FY 2011 Report to Congress 

on the Implementation of 

The E-Government Act of 

2002

March 7, 2012
2

Table of Contents

Introduction..................................................................................................................................... 3

Section I: E-Government Fund ....................................................................................................... 4

Section II: IT Dashboard............................................................................................................... 11

Section III: IT Workforce ............................................................................................................. 13

Section IV: Disaster Preparedness................................................................................................ 17

Section V: Geospatial ................................................................................................................... 20

Section VI: Highlights of Agency Accomplishments Focused on Citizen Engagement.............. 24

Section VII: Compliance with Goals and Provisions of the Act .................................................. 35

Department of Agriculture ........................................................................................................ 35

Department of Commerce ......................................................................................................... 40

Department of Defense.............................................................................................................. 45

Department of Education .......................................................................................................... 49

Department of Energy ............................................................................................................... 53

Department of Health and Human Services.............................................................................. 57

Department of Homeland Security............................................................................................ 61

Department of Housing and Urban Development..................................................................... 76

Department of Justice................................................................................................................ 80

Department of Labor................................................................................................................. 85

Department of State................................................................................................................... 89

Department of the Interior......................................................................................................... 96

Department of the Treasury..................................................................................................... 100

Department of Transportation ................................................................................................. 106

Department of Veterans Affairs.............................................................................................. 110

Environmental Protection Agency .......................................................................................... 113

General Services Administration ............................................................................................ 122

National Aeronautics and Space Administration .................................................................... 127

National Science Foundation .................................................................................................. 131

Nuclear Regulatory Commission ............................................................................................ 134

Office of Personnel Management............................................................................................ 139

Small Business Administration ............................................................................................... 142

Social Security Administration ............................................................................................... 146

U.S. Agency for International Development........................................................................... 156
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Introduction

This is the Office of Management and Budget’s (OMB) ninth annual progress report on 

implementation of the E-Government Act of 2002 (Pub. L. No. 107-347; Dec. 17, 2002) (the “EGovernment Act”) as required by 44 USC 3606. This report describes information technology 

(IT) activities completed in fiscal year 2011 (FY11) that fulfill the requirements of the annual EGovernment Act report to Congress.

Section I describes the use of the E-Government Fund, established by Section 3604 of the EGovernment Act. Section II fulfills a Government Accountability Office (GAO) 

recommendation to addresses accuracy of data on the IT Dashboard, and complies with the EGovernment Act’s requirement to make Government information accessible. Section III 

describes activities the Government has implemented that improve the skills of the Federal

workforce. Section IV describes how IT is used in disaster management. Section V describes the 

use of standards and collaboration for geographic information within the Federal Government. 

Section VI features select E-Government Information Technology IT accomplishments related to 

citizen engagement in FY11. Section VII outlines Federal Government activities that implement 

E-Government Act provisions and goals. All reports on the implementation of the E-Government 

Act, from FY03 through the present, are posted on the Office of Management and Budget 

(OMB) website (http://www.whitehouse.gov/omb).

The use of IT to provide consistent access to and dissemination of Government information 

promotes a more citizen-centered Government in a cost-effective manner. The release of the 

National Open Government Action Plan emphasizes efforts to strengthen democracy and 

promote a more efficient and effective government through greater openness to citizens. 

Agencies manage web-based technologies and services to help citizens obtain Government 

information and services. In addition, agencies use IT to communicate with the public and gather 

feedback to determine whether Federal programs are achieving results and meeting user needs. 

E-Government is the result of the use of IT to lower the barriers to citizen interaction with the 

Government and access to Government information and services.

Because the Federal Government invests heavily in IT investments, it is essential that citizens 

see gains in service, quality, and delivery. To ensure Federal agencies apply E-Government 

principles and IT to the fullest potential, program results are measured to verify progress and 

planned performance improvement. By doing this, agencies are able to better manage their 

information resources and IT investments more effectively. The Office of Management and 

Budget (OMB) works with agencies to systematically track and measure whether resources used 

by programs help achieve intended goals and results.

This report describes Federal IT activities related to Open Government, innovations in IT, and 

the E-Government Act of 2002. The Federal Government is committed to building on these 

efforts to leverage the power of technology to better manage IT resources.
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Section I: E-Government Fund

The E-Government Fund: Enabling Transparent, Participatory, and Collaborative 

Government 

In 2002, Congress passed the E-Government Act to enhance management and use of 

information technology to provide services to citizens and to increase internal Government 

efficiency and effectiveness. One of the most important provisions outlined in the E-Government 

Act was the establishment of an E-Government Fund (Fund) that would provide financial 

support for the innovative use of technology in the Federal Government. Projects supported by 

the Fund must serve one of three purposes:

 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

 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 May 2011, the General Services Administration (GSA), in consultation with Office of 

Management and Budget (OMB) and the Federal Chief Information Officer (CIO) Council, 

made spending determinations and submitted plans for the use of the FY11 E-Government 

Funds to the Appropriations Committee. The projects and levels of funding submitted in the 

notification are shown below:

Investment Area FY11 

Enacted

1. Transparency and Federal Funding Accountability and Transparency Act 

(FFATA) Implementation $7.24M

2. Improving Innovation, Efficiency and Effectiveness and Federal IT $.74M

3. Citizens Engagement Platform (CEP) Access / Web 2.0 $0 

4. E-Government Project Management Best Practices $0 

Total $7.98M*

*$8M appropriation including a rescission of $16,000 = $7,984,000

The details of the initiatives funded by the FY10 E-Government Fund are as follows:

1. Transparency and Federal Funding Accountability and Transparency Act 

(FFATA) Implementation 

These projects support ongoing efforts to increase transparency and accountability of 

Government information.
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USAspending.gov: USAspending is the only Government on-line source that makes Federal 

spending in contracts and grants visible to Congress, agencies, the public and better Government 

interest groups. It allows for information to be researched by firm, state, locality, congressional 

district, type of spending, and other categories. 

 Benefits: USAspending creates an on-line, publicly accessible capability to examine 

contracts, grants, loans, and other types of spending across many agencies in greater 

detail than has been possible in the past. It is a key ingredient to building public trust in 

Government and credibility with the Government and industry professionals who track 

this critical information.

Small Business Dashboard: The Small Business Dashboard a specialized, publicly 

accessible on-line web reporting capability of USAspending that shows the amount of 

Federal spending that goes to the small business community by agency and compares that 

to agency goals.

 Benefits: Collecting data about the various types of contracts, grants, loans, and 

other types of spending in our Government that are awarded to small businesses is 

a critical policy matter that demands transparency. The ability to look at contracts, 

grants, loans, and other types of spending going to small businesses Governmentwide is a high priority for the Administration and the Congress.

FFATA Subaward Reporting System Assistance (FSRS): The FSRS provides telephone 

help desk assistance to prime contractors and grantees that must report subaward 

information to the FFATA Subawards Reporting System (FSRS). This is an important 

feature of the USAspending data.

 Benefits: The FFATA Subaward Reporting System (FSRS) is the reporting tool 

that Federal prime awardees (i.e. prime contractors and prime grants recipients) 

use to capture and report subaward and executive compensation data regarding 

their first-tier subawards to meet the FFATA reporting requirements. It is the only 

way to get information below the prime contractor level and expose it to the public 

and regulators. Subawards are a large part of the distribution of Federal funds. 

IT Dashboard: The Federal Government spends approximately $80B annually on information 

technology (IT). This system provides transparency and details about major Government IT 

projects, including contracting, type of spending, goals and performance/results. It includes a 

rating system that reflects the overall performance of each IT investment, and is used by the 

Office of Management and Budget (OMB) and agencies as the basis for Executive level 

technology review sessions, both inside the agencies and with OMB and the Congress.

 Benefits: Agency Chief Information Officers (CIOs) use the IT Dashboard within their 

organizations to bring necessary management attention to troubled projects. Changes 

made based on management insight gained from the IT Dashboard has resulted in more 

than $3B in savings through the TechStat process. In 2011, OMB trained agencies on 

TechStat and publicly released the training material, leading to more than 100 agencylevel TechStat reviews and robust sharing of best practices through the CIO Council 
6

TechStat subcommittee. In 2011, due to the high demand from Federal agencies and the 

software development community, the source code of the IT Dashboard was made 

available to state, local, international governments and the public at no cost. This first 

open source release represents a starting point, enabling communities of interest to adapt 

and mature their own versions of the IT Dashboard to their own unique needs. 

Additionally, the user community requested updates from the IT Dashboard to be made 

available through mobile devices, and this request has been implemented.

Performance.gov: Performance.gov is a user-friendly website that enables the public, 

Congress, Federal employees, and others to monitor progress being made by the Administration 

in cutting waste, streamlining Government, and improving performance. Specifically, 

Performance.gov provides information on the following areas of focus: acquisition, financial 

management, human resources, technology, performance improvement, open government, 

sustainability, and customer service.

 Benefits: Performance.gov aggregates data from across the Government into a single site, 

improving the transparency of Government-wide efforts to improve management and 

facilitating cross-agency learning, benchmarking, and coordination. Much of this 

information was previously housed on Government-wide and agency websites with 

inconsistent approaches and formats, which did not provide user friendly views or the 

ability to identify best practices, learn across agencies, or conduct Government-wide 

comparisons. Centralizing the display of this information supports more cost efficient 

operations and improved transparency. 

Data.gov. Data.gov is a flagship Open Government site which provides a one-stop catalog of 

U.S. Government data available to download, mash-up, or analyze. It provides information 

about datasets (metadata) and practical tools to view or use the data. As of FY11, 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 16 

countries, along with many state and local governments seeking to increase transparency and 

accountability, while fostering innovation. Work is underway to make the software open source 

so that other governments around the world can use it to implement their programs faster and 

with less cost.

 Benefits: Data.gov aggregates more than 400,000 datasets from 24 agencies and 172 

sub-agencies. Individual agencies avoid creating their own data integration platforms, 

with Government-wide potential savings of approximately $14.4M (based on estimated 

costs of $600,000 per agency site). Apps powered by Government data are being created 

at less than 2 percent of the previous cost of direct funding ($700/app through data.gov 

based challenges vs. $30,000-$150,000/app through direct Government 

funding). Estimated savings are $4M to date and are growing exponentially. Developers 

have access to data from multiple agencies, allowing them to aggregate and innovate in 

new ways. In the Health.Data.gov Community, 139 apps have been developed at the cost 

of approximately $100,000 in challenge prizes. Of these, 45 are already creating 

economic gain and new jobs at the companies and startups that created them. 

Communities like Health and Energy are able to aggregate content, collaboration 

capabilities, and data across agencies. The creation of such individual cross-cutting sites 
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averages $600,000 individually. With six communities today, and four more expected in 

the next few months, this yields a potential savings of $5.5M.

Initiative FY11 

Enacted

USAspending.Gov $1.2M

Small Business Dashboard $0.1M

FFATA Subaward Reporting System Assistance (FSRS) $2.88M

ITDashboard.Gov $1.06M

Performance.Gov $1.1M

Data.gov $0.9M

Total $7.24M

2. Improving Innovation, Efficiency and Effectiveness and Federal IT 

The projects funded under this initiative facilitate development of tools, practices, and 

procurement opportunities to accelerate use of secure, easy to use, on-demand, Federal cloud 

computing services. This initiative will continue to develop and expand in FY12, building upon 

what was achieved in FY11. Major projects are listed below:

Federal Cloud Computing Program Management Office (PMO) Federal Data Center 

Consolidation (FDCC): The FDCC is housed in Office of Citizen Services and Innovative 

Technologies (OCSIT), the Federal Cloud PMO facilitates adoption of cloud computing 

Government-wide, enabling enormous savings by substantially improving the efficiency of the 

overall Federal IT portfolio. With cloud computing, agencies pay for only IT resources they use 

in response to fluctuating program demands, avoiding the expenses of building and maintaining 

costly IT infrastructure. The PMO works with OMB and the Federal CIO Council to coordinate 

activities across agencies, providing input for new Government-wide cloud contracting vehicles 

and sharing best practices in cloud adoption. 

The Cloud PMO assists with the management of the Federal Data Center Consolidation (FDCC) 

Initiative. The FDCC is reversing the growth of Federal data centers and shifting IT investments 

to more efficient computing. Since February 2009, agencies have been compiling inventories of 

their data center assets, evaluating opportunities for consolidation and closures, and planning to 

realize estimated long-term savings in the billions of dollars.

