA has used digital signatures with desktop applications and PIV card certifications since 2010. In 

FY 2013, GSA's Enterprise Architecture team conducted an analysis to determine the high level 

requirements and use cases for digital signature. As a result, it was concluded that two agency-wide 

services are needed for digital signature: ad-hoc and process automation. GSA has approved FY 2014 

funding for analysis and development of a business case to determine the technical solution for the 

identified service areas to implement within GSA.

National Aeronautics and Space Administration

NASA has begun leveraging externally-issued credentials in an effort to minimize costs and user 

impacts associated with cross-organizational access to information. Recognizing the business need for 

identity federation and also the potential gaps in current policy/process, NASA's ICAM team 

recommended the implementation of a Pilot for Identity Federation using the External SharePoint 2010 

environment as the target system. This effort allows collaboration capabilities between the NASA 

Ground Systems Development and Operations Program at Kennedy Space Center, the agency, and 

external partners. The pilot is essentially enabling two "new" credential types to access a NASA system -

access using externally-issued PIV cards and using federated identity credentials. The cost-savings of 

implementing identity federation for external user access to NASA resources versus the current method of 

issuing each external user a NASA identity is significant when considering the overhead in issuing and 

managing credentials, performing audits, and issuing and supporting VPN's. For this reason and to meet 

the needs of organizations internal to NASA, this Pilot is cornerstone to the eventual implementation of 

NASA-wide identity federation service.

National Archives and Records Administration

NARA's Office of the Federal Register (OFR) accepts digitally signed documents for publication in 

the Federal Register from a wide range of agency customers. Agencies may use any Federal or private 

sector digital signature provider that operates in compliance with National Institute of Standards and 

Technology Digital Signature Standard FIPS 186-3. The OFR requires that Federal Register submissions 

be signed with a medium assurance level digital signature certificate, cross-certified by the Federal Bridge 

Certification Authority. Electronic original documents may be submitted as email attachments or via web 

portal, eliminating mailing, handling, and preservation of paper copies. OFR information technology 

staff work closely with the Federal PKI Policy Authority to develop new tools and processes that promote 

widespread adoption of digital signature applications. In FY 2013 the OFR developed a redesigned and 

more robust and user-friendly web portal for electronic document submission and management. The 

portal, which was in acceptance testing at the end of the fiscal year, facilitates the authentication and 

verification of both documents and users and provides new tools for both users and administrators to 

identify and correct problem submissions.

National Science Foundation 

NSF’s use of single sign-on credentials allows members of the research community to use one ID to 

log into all external NSF systems, including FastLane and www.Research.gov. In order to further 

increase interoperability for the research community, NSF joined the InCommon Federation to provide 

simpler and easier access to online services. Using InCommon technology developed under a NSFPage 85 of 150
funded grant, researchers can use their university-issued user ID and password to login to 

www.Research.gov and access agency grants management services. NSF’s integration with InCommon 

improves ease of access to NSF information and services by the public by improving the way institutions 

conduct business with NSF. Additionally, NSF has implemented “Open ID,” which allows the public to 

use Gmail to log on to the www.Research.gov public-facing functions.

Nuclear Regulatory Commission

For FY 2013, the NRC developed a comprehensive implementation plan to address HSPD-12. This 

plan, entitled “NRC FICAM Transition Plan,” addresses all facets of electronic credential authentication 

at the NRC, both within the Federal government and with the public. Specifically, with regard to 

credentialing, the NRC has primarily focused on issuing digital certificates based on PKI for both internal 

and external stakeholders for electronic credential authentication and other purposes. NRC employees 

and contractors have also been issued Shared Service Provider (SSP) PIV cards, as well as SSP Software 

certificates, which are fully compliant with all relevant standards and policies.

For external agency stakeholders who need to interact with the NRC’s electronic authentication 

systems, most notably the Electronic Information Exchange and National Source Tracking System, the 

NRC has issued Federal Bridge Cross-Certified PKI credentials at various assurance levels, including 

Rudimentary (Level 1), Basic Assurance (Level 3), and Medium Hardware (Level 4). In FY 2013, the 

NRC also implemented a One-Time Password (OTP) solution to be used for electronic authentication at 

Level 3 and below. This OTP solution includes online enrollment, delivery of hardware OTP tokens to 

external stakeholders, and an option to download a smartphone OTP application in place of the hardware 

token. The new OTP solution is initially being used for authentication to the NRC’s Web-Based 

Licensing System, to be followed by other agency applications. Also in FY 2013, the NRC developed a 

draft policy and guidance for the implementation of digital signature. The policy, entitled “Acceptability 

and Use of Electronic Signatures,” will be submitted to the agency’s policy adoption 

process. Meanwhile, the guidance is being used by program offices to begin converting the agency’s 

paper processes to electronic processes using digital signature. For example, over the past two years, the 

NRC has been using digital signature and electronic submission for its Federal Register notices, through a 

special digital signature application developed by the GSA FICAM Team.

Office of the Director of National Intelligence

N/A

Office of Personnel Management

All applications within OPM’s environment have been mapped to the level of authentication as 

defined in NIST 800-63. Most applications are either internal or have a level of authentication that is 

greater than the e-Gov initiative levels. OPM is actively pushing PIV card usage within the agency. 

OPM currently requires external users to use their PIV cards for access to OPM and OPM systems 

remotely. The agency's push for all internal users of computer resources to authenticate using PIV cards

is in progress. OPM expects this project to be completed in 2014. The OCIO is also working to put in 

place technical controls that will facilitate the ability of the public to register their personal authentication 

measures with OPM public facing applications. Significant progress in this area was made during FY 

2013. 

Page 86 of 150
Small Business Administration 

The implementation of HSPD-12 will ensure that identification of government employees and 

contractors is reliable and secure. The establishment of the PIV credential as part of a broader enterprise 

solution enables common service capabilities in secure and reliable transactions. Further, it expedites 

SBA's ability to enable IT solutions that directly address business needs for disaster response, small 

business services such as electronic workflow services, and reduction in other existing investments for 

help desk operations and password management. E-Authentication falls within the scope of Identity and 

Access Management (IAM). This initiative expands e-Government by providing users access to online 

services that require authentication, using a solution that is secure and convenient for customers, resulting 

in an improvement in the taxpayer experience. The IAM initiative provides a robust, secure, centralized 

solution that automates the provisioning and de-provisioning of user identities, and manages each aspect 

of the identity lifecycle. By automating these services SBA integrates the independent management 

frameworks currently SBA applications. This initiative will provide a secure and operationally focused 

security services that utilize industry proven solutions and adhere to well defined industry and federal 

standards.

Social Security Administration

Interoperability programs are already in place within the agency. With prior registration in SSA’s 

Physical Access Manager (PAM), PIV cards from third-party federal agencies are accepted by physical 

access control systems to grant access to select SSA facilities. SSA currently participates in several 

HSPD-12 compliant federations that allow SSA to utilize federal applications hosted on external 

domains. SSA has the capability to enable federation to SSA’s web applications as needed. SSA began 

participating in PIV card authentication for OPM’s Employee Express in November 2013, allowing SSA 

staff to log-in to the website with their PIV card instead of a password. SSA’s policy requires that anyone 

requiring logical access to SSA internal network must be enrolled for an SSA PIV card (reciprocity 

applies for employees of other federal agencies). SSA is currently evaluating solutions to allow direct 

authentication of third-party PIV and PIV-I cards for access to SSA. Select SSA employees and 

contractors have the capability to encrypt and/or digitally sign email and documents with their PIV card 

for exchange with the other federal agencies and the public. In addition, SSA employees and contractors 

have the capability to receive encrypted and digitally signed email from other federal agencies.

 

Page 87 of 150
APPENDIX G: INTERNET-BASED GOVERNMENT SERVICES

In accordance with Section 204 of the E-Gov Act, www.USA.gov serves as an integrated internetbased system for providing the public with access to government information and services. In accordance 

with 207(f)(3), this appendix provides URL’s for agency activities on www.USA.gov.

Agency Agency URL(s)

U.S. Department of 

Agriculture

www.usa.gov/Agencies/Federal/Executive/Agriculture.shtml./Agriculture.shtml

U.S. Department of 

Commerce

www.usa.gov/directory/federal/department-of-commerce.shtml

apps.usa.gov/americas-economy.shtml

apps.usa.gov/national-weather-service.shtml

apps.usa.gov/release-mako.shtml

www.usa.gov/Citizen/Topics/Family-Community.shtml

U.S. Department of 

Defense

www.usa.gov/Agencies/Federal/Executive/Defense.shtml

U.S. Department of 

Education

www.usa.gov/directory/federal/department-of-education.shtml

www.usa.gov/Citizen/Topics/Education-Training/Education.shtml

U.S. Department of 

Energy

www.usa.gov/directory/federal/department-of-energy.shtml

U.S. Department of 

Health and Human 

Services

www.usa.gov/Agencies/Federal/Executive/HHS.shtml

U.S. Department of 

Homeland Security

www.usa.gov/directory/federal/department-of-homeland-security.shtml

U.S. Department of 

Housing and Urban 

Development

www.usa.gov/directory/federal/department-of-housing-and-urbandevelopment.shtml

www.usa.gov/shopping/realestate/mortgages/mortgages.shtml

U.S. Department of 

the Interior

www.usa.gov/directory/federal/department-of-the-interior.shtml

U.S. Department of 

Justice

www.usa.gov/directory/federal/department-of-justice.shtml

U.S. Department of 

Labor

www.usa.gov/directory/federal/department-of-labor.shtml

www.usa.gov/Citizen/Topics/Benefits.shtml#Jobs_and_Education_Assistance

www.usa.gov/Citizen/Topics/Education-Training.shtml

U.S. Department of 

State

www.usa.gov/directory/federal/department-of-state.shtml

apps.usa.gov/smart-traveler.shtml

apps.usa.gov/u-s-department-of-state-careers.shtml

Page 88 of 150
apps.usa.gov/state-department-mobile.shtml

apps.usa.gov/find-your-embassy.shtml

U.S. Department of 

Transportation

www.usa.gov/directory/federal/department-of-transportation.shtml

U.S. Department of 

the Treasury

www.usa.gov/Agencies/Federal/Executive/Treasury.shtml

www.usa.gov/Citizen/Topics/Money/Taxes.shtml

www.usa.gov/shopping/byagency/byagency.shtml

U.S. Department of 

Veterans Affairs

www.usa.gov/directory/federal/department-of-veterans-affairs.shtml

U.S. Agency for 

International 

Development

www.usa.gov/directory/federal/agency-for-inter-development.shtml

Environmental 

Protection Agency

www.usa.gov/directory/federal/environmental-protection-agency.shtml

www.usa.gov/Citizen/Topics/Environment-Agriculture/Environment.shtml

General Services 

Administration

www.usa.gov/directory/federal/general-services-administration.shtml

National Aeronautics 

and Space 

Administration

www.usa.gov/directory/federal/national-aeronautics-and-spaceadministration.shtml

National Archives 

and Records 

Administration

www.usa.gov/Contact/verify-social-media.shtml

apps.usa.gov/docsteach.shtml

apps.usa.gov/presidential-documents-app.shtml

apps.usa.gov/to-brink-jfk-cuban-missile-crisis.shtml

apps.usa.gov/todays-doc.shtml

www.usa.gov/Citizen/Topics/History-American.shtml

www.usa.gov/Citizen/Topics/History-Family.shtml

www.usa.gov/Citizen/Topics/History-Culture.shtml

www.usa.gov/Topics/Reference-Shelf/Libraries.shtml

National Science 

Foundation

www.usa.gov/directory/federal/national-science-foundation.shtml

Nuclear Regulatory 

Commission

www.usa.gov/directory/federal/nuclear-regulatory-commission.shtml

Office of the Director 

of National 

Intelligence

N/A

Office of Personnel 

Management

www.usa.gov/directory/federal/office-of-personnel-management.shtml

www.usa.gov/Federal-Employees/Federal-Employees-Gateway.shtml

blog.usa.gov/post/11995704485/get-answers-to-your-questions-about-the-newPage 89 of 150
usajobs

www.usa.gov/Agencies/Federal/Independent.shtml#O

apps.usa.gov/usajobs.shtml

www.usa.gov/Citizen/Topics/Government-Jobs.shtml

www.usa.gov/Citizen/Topics/Education-Training/Finding-Jobs.shtml

Small Business 

Administration

www.usa.gov/directory/federal/small-business-administration.shtml

Social Security 

Administration

www.usa.gov/directory/federal/social-security-administration.shtml

 

Page 90 of 150
APPENDIX H: E-RULEMAKING

In accordance with Section 206 of the E-Gov Act, this appendix describes agencies’ online electronic 

regulatory submission capabilities, specifically the usage of www.Regulations.gov and the Federal Docket 

Management System (FMDS). 

Department of Agriculture

eRulemaking has simplified the public’s participation in USDA’s rulemaking process by making 

regulatory information more accessible on www.Regulations.gov. USDA also benefits from the cost 

savings associated with not needing to develop and operate duplicative agency-specific electronic 

systems. In FY 2013, USDA posted 250 rules and proposed rules, 804 Federal Register notices, and 

25,023 public submissions via www.Regulations.gov. Overall, USDA provides the public access to 

281,571 documents in www.Regulations.gov. The eRulemaking Program also offers a streamlined 

internal rulemaking business process through agency access to FDMS.gov. USDA had 196 staff using

www.FDMS.gov in FY 2013, and created 107 regulatory dockets in FDMS for regulatory actions 

published in FY 2013.

Department of Commerce

The eRulemaking program provides substantial benefits as an electronic docket solution for DOC to 

manage their regulatory information and to post documents for public comments as well as other 

submissions. DOC’s participation in the eRulemaking program enhances the public’s access to, and 

participation in, the regulatory process, improves DOC’s regulatory processes, and creates transparency 

for all regulatory decisions. Participation in this program allows DOC to provide a publicly accessible 

website containing electronic dockets for regulations. DOC's regulatory information is accessible on 

www.Regulations.gov. In FY 2013, DOC posted 330 rules and proposed rules and 197 Federal Register 

notices, received 23,884 public comments, and provided public access to 25,391 documents at 

www.Regulations.gov. The www.Regulations.gov website improves the public’s engagement with DOC 

by supporting the notice and public comment process for rulemaking and promoting public participation 

for an open exchange of regulatory information. Additionally, the FDMS docket management system 

provides DOC staff with continuous improvement of internal docket management functionalities,

electronic recordkeeping, and the ability to publicly post all relevant documents on www.Regulations.gov

(e.g., Federal register documents, proposed rules, notices, supporting analyses, and public comments). In 

FY 2013, 196 DOC staff members used www.FDMS.gov, which facilitated the creation and posting of 

275 regulatory dockets in FDMS. DOC received 21,464 public comments via www.Regulations.gov. 

These comments are stored directly in FDMS.

Department of Defense

DOD continues to use the eRulemaking FDMS, and www.Regulations.gov has increased citizen 

access and participation in the DOD rulemaking process. FDMS provides for document management 

with an electronic record-keeping capability. FDMS enables DOD users to create, revise, and manage 

their docket materials through the use of role-based access controls, as well as, workflow and 

collaboration processes. The www.Regulations.gov website provides a centralized location for citizens to 

provide feedback on DOD rulemaking activities, and provides citizens with a user-friendly web form to 

submit comments and supporting documents, offers simple and sophisticated searches, bookmarking, 

email notifications, and other social media tools. Additionally, regulatory officials can use 

www.Regulations.gov to view, download, and analyze comments submitted for their rulemakings. In 

addition, www.Regulations.gov provides the public with updates to the department’s Unified Agenda of 

Regulatory and Deregulatory actions, as well as updates on its regulatory and retrospective plans. During 

Page 91 of 150
FY 2013, DOD posted 10,925 documents to www.Regulations.gov to include rules, notices, supporting 

documentation, and public comments. DOD published 72 interim and final rules, 32 proposed rules, and 

363 notices. DOD received 458 public comments via regulations.gov and posted 540 public comments to 

www.Regulations.gov.

Department of Education

ED accepts public comments on all of its proposed and interim final regulations, as well as an 

increasing number of other regulatory documents, through www.Regulations.gov. In FY 2013, the 

department posted 41 proposed rules, 190 Federal Register notices, and 1,906 public submissions on 

www.Regulations.gov, including proposed regulations regarding Federal Student Loans which were

issued after a three-month regulatory negotiation with the affected community. The department received 

25 comments on these proposed regulations. The department was able to use the FDMS to access these

comments, while non-Federal members of the negotiating committee and the public had access via 

www.Regulations.gov. Public users were able to respond to other commenters’ suggestions, and FDMS 

resulted in final regulations being published faster than they would have without electronic 

commenting. Use of these systems eliminated the need for the department to staff a public docket room 

for visitors and copying needs. Similarly, the department benefited from using www.Regulations.gov for 

notices seeking public input on the issues that the next negotiated rulemaking committees should 

address. The agency received about 1,000 comments in response to these notices and has been able to 

narrow down the issues to address through negotiated rulemaking as a result.

Department of Energy

DOE recorded the following data pertaining to usage of the FDMS and www.Regulations.gov in FY 

2013:

• Agency user logins: 15

• Total documents posted: 17,066

• Rulemaking dockets created: 34

• Rulemaking dockets posted: 95

• Federal Register rules published: 52 

• Federal Register rules proposed: 133

• Federal Register notices posted: 383

• Comments received via www.Regulations.gov webform: 276 

• Comments posted on www.Regulations.gov: 2,135

• Total documents posted on www.Regulations.gov (all types): 3,889

Department of Health and Human Services

HHS’s Public Participation Task force updated and added new content to the Department’s web page 

dedicated to regulations (www.hhs.gov/regulations), which serves as a “one-stop shop” for information 

Page 92 of 150
about the department’s regulatory activity. The site features a daily update providing access to all HHS 

regulations currently open for comment. Visitors can select a specific division of the department to 

access current information about published regulatory proposals. Information available on the site is 

easily sorted by the comment-deadline date, title, document type, or by the Federal Register ID 

number. The site provides full text of the documents, exactly as they appear in the Federal 

Register. Using this tool, members of the public seeking to comment on HHS regulations before they 

move to the final rule stage can quickly access the information they are seeking. The department’s 

primary goal in creating the web page is to increase meaningful public participation in the department’s 

regulatory activity. Additionally, the site provides the public with electronic access to the department’s 

efforts to identify existing regulations that are obsolete, unnecessary, burdensome, or counterproductive, 

and allows a visitor to identify regulations that meet the prescribed criteria. The information submitted by 

visitors is shared with relevant divisions within HHS for consideration.

The website also provides a regulations “toolkit,” which provides an overview of the regulations 

process and how to participate, as well as links to various other useful resources. HHS continues to seek 

new ways eRulemaking can help enhance the public’s involvement with its regulatory 

activity. Increasing interest in accessing HHS's regulations electronically allows HHS to reach a broader 

audience, and make it easier to access regulatory documents. As a result of these efforts, the FDA has 

seen a decrease in in-person visits to its facilities to read regulatory documents. In FY 2007 there were 

1,207 in-person visits to FDA’s public reading room. There were 283 such visits in FY 2012, and only 

245 in FY 2013.

Department of Homeland Security

The eRulemaking program has simplified the public's participation in the DHS rulemaking process 

by making regulatory information more accessible on www.Regulations.gov. The www.Regulations.gov

website improves DHS public engagement by supporting the notice and public comment process for 

rulemaking. In FY 2013, DHS posted 808 rules and proposed rules, 928 Federal Register notices, and 

11,275 public submissions on www.Regulations.gov. DHS also posted 1,140 documents that consisted of 

supporting and related materials associated with other postings. Overall, DHS provides public access to 

14,238 documents on www.Regulations.gov. The eRulemaking program also offers streamlined internal 

rulemaking business processes with agency access to the FDMS. DHS created 1,121 regulatory dockets 

in FDMS for new regulatory actions published in FY 2013.

Department of Housing and Urban Development

HUD participates in the government-wide eRulemaking initiative, www.Regulations.gov. The goals 

of this initiative are to increase public access to and participation in developing HUD regulations and 

other related documents that can impact the public, and to promote more efficient and effective 

rulemaking through public involvement. HUD believes that www.Regulations.gov is meeting these goals. 

The eRulemaking initiative has increased meaningful public participation by enabling HUD to process 

large numbers of public submissions related to proposed rules in a much more efficient and timely 

manner. For example, HUD’s proposed rule to affirmatively further Fair Housing received almost 1,000 

public comments. Making comments available online at www.Regulations.gov is an invaluable resource 

for the public, and has greatly reduced the time required for agency personnel to analyze the issues raised 

in the public comments.

Department of the Interior

The eRulemaking Program has simplified public participation in DOI’s rulemaking process by 

Page 93 of 150
making regulatory information more available and accessible on www.Regulations.gov. This website 

increases opportunities for public involvement in DOI's rulemaking process by making it easier to submit 

comments on proposed rules published by the department. In FY 2013, DOI posted 106 rules and 207 

proposed rules, 100 Federal Register notices, and 63.539 public submissions on www.Regulations.gov. 

Overall, DOI provides public access to 66,383 documents on www.Regulations.gov. The eRulemaking 

Program offers streamlined internal rulemaking business processes with agency access to the FDMS via 

www.FDMS.gov. DOI had 143 staff using FDMS in FY 2013, and created regulatory dockets in FDMS 

for new regulatory actions published in FY 2013. DOI has received 63,539 public comments via 

www.Regulations.gov that are directly stored in FDMS.

Department of Justice

With one single online website, the FDMS enables DOJ to improve public access to all rulemaking 

material. Additionally it provides a central location for the public to find and comment on Justice 

regulatory actions that affect their lives. The components with more active regulatory and notice 

programs are the Bureau of Alcohol, Tobacco, Firearms, and Explosives, the Civil Rights Division, the 

Drug Enforcement Administration, the Executive Office for Immigration Review, and the Federal Bureau 

of Investigation. In FY 2013, DOJ created 122 regulatory dockets in FDMS for new regulatory actions 

published. The agency has received 1,483 public comments via www.Regulations.gov that are directly 

stored in FDMS. In FY 2013, DOJ posted a total of 35 rules and proposed rules, and posted 16,477 total 

documents. 

Department of Labor

DOL has participated in the eRulemaking initiative since 2006. DOL has also developed a new 

website (www.dol.gov/regulations/) which allows the public to learn more about the regulatory process 

and specific DOL regulatory activities, and facilitates access to DOL regulatory material. This new 

website also provides the public with a live web experience where the Secretary of Labor and other DOL 

executive leadership staff answer questions submitted online from the public about the DOL regulatory 

agenda. In FY 2013, DOL posted 38 rules and 21 proposed rules, 274 Federal Register notices, and 2,269 

documents on www.Regulations.gov. The eRulemaking Program offers streamlined internal rulemaking 

business processes with agency access to www.FDMS.gov. DOL had 227 staff using FDMS in FY 2013, 

and created 52 rulemaking dockets. DOL has received 1,319 public comments via www.Regulations.gov

that are directly stored in FDMS.

Department of State

FDMS enhances State’s ability to receive public comment on a worldwide basis. Partnering with 

other government agencies on a shared rulemaking application and website makes the rulemaking process 

transparent to the public at a far reduced cost. eRulemaking allows the department to interface with 

existing regulatory offices and systems without duplicating data entry. All government agencies use a 

common taxonomy and unique rules identifiers in the eRulemaking application, resulting in consistency 

that is easy for the public to learn and understand. The department can post all of its proposed rules for 

public comment and the public can also see the rule progress throughout its lifecycle. In FY 2013, State 

published ten final rules, three interim final rules, and six proposed rules, 438 Public Notices, ten 

Presidential Memos, 16 Presidential Determinations, and 23 Delegations of Authority.

Department of Transportation

DOT participates in the FDMS at www.Regulations.gov. DOT also promotes public participation in 

Page 94 of 150
rulemaking activities via the Regulation Room, a pilot project in partnership with the Cornell eRulemaking Initiative to discover the best ways of using Web 2.0 and social networking technologies to 

further rulemaking efforts. Normally, an agency issues its proposed rulemaking in the Federal Register 

and may take such additional steps as issuing a press release and posting the document on its website, 

inviting the public then to submit comments through www.Regulations.gov, mailing in a letter to the 

agency, or occasionally by attending a public meeting. The design of this process results in a series of 

one-way communications, where the government speaks to the public and then various members of the 

public speak back to the Government. FMCSA piloted a rule on electronic on-board recorders (EOBRs). 

During the time the rule was open on Regulation Room, 5,328 unique visitors came to the site. There 

were 8,855 total visits, with people spending an average of 3.41 minutes on the site. The pilot is archived 

at: regulationroom.org/eobr/use.

Department of the Treasury

Treasury was an early participant in the eRulemaking initiative, and has numerous proposed and 

interim rules and other materials posted for public comment and review on the eRulemaking site. 

Treasury uses the Federal Register to publish notices on its rulemaking activities. In addition, it posts 

proposed and final rules to www.Regulations.gov. The public can review, read, and comment on all 

Treasury postings on the Portal. Treasury has been in compliance with the eRulemaking requirement by 

posting proposed and interim rules for public comment on www.Regulations.gov on a regular 

basis. Treasury links to www.Regulations.gov in the footer on every page of www.Treasury.gov.

Department of Veterans Affairs

VA is an active and successful participant in the eRulemaking initiative. VA utilizes the FDMS to 

review and post public comments on the website, including those received by mail or other means. As a 

result, the public can actively participate in VA’s rulemaking process while the regulations are under 

development. VA’s Office of Regulation Policy and Management in the Office of the General Counsel 

has a website (www1.va.gov/orpm), which links readers to the Electronic Code of Federal Regulations 

where all current VA regulations can be found. The site also lists all VA rulemaking documents 

published in the Federal Register, and provides convenient links to copies of those publications and other 

materials that might be of interest to the public.

U.S. Agency for International Development

USAID partners with EPA on the eRulemaking Program. The agreement between USAID and the 

EPA supports the maintenance and operation of the government-wide electronic docket management 

system. USAID annually transfers funds to EPA that reflect USAID’s service fee for the implementation, 

use, and the operation and management of FDMS. Access to and use of FDMS is granted to USAID, 

along with all other Federal agencies and the general public.

Environmental Protection Agency

EPA is the managing partner of the eRulemaking Program. In FY 2013, the www.Regulations.gov

website continued to increase usability with improved search results, new document viewing pages and 

streamlined redesign of the public comment webform. The www.FDMS.gov Comment Deduplication 

Engine, launched in November 2012, streamlines agency comment management and review processes. In 

FY 2013, all rulemakings published in the Federal Register were made available on 

www.Regulations.gov; 92% of them were accompanied by a www.Regulations.gov docket. A total of 38 

partner agencies used FDMS to post regulatory dockets. By the end of the fiscal year, 

Page 95 of 150
www.Regulations.gov had received 531,895 public comments via the online webform. On average, the 

site received 2.2 million page views and 286,000 visits per month. During this time, EPA published 

1,225 rules and proposed rules and 984 Federal Register notices of its own. These, along with 17,615 

supporting and related materials and 39,900 comments, were made available for public consideration on 

www.Regulations.gov. Overall, EPA posted 59,820 documents to www.Regulations.gov in FY 2013.

General Services Administration

The eRulemaking Program is a collaborative, interagency effort, whose purpose is to establish a 

common, automated, and integrated repository for managing Federal rulemakings and non-rulemaking 

actions that follow a structured notice and comment process. The project consolidates the dockets of 

various departments and agencies and centrally manages them through a web-based environment offering 

services such as one-stop access, search capabilities, public comment submission, email notification, 

bookmarking, and electronic records management meeting the DOD 5015.2 standard recognized by the 

NARA. GSA is partner agency in the eRulemaking program.

National Aeronautics and Space Administration

NASA's participation in the e-Rulemaking initiative is largely focused on public benefits. One-stop 

access to NASA and other Federal agency information on rulemakings and non-rulemaking activities is 

included in the more than two million documents posted on www.Regulations.gov. Direct budget cost 

savings and cost avoidance result from NASA's transition to FDMS and www.Regulations.gov, enabling 

the agency to discontinue efforts to develop, deploy, and operate specific individual online docket and 

public comment systems. 

National Archives and Records Administration

The OFR posts agency submissions to its Electronic Public Inspection Desk on www.OFR.gov and 

www.FederalRegister.gov. The Public Inspection Desk enables the public and agencies to view 

manuscript copies of Federal Register documents in PDF form at least one day before final publication in 

the Federal Register. Customers may also subscribe to email and RSS notifications of Public Inspection 

documents. The www.FederalRegister.gov website also supports email subscriptions to a specific 

agency’s documents, the daily table of contents, and advanced search results. These services give the 

public and commercial entities more time to prepare comments on proposed rules or take steps to comply 

with new regulatory requirements. To simplify the use of data across platforms the FederalRegister.gov 

website is completely integrated with www.Regulations.gov and FDMS, including direct access from 

www.FederalRegister.gov to agency dockets on FDMS. The Federal Register 2.0 site also contains direct 

links to the Unified Agenda to trace the regulatory history of significant rules. The OFR manages its own 

regulatory actions in the FDMS, and provides extensive guidance and technical resources to the 

eRulemaking program through its membership on the Advisory and Governing Boards.

National Science Foundation

NSF’s support of fundamental science and engineering research requires the Foundation to maintain 

constant contact with the research community. The www.Regulations.gov website provides the research 

community (as well as members of the public) with a one-stop web-based, central location to track 

regulations proposed by NSF and to provide comment when applicable. The FDMS allows NSF to 

manage its regulatory information in a system developed through other agency best-practices and 

collaboration. The Foundation typically publishes only one to three proposed regulations per year. The 

Foundation typically publishes only one to three proposed regulations per year. During FY 2013, NSF 

Page 96 of 150
published one proposed regulation.

Nuclear Regulatory Commission

The eRulemaking Program has helped the NRC by making regulatory information more accessible 

on www.Regulations.gov to simplify the public's participation in the NRC rulemaking process. The 

www.Regulations.gov website improves the NRC’s public engagement by supporting the notice and 

public comment processes for rulemakings. Using the FDMS, the NRC has created dockets on 

www.Regulations.gov for all documents that the agency has published in the Federal Register since 

December 2007. In FY 2013, the NRC posted 72 rules and proposed rules, 595 Federal Register notices, 

and 1,991 public submissions in www.Regulations.gov. The NRC also posts stakeholder comments on 

guidance and other non-rulemaking documents, as well as supplemental background information and 

supporting documents for significant agency actions. In addition, in October 2012 the NRC used 

www.Regulations.gov to collect 347 public comments during the scoping process to prepare an 

Environmental Impact Statement to support a rulemaking that will update the Commission’s Waste 

Confidence Decision.

Office of the Director of National Intelligence

N/A

Office of Personnel Management

OPM’s participation in the eRulemaking Program enabled the agency to fulfill the E-Government 

Act of 2002 requirement to make available a publicly accessible website containing electronic dockets for 

regulations. OPM has used www.Regulations.gov and the FDMS as its online regulatory system since 

2006. In FY 2013, OPM posted 16 final rules, 17 proposed rules, and 94 notices on 

www.Regulations.gov. OPM received 7,996 comments via www.Regulations.gov, and 2,239 comments 

were posted. Overall, OPM has posted 311 rules and proposed rules, 610 Federal Register notices, and 

2,604 public comments in www.Regulations.gov. OPM provides public access to 3,796 documents in 

www.Regulations.gov.

Small Business Administration

SBA is an active participant in electronic rulemaking. During FY 2013, SBA created 15 rulemaking 

dockets through the FDMS for inclusion on www.Regulations.gov. One of these dockets, the 504 and 

7(a) Regulatory Enhancements, generated 99 public comments. One docket, SBIR and STTR Programs 

Commercialization Benchmarks, generated 54 comments. The other dockets generated an average of ten

comments per docket.

Social Security Administration

SSA is a partner agency in the eRulemaking initiative. SSA began working with EPA and the other

partner agencies to develop FDMS in June 2004. Since 2006, SSA has used the FDMS to provide 

information to the public to increase their understanding of SSA's mission, programs, and actions taken 

by the agency. SSA documents published in the Federal Register can be found by accessing the Federal 

eRulemaking web portal. All comments received from members of the public are available on 

www.Regulations.gov. The eRulemaking Program simplified the public’s participation in SSA's

rulemaking process by making regulatory information more accessible. The www.Regulations.gov

website improves public engagement by supporting the notice and public comment process for 

Page 97 of 150
rulemakings. Additionally, the eRulemaking Program offers streamlined internal rulemaking business 

processes with agency access to www.FDMS.gov. Eleven staff members use www.FDMS.gov, and SSA 

has received 125 public comments via www.Regulations.gov that are directly stored in FDMS.

The Office of Regulations (OR) is the focal point within SSA for the development of the agency’s 

regulations, Social Security Rulings, and Federal Register Notices. OR staff draft regulations and steer 

documents through the clearance process in SSA, OMB, and the Office of the Federal Register. 

Additionally, OR is responsible for developing and submitting the annual Regulatory Plan and semiannual Unified Agenda of Federal Regulations to OMB for review and approval, and to the Office of the 

Federal Register for publication.

 

Page 98 of 150
APPENDIX I: NATIONAL ARCHIVES AND RECORDS 

ADMINISTRATION RECORDKEEPING

In accordance with Section 207(d)-(e) of the E-Gov Act, this section describes agencies’ adherence 

to the National Archives and Records Administration (NARA) recordkeeping policies and procedures for 

electronic information online and other electronic records. 

Department of Agriculture

The USDA has well-established processes and procedures to ensure the proper management, 

scheduling, and disposition of USDA records at www.ocio.usda.gov/policy-directives-recordsforms/records-management. The USDA’s Records Management Officer leads the department-wide effort 

to comply NARA and OMB requirements. USDA records management staff members continually 

identify electronic information systems containing records and revise the agency’s records schedules as 

appropriate. USDA submitted 189 schedules for electronic information systems associated with the 251 

major and non-major IT investments in its IT portfolio, by the end of FY 2013. NARA has approved 187 

of those schedules and two schedules are pending NARA’s review.

Department of Commerce

DOC has established records management policies and records schedules for all of the department’s 

records, including electronic information and other electronic records. These records management 

programs ensure permanent records in all media form are transferred to NARA according to the approved 

records schedules. DOC is incorporating electronic records management requirements into the Enterprise 

Architecture, for internal controls to ensure the reliability, authenticity, integrity, and usability of agency 

electronic records maintained in electronic information systems. DOC also has an active working group 

of records officers who are internally reviewing and updating the DOC policy. The goal is to ensure 

DOC policy addresses many of the categories in NARA’s 2013 Self-Assessment, and OMB Memorandum 

M-12-18 Managing Government Records,

10 and has sections that specifically address IT systems and 

electronic records. A revised policy is expected in the 3rd quarter of FY 2014. Some key updates being 

include requiring the Records Officer involvement in the planning and development stages of new IT 

systems, and more robust policies and procedures for email records that have a retention period longer 

than 180 days. The working group is also developing Records Management training, including a module 

designed for IT professionals, which will address records management of electronic records, as well as tie 

the material the DOC policy and procedures. The rollout of virtual training is expected in calendar year 

2014. 

Department of Defense

DOD continues to improve its capabilities for records management (RM) of electronic records 

through policy and implementation. The DOD CIO recently revised and is coordinating department-wide 

policy that addresses the challenges of managing the high volume of electronic records being received or 

created within the DOD. The revised policy emphasizes that RM requirements be considered during 

business process design, enterprise architecture, and systems development processes. For unstructured 

electronic records, the policy calls for the deployment of a RM solution that is compliant with DOD 

5015.02-STD, "Electronic Records Management Software Applications Design Criteria Standard.” In all 

cases, the policy calls for scheduling of any records, electronic or otherwise. Through this governance 

structure, the DOD will continue its progress in improving the management of electronic records. 

Agencies across DOD also continue to adopt and implement RM Applications (RMAs). In the past, the 

number of electronic records that have been scheduled with NARA and any pending scheduling for 

Page 99 of 150
electronic systems was provided in a twice-annual report to NARA. However, beginning in FY 2013, 

that report will be done on an annual basis and included in the RM Self-Assessment that is due each 

December. Additionally, DOD is ensuring records officers are certified and that all employees are trained 

to understand their records management responsibilities.

Department of Education

ED complies with all NARA policies for the management of electronic records, including online 

records. An electronic information systems data call was recently completed to identify all current 

systems. A comprehensive validation process is ongoing to identify scheduled and unscheduled 

electronic information systems. Thus far, ED has validated 121 electronic information systems are 

currently scheduled. Approximately 234 electronic information systems remain to be examined, 

including the agency’s internet and intranet websites. The department also has five electronic information 

systems records schedules under development. ED revised and deployed a new mandatory records 

management online training module that includes specific requirements for managing electronic records, 

including email records. An agency-wide internal evaluation of component records management 

programs was conducted to assess adherence to the agency’s policies and procedures for managing 

electronic records. The department completed a pilot of an electronic recordkeeping system to assess its 

capabilities for managing all agency electronic records, including email records. In addition, the 

department is currently exploring adoption of NARA’s Capstone approach for managing email records.

Department of Energy

DOE is actively focused on issues involving electronic records scheduling, managing social media

records, managing e-mail records, and managing shared drive contents. The OCIO provides RM Program 

oversight and direction for the department, and coordinates IT efforts with RM on matters involving 

research, development and deployment of IT applications managed by the OCIO. The OCIO also 

partners with departmental elements through its IT Council, RM Working Group, and other forums to 

identify electronic records and electronic information systems (EISes) for scheduling and to communicate 

retention requirements. 

Social media and cloud computing records are monitored and reviewed for records 

implications. Unscheduled records and systems data are treated as if permanent records to help ensure 

safeguarding pending Archivist disposition authority. DOE also participates in the NARA-led Federal 

Records Council and NARA-led Electronic Records Management Automation Work Group, which are 

engaged in efforts to evaluate software solutions for electronic and e-mail records management. DOE 

retains its electronic information with department record owners responsible for applying authorized 

dispositions, including temporary and permanent records. Unscheduled electronic information is stored 

on servers and in systems as if permanent, to ensure proper safeguarding, and until a records disposition is 

approved. NARA-defined a cutoff of post-December 2007 for defining media-neutral scheduling 

defaults. Records schedules prior to that date are media specific, and are presumed to be paper unless 

otherwise stated. Consequently, DOE has submitted several records schedules that were Archivistapproved since January 2008, including more 200 separate record items across several functional 

series. The items include those initially submitted post-2007, as well as those approved pre-2008 that 

were resubmitted for NARA re-consideration as media neutral and Archivist-approved post-December 

2007. At present, DOE has no electronic systems schedules pending with NARA for consideration.

Department of Health and Human Services 

HHS uses the General Records Schedules (GRS) maintained by NARA whenever feasible. For 

Page 100 of 150
records the GRS do not address, HHS submits unique records schedules for NARA's approval. HHS 

communicates its records management policies and practices online at 

www.hhs.gov/ocio/policy/recordsmanagement. All HHS operating divisions use the NARA Electronic 

Records Archives information system for transferring permanent electronic records to NARA's custody. 