 Benefits: Tangible cost savings are realized through the implementation of cloud-based 

data storage, web hosting, and streamlined provisioning of IT commodities. A 2010 

Brookings Report found that agencies generally saw 25-50 percent savings when moving 

to the cloud. For the Federal Government as a whole, this translates into potentially 

billions of dollars in cost savings. Agencies have already realized substantial cost 

savings and productivity gains using cloud computing. For example: 

o GSA has completed a transition of 17,000 e-mail accounts to a cloud 

environment. GSA expects to reduce operating costs by 50 percent over the next 

five years, saving more than $15.2M.
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o In concert with GSA’s Federal Acquisition Service (FAS), the Federal Cloud 

PMO has established cost-effective procurement vehicles that allow agencies to 

purchase IT resources as commodities. The Infrastructure as a Service (IaaS) 

Blanket Purchase Agreement (BPA) was awarded under GSA Schedule 70 to 12 

diverse cloud service providers. This allows agencies to compare prices for 

commoditized IT services including web hosting, storage, and virtual machines, 

resulting in significant pricing competition and efficiencies. GSA will be 

awarding another BPA that allows agencies to purchase various types of secure 

cloud-based e-mail services in the next few months.

o Data Center Consolidation savings by the end of 2015 are expected to be $3B, 

based on analysis of information provided by the agencies in December, 2011, 

which shows that agencies plan to close over 500 data centers by the end of 2012. 

Agencies are on track to close over 1,000 data centers by 2015. Reducing the 

overall energy and real estate footprint of Government data centers, and reducing 

the overall cost of data center hardware, software, and operations also provides 

substantial improvements in environmental sustainability.

FedRAMP (Cloud Security): The Federal Risk and Authorization Management Program, or 

FedRAMP, provides a standard Government-wide approach to ensuring security for cloud 

services. FedRAMP provides joint Certification and Accreditation (C&A) and continuous 

security monitoring services for Government and commercial cloud computing systems intended 

for multi-agency Government use. 

 Benefits: FedRAMP enables agencies to deploy cloud technologies quickly and in a 

secure environment, while realizing economies of scale. Currently, each agency conducts 

its own security C&A process for every IT system it acquires. According to the 2009 

Federal Information Security Management Act (FISMA) report to Congress, agencies 

reported spending $300M annually on C&A activities alone. FedRAMP will 

substantially reduce these costs by providing a single, provisional authorization that can 

be used by all agencies as the basis for issuing an Authority to Operate (ATO). Savings 

from leveraging the ATO across agencies are estimated at a 50 percent reduction in 

staffing, 75 percent reduction in assessment time, and $200,000 cost avoidance every 

time an agency leverages the FedRAMP ATO, far exceeding the cost of the program.

Cloud Contract Vehicle Development and Apps.gov: In coordination with GSA’s Federal 

Acquisition Service (FAS), the Cloud Computing PMO develops requirements and supports the 

establishment of competitive Government-wide contract vehicles that enable agencies to acquire 

secure, commercially available cloud solutions for infrastructure, email, and other commodity 

services. 

Apps.gov is an on-line storefront that provides access to over 3,000 cloud-based products and 

services where agencies can research solutions, compare prices, and place on-line orders using 

GSA’s eBuy system.

 Benefits: Timely adoption of cloud computing depends on availability of streamlined 

contracting vehicles that are designed specifically to ensure the performance, reliability, 

cost effectiveness and security of cloud services. GSA’s cloud BPAs and Apps.gov 
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leverage the purchasing power of the Government, making cost-effective, commercial 

solutions available to agencies so that they do not need to each develop duplicative 

contracts that would waste scarce resources both for Government and industry.

Innovation and Mobile Apps Platforms: Simplifies and improves access to Government by 

leveraging the power and capabilities of mobile devices that enhance delivery of citizen and 

business services and that increase accountability and trust in Government. Mobile technology 

has the potential to transform Government by enabling citizens to obtain information and 

services anywhere, anytime. This program was not funded in FY11, due to E-Government 

budget reductions.

 Benefits: Simplifies and improves access to Government by leveraging mobile 

technology to enable citizens to obtain information and services from the Government 

anywhere and anytime. On-line services provide information and services available to 

citizens for lower costs than through other channels. In FY11, OCSIT launched a 

modest initiative to establish a central repository of Government-wide mobile apps, and 

has identified and built consensus around five critical areas that need to be addressed in 

FY12 to enable widespread adoption and strategic use of mobile technologies by agencies 

across Government. 

FedSpace: This system was available to Federal employees on a limited pilot basis to work 

collaboratively on-line across agencies to communicate, learn, share, and form problem-solving 

groups and working communities. FedSpace provides a unified, comprehensive platform for 

sharing information and solving common problems. This program was not funded in FY11, due 

to E-Government budget reductions.

 Benefits: FedSpace enables Government employees to work securely and collaboratively 

across agencies by leveraging common tools, making content and resources available 

more consistently. FedSpace saves Federal agencies the cost of buying or building their 

own collaboration solutions. A beta version was launched to provide basic services and 

tools to Federal employees and contractors and was well-received across Government. 

FedSpace provides a business platform for people to find others in the Government 

working in the same domain area, trying to solve the same problems within different 

agencies. It will provide a shared space for document sharing; much like Thomas 

provides a shared information space for the legislative process. The benefit is that each 

agency will not have to develop its own system at a cost of over $1M per year. 

Initiative FY11 

Enacted

Cloud Computing PMO / Federal Data Center Consolidation $0.44M

FedRAMP (Cloud Security) $0.3M

Cloud Contract Vehicle Development, Apps.gov $0.00 

Innovation & Mobile Apps Platforms $0.00 
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Initiative FY11 

Enacted

FedSpace1$0.00 

Total $0.74M 

3. Citizens Engagement Platform (CEP) Access / Web 2.0

Citizen Engagement Platform: This platform creates a more open, transparent, and 

collaborative Government by identifying and providing public dialogue tools to Federal agencies 

at no cost, for use in agency-specific initiatives that enhance citizen engagement and interaction. 

These new technologies and tools are made to be compliant with Federal regulations and 

guidance, and agencies are educated on the effective use of blogs, wikis, and forums to engage 

with the public. This program was not funded in FY11, due to E-Government budget 

reductions.

 Benefits: This platform and proven tools allow agencies to add policy-compliant, no-cost 

social media capabilities, such as blogs and wikis to their websites within hours. It 

reduces the need for agencies to do procurements and to invest in their own, duplicative 

technology solutions for engaging with the public. Nearly 50 tools have been procured, 

which would have cost agencies an estimated $368,000 (for each agency) in developers’ 

time to acquire and make each instance of the tool compliant with security, disability 

accommodation (Section 508), and other Federal laws and regulations.

Challenges Platform: Challenge.gov provides a no-cost platform for agencies to launch 

challenges and contests to leverage expertise and knowledge outside of the Government and the 

traditional contracts and grants process. Solutions to Government’s most pressing problems can 

be obtained easily from the public, industry and academia without requiring significant Federal 

funding. Challenge.gov is operating currently with no funds to make changes and improvements. 

This program was not funded in FY11, due to E-Government budget reductions. 

 Benefits: Challenge.gov provides agencies a free, Federally-compliant platform for 

conducting challenges and prizes with the public. Based on feedback from agencies, 

comparable services would cost agencies an average of $50,000 - $150,000 per 

challenge. We expect to host 150 challenges in FY12, saving an estimated $15M, 

compared to procuring comparable challenge hosting services from outside vendors. 

Additionally, individual challenges have yielded extremely cost effective, creative 

solutions as demonstrated by the examples below:

o Center for Disease Control (CDC) FLU App Challenge: 96 submissions, 9 

winners shared $35,000 in prize money. Development of comparable apps 

typically costs $40,000 each. CDC realized a $325,000 return on its $35,000 

investment, http://fluapp.challenge.gov/ .

 

1

FedSpace is managed by OCSIT. The minimum IT steady-state funding is $2.0M.
11

o SMART Apps for Health (Health and Human Services [HHS]): 15 

submissions, 1 winner received $5,000 prize. HHS gained Return on Investment 

(ROI) of $35,000 worth of apps that enable viewing and printing of simplified 

medication instructions in a dozen languages, 

http://challenge.gov/challenges/134/submissions.

o Apps for Healthy Kids (U.S. Department of Agriculture [USDA]): Led to the 

creation of over $5M worth of software and games in exchange for $60,000 in 

prizes. In addition, the challenge resulted in over 100 print articles, 200 web 

articles, 50,000 tweets, and 50,000 Facebook postings, which generated 

awareness of a top policy and USDA mission priority on a scale difficult to 

achieve via normal press releases and outreach, and at a fraction of the cost. 

Initiative FY11 

Enacted

Citizen Engagement Platform (Apps.gov/now) $0 

Challenges Platform $0 

Total $0 

4. E-Government Project Management Best Practices

Project Management Best Practices: The Project Management Best Practices is designed to 

provide resources and expertise to consider the root causes of problems impacting Federal IT 

projects and to identify practical solutions. In FY12, the Best Practices initiative will expand 

work initiated to establish, identify, and promote best practices in IT personnel management, IT 

program management, and IT procurement and to identify barriers to implementation. This 

initiative will evaluate and revise existing guidance, oversight processes, and reporting 

requirements to increase their effectiveness in improving IT implementation outcomes. This 

effort resulted in OMB’s 25 Point IT Management Reform Plan that was announced in 

December 2010. This program was funded from FY2010 appropriations.

 Benefits: Implementation of the 25 Point plan is transforming management of the 

Federal IT portfolio. Disciplined, data driven management practices have been put in 

place that dramatically improve delivery of IT projects and systems, on time and within 

budget, to enable achievement of desired agency mission results.

Initiative FY11 

Enacted

Project Management Best Practices $0 

Total $0 

Section II: IT Dashboard

June 2011 was the third anniversary of the IT Dashboard launch. The IT Dashboard continues to 

be a valuable tool in driving accountability and transparency in Federal IT spending and 

management. Using IT Dashboard data, the Office of Management and Budget (OMB) and 
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agencies have undertaken numerous TechStat accountability sessions to root out waste and 

accelerate the delivery of critical Federal IT investments. Highlights in FY11 included major 

improvements to the data schema and continued work with agencies and the General 

Accountability Office (GAO) to improving the quality of the data reported. 

New reporting schema

In response to the 25 Point Implementation Plan to Reform Federal Information Technology 

Management, OMB worked closely with agencies during FY11 to ensure that unnecessary IT 

investment reporting requirements were eliminated and existing requirements adjusted to better 

match actual business practices within the agencies. As a result of this work, in July 2011 OMB 

published substantially updated IT investment reporting guidance for Exhibits 53 and 300. 

These new requirements necessitated several changes to the data schema and in IT Dashboard 

functionality. A few examples of these changes include:

 Detailed project level information for all major IT investments, providing project and 

activity level variance; 

 Updated operational metrics data, to provide improved insights into investments in 

operations and maintenance mode;

 Required reporting of project managers and integrated project team (IPT) members; and

 Removal of several questions deemed of limited value by agencies and OMB.

New functionality resulting from these changes will be revealed on the public-facing Dashboard 

in coordination with the release of the President’s Budget for FY13.

Addressing data quality

The subject of several GAO findings, data accuracy has improved significantly since inception, 

but much progress still needs to be made. In some areas, such as complete contract information, 

agencies made substantial progress but work remains in other areas such as 

incomplete/inaccurate data, for example: 

 Activities missing dates, 

 Rebaselines missing comments, 

 Percentages complete contradicting dates, and

 Investments categorized as Operations and Maintenance (O&M) with future planning or 

acquisition costs. 

To improve awareness of such data quality trends, OMB tracks likely data quality issues on a 

regular basis. Also, OMB has introduced additional validations to improve the accuracy of 

agencies’ FY13 IT budget submissions.
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Section III: IT Workforce

The E-Government Act requires improvement of the skills utilized by the IT workforce in using 

Information Technology (IT) to deliver Government information and services. IT workforce 

initiatives have also yielded success over the past year. To address a recognized need for 

strengthening the IT workforce, the Administration created a new job title for IT program 

managers, ensuring that the largest, most complex IT investments in the Government were 

managed by experienced and talented individuals. Additionally, the Technology Fellows 

Program was launched, which will reduce the barriers to entering public service, and provide 

access to unique career opportunities in Federal agencies to highly talented technology 

professionals. 