HHS recently completed a roadmap for furthering its electronic records management practices. HHS 

currently has 1,314 approved records schedules associated with information systems and 23 records 

schedules for information systems submitted to NARA that are pending approval.

Department of Homeland Security

DHS uses several methods to ensure NARA recordkeeping policies and procedures are adhered to 

for electronic records. The CIO is responsible for the seamless capture and storage of electronic records 

and associated metadata. Additionally, the CIO coordinates with the Department on any new enterprise 

systems as well as changes to or decommissioning of current systems to ensure records integrity. DHS 

Headquarters currently has 75 systems that have either agency or GRS approved schedules applied, and 

one system schedule pending at NARA. Since 2009, all schedules have been developed as “media 

neutral” which means they can apply to either hard copy or electronic records. Additionally, in 2012 

DHS began development of Enterprise Records Disposition Authorities. This process initiated the 

coordinated, enterprise-level submission of records disposition requests for common functions across the 

Department (Investigation, Legal Records, Public Affairs, Intelligence, etc.). By developing these 

enterprise schedules, any new systems created that contain one of these record types, can automatically 

apply the enterprise schedule without further delay once they are approved by NARA. The first schedule 

of this type covers biometric records and consolidated eight unique systems schedules to one schedule 

with four categories (Immigration, Internal Credentialing, Law Enforcement and External Threat 

Assessment).

Additionally, to ensure metadata is captured DHS outlines metadata forms associated with 

electronically stored information. DHS policy includes information on storing email records, the use of 

the enterprise vault along with specific information on what classifies as a permanent or temporary email 

record or non-record. Furthermore, DHS oversees the departure of employees to ensure email and shared 

drive records are properly maintained for their retention period. A working group is in place to oversee 

any program office plans to transfer electronic records to a records management application. All new 

systems developed must have a records management plan approved by the working group. DHS 

promulgates these policies and procedures through Directives, Instructions, and training. Mandatory 

training is provided during employee in-processing as well as through DHScovery (the DHS Learning 

Management System) to Federal and contract staff.

Department of Housing and Urban Development

HUD has existing record schedules for all electronic information systems under the HUD Records 

Disposition Schedules and the GRS as appropriate. The Office of the Chief Human Capital Officer, in 

collaboration with the OCIO, is working to ensure that information systems, as required by the Privacy 

Act, have completed a required SORN which includes an approved HUD schedule or GRS. No new 

electronic record schedules have been submitted for FY 2013. Copies of records that have already been 

established under an approved HUD schedule or GRS are available online.

Department of the Interior

DOI established the electronic eMail Enterprise Records and Document Management System 

(eERDMS) program to move the agency toward an integrated electronic enterprise recordkeeping system 

Page 101 of 150
that provides support for messaging, records management, content management, case management, and 

early case assessment review. The eERDMS program consists of the following five systems: Enterprise 

Forms System, Enterprise eArchive System, Enterprise Dashboard System, Enterprise Content System,

and Enterprise Fax System. These systems provide a department-wide solution to increase cost savings 

and improve greater efficiencies for managing records. To date, DOI has a total of 425 electronic 

systems, of which 345 have been scheduled. There were 80 electronic systems submitted to NARA for 

approval, of which 64 were approved and 16 are pending approval. The NARA-approved records 

schedules and description of the records systems are available at 

www.doi.gov/ocio/information_management/information_dissemination.cfm.

Department of Justice

In FY 2013, DOJ continued to follow its ongoing practice of scheduling electronic records that 

contain federal records. To date, the department as approximately 3,730 EIS (that contain Federal 

records), of which 3,231 have been scheduled with an additional 19 schedules submitted by DOJ and 

awaiting approval by NARA. All of DOJ's records schedules that are posted on NARA’s public website 

are available at: www.archives.gov/recordsmgmt/rcs/schedules/index.html?dir=/departments/department-of-justice/rg-0060. In addition, DOJ has an 

approved records retention schedule for its public facing websites including a separate schedule for social 

media tools used on those sites. The increase in the number of reported EIS and reported approved 

schedules is a direct result of an intensive department-wide inventory project.

Department of Labor

In 2013, DOL undertook a review of its Electronic Information Systems (EIS) inventory. Of the 143 

systems identified, 11 were awaiting NARA approval of the submitted schedules. As of October 2013, 

NARA completed seven, leaving four schedules awaiting NARA approval. DOL continues to take a 

number of steps to coordinate continuing improvement in collaboration with records management and 

information technology staff. This has included broadening the channels of communication and bringing 

awareness with records management, IT staff and EIS related and affected programs. The importance of 

scheduling an EIS and managing electronic stored information (ESI) has also been incorporated into the 

DOL Management System (DLMS) documentation, which has been updated to include information on 

departmental procedures that conform to NARA's mandates and reporting requirements. Through 

documentation of policy and procedure, as well as formal and informal information exchange and 

annually mandated online training DOL has adhered to NARA recordkeeping policies and procedures for 

electronic information online and other electronic records keeping requirements.

Department of State

State has fulfilled the IT scheduling requirements of NARA Bulletin 2006-02. The department 

developed and implemented a NARA-approved comprehensive plan to schedule all unscheduled program 

systems in accordance with NARA Bulletin 2006-02. The department submitted records schedules to 

NARA for two IT systems in FY 2013.

Department of Transportation

DOT multi-year initiative to modernize its RM program seeks to implement an overarching approach 

to records management, which ensures agency records are properly managed from creation to final 

disposition. This allows DOT to effectively and efficiently accomplish its mission, support its business 

goals, protect the rights and interests of citizens, and identify, preserve, and transfer its permanently 

Page 102 of 150
valuable records NARA. The modernization effort is being led by DOT’s CIO and Senior Agency 

Official for Records Management, in consultation with focus area stakeholders and functional business 

owners. The governance of the DOT RM program reflects the federated nature of DOT and utilizes a 

tiered model to ensure the program efforts are coordinated across the department, while also providing 

flexibility at the OA level based on individual statutory mission requirements. Records Liaisons (RLs) 

embedded throughout the OAs are directly responsible for the operational aspects of RM for their 

respective offices under the guidance of the RMOs.

The program’s modernization efforts will continue through FY 2015, and includes goals, supporting 

initiatives, and measures to be implemented to meet DOT’s RM mission. Among the goals identified in 

the analysis is the need to improve the knowledge and understanding of the importance of records 

management as a fundamental responsibility of Federal agencies and staff. Consequently, initial efforts 

focus on fundamentals to ensure that investments in new practices and technologies are rooted in an 

environment that is primed for success. DOT designed, developed, and implemented departmental 

training and conducted its first annual RM Outreach campaign. The training, has been completed by 

thousands of employees and contractors and has elevated across the organization at all levels the need for 

and importance of RM activities.

Department of the Treasury

Treasury will continue to schedule newly identified electronic systems on an ongoing basis as part of 

the bureau assessment plans. Upon identification, the department evaluates and schedules these systems 

at the bureau-level. The department developed an Electronic Records Retention schedule and 

consolidated disparate electronic systems lists into a centralized spreadsheet utilized for tracking. The 

department has provided public access to the information that identifies the disposition authorities for the 

1,267 electronic systems. Treasury’s Records Schedules are available at: www.archives.gov/recordsmgmt/rcs/schedules/index.html?dir=/departments/department-of-the-treasury.

Department of Veterans Affairs

The VA Office of Information & Technology, Enterprise Records Service is responsible for 

overseeing, directing and establishing long and short-term goals for VA's Enterprise Records Technology 

Programs. The Enterprise Records Management Service identifies the department's records needs,

implements strategies to meet those needs, and advises senior officials and VA’s communities concerning 

records management. Records Management is the VA's principle means for providing a structured review 

of all records management programs and operations. It enables continuous improvement of VA records 

management activities through ongoing evaluation and measurement of program work efficiency, and 

develops recommendations and projects to increase productivity, reduce errors and optimize VA 

resources in the delivery of service.

Additionally, the VA Directives and Handbook VA Publications website provides department-wide 

policy for VA's Directives Management System (DMS). VA's DMS includes directives, handbooks, and 

notices and is the official means by which department-wide policies, procedures, requirements, and other 

information of general applicability will be issued to VA employees. Additional information about VA

Records Management information can be found at: www.rms.oit.va.gov.

U.S. Agency for International Development

USAID Automated Directives System’s (ADS) outlines the agency’s adherence to federal 

recordkeeping policies, including NARA. Under the ADS policy, the agency is directed to identify 

Page 103 of 150
records that need to be created and maintained to conduct agency business and create and preserve 

records that document the organization, functions, programs, policies, decisions, procedures, and essential 

transactions of the agency. This includes records necessary to protect the legal and financial rights of the 

government and of persons directly affected by the agency's activities. The policy also requires records to 

be managed according to the NARA-approved records schedules that determine where and how long 

records need to be maintained, and transfer permanent records to NARA. Finally, the policy addresses

the creation, maintenance, use, and disposition of records, including databases, e-mail, web records, 

digital audiovisual materials, and records created from new and emerging technologies.

Environmental Protection Agency

EPA’s National Records Management Program (NRMP) maintains a “master list” of electronic 

systems for tracking purposes. The list includes the name and acronym of each system, the responsible 

office, and the records schedule. The list is updated on a monthly basis as information is collected, and 

currently includes 1,867 databases and electronic systems that have been scheduled over time. The 

NRMP works with the system manager for the Registry of EPA Applications, Models, and Databases 

(READ) to review information submitted for the READ data call. The READ record includes a “tab” for 

record retention information. The READ records tab information is reviewed by NRMP staff for 

accuracy. It is also a way to learn about new information systems that need to be investigated for 

scheduling purposes.

In FY 2013, EPA received records schedule approval from NARA for one major electronic system, 

the Underground Injection Control National Database. A records schedule for the Superfund Enterprise 

Management System is in the development and approval phase within the Agency. Two minor electronic 

databases were scheduled as part of previously approved “big bucket” schedules. There are currently 25 

transfers of electronic systems to NARA in process. 12 Legal Transfer Instruments were completed, 

covering the following electronic systems: Clean Watersheds Needs Survey, Integrated Risk Information 

System, the EPA Newsroom Database, and the Air Quality System. EPA completed the consolidation of 

788 schedule items into 21 schedules with 89 disposition items and submitted them to NARA. The 21 

consolidated schedules are “media neutral” covering records in any format, including electronic. NARA 

has approved five of the consolidated schedules to date.

Additionally, EPA is working on an update to its records management policy to strengthen the 

requirements for managing electronic records and electronic mail. Changes include maintaining 

permanent records electronically, ensuring secondary email accounts are managed appropriately, 

migrating records in legacy systems to official electronic records management systems where practicable, 

and ensuring records are placed in an official electronic records management system either automatically 

or by a manual process. EPA created tools to transfer email records from the current and legacy email 

systems into a Documentum records repository. EPA is currently conducting market research on records 

auto-categorization technology to supplement the current suite of tools to capture electronic records.

EPA also developed a consolidated records schedule for records of senior officials developed, which 

includes a permanent retention for email of senior officials. The schedule is being reviewed by NARA. 

EPA’s Electronic Content Management Subcommittee Records Work Group worked on several initiatives 

in FY 2013, including recommended procedures and standards from the digitization sub-work group 

which are under review. Other initiatives for FY 2013 included electronic rulemaking content, guidance 

on shared drives and records, FOIA technology, and drafting an Enterprise Information Management 

Policy. The work group also reviewed the draft Media Records Management Guidance and Data 

Retention Procedures for eDiscovery.

Page 104 of 150
General Services Administration

GSA has been actively improving their records program to ensure compliance with all records 

keeping regulations and other requirements, especially those involving electronic records. In FY 2013, 

GSA reorganized the Records Management program moving it from the OCIO to the Office of 

Administration creating the Records Management Branch with seven full time records management 

employees in GSA’s Central Office. A new records management directive has been written and is 

awaiting a signature that will give GSA a modernized records management policy. Mandatory records 

management training was also rolled out to the entire agency, and a year-long evaluation of GSA’s 

disposition authorities has resulted in the development of an improved and modernized flexible records 

schedule that will be submitted to NARA in December 2013. GSA also continues developing new 

records management training courses specifically for senior leadership, program managers, records 

officers and all GSA employees.

National Aeronautics and Space Administration

NASA follows agency policy and procedures for the management of federal records, independent of 

the media or format of the records. An agency inventory of its electronic information systems identifies 

whether they contain Federal records, and whether there are proper approved retention schedules that 

govern the disposition of the records. Of the 2,187 information systems identified in 54 subject 

categories, 1,330 contain records. NASA continues to create and submit to NARA retention schedules for 

newly identified records determined to be unscheduled. NARA approved two new media neutral records 

retention schedules in FY 2013 and another is pending Archivist approval. Most new schedules have 

been approved with records in over 1,250 of NASA's systems now covered by appropriate retention 

schedules. The agency now has NARA approved schedules for 96.3% of the categories of systems. 

NASA continues work on developing proposed schedules for the remaining 3.7% of the subject 

categories of systems containing 94 systems or applications whose records require schedules. NASA 

partners with NARA as it studies uses of, and works toward developing guidance, policies, and schedules 

for social media and resultant e-records. Further, the agency is refining new guidelines and procedures 

that increase instructions for e-records and better integrates management of electronic records into IT 

governance. These will be incorporated into revisions of new agency policy documents.

National Archives and Records Administration

FY 2013, NARA’s Corporate Records Management staff made significant progress with regards to

electronic recordkeeping by implementing cloud email management, disposing of inactive paper records, 

and issuing an updated records management policy directive. NARA migrated email from Novell 

GroupWise to Google’s Gmail (Google Apps for Federal Government). As part of our cloud architecture, 

NARA implemented records management capabilities through a cloud-hosted, certified Records 

Management Application (RMA). NARA has applied the Capstone email approach to automatically 

capture NARA email records and manage them in a cloud-based repository. The cloud-based RMA 

supports NARA’s internal records management and litigation requirements, including the capability to 

identify, retrieve, and retain the records for as long as they are needed. It meets OMB requirements by 

managing both permanent and temporary email records in an accessible electronic format.

More than 70% of NARA’s program areas have finalized detailed plans for the disposition of 

internal NARA records. Through records disposition plans, Information Management Officers (IMOs) 

and Records Custodians identified records maintained in program areas, linked them to the records 

schedule, and identified their disposition dates. Through disposition logs, nearly 60 percent of NARA’s 

program areas identified inactive NARA records eligible for transfer to a Federal Records Center, inoffice disposal, or accessioning to NARA’s holdings. In coordination with the Senior Agency Official for 

Page 105 of 150
Records Management, NARA issued a new policy directive that updates program objectives and roles for 

implementing the responsibilities of records management laws and regulations. It establishes NARA’s 

Corporate Records Management Program and forms the basis for a new policy framework to support 

electronic recordkeeping requirements and implements specific OMB requirements. In addition to these 

initiatives, Corporate Records Management staff ensures that records management requirements are 

included where appropriate in policies and systems development. Examples include procuring 

recordkeeping functions for NARA’s new cloud email system, reviewing records paragraphs in policies, 

coordinating NARA’s reports required by the new Managing Government Records Directive, managing 

NARA’s vital records program, and participating in NARA’s COOP exercise.

National Science Foundation

NSF recognizes the importance of managing all of its records. The agency continuously reviews 

NARA-approved records schedules to ensure they correctly represent the organization’s current business 

practices. NSF’s largest permanent record group is the Grant/Proposal Awards group. That records 

schedule was updated to reflect the agency’s move from paper-based to an electronic format. We are 

using the Electronic Records Archives (ERA) to transfer eligible permanent electronic records from that 

group to NARA for archival. The NSF records office is working together with the information 

technology office during the electronic records transfer process. These groups’ collaborative efforts 

ensure that records and archival management functions are incorporated into the design of new electronic 

systems and are compliant with NARA guidelines.

NSF has implemented an Electronic Records Management System (ERMS), Documentum. The 

agency is working to bring all legacy paper records and electronic records into the Documentum system. 

The organization is analyzing every opportunity to transition its business practices from paper-based 

record keeping to electronic records management. These opportunities continue to present themselves as 

legacy systems are replaced and the life-cycles of their record outputs are evaluated and brought into 

alignment with current organizational goals and practices. NSF also recognizes the importance of records 

management training for all agency staff. The agency is enhancing training programs to make sure all 

employees are aware of their responsibility to identify and protect agency official records.

Nuclear Regulatory Commission

In 2013, key records management activities in support of E-Government included deployment of 

ADAMS Records Manager (RM) to automate file retention and disposition, as well as the application of a 

filing scheme for agency records that is consistent with NRC lines of business. Projects scheduled for 

2014 - 2019 include digitization, revisions to records policy and governance, and establishment and 

enforcement of a certification process for records compliance on all electronic data systems. The NRC 

currently has six retention schedules pending at NARA, which address electronic systems. All other 

identified systems have approved retention schedules.

Office of the Director of National Intelligence

ODNI, as a relatively new agency, is closely following NARA guidance for identifying, describing, 

scheduling, and archiving electronic records, which are the majority of the agency's records.

• ODNI keeps a running inventory of all electronic records systems and series which is updated 

semi-annually.

• Electronic records and systems are all accounted for in draft, submitted, and NARA approved

Page 106 of 150
records control schedules governing their ultimate disposition.

• Records control schedules are media neutral, flexible schedules that follow NARA guidance to 

prepare for future adoption of electronic records management systems.

• Records control schedules anticipate the maintenance of electronic records for continued 

readability and eventual transfer of permanent records to NARA in useable formats far into the 

future by specifically requiring updating and migration.

• ODNI email is preserved in a NARA-approved system and the permanent email of senior 

officials is specifically identified and archived.

• The ODNI's IC-CIO is leading the initiative to move Intelligence Community information to a 

cloud environment through the establishment of the Intelligence Community Information 

Technology Environment (IC-ITE), which is in direct compliance with the President's 

Memorandum on Managing Records and NARA/OMB follow-on guidance. This move will 

support enhance information sharing and collaboration. Further, IC-ITE is being developed to 

adhere with NARA Bulletin 2010, Guidance on Managing Records in Cloud Computing 

Environments.

Office of Personnel Management

OPM's Record Management Program has an online recordkeeping guide of policies and procedures 

for electronic information and other electronic records for all of OPM located at:

www.opm.gov/RecordsManagement/policies/index.asp. OPM has also issued a new employee course 

which outlines OPM's policy and procedures to ensure records are in compliance with Federal laws and 

regulations that establish principles, responsibilities, best practices, and requirements for managing such 

records. OPM has updated the System Development Lifecycle (SDLC) to include Records Management 

in all nine phases of the OPM SDLC. The SDLC includes a checklist that provides three to five basic 

questions about records management and recordkeeping for each phase of the SDLC process. OPM has 

also drafted an update to the existing Records Management Directive, which contains guidelines for the 

creation, organization, maintenance, and disposition of OPM records. Over the last year OPM has 

worked with the Federal Records Council, of which OPM is a member, on all aspects of improving 

records management in the federal government. Additionally, OPM has worked with NARA on the 

scheduling of numerous important Electronic Information Systems such as USAJOBs and USA Staffing. 

OPM currently has four systems being reviewed by NARA, and is in the process of preparing to complete 

all four remaining EIS systems by the end of 2013. OPMs efforts over the last four years have improved 

records management to the point where it has received a 100 on the National Archives recent assessment 

of agency records management programs. 

Small Business Administration

SBA currently has 29 approved electronic systems. During FY 2013, SBA had no pending or new 

electronic records scheduled with NARA.

Social Security Administration

SSA schedules records under agency-specific schedules GRS. NARA maintains public access to the 

GRS at www.archives.gov/records-mgmt/grs, and public access to SSA-specific schedules at 

Page 107 of 150
www.archives.gov/records-mgmt/rcs/schedules/index.html?dir=/independent-agencies/rg-0047.

In FY 2009, SSA submitted all required records schedules to satisfy NARA mandates. SSA received

NARA's approval and fully-implemented the submitted schedules for the agency’s Internet Websites and 

Master File Electronic Information Systems (Enumeration System, Earnings Recording and SelfEmployment Income System, Master Beneficiary Record, and Supplemental Security Income System).

SSA implemented a tool as part of its systems life cycle process to ensure records management 

requirements are included in the systems' functionality. SSA has two registered agency-specific 

schedules pending at NARA for approval. Those two schedules encompass agency records for the Office 

of the Chief Actuary and Office of Legislation and Congressional Affairs. SSA anticipates receiving 

NARA’s final approval by the end of 2014. 

 

Page 108 of 150
APPENDIX J: FREEDOM OF INFORMATION ACT (FOIA)

In accordance with Section 207(f)(1)(A)(ii) of the E-Gov Act, this appendix provides the URL’s for 

agencies’ primary FOIA website. 

Agency Agency URL(s)

U.S. Department of 

Agriculture

www.usda.gov/da/foia.htm

U.S. Department of 

Commerce

www.osec.doc.gov/omo/foia/foiawebsite.htm

U.S. Department of 

Defense

www.dod.mil/pubs/foi/dfoipo

U.S. Department of 

Education

www.ed.gov/policy/gen/leg/foia/foiatoc.html

U.S. Department of 

Energy

energy.gov/management/office-management/operationalmanagement/freedom-information-act

U.S. Department of 

Health and Human 

Services

www.hhs.gov/foia

U.S. Department of 

Homeland Security

www.dhs.gov/freedom-information-act-and-privacy-act

U.S. Department of 

Housing and Urban 

Development

portal.hud.gov/hudportal/HUD?src=/program_offices/administration/foia

U.S. Department of the 

Interior

www.doi.gov/foia/index.cfm

U.S. Department of 

Justice

www.justice.gov/oip/

U.S. Department of 

Labor

www.dol.gov/dol/foia

U.S. Department of 

State

www.foia.state.gov

U.S. Department of 

Transportation

www.dot.gov/foia

U.S. Department of the www.treasury.gov/foia/Pages/index.aspx

Page 109 of 150
Treasury

U.S. Department of 

Veterans Affairs

www.foia.va.gov

U.S. Agency for 

International 

Development

www.usaid.gov/foia-requests

Environmental 

Protection Agency

foiaonline.regulations.gov/foia/action/public/home

General Services 

Administration

www.gsa.gov/portal/content/105305

National Aeronautics 

and Space 

Administration

www.hq.nasa.gov/office/pao/FOIA/agency

National Archives and 

Records Administration

www.archives.gov/foia

www.ogis.archives.gov (Federal FOIA Ombudsman)

National Science 

Foundation

www.nsf.gov/policies/foia.jsp

Nuclear Regulatory 

Commission

www.nrc.gov/reading-rm/foia/foia-privacy.html

Office of the Director 

of National Intelligence

http://dni.qov/index.php/about-this-sitelfoia

Office of Personnel 

Management

www.opm.gov/efoia

Small Business 

Administration

www.sba.gov/about-sba-services/foia

Social Security 

Administration

www.socialsecurity.gov/foia

 

Page 110 of 150
APPENDIX K: INFORMATION RESOURCES MANAGEMENT 

STRATEGIC PLAN

In accordance with Section 207(f)(1)(A)(iv) of the E-Gov Act, agencies are required to include a 

direct link to their strategic plan on their website. This appendix provides the URL’s for agencies’ 

Information Resources Management strategic plans. These plans encompass activities that occurred in 

FY 2013. In cases where updated strategic plans are unavailable, this table provides a URL to the most 

up-to-date plan, and indicates when an updated plan will be available. 

Agency Agency URL(s)

U.S. Department of 

Agriculture

www.ocio.usda.gov/n_USDA_IT_Strategic_Plan.pdf

U.S. Department of 

Commerce

max.omb.gov/community/download/attachments/661424815/DOC+Final+Draft+

+IRM+S

U.S. Department of 

Defense

dodcio.defense.gov/Portals/0/Documents/Campaign%20Plan%20Summary.pdf

U.S. Department of 

Education

www.ed.gov/about/reports/annual/ocio/irmstratplan2013.pdf

U.S. Department of 

Energy

energy.gov/cio/downloads/ocio-strategic-plan

U.S. Department of 

Health and Human 

Services

www.hhs.gov/ocio/ea/documents/hhs_irm_strategic_plan_2007_2012.pdf

U.S. Department of 

Homeland Security

DHS’s IRM strategic plan has not yet been publically released. DHS anticipates 

the strategic plan will be made publically available in February 2014.

U.S. Department of 

Housing and Urban 

Development

hudatwork.hud.gov/po/i/stratplan/index.cfm

U.S. Department of 

the Interior

www.doi.gov/ocio/index.cfm

U.S. Department of 

Justice

www.justice.gov/jmd/ocio/it-strategic-plan.htm

U.S. Department of 

Labor

www.dol.gov/oasam/ocio/2013IRM-SP.pdf

U.S. Department of 

State

www.state.gov/m/irm/rls/c39428.htm

U.S. Department of www.dot.gov/cio/docs/IRM_StrategicPlanFY07-2012.pdf

Page 111 of 150
Transportation

U.S. Department of 

the Treasury

Treasury’s IRM strategic plan has not yet been publically released. Treasury 

anticipates the plan will be made publically available in February 2014.

U.S. Department of 

Veterans Affairs

www.ea.oit.va.gov/docs/VA_IRM_Strategic_Plan_5_15_13_for_Publication.pdf

U.S. Agency for 

International 

Development

www.usaid.gov/sites/default/files/documents/1868/USAID_ITSP_FY2013.pdf

Environmental 

Protection Agency

www.epa.gov/oei/OEI_Strategic_Overview.pdf. EPA anticipates an updated IRM 

strategic plan will be available sometime in 2014.

General Services 

Administration

www.gsa.gov/graphics/staffoffices/itstrategicplan2012.pdf

National 

Aeronautics and 

Space 

Administration

www.nasa.gov/offices/ocio/IRM_Plan.html. NASA anticipates an updated IRM 

strategic plan will be available sometime in 2014.

National Archives 

and Records 

Administration

www.archives.gov/about/plans-reports/info-resources

National Science 

Foundation

www.nsf.gov/oirm/dis

Nuclear Regulatory 

Commission

www.nrc.gov/about-nrc/plans-performance.html#it-im

www.nrc.gov/reading-rm/doc-collections/nuregs/staff/sr1908

Office of the 

Director of National 

Intelligence

N/A

Office of Personnel 

Management

www.opm.gov/strategicplan/index.aspx

Small Business 

Administration

www.sba.gov/sites/default/files/SBA_IT_Strategic_Plan_2012-2016.pdf

Social Security 

Administration

http://www.socialsecurity.gov/irm/IRM_2012.pdf

Page 112 of 150
APPENDIX L: PUBLIC ACCESS TO ELECTRONIC INFORMATION 

In accordance with section 207(f)(1)(B) of the E-Gov Act, this appendix provides URL’s that contain 

agency customer service goals and describe activities that assist public users in providing improved 

access to agency websites and information, aid in the speed of retrieval and relevance of search results, 

and use of innovative technologies to improve customer service at lower costs. 

Agency Agency URL(s)

U.S. Department of 

Agriculture

www.usda.gov/documents/usda-customer-service-plan-nov2011.pdf

http://www.usda.gov/wps/portal/usda/usdahome?navid=ASK_EXPERT2

U.S. Department of 

Commerce

open.commerce.gov/news/2011/10/24/department-commerce-customer-serviceplan

U.S. Department of 

Defense

open.defense.gov/portals/23/Documents/DoD_Customer_Service_Plan.docx

U.S. Department of 

Education 

www.ed.gov/open

www2.ed.gov/about/customer-service-plan.pdf

www.ed.gov/digitalstrategy

U.S. Department of 

Energy

energy.gov/downloads/department-energy-customer-service-plan

U.S. Department of 

Health and Human 

Services

www.hhs.gov/open/execorders/customerservice.html

U.S. Department of 

Homeland Security 

www.dhs.gov/dhs-information-quality-standards

www.dhs.gov/how-do-i/by-type

www.dhs.gov/main-contact-us

U.S. Department of 

Housing and Urban 

Development 

portal.hud.gov/hudportal/documents/huddoc?id=CustServPlan11292011.pdf

portal.hud.gov/hudportal/HUD?src=/Digital_Strategy/report

www.usa.gov/webreform/agency-plans/hud.pdf

portal.hud.gov/hudportal/HUD?src=/library/bookshelf11

blog.hud.gov/index.php/2012/02/22/taking-steps-to-streamline-and-improvehud%e2%80%99s-web-presence

U.S. Department of 

the Interior 

www.doi.gov/open/index.cfm

www.doi.gov/open/upload/Customer-Service-Plan-DOI-10-23-2011.pdf

www.doi.gov/digitalstrategy/index.cfm

www.doi.gov/notices_soc.cfm

www.doi.gov/ocio/information_management/products.cfm

U.S. Department of 

Justice

www.justice.gov/open

U.S. Department of 

Labor

www.dol.gov/open/customer-service-plan.htm

www.dol.gov/open

Page 113 of 150
www.dol.gov/dol/aboutdol/content.htm

U.S. Department of 

State

www.state.gov/digitalstrategy

www.state.gov/documents/organization/176165.pdf

U.S. Department of 

Transportation

www.dot.gov/mission/open/dot-customer-service-plan

www.usa.gov/webreform/agency-plans/dot.pdf

U.S. Department of 

the Treasury

www.treasury.gov/open/Documents/Treasury%20Customer%20Service%20Plan%

20FINAL.pdf

www.treasury.gov/about/budget-performance/Pages/default.aspx

U.S. Department of 

Veterans Affairs

www.va.gov/OPEN/docs/Customer_Service_Plan_VA_Oct242011.pdf

www.va.gov/bluebutton/

U.S. Agency for 

International 

Development

transition.usaid.gov/open/USAIDCustomerServicePlan2011-10-26.pdf

Environmental 

Protection Agency

www2.epa.gov/open/read-plan

General Services 

Administration

search.usa.gov

National 

Aeronautics and 

Space 

Administration

www.nasa.gov/pdf/598263main_NASA%20Customer%20Service%20Plan.pdf

www.nasa.gov/open/index.html

www.nasa.gov/about/contact/information_inventories_schedules.html

science.nasa.gov

National Archives 

and Records 

Administration

www.archives.gov/about/customer-service

www.archives.gov/digitalstrategy

www.archives.gov/open

www.archives.gov/developers

National Science 

Foundation

nsf.gov/open

www.nsf.gov/digitalstrategy

www.nsf.gov/policies/egov_inventory.jsp

Nuclear Regulatory 

Commission

www.nrc.gov/public-involve/open/customer-service/nrc-customer-service-plan.pdf

www.nrc.gov/public-involve/open/cio-council-reform-initiative.html

www.nrc.gov/public-involve/open/digital-government.html

www.nrc.gov/public-involve/open.html

www.nrc.gov/site-help/search.cfm

www.nrc.gov/site-help/site-map.html

www.nrc.gov/site-help/plug-ins/browse-aloud.html

Office of the 

Director of National 

Intelligence

http://icontherecord.tumblr.com 

Page 114 of 150
Office of Personnel 

Management

www.opm.gov/publications/2012-customer-service-plan.pdf

Small Business 

Administration

www.sba.gov/sites/default/files/SBA%20Customer%20Service%20Plan.pdf

Social Security 

Administration

www.socialsecurity.gov/open/customerserviceplan

 

Page 115 of 150
APPENDIX M: RESEARCH AND DEVELOPMENT

Section 207(g) of the E-Gov Act requires the development and maintenance of a government-wide 

repository and website containing information about research and development (R&D) funded by the 

Federal government. The FY 2004 E-Gov Act Report to Congress described two Federally funded 

repositories for research and development information, developed in accordance with the E-Gov Act: 

RaDiUS (previously available on radius.rand.org) and www.Science.gov. The intent of RaDiUS was to 

provide the public and Federal agencies with information about Federally funded research and 

development activities and opportunities. Similarly, the intent of www.Science.gov was to provide links 

to science websites and scientific databases providing the public with access to the results of Federal 

research.

While www.Science.gov remains active, the RaDiUS database was decommissioned in 2008. The 

Office of Science and Technology Policy (OSTP) developed another resource, known as the R&D 

Dashboard, in 2012 to fulfill the requirements of the E-Gov Act. As described in the OSTP Open 

Government Plan, the R&D Dashboard enables the public to track, visualize, and analyze R&D spending 

data. The current R&D Dashboard is a beta site, with information from two agencies - the National 

Institutes of Health, and the National Science Foundation. OSTP plans to expand the R&D Dashboard to 

include information from other Federal agencies. However, given current fiscal constraints, plans to 

expand the R&D Dashboard have been put on hold indefinitely. OSTP will also continue to evaluate 

other options, including the STAR METRICS project, a Federal and research collaboration to create a 

repository of data and tool that help assess the impact of Federal R&D investments.

Because a R&D repository and website is unavailable at this time, this appendix provides URL’s for 

publically accessible information related to R&D activities and/or the results of Federal research. For 

agencies that do not fund R&D activities, the table shows "N/A." 

Agency Agency URL(s)

U.S. Department of 

Agriculture 

www.fs.fed.us/research

www.nal.usda.gov/research-and-technology/research-and-development

cris.nifa.usda.gov

U.S. Department of 

Commerce

ocio.os.doc.gov/ITPolicyandPrograms/E-Government/PROD01_003924

U.S. Department of 

Defense

www.dtic.mil/dtic/stresources/index.html

www.dtic.mil/descriptivesum

www.dod.mil/comptroller

U.S. Department of 

Education

ies.ed.gov

nces.ed.gov

U.S. Department of 

Energy

www.osti.gov

www.osti.gov/energycitations

www.osti.gov/bridge

www.osti.gov/doepatents

www.osti.gov/accomplishments

www.osti.gov/dataexplorer

www.osti.gov/sciencecinema

Page 116 of 150
www.scienceaccelerator.gov

www.science.gov

U.S. Department of 

Health and Human 

Services

taggs.hhs.gov/index.cfm

publicaccess.nih.gov/policy.htm

report.nih.gov/index.aspx

U.S. Department of 

Homeland Security

www.safecomprogram.gov/default.aspx

www.dhs.gov/directorate-science-and-technology

U.S. Department of 

Housing and Urban 

Development

www.huduser.org

U.S. Department of 

the Interior

http://www.doi.gov/ocio/information_management/research.cfm

U.S. Department of 

Justice

www.nij.gov/

nij.gov/topics/forensics/evidence/dna/research/pages/welcome.aspx

www.bja.gov/funding.aspx

www.ojjdp.gov/funding/FundingList.asp

it.ojp.gov/default.aspx?area=policyAndPractice&page=1250

www.ojp.usdoj.gov/programs/research_stats.htm

www.ncjrs.gov

www.smart.gov/funding.htm

U.S. Department of 

Labor

www.doleta.gov/research/

www.dol.gov/asp/evaluation/

www.dol.gov/asp/programs/REIDL/index.htm

U.S. Department of 

State

N/A

U.S. Department of 

Transportation

www.faa.gov/data_research/research

www.fhwa.dot.gov/research

www.tfhrc.gov/research

www.fra.dot.gov/Page/P0019

www.fta.dot.gov/about/12351.html

www.marad.dot.gov/environment_safety_landing_page/maritime_safety/rnd_act/r

nd_act.htm

www.nhtsa.gov/Driving+Safety/Research+&+Evaluation

www.phmsa.dot.gov/initiatives/r-and-d

U.S. Department of 

the Treasury

N/A

U.S. Department of 

Veterans Affairs

www.research.va.gov

www.cider.research.va.gov

www.hsrd.research.va.gov

www.rehab.research.va.gov

Page 117 of 150
U.S. Agency for 

International 

Development

www.usaid.gov/news-information/press-releases/usaid-and-nih-announce-16-newhealth-research-projects

www.usaid.gov/climate

Environmental 

Protection Agency

www.epa.gov/research

cfpub.epa.gov/si

ofmpub.epa.gov/sor_internet/registry/systmreg/home/overview/home.do

www.epa.gov/crem/knowbase/index.htm

yosemite.epa.gov/ee/epa/eed.nsf/webpages/homepage

www.epa.gov/osa/fem/methcollectns.htm

www.epa.gov/ncea/iris/index.html

www.epa.gov/nscep

www.epa.gov/ttn/direct.html

epa.gov/otaq/models

www.epa.gov/air/airtrends/studies.html

www2.epa.gov/cleanups/cleanup-science-and-technology

www.epa.gov/superfund/remedytech/

water.epa.gov/scitech

www.epa.gov/ncer

www2.epa.gov/science-and-technology

www.epa.gov/research/mmtd

General Services 

Administration

N/A

National Aeronautics 

and Space 

Administration

ntrs.nasa.gov

www.sti.nasa.gov

National Archives 

and Records 

Administration

www.archives.gov/applied-research

www.facebook.com/NARACAST

perpos.gtri.gatech.edu

isda.ncsa.illinois.edu/drupal/project/census

isda.ncsa.illinois.edu/drupal/project/nara

isda.ncsa.illinois.edu/drupal/software/CSR

isda.ncsa.illinois.edu/NARA/CSR/php/search/conversions.php

isda.ncsa.illinois.edu/drupal/software/polyglot

isda.ncsa.illinois.edu/drupal/software/Software%20Servers

isda.ncsa.illinois.edu/drupal/software/Versus

www.xsede.org/best-of-xsede13

www.ncsa.illinois.edu/News/Stories/ImageMiners

ci-ber.blogspot.com/p/about-ci-ber.html

www.slideshare.net/richardjmarciano/a-system-for-scalable-visualization-ofgeographic-archival-records

www.tacc.utexas.edu/news/feature-stories/2013/hip-hip-hadoop

www.nagara.org/associations/5924/files/Exercises%20in%20Marchine%20Learni

ng%20as%20a%20Tool%20for%20Archivists%20and%20Records%20Managers.

pdf

quipu.psc.teragrid.org/slash2

Page 118 of 150
National Science 

Foundation

www.nsf.gov/recovery

www.research.gov

rd-dashboard.nitrd.gov

Nuclear Regulatory 

Commission

www.nrc.gov/about-nrc/regulatory/research.html

www.nrc.gov/reading-rm/doc-collections/nuregs/staff/sr1925

www.nrc.gov/reading-rm/doc-collections/nuregs/contract/index.html

www.nrc.gov/about-nrc/contracting.html

www.nrc.gov/about-nrc/contracting/forecast.html www.nrc.gov/aboutnrc/contracting/forecast/commercial-contracts.xls

www.nrc.gov/reading-rm/doc-collections/fedreg/notices

www.nrc.gov/public-involve/doc-comment.html

www.ntis.gov/products/fedrip.aspx

Office of the Director 

of National 

Intelligence

www.fbo.gov

www.iarpa.gov

Office of Personnel 

Management

N/A

Small Business 

Administration

www.sba.gov/advo/research

www.sba.gov/aboutsba/sbaprograms/sbir/index.html

Social Security 

Administration

www.socialsecurity.gov/policy/rrc/index.html

www.socialsecurity.gov/policy/drc/index.html

www.socialsecurity.gov/retirementpolicy/index.html

www.socialsecurity.gov/policy/index.html

www.socialsecurity.gov/policy/docs/contractreports/index.html

www.socialsecurity.gov/disabilityresearch/index.html

Page 119 of 150
APPENDIX N: PRIVACY POLICY AND PRIVACY IMPACT 

ASSESSMENTS

Section 208(b) of the E-Gov Act requires agencies to conduct a privacy impact assessment; ensure 

the review of the privacy impact assessment by the Chief Information Officer, or equivalent official, as 

determined by the head of the agency; and if practicable, after completion of the review under clause, 

make the privacy impact assessment publicly available through the website of the agency, publication in 

the Federal Register, or other means. This appendix provides information regarding each agency's work 

in this area, and the URL's for agency privacy policies and privacy impact assessments. 