Additionally, the Chief Information Officer (CIO) Council’s IT Workforce Committee, with over 

49 volunteer member agencies and non-governmental organizations, is in the forefront of this ongoing effort to recruit, develop, and retain a workforce that has the modern skills needed to 

successfully accomplish the goals of the Federal CIO Council in the following priority areas:

 Improvements to Federal structural and organizational infrastructure,

 Compliance with the Open Government Directive,

 Improvements in cybersecurity and privacy protection,

 Increases in the efficiency and effectiveness of government operations.

To help achieve those goals, the IT Workforce Committee supports and facilitates various 

programs and initiatives. Committee members serve on interagency workgroups and initiatives 

to improve skills and close gaps in IT workforce capabilities. In 2011, this was done through 

initiatives such as:

CIO University, managed by the General Services Administration (GSA): 

This unique program, partnering with seven nationally-known universities (Syracuse, George 

Mason, George Washington, Carnegie Mellon, LaSalle, University of Maryland-University 

College, and the National Defense University), has transformed the updated Clinger-Cohen 

required competencies into specific curricula targeted at current and future government IT 

executives in accordance with Section 209 (Federal Information Technology Workforce 

Development) of the E-Government Act. Students who enroll and graduate from specific IT 

graduate degree programs at any of these Universities receive diplomas from their institution and 

in addition are awarded a CIO University Certificate from the Government. Degrees offered 

include Master of Science in Technology Management, Master of Science in Information 

Systems Technology, Master of Science in Information Management, and others. Typically 40

percent of program graduates are Government employees (including Federal, state, local or 

tribal) and the remaining 60 percent are from the private sector. Over 1400 people have 

graduated from the program over the past eleven years of its existence; in 2011, 305 students 

graduated from the program. The National Defense University only recently joined the program, 

but in 2011 graduated 138 students. 

Cybersecurity Workforce Training and Professional Development: 

To ensure proper coordination, cooperation, focus, public engagement, technology transfer and 

sustainability, the National Institute of Standards and Technology (NIST) leads the National 
14

Initiative for Cybersecurity Education (NICE) program to “enhance the overall cybersecurity 

posture of the United States by accelerating the availability of educational and training resources 

designed to improve the cyber behavior, skills, and knowledge of every segment of the 

population, enabling a safer cyberspace for all”. Members of the IT Workforce Committee serve 

on groups within NICE to address these issues. Specifically, Committee members co-lead the 

effort addressing national cybersecurity digital literacy training and are members of the team 

addressing training and professional development programs for the existing cybersecurity 

workforce. 

In 2011, NIST charged the NICE initiative to develop a taxonomy of cybersecurity roles. Over 

the last year Committee members have collaborated with NICE on coordination of the IT 

Workforce Committee (ITWFC) initiative on Information Security Workforce Matrices (see 

below), and in developing the NICE Cybersecurity Workforce Framework. This is a structure 

that organizes cybersecurity work into seven categories and 31 specialty areas that provide the 

means for understanding cybersecurity functions across every sector of the public and private 

sectors. Future NICE work will refine the framework, map training and education to the 

documented specialties, and identify gaps and associated future needs. The ITWFC Matrix 

Project Team continues to work with NICE and will use this emerging framework to select roles 

for future Federal cybersecurity matrix development. Although the initial matrices published in 

2011 are not directly aligned with the NICE framework, all future matrices will use the NICE 

framework specialty areas.

Cybersecurity Matrices: 

The CIO Council’s Information Security and Identity Management and IT Workforce 

Committees (ISIMC and ITWFC, respectively) announced the release of four of the 

Cybersecurity Workforce Development Matrices and the accompanying Cybersecurity 

Workforce Development Matrix Resource Guide in October 2011. The matrices were created 

with input from Subject Matter Experts across multiple agencies during focus group sessions. 

The information contained in each of the one-page matrices is intended to give Federal IT 

Departments and agencies a common framework for describing competencies/skills, education, 

experience, credentials and training needed by performance level for each of the identified roles. 

The Resource Guide is intended to assist line managers, business unit leaders, hiring managers, 

and HR professionals engaged in IT workforce development initiatives. The matrices published 

are for the roles of: Chief Information Security Officer, Information Security Assessor, Systems 

Operations and Maintenance Professional, and Information Security Systems & Software 

Development Professional. 

IT Job Shadow Day: 

Each year, the Federal CIO Council sponsors an IT Job Shadow Day. Over 400 high school 

students, from the Washington DC Metropolitan area as well as several locations around the 

country, participated in IT Job Shadow Day for 2011. Each agency/school partnership chose 

their own best date for the function, and all Job Shadow Days were completed by the end of the 

2010-2011 school year. IT Job Shadow Day is an academic activity designed to give students 

the unique opportunity to observe the Federal IT work world, learn about Federal agencies and 

“shadow” IT professionals as they go through their work day. The program encourages students 

to pursue a career in the Federal IT field.
15

Office of Personnel Management (OPM) Collaboration: 

During this period, members of the IT Workforce Committee served as Subject Matter Experts 

and focus group participants working with OPM on the Cybersecurity and IT Program 

Management Competency Models. Data from the IT Workforce Capability Assessment 

(ITWCA) was used to provide and validate data for OPM’s work on IT Project and Program 

Management Models as part of the 25-Point Implementation Plan to Reform Federal Information 

Technology.

Clinger-Cohen Core Competencies Review: 

Committee members are currently completing the Government-wide biennial review of the 

competencies required by 40 USC 11315(c)(3) (Clinger Cohen Act) and 44 USC 3501, Section 

209 (E-Government Act).

Scholarship for Service (SFS), co-led by the National Science Foundation (NSF) and the 

Department of Homeland Security(DHS): 

This program includes scholarship and capacity-building components that attract high-caliber 

students from institutions designated by the National Security Agency (NSA) and DHS as 

National Centers of Academic Excellence in Information Assurance Education (CAE/IAE) and 

selected by NSF through a competitive process. The Office of Personnel Management (OPM)

works with NSF by providing placement assistance and coordinating student compliance with 

the program’s service component. The Committee supported this highly successful program by 

co-sponsoring two SFS events this past year: a Federal Briefing about the SFS program in 

November; and the Annual SFS Symposium and Job Fair in January. 

Information Technology Workforce Capability Assessment (ITWCA): 

The IT Workforce Committee in partnership with the ¬Office of Personnel Management (OPM) 

administered the 2011 Information Technology Workforce Capability Assessment Survey 

(ITWCA) to Federal civilian employees who regularly perform IT functions between January 18, 

2011 and March 4, 2011. The ITWCA provided every Federal Executive Branch IT employee 

with the opportunity to help shape the future of the IT workforce - not only in his or her agency, 

but also for the Federal Government as a whole.

Purposes. The purposes of the ITWCA were to:

 Assist employees in long-term career planning by providing a template by way of the 

individual survey results to discuss professional development with their managers;

 Contribute to the progress of each agency’s mission by providing a snapshot of the 

agency IT workforce in order to effectively plan for the future; and

 Provide a holistic view of the capabilities and skills across the entire Federal IT 

workforce. The input provided by individuals was aggregated to identify the supply of IT 

expertise across the entire Federal IT workforce. 

Response Rate. In December, 2010, OPM Fedscope estimated there were 103,322 Federal 

employees in the Federal IT Workforce. 17,662 Federal employees from 63 agencies completed 

the assessment, which allowed respondents the opportunity to document the types of specialized 

IT activities they regularly perform, and to self-assess their own levels of proficiency in various 

technical competencies and IT skills. This represents a response rate of slightly over 17 percent. 
16

22 separate occupational series were listed in the survey as series which regularly perform IT 

functions; in addition to those, almost 1,000 individuals stated that they were in occupations not 

normally considered IT, but that they regularly performed IT functions. 

Demographics. 44.3 percent of survey respondents stated they were 51 years of age or older; 

50.5 percent stated that they had over 20 years of Federal and/or military service. As of the time 

of the survey (January-March 2011), 19.2 percent of the respondents stated that they were 

eligible for retirement within three years. The average GS grade of the respondents was GS-12. 

Over 67 percent identified themselves as college graduates.

Cybersecurity. 42.2 percent of all the respondents stated that they regularly perform 

cybersecurity-related work. 20.4 percent of cybersecurity respondents stated that they were 51 

years of age or older. These individuals identified key cybersecurity competency training needs 

in Vulnerabilities Assessment (35.8 percent), Computer Network Defense (32.3 percent), and 

Security Compliance (28.8 percent). 

IT Program Management. 25.9 percent of respondents identified themselves as IT Program 

Managers . IT Program Management was identified as:

“...the discipline of organizing and managing resources for more than one IT project, which 

together advance accomplishment of one or more strategic goals of the organization.”

40.2 percent of Program Management respondents were in grades GS-13 and GS-14. 26.6 

percent were age 51 or older. 72.9 percent of IT Program Managers held a four-year degree or 

higher.

IT and Human Capital leadership in agencies and across the Federal Government as a whole are 

able to review the ITWCA analysis and use the findings to make informed decisions on the 

capabilities, skills, and resources that the IT workforce will need to help agencies successfully 

accomplish their missions. Analysis of the survey information will also contribute to strategies 

to recruit, retain, develop and manage a fully-trained and qualified IT workforce to meet current 

and future mission requirements.
17

Section IV: Disaster Preparedness

The Office of Management and Budget (OMB) in consultation with the Department of 

Homeland Security (DHS)/ Federal Emergency Management Agency (FEMA) is required to 

report to Congress on activities that further the goal of maximizing IT use in disaster 

management. Three of the E-Government initiatives that are managed by the Department of 

Homeland Security (DHS) support disaster preparedness, response and recovery: Disaster 

Assistance Improvement Program (DAIP), SAFECOM, and Disaster Management. Each 

initiative uses IT in a different way when coordinating and facilitating information. Below is a 

brief description of IT use in each initiative.

Disaster Assistance Improvement Program

Disaster Assistance Improvement Program (DAIP) maintains a Government-wide single portal 

for disaster survivors to submit electronic applications for assistance. The mission of the DAIP 

is to ease the burden on disaster survivors by providing them with a mechanism to access and 

apply for disaster assistance through the collaborative efforts of Federal, state, local, tribal and 

nonprofit partners. DisasterAssistance.gov provides disaster survivors with a single source for 

potential assistance programs, easy access to the application, application updates and disaster 

related information. 

Following a presidentially declared disaster, individuals in need of individual assistance can 

register for assistance online at http://www.DisasterAssistance.gov. Each year approximately 50 

presidentially declared disasters cause injury and death, destroy homes and business, and disrupt 

the lives of hundreds of thousands of people across the nation. DisasterAssistance.gov brings 

together all Federal agencies that offer forms of assistance to simplify the process for disaster 

survivors. Users can apply for DHS/FEMA individual assistance and Small Business 

Administration (SBA) loans through online applications and can also receive referral information 

on forms of assistance that do not currently offer online applications. The 

DisasterAssistance.gov Web portal eases the burden on disaster survivors and increases their 

access to disaster relief by creating a continually updated information clearinghouse that 

provides information on the benefits most valuable to a disaster survivor, such as housing, food 

and employment aid in both English and Spanish. DisasterAssistance.gov reduces the time 

needed to apply for aid and check the status of claims while decreasing redundancy in 

application forms and processes. The portal ensures that disaster survivors, who may be 

displaced or otherwise out of contact, continue to receive benefits from non-disaster related 

assistance programs. Application information is shared only with those agencies that the user 

selects. 

2011 has been described by many as the “busiest year” for Federal Disaster Declarations. Since 

January 1, 2011, there have been 86 major disaster declarations across the United States. In each 

case, the DisasterAssistance.gov site has provided immediate assistance to survivors. 

Disaster Management 

The E-Government (E-Gov) Act of 2002 mandates that the Government pursue opportunities to 

leverage Information Technology (IT) in a cost effective way to enable the Federal Enterprise to 

be more citizen-centered and market-driven. The Disaster Management (DM) program is 

dedicated to leveraging innovative IT solutions to modernize and web-enable Government 
18

services, increase responsiveness to citizens/business, and enhance Government-wide efficiency 

and cost effectiveness. The DM program’s mission is to improve accessibility and availability of 

timely, accurate disaster-related information to the public, those affected by disaster, first 

responders, emergency managers, and others. The program is essential to the overall FEMA 

mission to enable first responders to communicate and collaborate with local resources, while 

providing the capability to coordinate upward and outward with supporting resources. The 

services of the DM program are designed to minimize loss of life and property by enabling 

emergency response personnel to broadly share real-time situational awareness information. 