Department of Agriculture

In FY 2013, USDA continued its social security number/tax identification number (SSN/TIN) 

elimination, encryption, and masking effort. USDA realized a slight decrease in the number of systems 

reported elimination, reducing, and masking of SSN/TIN, the number decreased to 89%. The Privacy 

Office also initiated two subcommittees to address key privacy issues:

1. The USDA Privacy Subcommittee on National Institute of Standards and Technology’s Special 

Publication 800-53, Revision 4, Appendix J Privacy Controls - Currently identifying privacy 

controls that can be internally tested and implemented by agencies in FY 2014 and implemented.

2. Working Group - Developing a proactive strategy of reducing personally identifiable 

information (PII) incidents within USDA. Also investigating the use of a commercial off the 

shelf data loss protection tool that the department procured and updating a strategic plan to 

include refining alerts, customizing policy for USDA environment, modifying severity 

classifications, establishing escalation levels, and developing ad hoc reports. 

The Privacy Office also updated various privacy templates and instructions: Privacy Threshold 

Analysis (PTA); Privacy Impact Assessments (PIA); Computer Matching Agreements (CMA); and 

System of Records Notice Checklist. Agencies must review systems privacy documentation annually 

and provide a certification statement to validate reviews. The Federal Information Security Management 

Act (FISMA) Score Card is also conducted on a monthly basis, which includes compliance of privacy 

documentation.

Additionally, the Privacy Office implemented FY 2012 PII Training Module which could be used as 

role based, specialized training for certain employees (i.e. Privacy Officers, Information System Security 

Program Managers, etc.). The training provides an overview of privacy requirements defined by laws and 

guidelines which also includes privacy documentation. The Privacy Office also facilitated the 

development of a PII training module recommended to all users, PII “Lite” Course which launched in

October 2013. 

 

Finally, the Privacy Office is in the process of updating the USDA Privacy and PII Policy which is 

currently going through formal review. The new policy will require all USDA IT systems to have a PTA, 

conduct an annual review of privacy documentation to support continuous monitoring, public display of 

PIA(s) on the department’s webpage, incorporate privacy documents in the early stages of the system 

development life cycle, and provide instructions on safeguarding PII for physical transport.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

Page 120 of 150
www.usda.gov/wps/portal/usda/usdahome?navtype=FT&navid=PRIVACY_POLICY

www.usda.gov/wps/portal/usda/usdahome?navid=PRIVACY_POLICY_ES

Department of Commerce

In FY 2013, DOC revised the PIA template in an effort to enhance the quality of the PIAs. In 

addition, the PIA process was modified to improve customer service. When new IT systems are procured 

that collect, maintain, or disseminate PII, the system owner and/or bureau Information Systems Security 

Officer completes a Privacy Threshold Analysis in accordance with the department’s Privacy Policy. If it 

is determined that a PIA is necessary for a new IT system, or a PIA needs to be updated for an existing IT 

system, the system owner and/or bureau Information Systems Security Officer completes a PIA and 

submits it to the bureau privacy officer (BPO) or designee. Once reviewed by the BPO or designee, the 

PIA is forwarded to the OCIO for review of the IT security controls, and to the Privacy Program 

Coordinator in the Office of Privacy and Open Government for review of the privacy controls 

simultaneously. Once the review process is complete, the PIA is forwarded to the Chief Privacy Officer 

for review and approval. If the PIA is approved, the PIA is forwarded to the appropriate office for 

posting to the website.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

ocio.os.doc.gov/ITPolicyandPrograms/IT_Privacy/DEV01_002682

ocio.os.doc.gov/ITPolicyandPrograms/IT_Privacy/dev01_003746

Department of Defense

The Defense Privacy and Civil Liberties Office (DPCLO) works with the DOD CIO to ensure DOD 

meets OMB privacy compliance requirements for completion of, and updates to Systems of Record

Notice (SORNs) and PIAs. The DPCLO and CIO collaborate on Federal Information Security 

Management Act quarterly and annual reporting, which includes reviews of SORNS and PIAs compliance 

across DOD. The DOD IT PIA program protects the privacy of individuals by systematically ensuring 

controls are in place to protect data, assessing and minimizing vulnerabilities of DOD information 

systems containing PII. The PIA Program:

• Establishes PIA policy, DODI 5400.16 “DOD Privacy Impact Assessment Guidance,” and 

procedures to reflect current and new emerging requirements; 

• Ensures PIAs are conducted on all electronic collections of PII and adequate controls are in place 

to protect public and Federal employees’ PII; 

• Provides continuous outreach, training and education to Components to assist with establishing 

and maintaining PIA programs that increase the completion rate of PIAs in compliance with the 

law. 

PIAs are required to be performed and updated as necessary whenever a system change creates new 

privacy risks including, but not limited to, significant system management changes, new public access, 

conversion from paper-based records to electronic systems and significant merging. PIAs must be 

reevaluated every three years to ensure any changes to the system that could impact privacy are reviewed 

Page 121 of 150
and updated as part of the certification and accreditation process.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

dpclo.defense.gov/privacy/About_The_Office/policy_guidance.html

dodcio.defense.gov/Home/Issuances/DoDCIOPrivacyImpactAssessments(PIAs)/DoDComponentPrivacyI

mpactAssessments.aspx

Department of Education

The Privacy and Information Clearance Collection Division (PICCD) is responsible for ensuring ED

adheres to OMB guidance about the use of IT to collect, maintain, or disseminate identifiable information 

from or about members of the public. PICCD works with the system owner (SO) and the Information 

Systems Security Officer (ISSO) to conduct a PIA and post it to www.ED.gov when ED develops or 

procures such a system, or when a Paperwork Reduction Act collection is initiated. If changes to an 

existing system create new privacy risks, PICCD will initiate or update a PIA with the SO. ED also meets 

the requirement of posting privacy policies on its public websites. When a new public website is 

developed, PICCD works with the project lead and the ISSO to develop and post a privacy policy 

addressing all required elements from OMB directives. To determine the necessary privacy 

documentation, PICCD provides the SO with a Privacy Threshold Analysis (PTA) to complete. If the 

PTA shows no PII, the process is complete. If a PIA is necessary, PICCD provides the SO with the PIA 

template, which the SO completes, consulting with the ISSO as needed. PICCD then collaborates with the 

Office of the Chief Information Officer, the Office of General Counsel, and the Records and Documents 

Management Division to address any issues. Changes are communicated with the SO, who updates the 

PIA, collects internal signatures, and returns the final draft to PICCD. Systems with social security 

numbers require additional high-level approval. The Chief Privacy Officer signs the document, and it is 

posted to www.ED.gov.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.ed.gov/notices/privacy/index.html

www.ed.gov/notices/pia/index.html

Department of Energy

DOE has three main documents related to privacy compliance for automated collections of PII, 

Privacy Needs Assessment (PNA), PIA, and SORN. While each of these documents has a distinct 

function to ensure adherence with protection guidelines pertaining to automated collections of PII, 

together these documents further the transparency of DOE activities and convey accountability. DOE 

Directive 206.1, "Department of Energy Privacy Program," provides the procedural requirements for each 

document and establishes roles and responsibilities associated with the completion and updating of these 

documents.11

The PNA is the first document program elements complete to assess whether an automated system 

will collect and maintain PII. This threshold assessment determines if additional compliance 

Page 122 of 150
documentation such as PIA or SORN is required. The PIA, an important tool DOE uses to examine 

privacy risks associated with automated collections of PII, is required when IT systems contain PII. The 

PIA addresses critical areas such as the authority for PII collections, the scope of information collected, 

the use of PII collected, information security, Privacy Act SORN applicability, and information sharing. 

The PIA serves to reinforce early consideration of ways to enhance PII protection by including privacy in 

early stages of system development. If the PIA analysis concludes a SORN is required, a SORN is 

prepared and published in the Federal Register. 

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

energy.gov/cio/office-chief-information-officer/services/guidance/privacy

energy.gov/cio/office-chief-information-officer/services/guidance/privacy/impactassessments

Department of Health and Human Services

The department's privacy policy, policy for system security and privacy, and privacy impact 

assessments are available at the following URL's:

Agency URL(s)

www.hhs.gov/Privacy.html

www.hhs.gov/ocio/policy/hhs-ocio-2011-0003.html

www.hhs.gov/pia

Department of Homeland Security

The DHS Privacy Office provides extensive guidance on the use of personally identifiable 

information, including DHS policies on when and how to conduct a PIA and SORN. DHS requires that 

all new and existing IT systems conduct a PTA, performed by the program manager and validated by the 

DHS Privacy Office prior to security authorization. More information can be obtained at 

www.dhs.gov/privacy under “Privacy Compliance.”

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.dhs.gov/privacy-office-privacy-impact-assessments-pia

www.dhs.gov/privacy-policy

Department of Housing and Urban Development

HUD requires Program Offices to prepare PIAs for new IT systems; new information collection 

requests; and existing systems when significant modifications involving personal information on 

members on the public or where significant system changes create a new privacy risk. PIAs are living 

documents that must be updated as the HUD program and system are changed or updated. The PIAs 

analyze and describe the answers regarding the type of information to be collected, why the information is 

being collected, the intended use of the information, with whom the information will be shared, the 

Page 123 of 150
opportunities individuals have to decline or consent to providing information, and how the information 

will be secured. Prior to drafting a PIA, Program Offices must contact the Privacy Office to discuss 

appropriate steps, and to coordinate E-Government Act efforts. The Program Office submits the draft PIA 

document to the Privacy Office which reviews all PIAs and provides feedback to the Program Office. 

Once PIAs are signed by the Privacy Officer, the Privacy Office publishes the PIA for access by the 

general public at: portal.hud.gov/hudportal/HUD?src=/program_offices/cio/privacy/pia/piachrt

Approved PIA’s that may contain sensitive information may be exempt from the publication 

requirement at the discretion of HUD’s Privacy Officer. The results of the PIA will be recorded in the PII 

Inventory for use later in meeting OMB or HUD reporting requirements.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

portal.hud.gov/hudportal/HUD?src=/program_offices/cio/privacy/pia/piachrt

portal.hud.gov/hudportal/HUD?src=/program_offices/cio/privacy

Department of the Interior

DOI is committed to protecting individual privacy and promoting a culture of privacy compliance. 

To balance the potential risk to privacy against the need to fulfill DOI's mission, DOI implemented 

policies and controls for the protection of sensitive information. These policies and controls ensure that 

agency PII is only accessed by authorized personnel, and increases accountability for individuals with 

responsibilities related to safeguarding sensitive information. The DOI privacy policy is focused on 

ensuring appropriate safeguards to protect PII and the confidentiality, integrity and availability of 

information privacy. DOI uses operational controls and privacy enhancing technologies, such as data loss 

prevention software, encryption, firewalls, authorized use system access controls, and system audit logs; 

and has effectively reduced the risk of compromise of sensitive PII in agency communications by 

implementing a Data Loss Prevention (DLP) solution, that monitors network communications and 

prevents sensitive PII from leaving the network. In addition to these technical controls, DOI utilizes 

administrative policies and procedures, as well as privacy training, to further safeguard information 

privacy and control access to information systems and information assets. The DOI PIA Guide includes a 

PIA template and guidance on conducting PIAs. DOI conducts PIAs on all information systems, thirdparty websites and social media applications to ensure privacy implications are addressed when planning, 

developing, implementing, and operating information systems that maintain information on individuals.

DOI privacy office personnel collaborate with system owners and IT security to assess new or proposed 

programs, systems or applications for privacy risks, and recommend methods to protect individual 

privacy.

As part of the DOI PIA compliance review cycle, PIAs are updated whenever changes occur to the 

information system or process, or every three years. This ensures privacy implications are addressed 

during the system life cycle, and demonstrates that the agency has evaluated privacy risks and 

incorporated protections commensurate with those risks to safeguard the privacy of personal information. 

The DOI PIA Guide also provides guidance for completing PIAs to ensure that PII is only collected as 

authorized, that system of records notice requirements are met, and that appropriate security controls are 

implemented to protect and manage access to PII within DOI information systems. DOI maintains an 

inventory of PIAs within the Cybersecurity Assessment and Management (CSAM) system, the 

department's official information system repository. This centralized repository allows the DOI Privacy 

Office to conduct regular reviews of bureau and office PIA inventories, identify and correct PIA 

Page 124 of 150
deficiencies, as well as assess compliance with privacy laws, policies and standards. This provides for an 

efficient PIA review process, and facilitates management of PIAs for new and existing information 

systems.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.doi.gov/privacy.cfm

www.doi.gov/ocio/information_assurance/privacy/ppia.cfm

Department of Justice

DOJ's privacy compliance process begins with an Initial Privacy Assessment (IPA), which allows the 

department’s components to streamline the assessment of information privacy issues associated with all 

systems and programs that involve the collection and storage of PII. Through the IPA process, which is 

incorporated into the department’s IT security framework, the department reviews IT systems that contain 

PII and/or information in identifiable form to determine whether the privacy requirements under the EGovernment Act apply. If the privacy requirements apply to the IT system, the department requires a 

full PIA be conducted for the system to ensure that system developers and owners have made 

technological and operational policy choices that incorporate privacy protections into the underlying 

architecture and operational processes of the system. In addition, if the IT system is modified during its 

operational life cycle, and the modifications impact the technology associated with privacy of information 

maintained in the system, a subsequent IPA must be conducted to determine again whether additional 

privacy requirements and considerations must be applied to the modified system, and a PIA update may 

be required.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.justice.gov/privacy-file.htm

www.justice.gov/opcl/pia.htm

Department of Labor

DOL is committed to safeguarding and protecting PII for members of the public, Federal employees 

and contractors. The privacy policy states that DOL does not collect PII when individuals visit the DOL 

site unless the information is provided on a voluntary basis. The Privacy Notice also stipulates the 

reasons why DOL collects PII, and what it will do with the information collected. All major information 

systems are required to complete an annual PIA process and document the results in DOL's Cybersecurity 

Assessment and Management (CSAM) tool. The DOL PIA process requires all systems to first undergo 

an initial screening review to determine if the system meets the pre-requisite criteria requiring the 

completion of the full PIA questionnaire. If a PIA is not required the process is complete and there is no 

further action until the anniversary date. If a PIA is required, the PIA questionnaire is completed by the 

agency, and submitted to the OCIO for review and approval. Once approved, the PIA questionnaire is 

signed by the agency official and maintained in CSAM. Within 30 days of approval, the PIA is redacted 

for public consumption and posted online.

The department's privacy policy and privacy impact assessments are available at the following 

Page 125 of 150
URL's:

Agency URL(s)

www.dol.gov/dol/privacynotice.htm

www.dol.gov/oasam/ocio/programs/pia/mainpia.htm

Department of State

Protecting PII is one of State's top priorities. State’s Privacy Program mission is “to comply with 

federal privacy mandates, promote awareness, and build public trust by implementing best 

practices.” One of the program’s responsibilities is to ensure that all department IT systems meet the 

requirements of the E-Government Act of 2002. Through increased outreach and awareness to its 

stakeholders, the program has been able to achieve its mission. The Privacy Program advises systems 

owners on questions regarding PIA's and SORN's, and serves as the approving authority for all PIA's and 

SORN's. in FY 2013, the Privacy Program published a revised version of the PIA Guide and Template 

providing guidance to system owners ensuring that privacy implications are addressed when planning, 

developing, implementing, and operating IT systems that collect and maintain PII. State’s PIAs and 

SORNs are available at: foia.state.gov/Learn/PIA.aspx and foia.state.gov/Learn/SORN.aspx.

In collaboration with the Office of Information Assurance in the Bureau of Information Resource 

Management, the Privacy Program Division in the Bureau of Administration has increased its visibility in

the area of certification and accreditation of IT systems. Both organizations have established a workflow 

that ensures privacy and security requirements for IT systems are integrated throughout the lifecycle of a 

system. This collaboration has helped the department achieve and maintain compliance with the 

requirements of the E-Government Act of 2002 and its reporting requirements. Additionally, the 

department reported 99 percent compliance rates for PIA's and SORN's for FISMA purposes in this 

reporting period.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.state.gov/misc/415.htm

www.state.gov/m/a/ips/c24223.htm

Department of Transportation

DOT is committed to protecting the safety of all data used in the system development lifecycle, but 

is especially aware of the risks associated with the collection, use, storage and sharing of PII. It is vitally 

important that DOT not only protect this information, but that individuals are able to control the 

collection, use and sharing of PII within DOT systems. DOT focuses on incorporating proactive risk 

management into every stage of system development. Risk management improves compliance with data 

privacy policies by raising awareness among employees and leadership regarding the standards for data 

safety. It institutes frameworks for training, compliance assessment, and vulnerability repair. Overall, it 

improves safety and security by reducing the possibility of errors that could lead to a privacy breach. The 

DOT Chief Privacy Officer (CPO) has operational responsibility for the department's privacy program 

and establishes policy and procedure for conducting PIA's and other privacy risk management 

activities. DOT Operating Administrations (OAs) in consultation with business and systems owners are 

responsible for preparing PIA's and submitting to the DOT CPO for approval and posting on the DOT 

privacy website (www.dot.gov/privacy). OAs are responsible for ensuring on-going compliance with the 

Page 126 of 150
commitments made in their PIAs.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.dot.gov/individuals/privacy/privacy-policy

www.dot.gov/individuals/privacy/privacy-impact-assessments

Department of the Treasury

Treasury has an established commitment to information privacy and civil liberties which is reflected 

in a number of concrete ways. During FY 2013, the Department’s Office of Privacy, Transparency, and 

Records (OPTR) took steps to further enhance its privacy and civil liberties program. This included 

updating and revising the department’s PIA guidance, and a complete revision of the PIA template. The 

purpose of this effort is to revise the template so that it provides more detail in assessing the privacy risks 

that may exist in an information system containing PII. In addition, to facilitate the review, comment, and 

approval of PIAs, OPTR lead the successful development and deployment the Privacy Clearance Tracker 

(PCT) on SharePoint. This application gives Treasury and its bureaus the capability to upload PIAs in 

draft, identify the necessary reviewers to obtain comments, and then expedite the final clearance and 

approval process. One of the principal objectives of this effort, in concert with the revision of the PIA 

template, was to bring a measure of standardization to the PIA process at Treasury. OPTR routinely 

provides guidance to Treasury’s bureaus regarding the preparation and completion of PIAs. The 

aforementioned actions are intended to strengthen OPTR oversight of the PIA process and in so doing 

create a program that may become a government-wide best practice. 

The department has 311 systems which contain PII. As of September 30, 2013, all 244 systems that 

are required to complete a PIA have met this requirement. Of the 311 systems in the inventory, 288 are 

required to have a SORN, and 100% of these had a SORN. Treasury’s PIAs and SORNs may be viewed 

at www.treasury.gov/privacy/PIAs/Pages/default.aspx and 

www.treasury.gov/privacy/issuances/Pages/default.aspx#TREASURY.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.treasury.gov/SitePolicies/Pages/privacy.aspx

www.treasury.gov/privacy/PIAs/Pages/default.aspx

www.treasury.gov/privacy/issuances/Pages/default.aspx#TREASURY

Department of Veterans Affairs

The VA Privacy Service is responsible for overseeing, directing and establishing the long and shortterm goals for VA’s Enterprise Privacy Program. As the impact of privacy issues increases, the Privacy 

Service identifies privacy needs and implements strategies to meet those needs. The Privacy 

Service advises senior officials concerning data management and the feasibility of the 

department’s privacy priorities and implementation plans, and works to ensure compliance with Federal 

and VA-specific privacy requirements. Also, the Privacy Service also ensures the attainment of 

department-wide privacy objectives in the overall VA planning, programming, and budgeting process. 

The VA Privacy Service is focusing its attention on reducing the use of Social Security numbers in VA 

Page 127 of 150
systems and programs, where feasible, to professionalize VA privacy officers, and to develop an 

integrated, comprehensive, and enterprise-wide management of privacy-relevant data, processes, and 

business operations.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.va.gov/privacy

www.privacy.va.gov/privacy_impact_assessment.asp

www1.va.gov/vapubs/viewPublication.asp?Pub_ID=3D404&FType=3D2

www1.va.gov/vapubs/viewPublication.asp?Pub_ID=3D414&FType=3D2

U.S. Agency for International Development

USAID’s Automated Directives System (ADS) details the policy directives and required procedures 

of the USAID Privacy Policy Program. The policy addresses USAID’s policy requirements for the 

creation and maintenance of PIA statement documents. Information handling practices include both 

manual processes, and automated technology processes implemented by USAID. When conducting a 

PIA, a Chief Privacy Officer (CPO) representative may assist System Owners to identify PII data 

elements contained within the system; risks to PII that may arise from the electronic collection and 

maintenance of such data; sharing of PII data elements with other departments or agencies; and the 

physical security of the environment where PII is processed.

System Owners are responsible for conducting or updating the system of record’s PIA for every 

electronic information system and manual information collection system. The Privacy Office staff will 

assist System Owners in this identification process. System Owners are also responsible for conducting 

or updating the system of record’s PIA before developing, procuring, or initiating IT systems that provide 

for the electronic collection of information from ten or more persons (excluding federal agencies or 

employees), when the system changes or creates a new privacy risk, and when other factors affecting the 

collection and handling of PII, information collection authorities, or business processes change. System 

Owners are responsible for conducting or updating the system of record’s PIA once every three years for 

existing systems. 

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

transition.usaid.gov/policy/egov/pia.html

inside.usaid.gov/ADS/500/508.pdf

Environmental Protection Agency

A PTA is required as soon as a system has been categorized. The system owner conducts a PTA 

prior to initiating a PIA. The PTA will identify if the system collects PII elements. If so, a PIA is 

required to evaluate the privacy risks to the individuals. When required, the PIA is developed 

immediately after the PTA finding. A PIA is required for any new system that collects, maintains, or 

disseminates PII from or about members of the public as required by the E-Government Act of 2002. 

(OMB Memorandum M-07-16 recommends that agencies provide the same privacy protections to 

Page 128 of 150
information about its employees.) Accordingly, EPA requires PIAs on systems that collect PII on Agency 

employees. The PIA should be initiated during the definition phase of the system life cycle phase and 

updated in each phase of the life cycle until the operation and maintenance phase when the final PIA 

should be submitted reflecting the current state of the system. An updated PIA is required when there is a 

significant system modification or where changes have been made to the system that may create a new 

privacy risk. A PIA is required for an information collection that is both new and an electronic collection 

for ten or more individuals who are not employees of the Federal government.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.epa.gov/privacy/policy/2151/index.htm

www.epa.gov/privacy/assess/index.htm

General Services Administration

GSA's Privacy Office collaborates with the Senior Agency Information Security Officer (SAISO) to 

ensure that PII is collected, maintained, or disseminated in adherence with privacy laws and OMB 

guidance. The GSA IT Security Policy requires annual privacy awareness training for all employees and 

contractors so they are aware of how to handle and protect PII and instructs individuals to encrypt 

outgoing email attachments that contain Social Security Numbers. Those attachments that aren't 

encrypted are blocked from transmission. The IT Security Policy also requires PIAs to be a part of the 

certification and accreditation process and reviewed annually. GSA also has a policy regarding rules of 

behavior for handling PII, a data release policy which explains what information is and is not suitable for 

FOIA release, and an information breach notification policy which explains what process should be 

followed in the event of an information breach.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.gsa.gov/portal/content/102237

www.gsa.gov/graphics/staffoffices/1878_2B_GSA_PIA_Policy.docx

National Aeronautics and Space Administration

It is NASA policy to protect privacy information that is collected, used, maintained, and 

disseminated by the Agency. NASA's protections for privacy information shall be compliant with 

requirements outlined in the Privacy Act of 1974 and amendments, and in other Federal statutes and 

guidance including the E-Government Act of 2002, the Children's Online Privacy Protection Act 

(COPPA), the Health Insurance Portability and Accountability Act and OMB memoranda and circulars. 

These laws and regulations restrict disclosure of records containing privacy information, grant individuals 

rights of access and to request an amendment to agency records pertaining to themselves, and require 

agencies to comply with statutes for the collection, maintenance, and dissemination of records containing 

privacy information. Collection, maintenance, use, and dissemination of privacy information for both 

electronic mechanisms and for non-electronic media shall be in compliance with the Federal statutes and 

guidance. Adherence to all Federal laws, statutes and guidance is ensured through NASA's procedural 

requirements which require Information Privacy Threshold Analysis (IPTAs) on all applications, systems 

and websites. IPTAs are accomplished through the internally developed, enterprise-wide electronic

Page 129 of 150
Privacy and CUI Assessment Tool (PCAT), resulting in a completed PIA when required. Managed by the 

Privacy Program Manager, PCAT is designed specifically to automate all aspects of compliance when IIF 

or PII is identified and aids in breaking out the applicable requirements modularly, so that information 

owners can appropriately and efficiently make their way through all of the required steps to reach 

compliance.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.nasa.gov/about/highlights/HP_Privacy.html

www.nasa.gov/privacy/PIA.html

nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPD&c=1382&s=17H

National Archives and Records Administration

NARA’s Senior Agency Official for Privacy is the General Counsel. Staff within that office are 

responsible for managing the privacy program. This ensures the privacy program staff has access to 

senior management officials and is abreast of the agency’s large IT acquisitions and policy direction. For 

each IT system the agency procures, the Privacy Program staff receives information about what, if any, 

PII will be collected. If PII is collected, the staff and program office complete a PIA and, if the Privacy 

Act requires, update existing or create new SORN. Two NARA internal policies cover this process.

The Privacy Program staff asks each system owner to review the PIA for their system on an annual 

basis to update it or confirm that no changes have been made to the system in the previous year. Staff 

responsible for public-facing social media outlets, including Facebook, Tumblr, Twitter, Ideascale, and 

others, must review social media specific PIAs. NARA’s internal policies also require that any time an 

office initiates a new information collection, updates, or renews a form covered by the Paperwork 

Reduction Act, Privacy Program staff review what information is collected and complete the notice 

statement required by the Privacy Act. For all IT systems hosted, maintained, or accessed by contractors 

that contain PII, each contract includes the standard Federal Acquisition Regulation clauses for Privacy 

Act systems and a NARA standard clause on the protection of PII.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.archives.gov/global-pages/privacy.html

www.archives.gov/foia/privacy-program/privacy-impact-assessments

National Science Foundation

NSF recognizes the importance of protecting the privacy of PII in IT systems. NSF’s goals in this 

regard are to ensure personal information in electronic form is only acquired and maintained when 

necessary, and that IT systems developed and used in support of the foundations’ work to protect and 

preserve the privacy of NSF staff and the public. NSF uses PIAs to explain how the agency addresses 

privacy issues when developing new or altering IT systems or projects that collect, maintain, or 

disseminate information in identifiable form from or about members of the public. Privacy issues are 

considered for all systems and collections that involve information in identifiable form. NSF’s PIAs and 

Privacy Act SORN's are available on the agency’s public-facing website. NSF also conducts an annual 

Page 130 of 150
review of Privacy Act PII holdings. The review of PII includes all forms, including paper and electronic 

formats, in any information system. As part of the review, NSF will validate or revalidate the need for its 

personally identifiable information holdings.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.nsf.gov/policies/privacy.jsp

www.nsf.gov/policies/pia.jsp

Nuclear Regulatory Commission

The NRC website prominently features their Privacy Policy and Security Notice, which addresses 

automatic collection and storage of information. In addition, information about OMB Clearance packages 

for voluntary or mandatory requests for reports, information, or recordkeeping is available at:

www.nrc.gov/public-involve/doc-comment/omb. The NRC Privacy Policy and Security Notice also 

address the use and privacy of information submitted, protection of submitted information from public 

disclosure, children's privacy, use of cookies and social media, security, and linking to other websites. It 

also describes our use of web measurement and customization techniques for our site satisfaction survey.

In addition, our Privacy Policy and Security Notice address the performance of PIAs for electronic 

information systems and collections. PIAs are an integral part of the development process for new IT 

systems, or the enhancement or modification of existing systems. The PIA has become one of many 

critical elements of the NRC’s CPIC process. A PIA must be completed and approved before a business 

case will be approved under the NRC’s Project Management Methodology (PMM). The PIA is an 

essential part of the “Capital Asset Plan and Business Case.” A PIA manual and template assist 

sponsoring offices in submitting their PIAs. This process requires the involvement of subject matter 

experts from IT, privacy, records management, information collections, and other programs. The 

sponsoring offices must also update their PIAs to reflect current information collection authorities, 

business processes, or other factors affecting the collection and handling of information in identifiable 

form. Completing a PIA ensures that system owners and developers consider and evaluate existing 

statutory and key information management requirements that must be applied to new or modified 

government systems that contain information about individuals. Applying the PIA process also helps to 

identify sensitive systems so that appropriate information assurance measures are in place.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.nrc.gov/site-help/privacy.html

www.nrc.gov/site-help/plans/privacy-impcat-asess.html

www.nrc.gov/reading-rm/foia/privacy-systems.html

Office of the Director of National Intelligence

All IT requirements for the ODNI are vetted through an IT Project Management Review Board, 

consisting of stakeholders from across the ODNI to include from the Civil Liberties and Privacy Office 

(CLPO). Before ODNI IT requirements are approved, the developers and system owners work with 

CLPO to ensure privacy protections and safeguards are incorporated as part of the system design and data 

Page 131 of 150
lifecycle. The ODNI does not conduct privacy impact assessment on national security systems which 

involve the conduct of intelligence activities, as defined by Executive Order 12333. The ODNI has, 

however, conducted privacy impact assessments for the agency's use of third-party social media websites 

and applications to engage with the public and in support of the Open Government Directive.

Agency URL(s)

http://www.dni.qov/index.php/about-this-site/privacy-policy

Office of Personnel Management

To document OPM’s compliance pertaining to the use of IT to collect, maintain, or disseminate 

identifiable information, or when new systems are procured for this purpose with information privacy 

laws, regulations, and policies, OPM has published the "Information Security and Privacy Policy," 

"System of Records Notice Guide," "Privacy Impact Assessment Guide," and "Process for Analyzing 

New and Emerging Information Security and Privacy Policy Requirements" policies. These policies, in 

aggregate, outline the roles, responsibilities, and procedures for all OPM program offices to adhere to 

when dealing with personally identifiable information. The OPM Senior Agency Official for Privacy 

incorporated a Privacy Threshold Analysis process for each IT system. This process identifies the privacy 

implications of each IT system to include implications for collecting information from third party social 

media websites and determines whether a PIA needs to be conducted. This process is outlined in the PIA 

guidance published on OPM’s internal website, and includes guidance on when to update PIAs for IT. 

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.opm.gov/information-management/privacy-policy/#url=Web-Privacy-Notice

www.opm.gov/information-management/privacy-policy/#url=Privacy-Impact-Assessments

Small Business Administration

The www.SBA.gov website automatically collects some technical information from each page 

analytics to the site in order to provide the best possible experience. The website uses web measurement 

technology (Google Analytics) to automatically track how visitors interact with www.SBA.gov including 

where they came from, what they did on the site and whether they completed any pre-determined tasks 

while on the site. This type of usage is classified by the OMB as Tier 2 usage since it is a multi-session 

web measurement. Aggregate data is used to help SBA improve the user interface and diversify the 

content offerings to meet the needs of customers, track operational problems, prevent fraud and improve 

the effectiveness, security and integrity of the site.

SBA only collects and stores technical information to help make the site more useful. SBA uses the 

information to learn about the number of visitors to the site and the types of technology that visitors use. 

SBA does not track or record information about individuals and their visits and this data is not with 

anyone outside the SBA unless required for law enforcement purposes. SBA is committed to protecting 

the privacy of information that is collected from the public during the course of conducting business. 

SBA's Privacy Act Procedures policy directs the agency to conduct periodic reviews of how information 

is handled within SBA when information technology is used to collect information. Compliance with 

privacy guidance is considered whenever new systems are developed or new systems are acquired. SBA 

provides detailed guidance on Privacy Act activities at: www.sba.gov/about-sba-services/6752.

Page 132 of 150
The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.sba.gov/about-sba-info/privacy-policy

www.sba.gov/about-sba-services/7473/13815

Social Security Administration

SSA's use of IT to collect, maintain, or disseminate identifiable information is governed by a mature 

Systems Process Improvement program that incorporates best practices for software development and 

standard processes and procedures for ensuring high quality privacy compliance. SSA integrates

Enterprise Architecture activities and reflects governance practices throughout the SDLC. Typically, a

new software release takes six months from conclusion of the planning and analysis to production. The 

Office of Privacy and Disclosure is involved during the planning and analysis stage, enabling SSA to 

conduct initial privacy assessment early in the SDLC. SSA uses the PTA process to assess the privacy 

risks in new or revised systems or applications and to determine if a PIA or SORN is required, or if 

updates to existing documents are needed. SSA subsequently approve Project Scope Agreements and 

Business Process Descriptions associated with the system or application. In FY 2013, SSA continued the 

practice of training systems development staff on the importance of privacy and privacy risk assessment 

via the SDLC Configuration Control Board, and reviewed any proposed changes to lifecycle roles, 

activities, or work products that affect the administration of personal information.

The department's privacy policy and privacy impact assessments are available at the following 

URL's:

Agency URL(s)

www.socialsecurity.gov/privacy.html

www.socialsecurity.gov/foia/html/pia.htm

www.socialsecurity.gov/gix/privacyinfo.html

www.socialsecurity.gov/OP_Home/cfr20/401/401-0000.htm

Page 133 of 150
APPENDIX O: AGENCY INFORMATION TECHNOLOGY TRAINING 

PROGRAMS

Section 209(b)(2) of the E-Gov Act requires agencies to establish and operate IT training programs. 

The act states that such programs shall have curricula covering a broad range of information technology 

disciplines corresponding to the specific information technology and information resource management 

needs of the agency involved; be developed and applied according to rigorous standards; and be designed 

to maximize efficiency, through the use of self-paced courses, online courses, on-the-job training, and the 

use of remote instructors, wherever such features can be applied without reducing the effectiveness of the 

training or negatively impacting academic standards. This appendix describes agency training programs

for IT workforce. 

Department of Agriculture

In FY 2012, USDA piloted the IT Program Management Career Track (PILOT). The PILOT was

based on the OPM Competency Model for IT Program Management, which consists of three certification 

levels. To date, there still remains a requirement to have all program and project managers who are

managing major IT acquisitions complete level three certification within 12 – 18 months from being 

appointed in that position. Entry and journeyman level program and project managers are required to 

have level one and level two certifications. The USDA also is establishing a certification framework 

called Program and Project Managers Training and Certification (PMTC) Program. This is based on 

recent federal working groups and collaboration with leading industry companies on the newly revised 

Federal Acquisition Certification for Program and Project Managers (FAC-PPM) Policy and 

Guidance. USDA’S PMTC Program is leveraging what others have done by centralizing the selection,

enrollment, and approval of certification processes for existing and future Program and Project Managers 

who meet the applicable criteria. 

Department of Commerce

DOC’s IT Security Training Program consists of role-based and awareness training. Awareness 

training is a combination of web-based and instructor-led training. Role-based training consists of five 

courses targeted at the responsibilities of authorizing officials and IT system owners delivered as 

instructor-led training and via webinars. Training completion metrics are tracked quarterly across the 

Department. In FY 2013, DOC implemented various process improvements including:

• Identifying individuals assigned to roles with significant security responsibilities across the 

department;

• Expanding role-based training, instructor-led training, and virtual webinars to include courses on 

risk assessment, common controls, security categorization, risk management framework, and plan 

of actions and milestones;

• Implementing a learning-plan to meet fiscal year IT security awareness and role-based training 

requirements, resulting in expanded training options for each target audience and continuing 

education units for maintenance of IT security professional certifications;

• Improving customer service aspects of training record management through a Commerce Learn 

Center administrator focused on IT security training and awareness;

• Developing an IT Security Awareness training web page that provides the training schedule; and 

Page 134 of 150
list of complimentary external security training opportunities;

• Establishing the DOC Federal Virtual Training Environment Community, which provides free 

supplemental online, on-demand cybersecurity training to DOC’s IT and cybersecurity workforce; 

and,

• Implementing Privacy Awareness training to enhance employee’s awareness and understanding 

of the requirements to protect PII and Business Identifiable Information (BII). Initially offered as 

in-person group training, the course was converted to computer base training to extend the outreach 

capability for privacy awareness, and has been added to the Commerce Learning Center to enable 

availability across the department.

Department of Defense

DOD is in the initial stages of migrating its IT and cybersecurity workforce into a broader 

cyberspace workforce framework, which is aligned to the specialty areas established by the National 

Initiative for Cybersecurity Education. In order to support its diverse professional development 

requirements, the DOD cyberspace workforce will need an integrated learning continuum that provides a 

variety of training environments, including traditional classroom training; virtual training; hands-on 

laboratories; and realistic, operational exercises using Information Assurance (IA) and Cyber ranges. The 

DOD is leveraging established training and education venues both internally and externally to maximize 

professional development opportunities for its cyberspace workforce, and determining where gaps in 

training programs exist. As part of this effort, the U.S. Cyber Command is engaged in developing and 

training National Mission Teams to detect, deter, and respond to threats to critical 

infrastructure. Furthermore, to enhance the security of DOD networks, the department implemented an 

enterprise-wide program requiring each individual with access to DOD networks to take cybersecurity 

awareness training on an annual basis.

For the past decade, the DOD has partnered with commercial cybersecurity certification providers on 

the development and improvement of cybersecurity certification testing. These partnerships will continue 

to evolve as the cyberspace workforce construct matures. Internally, the department has an array of 

technical schoolhouses run by the Military Services and Combat Support Agencies, as well as six 

institutions jointly qualified as Centers of Academic Excellence in Information Assurance Education by 

the National Security Agency and Department of Homeland Security (DHS). These institutions include 

the three Military Service Academies, the iCollege of the National Defense University, the Naval 

Postgraduate School (NPS) and the Air Force Institute of Technology (AFIT). NPS, AFIT and the 

iCollege all provide cross-agency professional development opportunities, and the iCollege is a member 

of the Federal CIO Council’s CIO University consortium. In addition, DOD engages with over 170 other 

public and private universities and colleges to recruit and retain IT and cybersecurity 

professionals. Further, DOD participates in a joint initiative with DHS and the State Department to 

provide an online, on-demand training center for federal cybersecurity and IT professionals through the 

Federal Virtual Training environment (FedVTE). FedVTE extends department-sponsored content for 

commercial certification prep courses, operational tools training, and technical labs to the federal 

community.