DM will provide a non-proprietary operational infrastructure that acts to level the playing field 

allowing disparate third-party applications, systems, networks, and devices to share information 

in an open-based standards format. Program activities will enhance public awareness by 

providing a unified point of access to disaster preparedness, emergency response, and recovery 

information for the general public and members of the emergency management community at the 

Federal, state, local, regional and tribal levels. Portal Integration will allow for more accurate, 

timely information availability to all stakeholders. The integration of the website with FEMA 

Call Centers provides a greater degree of self-service and answers to Frequently Asked 

Questions (FAQs). All program activities work to ensure ease of access to services, as well as to 

assist those seeking services the ability to obtain support more quickly and effectively.

DM facilitates the development and adoption of emergency data exchange language standards 

for incident management, thus enabling the emergency response community to seamlessly and 

securely share data across disparate information systems. The Emergency Notification System 

consolidates multiple smaller stove-piped notification and alert systems and results in a single 

resilient program to provide cost effective capability to provide notifications and alerts as an 

Enterprise level service to all DHS. 

DM is implementing a disaster assistance knowledgebase as part of a call center/website 

integration effort, which will streamline and improve the availability of consistent, timely 

disaster-related information to citizens. The DM Initiative also leads and supports efforts within 

FEMA to consolidate portals and other public facing web properties in an effort to improve 

access to disaster related information for all stakeholders. Ownership of both DM-Framework 

and DM-OPEN will be transitioned from the DM Program to the FEMA National Continuity 

Programs (NCP) Integrated Public Alerts and Warning System (IPAWS). This effort was 

completed in September 2011

The DM FY11-FY12 plan focuses on supporting the President's Open-Gov initiative by 

providing transparency via the ability to provide timely, findable, accurate information in usable 

formats on FEMA websites, through participation and collaboration, development and utilization 

of tools, methods, and systems that allow data to be analyzed and accessed easier for decisionmaking, and web consolidation, website management and outreach, and integration of the 

Disaster Assistance Knowledgebase and Call Center/Website Integration. Priorities include: 

 Continued rollout of the CMS across DHS components;

 Consolidation of Web content to more easily access information on cross-cutting national 

initiatives that FEMA manages for the benefit of Federal departments and agencies and 

the American people, such as the National Exercise Program, National Training Program, 
19

lessons learned and corrective action platforms, grant programs, and FEMA’s role in 

coordinating the Federal response and recovery efforts during disasters; 

 Update and enhancements to FEMA mobile site and the FEMA mobile application; and

 Research, design, and development of emerging technologies.

SAFECOM 

Through collaboration with emergency responders and policymakers across all levels of 

Government, SAFECOM works to improve multi-jurisdictional and intergovernmental 

communications interoperability. The SAFECOM Executive Committee (EC) and SAFECOM 

Emergency Response Council (ERC) work with existing Federal communications programs and 

key emergency response stakeholders to address the need to develop better technologies and 

processes for the multi-jurisdictional and cross-disciplinary coordination of existing 

communications systems and future networks. 

In FY12, SAFECOM plans to update and deliver the annual SAFECOM grant guidance 

document to help maximize the efficiency in which public safety communications-related funds 

are allocated and spent; provide guidance and support to the Office of Emergency 

Communications as it conducts follow-up, state-wide planning evaluation activities; and provide 

guidance and support to the Office of Emergency Communications in its delivery of state-wide 

and tactical technical assistance to state, local and tribal governments and first responder 

organizations.

The SAFECOM website (http://www.safecomprogram.gov/) 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.
20

Section V: Geospatial

To minimize redundant data collection and information, the E-Government Act requires the 

promotion of collaboration and use of standards for the collection and use of Federal geospatial 

data and information. The effective and efficient development, provision, and interoperability of 

geospatial data and services serve the interest of the Nation and the core missions of Federal

agencies and their partners. Through interagency collaboration, common business best practices, 

content development, and technology requirements are identified to enable the development and 

implementation partnerships and standards that improve data quality and utility, ultimately 

increasing access to valuable geospatial data.

The Federal Geographic Data Committee (FGDC) has been active in the development and 

implementation of effective standards, technologies, and policies to promote the sharing of 

geospatial data throughout all levels of Government, the private and nonprofit sectors, and the 

academic community. 

The FGDC was organized in 1990 under the Office of Management and Budget (OMB) Circular 

A-16, “Coordination of Geographic Information, and Related Spatial Data Activities.” The 

FGDC Steering Committee serves as an interagency policy group and consists of Senior Agency 

Officials for Geospatial Information from 32 Federal agencies, including the Executive Office of 

the President, Cabinet level and independent Federal agencies. The Steering Committee is 

supported by the Coordination Group which is made up of Federal agency geospatial program 

leads and advises on the day-to-day business of the FGDC. The 2002 revision of OMB Circular 

A-16 assigns the Deputy Director for Management of OMB as Vice-Chair of the FGDC. The 

remainder of this section lists and explains activities and accomplishments in FY11.

National Geospatial Advisory Committee

The National Geospatial Advisory Committee (NGAC) is a Federal Advisory Committee 

sponsored by the Department of the Interior to provide external advice and recommendations to 

the member agencies of the FGDC. The NGAC includes members from all levels of 

government, the private sector, non-profit organizations, and academia. The NGAC promotes 

two-way communication on issues of common interest to the national geospatial community and 

provides a forum to convey views representative of Interior’s partners and stakeholders. Over 

the past year, the NGAC has analyzed and provided recommendations on a number of key 

geospatial policy issues. Highlights of the NGAC’s 2011 activities include the following:

 The NGAC developed recommendations on the Geospatial Platform initiative, The 

National Map, geolocation privacy, the National Land Imaging Program, Transportation 

for the Nation, and the Lidar/laser pointer issue.

 The NGAC prepared white papers on local government Geographic Information Systems 

(GIS) best practices and best practices for interagency data sharing.

 The NGAC held a series of “spotlight sessions” which brought together experts on key 

topics to discuss new approaches and identify best practices and lessons learned. The 

spotlight sessions focused on the topics of interagency data sharing, geospatial workforce 

development, and National land parcel data.
21

In 2012, the NGAC will continue to provide advice and feedback on the development and 

implementation of key geospatial topics, including innovative strategies for geospatial programs 

and partnerships, the Geospatial Platform, geospatial workforce development, emerging 

technologies, and partnerships with tribal governments. These multi-faceted activities will be a 

major focus of the NGAC’s work over the coming year. 

FGDC Standards Process

The FGDC endorsed the United States Thoroughfare, Landmark and Postal Address Data 

Standard and Federal Trails Data Standard.

The FGDC Standards Working Group is responsible for review and recommending endorsement 

of standards developed by FGDC Subcommittees/Working Groups and other entities through the 

FGDC’s 12-step standards development process. The FGDC standards process was developed to 

be similar with the procedures used by other recognized standards development organizations, 

including the International Organization for Standardization (ISO), the American National 

Standards Institute (ANSI), and the Open Geospatial Consortium.

For E-Government processes, the Office of Management and the Budget (OMB) and the General 

Services Administration (GSA) mandate the use of validated E-Government standards for 

acquisition and deployment of E-Government services. In 2007, the National Institute of 

Standards and Technology (NIST) validated FGDC standards for E-Gov activities, as they have 

been developed through a rigorous standards process; consequently, FGDC standards do not 

need to be submitted through an additional NIST evaluation panel process.

Geospatial Metadata

The FGDC led a community effort to generate and compile input to the ISO 19115: Geographic 

Information – Metadata five-year review. The information collected from the community 

provided critical insight into issues experienced when applying the standard to real world 

geospatial data and operations. A revised draft international standard is expected to be released 

in November 2011 as ISO 19115-1 Geographic Information – Metadata - Fundamentals.

OMB Circular A-119

OMB Circular A-119 directs Federal agencies to use voluntary consensus standards in lieu of 

government-unique standards whenever applicable and to participate in voluntary consensus 

standards bodies. According to OMB Circular A-16, “... the FGDC ... will restrict its standards 

development activities to areas of spatial data standardization not covered by other voluntary 

standards consensus bodies, as defined by OMB Circular A-119.” 

The FGDC Steering Committee endorsed the “FGDC Policy on Recognition of Non-Federally 

Authored Geographic Information Standards and Specifications” in 2005 to enable the FGDC 

SWG to evaluate and recommend non-Federally authored standards for FGDC endorsement. 

The FGDC Policy notes that while OMB Circular A-119 directs Federal use of voluntary 

consensus standards, it does not expressly define a mechanism for the identification, selection, 

and coordinated implementation of voluntary consensus standards. The FGDC exercised this 

policy to endorse 64 non-Federally authored standards that enable interoperability for the 

Geospatial Platform, Data.gov, place-based initiatives, and other potential future programs of the 

FGDC.
22

The FGDC participates in voluntary consensus standards bodies, as directed by OMB Circular 

A-119.

The FGDC and its member agencies participate in public/private partnerships on standardization 

activities through organizations such as ISO Technical Committee 211, Geographic 

Information/Geomatics, the OGC, and International Committee for Information Technology 

Standards Technical Committee L1 (INCITS L1), Geographic information systems. Through 

participation in these standards bodies, the FGDC leverages the knowledge, skills, and talent of 

the geospatial community in the development and implementation of standards that enable 

information, data, and service interoperability among diverse segments of the geospatial 

community. 

FGDC GWG Process Alignment

Within the Federal Government, the two primary standards bodies that develop and/or evaluate 

geospatial standards are 1) the FGDC and 2) the Geospatial Intelligence Standards Working 

Group (GWG), chaired by FGDC member agency the National Geospatial-Intelligence Agency 

(NGA). 

The FGDC recognizes the need for common standards across the defense, intelligence, and 

civilian communities, as these communities establish a common operating environment. This 

becomes a key factor, as geospatial business requirements between operational areas draw closer 

together. The GWG provides a consensus-based community forum authorized to prescribe and 

mandate geospatial standards for use by Federal Government organizations within the 

Department of Defense and the Intelligence Community. The FGDC is the GWG’s link to the 

civilian community. Through participation on the GWG, the FGDC leverages the resources of 

the military and intelligence communities to review and evaluate the many standards that were 

developed through ISO, OGC, and other standards bodies.

In 2011, the FGDC developed a standards review and approval process to align with the process 

used by the GWG so that there will be common standards among the defense, intelligence, and 

civilian communities. The FGDC implemented the process for the third, and final, GWG voting 

session for 2011. 

Geospatial Platform

The Modernization Roadmap for the Geospatial Platform was completed and provides a 

framework to describe the concepts and goals of the Geospatial Platform. This “Roadmap” 

concludes the upfront planning process for the Platform and paves the way for implementation 

activities.

The Geospatial Platform website (http://www.geoplatform.gov) was launched, including the 

Environmental Response Management Application (ERMA) that allows access to data and 

information pertaining to the Deepwater Horizon Oil Spill. The Geospatial Platform is a 

managed portfolio of common geospatial data, services, and applications contributed and 

administered by authoritative sources and hosted on a distributed, cloud-based infrastructure, for 

use by Government agencies and partners to meet their mission needs and the broader needs of 

the Nation. 
23

Cloud Computing

A number of FGDC member agencies, including the General Services Administration (GSA) 

Federal Cloud Computing Initiative PMO, the Department of the Interior (Interior), the United 

States Department of Agriculture (USDA), Department of Commerce (NOAA and the Census 

Bureau), and others continued the process of deploying standard Platform as a Service for 

geospatial data services and applications. Two cloud reference platforms have been developed, 

for the CentOS/openGeo and Windows2K8R2/ArcGIS environments to create stable targets for 

shared system certification. Key systems that are now public-facing include: the Census Bureau 

2009 TIGER data service, the National Wetlands Inventory, GEOSS Clearinghouse, and the 

ERDDAP particle tracking model system. In a few cases, these cloud deployments also 

constitute agency offerings in the "CIO Cloud First" initiative. GSA Infrastructure as a Service 

(IaaS) certification of the basic cloud infrastructure is being sought as infrastructure to host these 

"Platform as a Service" (PaaS) solutions. Rapid deployment of approved platform configurations 

is expedited through use of GeoCloud-developed scripts, allowing agencies to deploy new 

services within hours. Cost-benefit analysis and best practices are being prepared by all the 

projects to improve uptake of cloud services by additional Federal geospatial applications. 

OMB Circular A-16 Supplemental Guidance

The Supplemental Guidance for OMB Circular A–16 was completed and issued by OMB to all 

agencies. The Guidance provides definitions and clarity to selected elements of OMB Circular 

A–16 to help facilitate the adoption and implementation of a coordinated and effective Federal

geospatial asset management capability. This management capability improves support of 

mission-critical business requirements of the Federal Government and its stakeholders. The 

Supplemental Guidance primarily focuses on geospatial data as capital assets and provides the 

foundation for a portfolio management approach to a National Geospatial Data Asset (NGDA) 

Portfolio comprised of NGDA Themes and their associated NGDA Datasets.

Portfolio Management Begins Implementation

A key tenant of the Circular A-16 Supplemental Guidance is having an understanding of the 

inventory of National Geospatial Data Asset (NGDA) datasets. The development of the current 

NGDA inventory affords NGDA Theme Leads the opportunity to review, validate, and evolve 

those data assets for which their organizations hold stewardship responsibilities. In order to 

effectively show how the NDGAs support the business requirements of the Federal Government

and its partners, the data inventory needs to compare characteristics such as content, quality, 

application, validity, and definition in order to have a consistent process for determining the data 

that belongs in the inventory. This initial NGDA inventory activity identified a baseline 

portfolio in support of an emerging full portfolio management process.

The portfolio management implementation strategy serves as a guide for the actions needed to 

execute the requirements for the management of the portfolio of NGDA datasets. There is a 

phased approach for achieving full implementation and it includes continual improvements and 

annual reporting on progress. Each phase supports the outcomes identified in the OMB Circular 

A-16 Supplemental Guidance. The portfolio management process consists of six stages: 

inventory, selection, organization, management, evaluation, and monitoring. This process also 

includes the setting of Federal geospatial dataset priorities to ensure that NGDA Datasets are 

available to support the mission needs of the Federal Government and its partners, as determined 

by Federal agencies and their partners and as recommended to OMB.
24

Section VI: Highlights of Agency Accomplishments That Improve Citizen 

Engagement

The Open Government Directive embodies the spirit of the E-Government Act by ensuring 

public trust and establishing a system of transparency, public participation, and collaboration. A 

core tenet of Open Government is that citizens are equally as capable as the Federal government 

of suggesting innovative ideas and identifying important priorities. Harnessing citizens’ 

contributions in a way that improves government is challenging. Federal agencies have led the 

way to develop platforms, policies and training that facilitate more efficient, exciting, and 

meaningful government interaction with citizens. All Open Government activities are built upon 

the foundation of making government information more transparent through the release of more 

raw data easily accessible by citizens. Increased public participation can aid government 

employees in accomplishing their own work with increased innovation and efficiency and spur 

innovation. A few highlights of Agency Open Government IT Accomplishments are outlined in 

this section.

Department of Agriculture

CropScape – Linking Space and Agriculture 

USDA’s National Agricultural Statistics Service (NASS) operates CropScape, a geospatial data 

service that significantly eases users’ access to agricultural geospatial satellite products. 

CropScape was built in cooperation with George Mason University using Open Geospatial 

Consortium (OGC) standards allowing for web mash-up capability with other geospatial sites.

By applying the best practices in science and technology, this service links space and agriculture. 

CropScape is constructed to disseminate, visualize, query, and analyze the Cropland Data Layer 

(CDL) accurately through standard geospatial Web services in a publicly accessible online 

environment. In addition, CropScape provides a plethora of tools, such as interactive data 

visualization, geospatial queries and even automated data delivery to services. 

CropScape delivers data visualization tools directly into the hands of the agricultural community 

– without the need for specialized training, software or equipment. These resources can be used 

by researchers, policymakers and farmers alike to evaluate vital issues facing American 

agriculture, such as agricultural sustainability, land cover monitoring, biodiversity, weather 

disasters and more.

Since CropScape was launched in early January 2011, nearly 25,000 visitors have interacted with 

the site, including 85 countries and all 50 states. CropScape utilization of OGC Web Mapping 

Services (WMS) provides the capability of serving mash-up CDL images to other geospatial data 

portals for data queries, providing a method for automatic area of interest data delivery and ondemand crop statistics for uses in other applications. http://nassgeodata.gmu.edu/CropScape/
25

Department of Education

ED Data Express 

Since its initial August 2010 launch, ED Data Express http://eddataexpress.ed.gov, has been 

serving the public by providing access to high-value education data in an easy-to-use, interactive 

format. This year, ED Data Express expanded the data visualization tools, enhanced 

documentation, and provided social networking options for users.

Version 2.0 of ED Data Express offers a new visual layout and provides the public with more 

dynamic tools to interact with the data such as: a mapping feature that allows users to view the 

data displayed on a map of the United States; a trend line tool, which displays a data element 

graphed across multiple school years; and a conditional analysis tool, which allows users to view 

one data element based on conditions set by another data element.

In addition, the site has improved documentation and added the ability to share information from 

the site using social networking tools.

The Department is committed to continually updating the data and enhancing the tools available 

to users. Version 3.0 of ED Data Express will include a redesigned State Snapshots section that 

is under development and is scheduled to launch this winter.

Department of Energy

Energy Scientific Research Data

Energy’s Office of Scientific and Technical Information (OSTI) is now registering publicly 

available scientific research datasets created by Energy-funded researchers through DataCite, an 

international consortium focused on improving access to research data. OSTI, within the Office 

of Science, became a member of DataCite in January 2011 to facilitate access to Energy research 

datasets. Through this membership, OSTI assigns Digital Object Identifiers (DOIs) to the 

individual datasets to aid in citation, discovery, and retrieval. This "DOIs for datasets" service 

helps enable achievement of Energy’s goal to provide open access to experimental data, as set 

forth in Energy’s 2011 Strategic Plan. In addition, creating stable pathways to these datasets 

makes the scientific process more accessible and the research more replicable for future 

discoveries. Once included in the Energy Citations Database (www.osti.gov/energycitations), 

these often hard-to-find datasets are subsequently searchable in Science Accelerator 

(www.scienceaccelerator.gov), Science.gov (www.science.gov), and WorldWideScience.org 

(www.worldwidescience.org) science portals, as well as other major search engines.

Department of Health and Human Services

The Open Government Initiative has created an unprecedented opportunity for the U.S. 

Department of Health and Human Services (HHS) to promote transparency, collaboration, and 

participation in causes important to its mission. Under President Obama’s leadership, HHS has 

taken extensive steps to advance open Government through more than 80 activities articulated in 

its Open Government Plan http://www.hhs.gov/open. Among the most important of these 

activities are its efforts to promote increased access to and innovation utilizing its data resources, 
26

improved responses to Freedom of Information Act requests, and promotion of greater 

participation in its mission activities through new media applications. 

HHS has helped advance America’s domestic open Government agenda and create a more 

efficient and effective Government through greater transparency, participation, and 

collaboration. HHS’ Health Data Initiative has made substantial progress improving public 

access to HHS’ vast data resources and helped to catalyze expanding use of these resources 

through an extensive campaign of public competitions, “code-a-thons,” and “meetups.” Over 250 

major data resources can now be found at Health.Data.gov and freely accessed by anyone. This 

data is being harnessed by a rapidly growing array of innovators and entrepreneurs to create 

products and services that help consumers find the right care providers, doctors deliver better and 

safer care, employers promote health and wellness, mayors make better-informed decisions, and 

much more – while also helping to create jobs of the future in the process.

HHS is also proud to partner with the Department of Veterans Affairs and the Department of 

Defense to launch the “Blue Button” initiative, allowing Medicare beneficiaries, veterans, and 

military beneficiaries to download electronic copies of their own claims or personal health 

information for the first time. Over 400,000 veterans and beneficiaries have downloaded their 

own data using Blue Button.

HHS is also excited to have advanced the ability of consumers to take control of their own health 

care through HealthCare.gov, a new website that enables Americans to easily search for health 

insurance options that may be right for them, leveraging the most comprehensive inventory of 

private insurance plan and public health coverage program information ever

assembled. HealthCare.gov invites continuous online feedback from users, helping the 

Department evolve the site in a way that best serves the needs of the public.

HHS’ Open Government strategy is about more than just making data available to the public. 

HHS will continue to improve the depth and quality of open data resources available on 

Health.Data.gov. In addition, in collaboration with a new public-private partnership, the Health 

Data Consortium, HHS will continue to actively support the growth of the open “ecosystem” of 

innovators and entrepreneurs who are utilizing HHS’ data. 

Department of Homeland Security

The Department of Homeland Security (DHS) has been hosting open dialogues to receive 

comments and ideas from the public on cybersecurity and National Preparedness using the 

General Services Administration’s (GSA) online collaboration tool, providing an update of the 

Department’s social media tools, and providing additional datasets to data.gov.

The Department of Homeland Security and all Federal agencies are working to reduce their 

backlog of Freedom of Information Act requests. When the Administration took office in 2009, 

the FOIA Office faced significant challenges, including record backlogs and delayed response 

times. The Department took this seriously, hiring a highly respected Chief Privacy Officer to 

improve performance, which it has done successfully on every front:
27

Two years ago, the Department faced a backlog of more than 74,000 FOIA requests. Under this 

Administration, DHS has reduced the backlog by 84 percent, from 74,879 to 11,383 requests. In 

fiscal year 2010 alone, DHS reduced its backlog by 40 percent, eclipsing both the Governmentwide Open Government Directive’s instruction to reduce the FOIA backlog by 10 percent each 

year, as well as DHS’s own Open Government Plan’s goal of a 15 percent reduction for the fiscal 

year. In the past two years, DHS also reduced the average time it takes to process FOIA requests 

in its system by 58 percent, from 225 days to 95 days. These substantial reductions occurred 

even though DHS received more FOIA requests than any other Federal department. In fiscal year 

2010, DHS received 130,098 FOIA requests – 22 percent of all FOIAs received by the Federal

Government – and processed 138,651 requests, also more than any other Federal department

In addition to enhanced public participation opportunities, the Department has inventoried over 

900 datasets of an estimated universe of 1200 and has developed a dataset candidate pipeline of 

over 70.

Department of Housing and Urban Development

Launched the HUDdle

The Department of Housing and Urban Development (HUD) launched the HUDdle, HUD’s new,

interactive bi-lingual blog that replaced the previous blog on the home page of HUD.gov. “The 

HUDdle” enables readers ‐ including HUD employees ‐ to post comments and engage in a 

conversation with one another. The HUDdle was designed to enable HUD to interact with the 

public, its stakeholders, and its grantees like never before. Another big improvement of The 

HUDdle over the old HUD.gov blog is that it’s now much easier to share information. From 

regular bloggers, to guest bloggers, to video blogs, and special behind‐the‐scenes at HUD 

content – The HUDdle will be the go‐to place for news, information, and dialogue about all of 

the great work HUD is doing in homes and communities nationwide. 

Department of Justice

FOIA Dashboard

As its “flagship initiative,” the Department of Justice (Justice) pledged a new “FOIA Dashboard” 

to enable the public to track and measure FOIA compliance for all 97 agencies subject to the 

Freedom of Information Act (FOIA). Launched in March, 2011, the FOIA site, found at 

http://www.foia.gov, serves as a comprehensive public resource for Government-wide FOIA 

compliance data. It displays graphically all the information contained in an agency’s annual 

FOIA report, including the numbers of FOIA requests made and processed by each agency, the 

disposition of those requests, the time taken to respond, and any backlogs of pending requests. 

Agency data can easily be compared and contrasted. Users can select the criteria they want to 

examine and then run custom reports. The Department also generates reports that would be of 

interest to the public and includes those on the site.

FOIA.Gov also has a significant educational component. There are videos embedded in the site 

that describe the FOIA and explain how it works. The site includes frequently asked questions 

and provides contact information for all agencies subject to the FOIA, making it easy to know 

where to send a FOIA request. There is also a newly-launched search function on FOIA.gov 
28

which allows the public to enter a term and find all the records on that topic that are already 

available on agency websites.

Department of Labor

Customer Service Modernization Program 

The Department of Labor (Labor) is working to position itself as a leader in customer service for 

the executive branch. To evaluate the state of Labor’s customer service efforts, address existing 

process gaps, and deliver a comprehensive strategy for improving service throughout the 

Department, Labor has developed the Customer Service Modernization Program (CSMP).