DOD also offers various instructional programs to meet Privacy Act training requirements of OMB 

Circular A-130, "Management of Federal Information Resources,"12 and DOD 5400-11R, "Department of 

Defense Privacy Program.”13 These include a four day Defense Privacy Officer Professionalization 

Program, a Privacy Act Compliance & Management course for privacy support personnel, System of 

Records Notice training workshops, PIA/systems owner training, component provided annual and 

Page 135 of 150
refresher Privacy Act training courses, and other targeted conferences and workshops. DOD also led a 

federal-wide initiative in FY 2013 to update the Clinger-Cohen Core Competencies, which are used as the 

foundation for IT course and curriculum development at the National Defense University’s iCollege, as 

well as other approved graduate programs under the Federal CIO Council’s CIO University Consortium

umbrella. DOD is also in the process of developing and implementing enterprise-wide mission critical 

occupation (MCO) competencies within the department’s Defense Competency Assessment Tool. In 

2013, baseline competency development work was initiated for the IT Management 2210 series, an MCO 

which is the foundation of the DOD IT civilian community. These competencies will be validated in 

2014.

Department of Education

In FY 2013, nearly 2,000 employees completed an instructor-led IT course offered by ED’s Office of 

Management. Nearly 100 different classes are available, including courses on risk and project schedule 

management, creating accessible documents, conducting project progress reviews, and software skills 

improvements. In addition, nearly 7,000 employees gained IT skills and knowledge through ED’s library 

of online IT courses. ED also offered learning opportunities through workshops, brown bag lunches, and 

webinars.

The Privacy Safeguards and Information Assurance Programs develop and update required 

cybersecurity and privacy awareness training for all staff and contractors and specialized role-based 

privacy training for senior officials, system administrators and others dealing with data and IT. ED 

enhanced its training program in FY 2013 by incorporating best practices to mitigate audit findings; 

adapting the training to be responsive to current events, such as phishing; increasing access points to 

online and live training and downloadable briefings; shortening the average completion time by 50 

percent; releasing the 2013 training earlier in the year to allow personnel more time to complete it by the 

deadline; and improving the readability of training and test documents on the Flesch Reading Ease Scale. 

ED achieved a 100 percent completion rate for both general awareness training and role-based training in 

FY 2013.

Competency reviews for the agency’s IT workforce are performed as part of the department’s overall 

performance management system, which uses a results-oriented process to improve individual 

performance to achieve ED's mission. The REsults ACHieved (REACH) system is designed to promote 

consistency and transparency across the organization in how work is defined and evaluated. REACH 

focuses on employees and supervisors working together to develop performance plans, maintaining 

ongoing feedback about expected outcomes, rewarding good performance, and creating development 

plans to improve results. Supplementing REACH performance reviews were results from the voluntary 

OPM Program and Project Manager WorkForce Survey. In FY 2013, ED determined that the program 

and project manager area with the greatest competency gap was IT project risk management. This gap 

was addressed by working with a vendor to develop a course in IT project risk management that was 

provided twice for a total of 38 employees.

Department of Energy

The DOE OCIO has developed and implemented an IT Project Management Qualification process to 

ensure that project managers for key IT investments are certified. The IT Project Management 

Qualification initiative has been integrated with DOE’s CPIC Program review and oversight activities for 

all new and future major IT investments. IT staff who do not currently manage major IT investments are 

provided the opportunity to develop project management skills to support future investments. OCIO 

tracks and approves DOE IT project managers throughout the certification process. The process provides 

Page 136 of 150
an assessment of project managers’ skills, level of project manager-related experience and training, and 

then follows up with appropriate provision of training to ensure proper certification of DOE IT project 

managers. The DOE OCIO also provides an annual mandatory training course on privacy and data 

protection policies. The course is designed to address the importance of privacy, and to ensure that DOE 

employees are aware of the vital role they play in safeguarding privacy and protecting PII. Additionally, 

DOE participates in the Federal CIO and OPM government-wide Information Technology Workforce 

Capability Assessments to capture key information on workforce competencies, IT skills and Specialized 

Job Activities. Assessment results provide critical information to enable agency and federal IT leaders to 

meet human capital goals, perform mission-critical occupation reporting, and prepare future IT human 

capital initiatives, such as training.

Department of Health and Human Services

HHS' mission and diversity of services make it imperative that the department maintain a welltrained IT workforce that exhibits technical knowledge and expertise. The HHS OCIO is working 

diligently to meet the rapidly growing training needs of the department's IT workforce. In order to meet 

these needs, the OCIO assesses the established OCIO knowledge and skill training requirements for IT 

personnel and determine if the requirements are adequate, and assesses the extent to which management 

levels of HHS meet the OCIO knowledge and skill requirements. The OCIO also develops strategies for 

the hiring, training, and professional development of HHS personnel in the area of IT. As a result of these 

assessments, the OCIO has implemented Basic Project Officer's training and Project Management training 

for its employees. The OCIO has plans to build upon its training curriculum by adding additional 

programs to meet the diverse needs of all HHS IT workforce personnel.

Department of Homeland Security

The DHS IT Program Management (ITPM) Development Track is an IT-focused, program and 

project management training program managed by the DHS OCIO. The purpose of the DHS ITPM 

program is to provide the framework and training to program and project managers, who oversee the 

department’s IT programs and projects. The focus of the development track is on practical IT program 

and project management training, which addresses applicable DHS IT directives, policies, methods, and 

practices. The certification program is designed to develop a cadre of qualified and well-trained 

professional managers who are eligible for formal assignment to IT programs and projects within 

DHS. Depending on the individual’s level of experience, and after completion of the DHS ITPM

development track, graduates are eligible to obtain DHS Program Managers Certification up to Level 

II. Completion of the ITPM development track also allows graduates to enroll in the new DHS ITPM 

Rotational Assignment program, currently planned for deployment in the third quarter of FY 2014. This 

initiative will provide recent ITPM training graduates the opportunity to gain “hands-on” experience in 

managing major IT programs and projects at the appropriate level of certification by participating in a six 

to 12 month rotational assignment in IT Level 1 and Level 2 Program offices throughout DHS.

Department of Housing and Urban Development

HUD's IT training complies with the guidance of the Federal Acquisition Certification for 

Program/Project Managers as set forth by the Office of Federal Procurement Policy. This policy sets the 

requirements for training in the following areas: acquisition management; government-specific;

program/project management; earned value management; business/finance; life cycle cost analysis; and 

leadership development and communications management at the entry, mid and senior levels. The OCIO 

provides training in these areas to its workforce using a contract vehicle.

Page 137 of 150
Privacy training focused on the importance of protecting employee and citizen data is also provided 

to the department. This training includes the annual mandatory IT Security online training which includes 

privacy protection training, and “as needed” training for the Department and/or Privacy Liaison Officers. 

HUD’s Security Awareness Program consists of several components designed to protect the

confidentiality, integrity, and availability of HUD’s information systems and the information they 

contain. These components consist of mandatory annual security awareness training, weekly security 

awareness tips disseminated to all HUD employees, and security alerts as circumstances 

warrant. Additionally, HUD’s Computer Self-Help Desk is a one-stop website available to all employees 

which provides tricks and tips on software applications such as Word, Excel and PowerPoint. The 

OCIO's Virtual Training site also offers HUD employees additional training opportunities via 

LiveMeeting or classroom sessions. New classes are added monthly. The HUD Virtual University offers 

HUD employees access to over 2,000 online courses from the Skill Soft courseware libraries as well as 

custom courses developed by HUD program organizations.

Department of the Interior

In FY 2013, DOI conducted a comprehensive Current State IT workforce analysis that identified the 

major duties of each IT position throughout DOI. This analysis aligned major IT duties to Infrastructure 

IT or Mission Program IT, and assigned duties to service categories and sub-categories. This detailed 

workforce duty analysis provided DOI IT leadership with a comprehensive view of the IT work being 

performed across the department. The data has been instrumental in workforce planning required to 

support IT Transformation and will continue to be used. The next step in DOI's IT workforce 

development is to map the major duties in DOI's future state organization to the current state skills 

assessments so that IT managers can identify more targeted training and development opportunities for 

their employees. Throughout FY 2014 and into FY 2015, DOI will continue to define additional 

operational details for the IT Transformation future state and identify the related competencies.

DOI also continues to focus on the importance of having qualified, skilled IT project and program 

managers. In collaboration with DOI University, DOI offers a Federal Acquisition Certification for 

Program and Project Managers (FAC-P/PM). Individual classes or the full curriculum resulting in 

certifications are available. On-line project management classes are available to DOI employees through 

a Skillsoft license. In addition, the DOI Privacy Training Program includes a mandatory Privacy Act 

course that is delivered as part of the Federal Information System Security Awareness (FISSA) training 

that must be completed annually, and by all new employees and contractors. Specialized training courses 

and individual or group training are also provided to increase privacy awareness and ensure compliance 

with Federal privacy laws and policies. In FY 2013, DOI developed two computer-based privacy courses, 

Privacy for HR/EEO Professionals and Privacy and Civil Liberties in the Information Sharing 

Environment, to provide targeted, role-based training to employees with privacy responsibilities. These 

courses provide guidance on roles, responsibilities and compliance requirements, and are available to all 

agency employees on DOI Learn, DOI's department-wide learning management system.

Department of Justice

For FY 2013, the DOJ IT Security Staff (within DOJ’s OCIO) led department-wide IT training 

efforts through its Information Security Employee Services (ISES) Team. Comprised of IT training 

points of contact from each of the department’s Components, the ISES Team is responsible for drafting 

annual IT security training policy and procedures for Computer Security Awareness Training (CSAT) and 

IT professional training offerings. Specific areas of focus during FY 2013 were Insider Threat Mitigation 

and Social Engineering/Spear Phishing awareness. 

Page 138 of 150
The Department utilized three learning management systems for self-launched delivery of learning 

offerings and recordation of training completions. In addition, the systems were used for external training 

approvals and creation of Individual Development Plans (IDP). DOJ holds membership in the Federal 

CIO Council’s IT Workforce Committee and chairs or participates in several cross-agency programs such 

as the IT Job Shadow Day, Scholarship for Service, Cyber Corps, and the IT Workforce Capability 

Assessment. The department also has an internal CIO Council, IT Security Council, and various training 

and developmental working groups.

The DOJ Office of Privacy and Civil Liberties (OPCL) provided training on the Privacy Act of 1974, 

the interface between the Privacy Act and the privacy provisions of the E-Government Act, and the 

interface between the Privacy Act and the Freedom of Information Act, through the Office of Legal 

Education. These training courses were open to all DOJ employees, and videos of the courses are 

available to DOJ employees through the Department’s LMS. OPCL also reviewed the privacy portion of 

the department’s updated CSAT course to ensure that it contained appropriate information on federal 

information privacy laws. Additional training efforts of the OCIO included Section 508 compliance 

training in the areas of creating accessible PDF documents, creating accessible Word documents, and 

Section 508 Compliance Testing Techniques.

Department of Labor

The DOL OCIO oversees, supports, and provides various types of IT training to DOL staff and 

contractors. Training includes periodic technology upgrade training associated with desktop computers,

annual IT refresh training, and IT investment management related training, as well as mandated IT related 

training such as Information Systems Security and Privacy Awareness training. Specifically, the DOL 

OCIO provides annual CPIC and IT investment related training classes to DOL IT Project Managers 

(PMs) and IPT members, including contractors. The training classes include topics such as CPIC and 

eCPIC, Post Implementation Review, Operational Analysis, Earned Value Management, Baseline 

Management training, and Integrated Baseline Review training. The OCIO believes IT training program 

have resulted in better managed and higher performing IT investments.

In addition, all DOL employees and federal contractors are required to meet general security 

awareness training and role-based training for individuals who work in a security function. DOL delivers 

training annually through the DOL LearningLink Management System, and utilizes FedVTE a virtual 

training environment that allows both Federal employees and contractor staff to access training 

designated for information security and privacy training. DOL has hourly requirements for executives, 

senior, mid-level and junior IT specialists who have a designated role in security. DOL sponsor’s rolebased training on a quarterly basis in areas that require special attention such as incident response 

training, breach notification, and contingency planning. Senior Executives are also provided a one-hour 

training to meet their training requirement. Quarterly newsletters are also delivered to the DOL 

community on a variety of subjects in the area of IT security and privacy, and the OCIO develops and 

publishes additional awareness materials such as email notifications, elevator posters, and conference and 

webinar sessions.

Department of State

State’s Foreign Service Institute (FSI) provides training to the department and 47 customer agencies,

and limited training to private sector academic institutions and businesses operating overseas. FSI’s main 

campus is a 72 acre site in Arlington, Virginia, but also has regional training centers overseas and four 

overseas language operations for Arabic, Chinese, Japanese, and Korean. FSI is a designated federal 

wide e-training service provider under the federal Enterprise Human Resources Integration initiative and 

a federal provider of cybersecurity training under the Information System Security Officer line of 

Page 139 of 150
business. FSI has an internet-based Learning Management System designed to reach the worldwide 

target audience and provides over 270 custom distance learning courses designed especially for the 

foreign affairs customers in the Department and client agencies. FSI also purchases commercial distance 

learning courses from private vendors that include the full range of subject matter content. In FY 2013, 

FSI had 60,631 course completions in classroom courses for 3,609,066 hours of training. FSI also had 

49,683 completions of FSI produced distance learning courses for 267,070 hours, and 22,951 completions 

of commercial courses for 31,089 hours. Additionally, the department had 5,471 external training events 

with a total of 214,012 hours.

The department provides IT training to all systems administrators, Information Management 

Technical Specialists, and end-users through FSI's School of Applied Information Technology (SAIT). 

To improve course delivery and ensure FSI training reflects the latest technology, SAIT continues to 

develop new courses and revise existing curriculum based on program initiatives of the Information 

Resource Management Bureau. An extensive array of courses is provided through classroom 

training. Commercially trained and certified instructors teach all SAIT certified courses and full 

curriculums are available for those qualified students who wish to pursue industry-standard certifications. 

SAIT provides IT certification training for Office Management Specialists, and State-specific applications 

such as the Secret Internet Protocol Router Network and the State Messaging and Archive Retrieval 

Toolset. In addition, SAIT supports the professional development of the Information Management 

Specialists throughout their careers with targeted level tradecraft courses.

Department of Transportation

The DOT CIO's office conducts trainings known as Technology, Evaluation and Learning Series

(TELS). TELS sessions cover a wide range of IT Training areas including, but not limited to, privacy, 

CPIC, EA, and budgeting for IT projects.

Department of the Treasury

Treasury offers CPIC operational metrics training, including an overview on the development of 

good metrics, metric types, issues with metrics, and Treasury's specific approach to reporting 

metrics. Treasury reviews the metrics with investment owners to identify how they could improve or 

replace measures that needed further work. Treasury also facilitates cross-agency development, including

employee assignment to the Data Disaggregation Team of the Challenge Team Program sponsored by the 

Federal Asian Pacific American Council, with participation from the White House Initiative on Asian 

Americans and Pacific Islanders, OPM, and the U.S. Equal Employment Opportunity Commission. 

Additionally, the Treasury Learning Management System is used for annual training programs, 

competency reviews, and offers a selection of additional online learning courses for the Treasury 

workforce.

Department of Veterans Affairs

New employees in VA’s Office of Information and Technology (OIT) receive a three-day orientation 

at the VA National IT Training Academy headquarters in Falling Waters, WV, and at NTA Smart 

Classrooms across the country. The "Start It Up" IT Welcome Program was designed by the IT 

Workforce Development to help new OIT employees become aware of VA’s mission, vision, values, 

guiding principles and culture. Through “Start It Up,” new hires have the opportunity to identify with 

OIT, develop a sense of belonging, build networks, and realize the value of their roles and how they 

contribute to VA’s overall strategy. The OIT New Hire Orientations are held on a quarterly basis.

Page 140 of 150
MyCareer@VA is an interactive, online career development experience that empowers VA 

employees to create a personalized career plan. Using the website’s five custom-built tools, employees

can achieve new professional goals, hone their skills, and map a personalized path toward career 

fulfillment. The system was developed by experts at the VA Learning University and subject matter 

experts from all VA administrations who share a commitment to helping employees advance their career. 

The system makes it easier for employees to match interests and experiences to the positions at VA, and 

map out a clear path for their long-term career. This one-of-a-kind website represents VA’s commitment 

to supporting employees throughout their career with training, education, and developmental 

opportunities. Additional information regarding VA's IT Training information can be found 

at: www.valu.va.gov.

U.S. Agency for International Development

The USAID Chief Privacy Officer (CPO) provides annual privacy awareness training to all USAID 

employees, particularly those employees who will use or view PII data elements in the routine 

performance of their jobs. In addition, USAID provides targeted, role-based training to those employees 

who have been designated as PII custodians. All USAID employees must complete annual privacy 

awareness training. This annual training is provided to employees so that they may better understand the 

basic knowledge necessary for protecting PII data elements in accordance with USAID and Privacy Act 

requirements. If employees do not complete their annual privacy awareness training, the CPO will 

suspend their access to such Privacy Act information data elements. If employees do not abide by the 

rules of behavior, their privileges to access such PII data will be denied.

USAID provides IT initial and awareness training in online and classroom formats accessible to the 

Agency through USAID University, AIDConnect and the training division in Human Resources. General 

IT courses cover office productivity software as well as software and applications specific to USAID, 

such as GLAAS and Phoenix. The USAID Information Assurance division (IA) targets training on 

security topics for general users and users with specialized security responsibilities. Classroom-based 

initial information security awareness is required for all new users with network access. Annual 

information systems security awareness training is provided through the Tips of the Day program. 

Specialized information security awareness training is provided annually to those with elevated 

administrative privileges, system ownership, and managerial security responsibilities.

Environmental Protection Agency

EPA has a host of on-line IT training courses that help deliver IT and other training to Agency 

employees. EPA eLearning is the Skillport training and professional development system available to 

Agency employees at work or from home, 24 hours a day and 7 days a week. Online courses, books, 

simulations and other resources are available on topics such as project management, the Microsoft suite, 

IT security, professional skills, and more. Employee access includes over 2,500 courses and books on 

business and IT technical skills (new resources are added monthly); the ability to chat or email questions 

on course content with a teacher or “mentor;” preparation materials for industry standard certifications 

(PMI, CISSP, ISC2, ITIL, Six Sigma, etc.); interactive, video-based courses in the Business Explorations 

“Knowledge Center;" and access training 24 hours a day, 7 days a week.

Recognizing that training and awareness are critical to protecting agency PII, EPA is developing 

online training for privacy contacts in its programs and regions. The training will be launched in the first 

quarter of FY 2014, and mandatory general awareness privacy training will be available to all employees 

later in FY 2014. The annual mandatory security awareness training, taken by all employees and others 

with access to EPA’s systems, also has a privacy training component. The Agency Privacy Officer 

Page 141 of 150
conducts face to face and webinar trainings as needed and when requested by an organization.

General Services Administration

GSA offers IT courses to employees via an internal On-Line University and GSA’s University for 

People program. GSA participated in the CIO Council’s 2011 IT Workforce Capability Assessment 

which led to the development of GSA’s IT Human Capital Strategic Plan. GSA OCIO used the results to 

assess the capabilities, skills, and potential resource gaps within GSA’s IT Workforce. GSA created a 

Technology Learning Map which provides the employee a series of courses across three proficiency 

levels and pre-defined skill sets. Upon completion of select technology training opportunities, the 

employee is prepared to fulfill recommended certifications and address applicable reinforcing activities. 