Labor has initiated the CSMP by identifying three agencies-the Wage and Hour Division, the 

Office of Safety and Health Administration, and the Office of Federal Contract Compliance 

Programs to participate in a pilot program. All three agencies are worker protection agencies and 

each receive complaints from employees and assist employers with regulatory compliance.

To implement the technological components of the CSMP, Labor is utilizing a modular 

development process. Frequent, continuous, and close collaboration between the project team 

and participating agencies will encourage ongoing process improvements, and performance 

evaluation. More importantly, the ability to review outcomes throughout the development 

process will allow the CSMP team to make small or large changes in strategy where necessary. 

Instead of waiting months or even years to discover a particular approach is ineffective, a 

modular approach will help Labor maintain flexibility, and correct problems and inefficiencies as 

they arise. The product will be a better customer service system sooner and at a lower cost.

Finally, as part of the CSMP, Labor has developed two "Signature Initiatives," which will 

engage key stakeholders and the software developer community in delivering publicallyavailable data to Labor customers. The Occupational Employment Statistics Challenge 

http://challenge.gov/Labor/202-occupational-employment-statistics-challenge, and Labor's 

InformACTION App Challenge http://challenge.gov/Labor/201-dol-informaction-app-challenge,

call on developers to use data from Labor's Bureau of Labor Statistics and other agencies to help 

people find good jobs, take the next step in their careers, or make educated consumer decisions.

Department of State

The Open Government Partnership

The Open Government Partnership formally launched in New York on September 20, 2011. The 

founding governments (Brazil, Indonesia, Mexico, Norway, Philippines, South Africa, United 

Kingdom, and United States) endorsed an Open Government Declaration, announced their 

country action plans, and welcomed the commitment of 38 governments to join the Partnership. 

The Department of State led the formation of the Open Government Partnership (OGP). These 

governments embrace a set of high-level open government principles, pledge country-specific 

commitments for putting the principles into practice, and invite civil society organizations to 

assess their individual and collective progress going forward.
29

The objectives of OGP are to:

 Strengthen and increase the visibility of new norms around openness, accountability, and 

participation in Government, with leadership from a diverse coalition of countries.

 Showcase the leadership of both developed and developing countries, highlighting 

innovations and creative best practices with broad appeal, and facilitate the creation of 

opportunities for countries to learn from one another and the non-governmental sector.

 Secure concrete commitments that will make participating governments more efficient, 

effective, and responsive and that signal their individual and collective embrace of open 

government, as well as making open government a forum for the exchange of innovative 

practices.

 Empower civil society as a critical partner in the effort to hold Government accountable 

and make Government more efficient, effective, and responsive to citizens.

The Core Elements of OGP are:

 A Declaration. A voluntary and non-binding declaration that expresses shared beliefs 

about the role of openness and citizen engagement in fostering accountability, promoting 

innovation and growth and improving performance. The declaration comprises high-level 

common commitments to changing the way that governments do business, while 

encouraging country-specific innovations to flourish.

 Concrete Commitments. To ensure that the OGP process drives action, the declaration 

will be coupled with concrete action plans from governments developed with public 

consultation and feedback at the national level. The eight founding OGP governments 

will develop their commitments that were announced simultaneously in September 2011 

in an effort to foster the sharing of best practices and raise the level of commitment. A 

broader group of governments that demonstrate a basic commitment to open government 

will then follow a similar process over the next six months, announcing their own 

country-specific commitments in March 2012.

 Ensuring Follow-through. The final key element is a process for holding governments 

accountable for their commitments. OGP will establish an independent and open 

mechanism to assess implementation of all country commitments on an annual basis and 

encourage international and local civil society organizations to track and assess progress 

by participating governments.

Additional information can be found at:

 http://www.opengovpartnership.org/

 http://www.state.gov/g/ogp/

 http://www.whitehouse.gov/the-press-office/2011/09/20/fact-sheet-open-governmentpartnership
30

Department of the Interior

Climate Change 

The Department of the Interior’s (Interior) Open Government flagship initiative focuses on 

climate change. This initiative is focused on delivering improved access to climate changerelated data and data derived products such as reports and models for researchers, managers, 

government and non-government partners, watch dog groups and the public at large. This 

initiative clearly demonstrates the value of open government and is closely tied to an Interior

High Priority Performance Goal. Climate change is of great interest to Interior

stakeholders. Individual bureau efforts on climate change information management are being 

coordinated in ways that were not previously possible. The identification of critical data sets that 

serve as key indicators for a wide variety of climate related impacts provides improved 

management capability and an enhanced understanding of the areas and impacts of climate 

change, not just on Federally-managed public lands, but also for state and privately held 

lands. Increased collaboration is being fostered by this initiative in improving the discovery of 

and access to climate change information. Beyond the ability to discover information, Interior’s 

climate change activities will provide new capability to aggregate information and improve 

consistency in analytical processing. Interior is collaborating with internal and external partners 

to enhance access to information and information-related products such as reports, plans and 

models. For more information on Interior’s commitment to climate change, go to: 

http://www.doi.gov/whatwedo/climate/index.cfm. 

Department of the Treasury

Helpwithmybank.gov

The Department of the Treasury (Treasury) also implemented enhanced methods to capture 

citizen feedback through an internet site which reinforces the importance of fair and honest 

treatment for bank customers. The site, www.helpwithmybank.gov, is designed to provide 

answers and solutions for customers of national banks and covers topics such as credit cards, 

checking accounts, overdraft fees, mortgages and credit reports. 

Additionally, the site also advises consumers on how to file a complaint if they are not satisfied 

with a resolution from a national bank. The Office of the Comptroller of the Currency (OCC) 

created the On Line Customer Complaint (OLCC) application, 

https://appsec.helpwithmybank.gov/olcc_form/, providing consumers with the option to submit a 

complaint via the Internet. Prior to the launch of the OLCC, complaints could only be submitted 

using US mail, fax and email.

Department of Veterans Affairs

Post-Traumatic Stress Disorder (PTSD) Coach Mobile Application 

The PTSD Coach is primarily designed to enhance services for individuals who are already 

receiving mental health care, though it is certainly helpful for those considering entering mental 

health care and those who just want to learn more about PTSD.
31

PTSD Coach enables users to track their PTSD symptoms, links them with local sources of 

support, provides accurate information about PTSD, and teaches individualized strategies for 

managing PTSD symptoms at any moment.

The application is one in a series of jointly designed resources from the Department of Veterans 

Affairs’ (VA) National Center for PTSD and the Department of Defense’s National Center for 

Telehealth and Technology. The PTSD Coach was designed to help Service members, Veterans, 

and their families help manage readjustment challenges, while getting anonymous assistance.

The PTSD Coach enables users to track their PTSD symptoms, links them with public and 

personalized sources of support, provides accurate information about PTSD, and teaches helpful 

strategies for managing PTSD symptoms on the go.

Since its launch, the PTSD Coach (mobile device applications) have been downloaded by more 

than 28,000 users in 54 countries. More than 26,000 of these downloads were in the United 

States. The PTSD Coach application serves the needs of Veterans and their families, all over the 

world.

Environmental Protection Agency

Apps for the Environment Challenge

This challenge was extremely successful in promoting the innovative use of the Environmental 

Protection Agency’s (EPA) data by third parties. EPA received 362 followers for the Apps for 

the Environment Challenge. The Apps for Environment challenge addressed several OpenGov 

data related objectives including creating opportunities for data owners/subject matter experts to 

provide insight regarding their data to developers and interested parties, creating a forum for the 

public to suggest data or applications of interest, fostering a community of developers to discuss 

ideas and pose technical questions, and providing incentives for interested parties to create useful 

applications. See related information at: http://www.epa.gov/appsfortheenvironment/.

General Services Administration

The General Services Administration (GSA) Builds the Road to Social media Success

GSA officially encourages the use of social media to enhance communication, collaboration, and 

information exchange in support of GSA’s mission. In 2011, GSA released a Guide to Official 

Use of Social Media (The Social Media Navigator) and updated an online course including a 

mandatory ethics course to educate GSA employees on their responsibilities regarding the use of 

social media. Since its publication in May, the Social Media Navigator has been downloaded 

506 times from GSA’s public and internal sites-- an average of almost 100 downloads per month.

The GSA Social Media Awareness Training has had 618 completions and the 2011 Annual 

Ethics Training - Ethics and Social Media has had 4,041 completions. In addition, GSA has 

received requests from other government entities to use the Navigator, most recently from state 

of Kansas. An interagency Social Media Task Force, co-led by the Office of the Chief 

Information Officer and the Office of Communications and Marketing, promotes the informed 

use of social media to encourage dialog, engaging GSA’s customers and the public in 

meaningful two-way conversations—an innovative way to support customers. GSA effectively 

uses a number of social media sites. The dashboard assists in ensuring that GSA leadership has 
32

visibility into all public messaging via social media applications, creating a collaborative synergy 

and enhancing the effectiveness of all social media outreach. GSA’s policies and best practices 

are publicly available at www.gsa.gov/socialmedia, and all, including the public, are welcome to 

contact socialmedia@gsa.gov with questions.

National Aeronautics and Space Administration

Community and Collaboration through Challenge Platforms

A main focus of the Open Government Initiative is to offer Americans numerous opportunities to 

participate in National Aeronautics and Space Administration’s (NASA) space exploration 

mission. Innovation platforms give NASA an opportunity to engage citizen explorers to help 

NASA solve its toughest challenges. A recent success story is the Centennial Challenge 

program, which awarded the largest prize in aviation history for the development of more fuelefficient aircraft and sparked a new electric airplane industry and can be found at: 

http://www.nasa.gov/home/hqnews/2011/oct/HQ_11-334_GFC_Winners.html. 

NASA also continues to use online innovation platforms such as InnoCentive.com 

https://www.innocentive.com/pavilion/NASA, and topcoder.com 

http://www.nasa.gov/directorates/heo/ntl/index.html, to engage the world’s brightest minds to 

help solve tough problems for cash awards. This year, NASA launched an internal agency-wide 

challenge platform that is used to identify solutions to internally posted challenges by internal 

personnel and expertise. 

In addition to all the online collaboration platforms, NASA is also looking at ways to bring 

communities of innovators together, in person, to solve problems. NASA is a co-host of 

Random Hacks of Kindness (RHoK) http://www.slideshare.net/opengovpartnership/randomhacks-of-kindness-9309782, a unique collaboration dedicated to using technology to make the 

world a better place. Two events are hosted each year and bring together more than 1,500 

software developers, students, and disaster experts from 20+ global locations for a weekend-long 

“hackathon” to collaborate on solving some of the biggest real-world disaster relief challenges 

facing humanity.

National Science Foundation

Social Media 

The National Science Foundation (NSF) is leveraging multiple social media tools to enhance 

public participation in its work and communicate the significance of science and engineering in 

the public’s daily lives. To create a “hands-on,” media-rich learning experience for the public, 

NSF built a mobile app based on NSF’s “Science360.gov: The Knowledge Network” multimedia 

Web portal http://science360.gov/, that spotlights research and engineering advances around the 

globe. The app is rich with video and interactive content that illustrates the science behind 

things in everyday life, such as climate change, football, and computing. Content is either 

produced by NSF and its partners or gathered from scientists and research institutions. Overall, 

the app facilitates greater public participation in NSF’s work by allowing tablet users to share 

and comment on NSF news via email and social media sites. 
33

Nuclear Regulatory Commission

Social Media Opens New Communications Opportunities 

In 2011, NRC has enhanced relationships with stakeholders by promoting a sense of community 

though social networking technologies. NRC implemented the use of a new public blog and 

other social media sites to offer even more ways to interact with and inform the public and raise 

awareness about the agency and its mission. 

NRC’s blog debuted on January 31, 2011, with a welcome message from NRC Chairman 

Gregory Jaczko. In addition to access via the Web, the blog is available using mobile devices 

(such as smartphones). Since its establishment, the blog has had more than 130,000 views and 

has proven especially useful in enabling quick public communications during and after the 

events at the nuclear facilities in Fukushima, Japan, and during U.S. events this year: 

 On average, the blog has just under 500 views per day; immediately after the event at 

Fukushima, views peaked at just over 5,700 in one day. 

 During the week of August 22, 2011, blog posts provided information on earthquake 

response and hurricane preparation at nuclear power plants. 

 Daily views of the blog peaked at more than 1,000 during the Missouri River flooding 

event. 

Social Security Administration

Online Citizen Participation and Collaboration

For FY11, the Social Security Administration (SSA) has engaged the public in several important 

activities, in December 2010, Social Security held two online collaboration and participation 

forums to solicit ideas for the updated Agency’s Strategic Plan. One forum addressed employees 

and the other the public. In March 2011, SSA hosted a webinar aimed at college-aged and young 

workers entitled, “Social Security 101: What’s in it for me?” The webinar featured a live 

question and answer session with questions submitted by the public before and during the 

webinar and through various means, including the webinar site, and social media sites.

In June 2011, Social Security participated in a 508 Listening Session hosted by the CIO Council 

Accessibility Committee to collect ideas on improving accessibility technologies. In August and 

September 2011, SSA held public forums on Accessibility for people with disabilities. The 

purpose of these forums was to gather the public’s input on SSA’s accessibility policies and 

practices related to Section 504. SSA live streamed the forums for those who could not attend in 

person. Several times throughout the year, Social Security held Compassionate Allowance 

(CAL) Outreach hearings to engage the public about potential additions to the agency listing of 

CAL medical conditions.

Through social media channels and SSA’s own Open Government portal site 

(http://www.socialsecurity.gov/open), the agency notified, encouraged, and directed citizens to 

each activity. Depending on the forum, the method of participating varied but included 

providing comments on social media sites, commenting on Regulations.gov, commenting on 

designated web pages, and participating in the event either in person, on the phone, or online.
34

U.S. Agency for International Development

More USAID Tools and Data Sets Publicly Available on Data.gov 

The United States Agency for International Development (USAID) recognizes that high-value 

information, published online in open formats can be very valuable to staff and partners 

alike. USAID’s Chief Information Officer is responsible for populating Data.gov with highvalue, authoritative data that explains and supports the Agency’s core development 

mission. USAID's Greenbook, the authoritative data set of U.S. foreign assistance, continues to 

rank among the most downloaded data sets on the site, with almost 53,000 downloads to 

date. New high value USAID data sets and tools added to data.gov this year include:

Famine Early Warning System Network (FEWS NET): A USAID-funded food security and 

famine early warning system covering more than 30 of the most food insecure countries in the 

world http://explore.data.gov/Geography-and-Environment/Famine-Early-Warning-SystemNetwork-FEWS-NET-/64ru-eene. 

Eastern Horn Market Price Data: This dataset shows monthly market pricing data for 19 staple 

cereals from January 2000- July 2011 for Djibouti, Kenya, Ethiopia and Somalia

http://explore.data.gov/Prices/Eastern-Horn-Market-Price-Data/rvqc-e6sp. 

Development Experience Clearinghouse (DEC): The DEC is the largest online resource for 

USAID funded technical and program documentation http://explore.data.gov/ForeignCommerce-and-Aid/Development-Experience-Clearinghouse/rvb7-2jpx. 

The USAID Environmental Compliance Database: A database of environmental impact 

assessment required of all USAID funded activities http://explore.data.gov/Population/TheUSAID-Environmental-Compliance-Database/79qs-y7sh. 
35

Section VII: Compliance with Goals and Provisions of the Act

The E-Government Act requires all agencies report of their efforts to implement all of the EGovernment Act provisions and goals. This section provides an overview of each individual 

agency’s activities during FY11 to remain in compliance.

Department of Agriculture

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.ocio.usda.gov/n_USDA_IT_Strategic_Plan.pdf. 

This plan serves as a framework for the communication and planning which facilitates the 

partnerships between the Department of Agriculture (USDA) IT and business communities. It 

also promotes effective decision-making and dissemination of information to the public. 

Enterprise Architecture (EA) Plan: 

http://www.ocio.usda.gov/e_arch/doc/USDA%20EA%20Program%20Management%20Plan%20

FINAL%20v1%2000.pdf. 

In FY10, USDA created an Enterprise Architecture Program Management Plan: FY10- FY12, 

which provides the core, foundational elements for an actionable, three-year (FY10-FY12) 

roadmap of program-level initiatives and tasks that will mature the EA Program and support 

USDA in IT decision making. 

Information Dissemination Management to the Public

The USDA Electronic Freedom of Information Act (FOIA) Reading Room is the product of 

collaboration between the USDA FOIA Service Center, the Office of the Executive Secretariat 

(OES), Washington Communications and Technology Services (WCTS) and USDA’s 

component agencies. In FY11, a new emphasis was placed on proactive disclosure of 

frequently-requested materials and data sets; this is expected to continue and be expanded in 

FY12. As part of this expansion, the USDA FOIA Service Center and the USDA E-Government 

Portfolio Director are collaborating on efforts to establish a process for determining public 

dissemination of E-Government Initiative/Line of Business information.

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://w3.usda.gov/comments/contentinventory.html. 

As a further means to improve the dissemination of and access to information, USDA integrated 

a search appliance into its enterprise Internet infrastructure, thus permitting searches of all files 

intended for public use on the website. This mechanism also conveniently displays prioritized 

search results in order of relevancy. Response times, in accordance with industry best practices, 

are included with the results. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.dm.usda.gov/foia_guide.htm. 
36

This guide provides an overview of the provisions of FOIA which govern Federal agencies' 

responsibilities and the public's rights. It also outlines how and where inquiring parties should 

make a FOIA request, required response times, the conditions for expedited processing, fees and 

fee waivers, initial request determination, appeals for restricted access, and information 

regarding judicial review. 

Primary FOIA website: http://www.dm.usda.gov/foia.htm. 

Frequent requests for records are made available to the public at: 

http://www.dm.usda.gov/foia_reading_room.htm. 

The USDA Electronic FOIA Reading Room contains the following library stacks: (1) USDA 

Policy Manuals, Regulations, Notices and Memoranda; (2) Instructions Affecting the Public; (3) 

Responses to Frequently-Submitted FOIA Requests; (4) Final Adjudicatory Opinions; (5) 

Agency Annual FOIA Reports as submitted to the Department of Justice; and (6) Individual 

Electronic FOIA Reading Rooms for nine USDA agencies. Within the reading room, members 

of the public can also access the USDA annual reports from 1996 to the present and they may 

view contracts and purchase orders established between USDA and the private sector. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public, 

describing for each whether the website provides the public information about Federally funded 

R&D activities and/or provides the results of Federal research: 

http://www.usda.gov/wps/portal/usda/usdahome?navtype=SU&navid=RESEARCH_SCIENCE. 

A list of research projects is available in the directories of Science.gov at 

http://www.science.gov, to provide easy access to all-encompassing Government-wide research 

materials. The guidelines outlined and links provided on USDA's site regulate the scientific 

research information used, produced, and published by USDA in order to preserve the 

objectivity, utility, quality, and integrity of scientific research disseminated by Federal agencies. 

The Agricultural Research Service (ARS), Economic Research Service (ERS), Forest Service 

(FS), Food and Nutrition Service (FNS), National Agricultural Statistics Services (NASS), and 

National Agricultural Library (NAL) are particularly noteworthy examples of agencies within 

USDA that have made access to research and development information accessible to the public 

and employees. Each of these agencies maintains its own specialized, searchable web site for 

research. 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : 

http://riley.nal.usda.gov/nal_display/index.php?info_center=8&tax_level=2&tax_subject=156&l

evel3_id=0&level4_id=0&level5_id=0&topic_id=1779&&placement_default=0. 

The National Agricultural Library (NAL) expands public access to agricultural information and 

facilitates the successful development of the Library’s programs and services through 

partnerships with external libraries, organizations, and private industry. For a list of NAL’s 

partnerships, please visit National Agricultural Library Partnerships. Additionally, the National 

Institute of Food and Agriculture (NIFA) partners with more than one-hundred colleges and 
37

universities that comprise the nation's Land Grant University System. These universities are 

designated to receive unique Federal support in order to further pursue NIFA’s unique mission to 

advance knowledge for agriculture, the environment, human health and well-being, and 

communities. Information on the Land-Grant University System and NIFA’s partnerships is 

available at: http://www.csrees.usda.gov/qlinks/partners/state_partners.html. 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://www.ocio.usda.gov/records/index.html. 

The Office of the Chief Information Officer manages USDA’s Records Management Program, 

for which NARA outlines the major responsibilities that Federal agencies currently have for 

preserving electronic records. The USDA has well-established processes and procedures to 

ensure the proper management, scheduling, and disposition of USDA records.

Implementation of Electronic Signatures for Interoperability 

USDA’s LincPass credentials meet National Institute of Standards and Technology (NIST) 

guidelines for electronic personal identity verification, and will be used in the future as part of 

USDA’s electronic signature solution. Initially, USDA is using LincPass credentials to 

electronically authenticate and authorize users for access to protected Web applications. USDA’s 

new LincPass – eAuthentication single sign-on (SSO) service went live on September 28, 2010, 

giving USDA employees and contractors single sign-on access to 462 USDA Web applications. 

In FY11, USDA processed more than three million authentications each month for employees, 

contractors and customers.

Another example of how USDA is implementing use of electronic signatures is the Ethics EFiling Use of Electronic Signatures. In 2011, the USDA Departmental Management Office of 

Ethics (OE) implemented an Ethics Forms Automation (EFA) system to allow for the e-filing of 

Public (OGE-278) Financial Disclosure Reports for USDA 700 OGE-278 Report filers. The 

Office of Ethics is responsible for ensuring that all statutorily required personnel file their 

required ethics compliance documentation at the right time and in full. This includes, for the 

relevant parties, OGE Form 278- “Annual Public Financial Disclosure Report.”

Electronic Means of Enhancing Public Participation in Government 

USDA’s use of the Regulations.gov website and the complementary Federal Docket 

Management System (FDMS) is the Department’s primary area of focus for increasing the 

public’s participation in the process of developing and issuing regulations. USDA’s fourteen 

rule-making agencies completed migration to the FDMS on December 8, 2006. As a result, all 

USDA Federal Register rules, proposed rules, and notices have been made available for public 

comment on E-Rulemaking’s Regulations.gov since that time. The website has made numerous 

improvements over the years to improve the user’s experience, and as a result public 

participation has continued to increase since the site’s inception. In FY07, USDA agencies 

posted 1,343 rules, proposed rules, and notice documents and received 9,773 comments from the 

public in response. In FY11, USDA agencies posted fewer rules, proposed rules, and notice 

documents -- 1,096 in all. But at the same time, USDA received a whopping 122,480 comments 

from the public in response. That is a 12-fold spike in public access since the portal’s launch in 
38

FY07. This is a direct demonstration of the public’s increased participation in USDA’s 

rulemaking process.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

USDA Office of the Chief Information Office (OCIO) capital planning staff and executive 

management work closely with IT investment owners to emphasize business results and citizen 

benefits in all departmental IT life-cycle decision making activities – from structured investment 

selection events, to executive capital plan reviews, to acquisition plan approvals, ending with 

ongoing operational asset analyses. 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/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, of USDA’s total discretionary IT funding ($1.8B) in each of FY11 and FY12 

(Est.), two-thirds ($1.2B) is under departmental oversight as major investments. These major 

investments include more than 333 individual Performance Measurement Areas; nearly half of 

which (152 measures) were focused on Mission and Business Results (75 measures) and 

Customer Results (77 measures). Of the Customer Results measures: Customer Benefits were 

clearly the main focus with 30 percent representation; Timeliness/Responsiveness was also 

highly represented at 25 percent of measures; Service Quality appeared as slightly more than 18 

percent of measures; and both Service Coverage and Service Accessibility were each listed 13 

percent of the time. 

Several specific examples of recent stakeholder and customer performance measurement results 

include:

Metric Description

Unit of 

Measure Baseline

Target 

for 

FY11

Actual 

for 

FY11

Target 

for 

FY12

Reporting 

Frequency

Most 

Recent 

Actual 

Results

Number of 

Complaints

number 

of calls 

answered 

within 

two 

minutes

120 120 114 120 Monthly 114

% of change requests 

are handled in 

compliance with 

agency policy and

processed within 24 

hours of receipt.

percent 85 85 88 85 Monthly 87
39

Metric Description

Unit of 

Measure Baseline

Target 

for 

FY11

Actual 

for 

FY11

Target 

for 

FY12

Reporting 

Frequency

Most 

Recent 

Actual 

Results

% of reports 

available to 

customers on the 

reports website as 

scheduled.