For cross-agency development programs, GSA’s Office of Citizen Services and Innovative Technologies 

(OCSIT) manages the DigitalGov University (DGU), the Federal government’s training program for 

digital media and citizen engagement. Since 2004, DGU has sponsored more than 200 training events 

with more than 18,000 attendees. The CIO University, managed by GSA’s Office of Government-wide 

Policy, is a cooperative venture between the Federal government and select institutions of higher learning 

to offer graduate level programs that directly address federal executive core competencies based on 

Clinger-Cohen legislation. Students from government and industry who graduate from IT graduate 

degree programs at any of the six universities receive a CIO University Certificate from the government. 

Since 2000 more than 1,500 people have graduated.

National Aeronautics and Space Administration

NASA utilizes an online training system called SATERN to provide IT technical, IT security and 

privacy training to the NASA community. IT security awareness training is mandatory for all NASA 

employees and contractors involved with agency information or information systems. NASA employees 

and contractors are provided annual privacy and sensitive information training with recurring training also 

provided for IT Security and Privacy related topics. Additionally, centers conduct Incident Response and 

Privacy Breach Response exercises to ensure employees are prepared in advance of an incident or breach 

of sensitive privacy information. Finally, monthly video conferences are conducted with the Center Chief 

Information Security Officers and the Center Privacy Managers during which there is policy and program 

updates, and discussions and collaboration about issues facing the community. NASA provides training 

opportunities and cross-agency development through programs such as career development details, 

NASA FIRST, NASA Mid-Level Leaders, and participates in several industry developmental programs. 

Competencies are managed through annual IT surveys and implementation of NASA's IT Workforce 

Development plan.

National Archives and Records Administration

NARA provides most of its IT training via its Learning Management System (LMS), an internetbased software package that delivers and manages learning content and resources. Application-specific 

training (as needed) is provided by commercial vendors or other government agencies. IT security 

training is provided at the time of on-boarding for all NARA staff (employees and contractors) 

and annually as required, along with training on protections for privacy-related information. In FY 2013, 

NARA developed a multi-level Tier II training program for System Owners, Information System Security 

Officers, IT Security Staff, and IT Security Support Staff. Annual IT Security briefings are provided to 

Administrative Officers, Facilities Officers, Field Office System Administrators, and Network Operations 

support staff. A training module for Business Owners and System Owners is in development and will be 

incorporated in the FY 2014 training cycle.

Page 142 of 150
NARA provides annual privacy training on personally identifiable information and the Privacy Act 

to all employees as part of the online IT Security and Awareness training. In addition, employees 

responsible for screening archival records for release to the public receive in-depth Privacy and Freedom 

of Information Act training on a regular basis. All new employees, including student and temporary 

employees, receive a written training packet with information on privacy compliance. NARA has many 

term employees that may not receive access to agency computer systems for their jobs and may miss 

annual training cycles because of their entry and exit dates. Thus, providing hard copies of the new 

employee information on PII is an essential part of the training program. Likewise, permanent employees 

who cannot access the online IT Security and Awareness training receive hard copies of the information 

for their review. Volunteers and student interns also receive the written training packet to review. NARA 

provides a wide array of cross development opportunities for our IT workforce. For ease of use and 

targeted development, the curriculum and activities are mapped to the Clinger-Cohen required 

competencies. Competency gaps are identified using data from the annual Clinger-Cohen Assessment, 

integrated into staff Individual Development Plans, and tracked and reported on using NARA’s Learning 

Management System.

National Science Foundation

NSF’s mission depends on information systems that operate continuously, maintain high availability 

and protect information from inappropriate disclosure. NSF recognizes the importance of maintaining a 

first-rate IT workforce, and has implemented IT training programs for NSF staff and contractors to that 

end. NSF requires all staff and contractors to complete an annual Security and Privacy Awareness 

training course. Staff also have the option of attending an instructor-led session to review IT Security and 

Privacy Awareness issues. In recent years, NSF has achieved an average 98% completion rate for IT 

Security and Privacy Awareness training. In alignment with federal IT workforce initiatives and other 

drivers, NSF also conducts periodic IT competency assessments to evaluate the current and future needs 

of the agency’s technology staff. As appropriate, NSF uses the results of competency assessments in 

developing strategies related to recruitment, retention, and training of the agency’s IT workforce.

Nuclear Regulatory Commission

Delivery of IT training at the NRC is a partnership involving the agency’s Office of Information 

Services, Computer Security Office, and Office of the Chief Human Capital Officer. This cooperation 

was exemplified by the agency’s IT EXPO held in September 2013, which highlighted IT-related 

services, activities, and training that empowers staff to accomplish the NRC mission. IT and management 

professionals presented briefings and demonstrations on topics such as the information lifecycle and 

XML Author, and tours of major NRC IT/IM initiatives and operations such as the NRC Data Center.

All NRC training courses are designed and developed using a systematic instructional design process 

to determine the best method for training delivery and the most appropriate content to provide staff 

needed IT competencies. General IT competencies include mandatory annual training such as PII and 

Computer Security Awareness for all staff, as well as IT system deployment training. Specialized 

training is offered for different roles (e.g., project managers and information system security 

officers). Current IT training delivery is a blend of options including more than 800 IT-related online 

training courses via iLearn (the agency’s training management system), and topic-specific classroom 

courses.

During FY 2013, the agency completed two IT training needs assessments. Each project was 

undertaken to ensure that NRC IT training and workforce competencies align with critical competencies 

identified through OPM, the NRC’s Office of Information Services and Portfolio Council for Education 

Page 143 of 150
Training, the White House 25-Point Implementation Plan to Reform Federal Information Technology 

Management, the Federal Information Security Management Act of 2002, OMB Circular A-130, the

National Initiative for Cybersecurity Education, and Special Publications SP 800-50 and SP 800-16 

(published by the National Institute of Standards and Technology) on building IT security awareness 

training.

The first assessment, entitled “IT Workforce Training Needs Assessment,” identified the NRC core 

competencies and OPM general and technical competencies in Grades 9 - 15 for NRC IT project and 

program managers, system administrators, and IT specialists in system analysis, customer support, and 

enterprise architecture. This study also mapped existing NRC training with proposed training courses and 

potential vendors to meet the NRC’s goals. The second study, entitled “Cyber Workforce Development 

Plan,” identified the roles, responsibilities, and associated training for NRC ISSOs and established a 

baseline for cybersecurity skills and their sustainment through in-house courses, Federal training 

programs, and commercially available training. Both assessment reports serve as a starting point that will 

be used to develop enterprise-wide contracts to meet the training needs of the agency’s IT staff. The 

NRC’s goal is to continuously improve the efficiency and effectiveness of IT training delivery, while 

minimizing training costs, and to provide IT staff the critical competencies needed to strengthen program 

management; streamline governance, and increase the agency’s implementation of e-Government.

Office of the Director of National Intelligence

The Civil Liberties and Privacy Office (CLPO) provides an overview briefing of privacy and civil 

liberties as part of the Entrance-On-Duty orientation for all ODNI personnel, which include cadre

employees, detailees, assignees and contractors. A specific web based training module was recently 

developed for the National Counterterrorism Center. Geared towards personnel directly involved with the 

analysis of information potentially concerning U.S. Persons, this module provides NCTC analysts with 

job-specific and comprehensive privacy training. A web-based training module, covering the Privacy Act

and Personally Identifiable Information, is currently under development for the rest of the ODNI 

workforce. In addition, CLPO has provided privacy and civil liberties presentations as part of other 

ODNI-sponsored training, conferences and seminars.

Office of Personnel Management

All OPM employees and contractors who have access to the agency’s local area network (LAN) 

participate in annual online IT security and privacy training. Compliance is mandatory, and those who do 

not comply lose access to the LAN until they complete the training. During FY 2013, OPM continued to 

support a Program Management Community of Practice (PM CoP) put in place in FY 2012. The PM CoP 

was designed to allow experienced Program Managers to share knowledge, help build competencies in 

others (including through mentorship), and drive IT Program Management succession planning. 

Participation in this CoP also constitutes certified training for Federal Acquisition Institute (FAI) 

Program/Project Manager. The PM CoP splits its meetings between informal discussions of project 

management and formal presentations. For example, the PM CoP sponsored training for more than 100 

OPM employees on “Earned Value Management and Agile Development.”

Employees also took a wide range of IT courses via the OPM LMS. There are 312 IT-related 

courses via the LMS, including courses on databases and spreadsheets, security, word processing other 

office applications, email, operating systems, program and project management, and networking. In FY 

2013, a total of 1,540 courses were completed.

Page 144 of 150
Small Business Administration

SBA provides mandatory periodic computer security awareness training to all individuals who are 

involved with the management, use, or operation of a Federal computer system, or those who have access 

to SBA’s sensitive data. The goal of this training is to provide employees and contractors with an 

overview of computer security laws, regulations, and SBA policies. This training teaches users good 

security practices and informs them about their computer security responsibilities. Through this program,

SBA ensures that all employees and contractors are trained annually on Continuity of Operations 

(COOP), IT security and privacy. The OCIO also provides portfolio management training to IT 

Investment Managers on budget submission processes, supporting tools (including eCPIC) and related 

topics. Other training resources including a training calendar, procedures to request training and training 

opportunity announcements and information notices are provided to SBA employees on the internal SBA 

portal. Additional training is available through SkillPort which is a 24/7 gateway to learning resources 

for skills improvement, professional development, performance support, and more. SkillPort's easy-tonavigate interface provides answers to questions, develops professional skills, and supports targeted 

learning. Users use their SBA email address to log in to view the available resources. SBA also provides 

employee training for Telework which can be accessed at: 

www.telework.gov/tools_and_resources/training/employees/index.aspx.

Social Security Administration

The Office of Systems Technical Training Program utilizes the following methods to determine IT 

training needs for Systems staff:

• Training Needs Assessment Survey (TNAS) – Comprised of courses satisfying the relevant areas 

of competency. Components identify critical needs in the following four areas; succession 

planning, skill gaps, agency initiatives, and new hire training.

• Special Request Form –Used to request training not listed on the TNAS or planned for in initial 

training plans.

• Skills Inventory - Current skills and gap data are analyzed in detail and training solutions are 

developed for skill gap areas.

Courses are scheduled and training allocations are distributed based on identified critical needs. Each 

Systems component makes the final determination as to who is scheduled for the training. Training 

requests that identify critical training needs are prioritized and scheduled based on available training 

funds. In addition to IT classes that are purchased from vendors, Systems employees have access to 

SSA’s e-Learning Management System, books 24/7, and webinars covering subjects applicable to 

Systems Internal training developed by Systems subject matter experts.

The Office of Information Security places a high priority on cybersecurity training and education to 

inform agency employees and contractors of their responsibilities to protect the privacy and 

confidentiality of sensitive information. OIS raises security awareness by employing a variety of training 

delivery methods, including interactive computer-based training, video on demand, anti-phishing and 

social engineering exercises, and classroom training for personnel with specialized security

roles. Additionally, SSA has begun creating role-based security training content tailored to specific 

positions throughout the agency. Finally, SSA participates in government-wide initiatives such as the 

National Initiative for Cybersecurity Education and the Federal Chief Information Officers Council IT 

Page 145 of 150
Workforce Assessment for Cybersecurity workgroup.

Page 146 of 150
APPENDIX P: CROSSWALK OF E-GOV ACT REPORTING 

REQUIREMENTS

E-Government Act of 2002 Requirement Location in E-Government Act Report to Congress

Sec. 101 (44 U.S.C. § 3604) – Provide a 

description of projects receiving E-Gov funds 

in FY 2013, including funding allocations and 

results achieved.

Section I – E-Government Fund

Sec. 209 – Provide a summary of activities 

related to IT workforce policies, evaluation, 

training, and competency assessments.

Section II – Government-wide IT Workforce and 

Training Policies

Sec. 214 – Provide a summary of how IT is 

used to further the goal of maximizing the 

utility of IT in disaster management.

Section III – Disaster Preparedness 

Sec. 216 – Provide a summary of activities on 

geographic information systems and 

initiatives, and an overview of the Geospatial 

Platform.

Section IV – Geospatial

Sec. 101 (44 U.S.C. § 3602(e)) – Oversee 

implementation of electronic Government 

under the E-Gov Act and other relevant 

statutes relating to capital planning and 

investment control for IT. 

Appendix A - Capital Planning and Investment Control 

Procedures for IT

Sec. 101 (44 U.S.C. § 3602(f)(9)) – Sponsor 

ongoing dialogue to encourage collaboration 

and enhance understanding of best practices 

and innovative approaches in acquiring, 

managing, and using information resources to 

improve the delivery of government 

information and services to the public.

Appendix B - Enhanced Delivery of Information and 

Services to the Public

Sec. 202(b) – Develop performance measures. Appendix C – Performance Integration

Sec. 202(d) – Avoid diminished access and 

ensuring accessibility to people with 

disabilities.

Appendix D – Accessibility

Sec. 202(e) – Engage the public in 

development and implementation of policies.

Appendix E – Government-Public Collaboration

Sec. 203 – Implement electronic signatures. Appendix F – Credentialing

Page 147 of 150
E-Government Act of 2002 Requirement Location in E-Government Act Report to Congress

Sec. 204 – Oversee the development of a 

Federal Internet Portal

Appendix G – Internet-Based Government Services

Sec. 206 – Report to Congress agency 

compliance with electronic dockets for 

regulatory agencies. Ensure public websites 

contain electronic dockets for rulemaking.

Appendix H – E-Rulemaking

Sec. 207(d) and (e) – Report on agency 

compliance with policies pertain to the 

organization and categorization of 

government information, and agency 

compliance with establishing policies and 

procedures regarding recordkeeping.

Appendix I – National Archives Records Administration 

Recordkeeping

Sec. 207(f)(1)A(ii) – Report on agency 

compliance with requirements to make 

information available to the public under the 

Freedom of Information Act. 

Appendix J – Freedom of Information Act

Sec. 207(f)(1)(A)(iv) – Report on agency 

compliance with requirements to provide an 

information resources strategic plan.

Appendix K – Information Resources Management 

Strategic Plan

Sec. 207(f)(1)(B) – Report on agency 

compliance with developing goals to assist the 

public with navigating agency websites.

Appendix L – Public Access to Electronic Information

Sec. 207(g) – Develop a government-wide 

repository and website for all Federally 

funded research and development.

Appendix M – Research and Development

Sec. 208(b) – Report on agency compliance 

with developing a privacy policy and 

conducting privacy impact assessments.

Appendix N – Privacy Policy and Privacy Impact 

Assessments

Sec. 209(b) – Report on agency compliance 

with establishing information technology 

training programs.

Appendix O – Agency Information Technology Training 

Programs

Page 148 of 150
END NOTES

1 SEC. 101, 44 U.S.C. §3606. E-Government report. (a) Not later than March 1 of each year, the Director shall 

submit an E-Government status report to the Committee on Governmental Affairs of the Senate and the Committee 

on Government Reform of the House of Representatives. (b) The report under subsection (a) shall contain— (1) a 

summary of the information reported by agencies under section 202(f) of the E-Government Act of 2002; (2) the 

information required to be reported by section 3604(f); and (3) a description of compliance by the Federal 

Government with other goals and provisions of the E-Government Act of 2002.

http://www.gpo.gov/fdsys/pkg/PLAW-107publ347/pdf/PLAW-107publ347.pdf.

2 SEC. 2(g) REPORT.— (1) IN GENERAL.—The Director of the Office of Management and Budget shall submit 

to the Committee on Homeland Security and Governmental Affairs of the Senate and the Committee on Government 

Reform of the House of Representatives an annual report regarding the implementation of the website established 

under this section. (2) CONTENTS.—Each report submitted under paragraph (1) shall include—(A) data regarding 

the usage and public feedback on the utility of the site (including recommendations for improving data quality and 

collection); (B) an assessment of the reporting burden placed on Federal award and subaward recipients; and (C) an 

explanation of any extension of the subaward reporting deadline under subsection (d)(2)(B), if applicable. (3) 

PUBLICATION.—The Director of the Office of Management and Budget shall make each report submitted under 

paragraph (1) publicly available on the website established under this section. http://www.gpo.gov/fdsys/pkg/PLAW109publ282/pdf/PLAW-109publ282.pdf.

3 SEC. 508. ELECTRONIC AND INFORMATION TECHNOLOGY. (a) REQUIREMENTS FOR FEDERAL 

DEPARTMENTS AND AGENCIES.— (1) ACCESSIBILITY.— (A) DEVELOPMENT, PROCUREMENT, 

MAINTENANCE, OR USE OF ELECTRONIC AND INFORMATION TECHNOLOGY.—When developing, 

procuring, maintaining, or using electronic and information technology, each Federal department or agency, 

including the United States Postal Service, shall

ensure, unless an undue burden would be imposed on the department or agency, that the electronic and information

technology allows, regardless of the type of medium of the technology— (i) individuals with disabilities who are 

Federal employees to have access to and use of information

and data that is comparable to the access to and use of the information and data by Federal employees who are not 

individuals with disabilities; and (ii) individuals with disabilities who are members of the public seeking information 

or services from a Federal department or agency to have access to and use of information and data that is 

comparable to the access to and use of the information and data by such members of the public who are not 

individuals with disabilities. http://www.gpo.gov/fdsys/pkg/PLAW-105publ220/pdf/PLAW-105publ220.pdf.

4 United States Government Accountability Office, Geospatial Information: OMB and Agencies Need to Make 

Coordination a Priority to Reduce Duplication, GAO 13-94 (November 2012), available at:

http://www.gao.gov/assets/660/650293.pdf.

5 OMB Circular A-119, "Federal Participation in the Development and Use of Voluntary Consensus Standards and 

in Conformity Assessment Activities" (February 10, 1998) available at: 

http://www.whitehouse.gov/omb/circulars_a119.

6 Improper Payments Elimination and Recovery Improvement Act of 2012 (P.L. 112-248), available at: 

http://www.gpo.gov/fdsys/pkg/PLAW-112publ248/pdf/PLAW-112publ248.pdf.

7 Department of Defense Electronic Records Management Software Applications Design Criteria Standard (DOD 

5015.2-STD, June 2002), available at: http://jitc.fhu.disa.mil/cgi/rma/downloads/p50152stdapr07.pdf

8 Department of Defense Instruction 8115.02, Information Technology Portfolio Management Implementation

(DODI 8115.02, October 2006), available at: http://www.dtic.mil/whs/directives/corres/pdf/811502p.pdf

Page 149 of 150

 
9 Federal Chief Information Officer Memorandum on Requirements for Accepting Externally-Issued Identity 

Credentials (October 6, 2011), available at: 

http://www.whitehouse.gov/sites/default/files/omb/assets/egov_docs/ombreqforacceptingexternally_issuedidcred10-

6-2011.pdf.

 

10 OMB Memorandum M-12-18, "Managing Government Records" (August 24, 2012) available at:

http://www.whitehouse.gov/sites/default/files/omb/memoranda/2012/m-12-18.pdf

11 DOE Directive 206.1, "Department of Energy Privacy Program," (January 16, 2009), available at:

https://www.directives.doe.gov/directives/0206.1-BOrder/view.

12 OMB Circular A-130, "Management of Federal Information Resources," available at: 

http://www.whitehouse.gov/omb/circulars_a130_a130trans4

13 Department of Defense Privacy Program, DOD 5400-11R, available at: 

http://www.dtic.mil/whs/directives/corres/pdf/540011r.pdf

Page 150 of 150