Percent 100 100 100 100 Monthly 100

Increase total number 

of ES customers

Number 

of 

customers

130 140 160 180 Monthly 160

Reducing Errors through Electronic Submissions 

Grants.gov: The Grants.gov APPLY function has helped reduce errors in grant applications 

submitted online through the site. USDA agencies attach an application package with their grants 

announcement informing potential applicants of the forms that are required to be submitted with 

their application. Applicants access grant application forms on Grants.gov, download and 

complete them offline, then upload the finished products in the Grants.gov system for 

submission. Grants.gov helps reduce errors by performing data validation, based on information 

in the agencies’ application packages, to ensure that required fields in the application forms have 

been appropriately populated. If errors exist, the applicant is notified immediately and is able to 

correct the information before final submission to the Government. USDA typically receives 

more than 10,000 grant applications through Grants.gov each year.

E-Payroll: USDA’s National Finance Center (NFC) extensively uses electronic means to receive 

and submit data to and from its customers. Specifically, all time and attendance records are 

submitted to NFC via electronic transmission and resulting payroll and accounting files are 

returned to customers via electronic transmission. Customer data is typically received through 

front-end systems that contain specific edits and accounting code validations in order to 

minimize errors in data used to calculate pay. Additionally, NFC has implemented and expanded 

services through the use of its Employee Personal Page where Federal employees can view their 

payroll data, make or modify elections regarding health and life insurance, enter or modify 

Federal and State tax information, create and/or update Direct Deposit, TSP, residence address, 

and financial allotment information, via the internet.

Efforts to Comply with Section 508 Regarding Information Management 

USDA addresses Section 508 compliance in three major ways. First, USDA has established 

Section 508 Coordinators within most agencies and staff offices. These coordinators work

closely with program and technical staff to help ensure that Section 508 standards are being 

adhered to at the application level. In addition to these agency-level efforts, USDA has also 

created a senior leadership team that is directly invested in the compliance process. This team 

reports jointly to the Chief Information Officer (CIO) and the Chief Administrative Officer 
40

(CAO) and makes recommendations concerning the implementation and enforcement of Section 

508 requirements to ensure senior executive leadership and systematic accountability throughout 

the Department. Finally, USDA establishes compliance requirements and provides guidance and 

communication related to the initiative in the form of departmental issuances, e.g. memos, 

emails, policy directives.

In addition, there also exists a Section 508 Departmental Lead located within the OCIO. This 

Lead helps maintain communication with the General Services Administration (GSA), who 

oversees the Government-wide 508 program, and the Access Board, who implements Section 

508 technical regulations. The Departmental Lead also works with the USDA 508 Coordinators 

to maintain 508 websites, explore the implementation of new Section 508 technologies, maintain 

the Section 508 Coordinators collaboration tool site, facilitate Section 508 training opportunities, 

and resolve any Section 508 issues that may arise within the department 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

Enterprise Data Center Consolidation: In FY11, the Enterprise Data Center (EDC) effort 

focused on migration and closure of agency computer rooms/data centers physically located in 

metropolitan Washington, DC. Throughout FY11, nine consolidations were completed or 

substantial progress was made.

For the period FY11 through FY15, cost savings achieved through the Department’s Data Center 

Consolidation Initiative are estimated to be $205M.

E-Training: In FY11, the AgLearn program measured an estimated cost avoidance of about 

$27M. Considering that the AgLearn budget was only about $5M, this represents an overall 

USDA return on investment of approximately 540 percent. As an example of cost savings, the 

number of AgLearn Webinar attendees has jumped from 3,200 in FY10 to a preliminary estimate 

of more than 15,000 in FY11. Webinars reduce travel costs and operational inefficiencies; they 

can be recorded for later re-use, and they leverage current USDA IT assets and capabilities.

E-Payroll: The NFC currently calculates payroll for over 650,000 Federal employees. Since 

2006, the average number of Federal employees paid each pay period increased by 93,817, 

without any significant increase in the IT infrastructure. Additionally, rate increases charged to 

customers have consistently been kept below the current inflation rate. In 2006, NFC’s average 

rate for payroll services was $136.20. Using an average 3 percent inflation rate, the 2012 average 

rate would approximate to $160.74. NFC’s projected 2012 average rate is $141.99 -- a realized 

savings of $18.75 per Federal employee paid.

Department of Commerce

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://ocio.os.doc.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/content/prod01_008

860.pdf.

Enterprise Architecture (EA) Plan: 

http://ocio.os.doc.gov/ITPolicyandPrograms/Enterprise_Architecture/index.htm.
41

Information Dissemination Management to the Public

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://ocio.os.doc.gov/ITPolicyandPrograms/E-Government/PROD01_002000.

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.osec.doc.gov/omo/FOIA/foiarequest.htm. 

Primary FOIA website http://www.osec.doc.gov/omo/FOIA/FOIAWebsite.htm. 

Frequent requests for records are made available to the public at: 

http://www.osec.doc.gov/omo/FOIA/ereadingroom.htm. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public, 

describing for each whether the website provides the public information about Federally funded 

R&D activities and/or provides the results of Federal research: 

http://ocio.os.doc.gov/ITPolicyandPrograms/E-Government/PROD01_003924. 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory describing formal agency agreements (e.g., contracts, memorandum of understanding) 

with external entities (e.g., partnerships with State and local governments, public libraries, 

industry and commercial search engines): http://ocio.os.doc.gov/ITPolicyandPrograms/EGovernment/PROD01_003960. 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: 

http://ocio.os.doc.gov/ITPolicyandPrograms/Records_Management/index.htm.

In response to NARA Bulletin 2006-02, The Department of Commerce (Commerce) reported to 

the Office of Management and Budget (OMB) that there are a total of 326 Commerce e-record 

systems, of which 245 (or 75 percent) have been scheduled. An additional 48 schedules (15 

percent) were submitted to NARA in FY11 or previously and are pending review and approval. 

Commerce continues to vigorously review its records schedules and develop new ones. As the 

result of increased emphasis and close coordination with NARA, Commerce has reduced the 

number of unscheduled e-record systems to 33 (10 percent).

Implementation of Electronic Signatures for Interoperability 

The Travel Management Information System (TMIS+) is used by over 5,000 travelers at the 

Census Bureau and provides users the ability to electronically create, process, and track all 

travel-related documents (including authorizations and certifications). TMIS+ uses Public Key 

Infrastructure (PKI) technology to electronically sign travel documents. Electronic signature 

technology for TMIS+ provides a paperless travel system and eliminates much of the work a 

traveler must do before and after the trip. The traveler uses an on-line document to enter 

estimated travel costs, which is then approved by an official by placing an electronic signature on 

the data. On return, the traveler enters in the actual expenses for the trip and electronically signs 

the on-line travel voucher. The document is routed to the financial officers who review the costs 
42

and electronically sign the document before approving the document for electronic payment to 

the traveler. TMIS+ is fully integrated into the Census Bureau’s financial system. 

The National Institute of Standards and Technology’s (NIST) e-Approval system will utilize an 

end-user’s Personal Identity Verification (PIV) for login authentication and for digitally signing 

electronic forms. The e-Approval system provides NIST staff with the means to electronically 

process administrative forms via Web browser, complete and digitally sign the forms, and then 

route the forms electronically for further processing. There is currently one software component 

in the e-Approval system, BizFlow, which designs and creates electronic versions of existing 

paper forms. It also creates workflow routes that are used to automate the manual routing 

process.

The U.S. Patent and Trademark Office (USPTO) uses PKI for patent application submissions 

(EFS Web) and for trademark applications (TEAS). The USPTO uses the Federal PKI bridge to 

enable certain PKI transactions to support efficient interoperability. USPTO first obtained the 

Federal Bridge Certificate Authority in 2005.

USPTO as well as the Office of the Chief Information Officer digitally signs Federal Register 

Notices for Information Collection Requests required under the Paperwork Reduction Act. This 

allows for electronic submission to the Federal Register, reducing by three working days the time 

from submission to publication and allows more rapid processing of the Notice.

Electronic Means of Enhancing Public Participation in Government 

The Commerce Performance and Accountability Report (PAR) informs the President, Congress, 

and the American people of how well the Department of Commerce has managed its finances 

and programs. IT performance measures support the Commerce Management Goals. 

Commerce uses IT to deliver information and services to stakeholders and to ensure that 

performance goals are met in many ways. Following are examples from NIST, the National 

Oceanic and Atmospheric Administration’s (NOAA) Line Offices, and the Bureau of Economic 

Analysis (BEA).

In keeping with its mission to enable innovation and help U.S. industry improve its 

competitiveness, NIST continues to use IT to provide a wide range of communications and 

outreach services for its external stakeholders. NIST’s outreach focuses on translating research 

results into lay language and sharing it with the public to ensure the widest possible 

dissemination and impact. Over the past year, NIST has accomplished a 115 percent increase in 

subscribers to its e-mail alerts through GovDelivery. These alerts allow more than 56,000 

subscribers to request e-mail alerts on 149 news topics and to specify the frequency of updates—

daily, weekly, etc. NIST is also utilizing IT to collect additional customer satisfaction and 

customer information requirements relevant to the measurement and calibration services that it 

delivers. This information is being used to strengthen and improve NIST customer service and 

related performance measures in these areas.

NIST social media efforts have also matured and expanded. A Flickr site has been established to 

provide easy access to public domain and other NIST images. Many of the almost 900 images 
43

(with a total of more than 1,300 views) posted on Flickr so far have links back to articles 

describing research results on the NIST website.

To tie these Internet offerings to measureable performance improvements, NIST subscribes to a 

Government-wide customer survey for its external website. The American Customer Satisfaction 

Index is used by both commercial and Government websites to chart their progress in meeting 

customer needs. It also provides recommendations on ways to improve search engine results and 

enhance navigation on the NIST external site.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

NOAA’s Office of Oceanic and Atmospheric Research (OAR) frequently evaluates electronic 

information needs through feedback gleaned from the scientific community at scientific and 

professional conferences, and from stakeholder forums conducted as part of an ongoing 

communication program. Individual laboratories and program offices maintain close contact 

through working relationships, cooperative agreements, and other official partnerships with key 

stakeholders (primarily academia, non-governmental organizations, and Federal scientific 

agencies) to bring information to the right people at the right time.

The National Marine Fisheries Service (NMFS) established the National Permits System (NPS) 

to accept and maintain all permit applications and related data. All regional and other program 

permits systems are housed within this system, which was designed to serve the needs of private 

sector stakeholders, as well as other NOAA components. Significant improvements in data 

quality have been realized through the NPS ability to link to external sources, such as the US 

Postal Service for address validation; the Social Security Administration to ensure applicants are 

still living and eligible to receive permits; the US Coast Guard to verify vessel documentation 

numbers; and the NMFS Office of Law Enforcement to verify that equipment is installed and 

operational on those vessels where it is required by law.

The DSFA (trade name, not an acronym) application for the NOAA Seafood Inspection Program 

(SIP) offers a variety of professional inspection services to assure compliance with all applicable 

food regulations. DSFA provides customers with single-point access to request various services 

provided by SIP at: https://seafoodinspection.nmfs.noaa.gov/customer/customerlogin.html. An 

application for SIP generates European Health Certificates and Illegal, Unregulated, and 

Unreported Catch Certificates estimated to save the U.S. seafood industry approximately 15 

minutes per certificate, which translates into 6,250 hours and almost $500,000.

The BEA has integrated electronic reporting options for international and Government 

investment survey data suppliers and upgraded electronic data dissemination for data users. In 

the area of electronic data collection, BEA maintains a data collection program covering U.S. 

direct investment abroad, foreign direct investment in the United States, and U.S. international 

trade in services. In the last five years BEA developed and implemented the eFile system to 

support electronic (Web-based) survey data collection for all active BEA surveys. The eFile 

system reuses data previously collected to minimize the burden on businesses and new and 

revised surveys are added to it on an ongoing basis. The Bureau has noted an increase in 

response rates since eFile was implemented.
44

BEA uses an online Customer Satisfaction Survey to determine the usefulness, 

comprehensiveness, and accessibility of all of BEA’s online data products. As a result of 

customer feedback, BEA launched a new interactive website that makes it easier for customers to 

access, analyze, present, and save BEA data.

Reducing Errors through Electronic Submissions 

The Technology Innovation Program (TIP) at NIST utilizes electronic submission for several 

data gathering purposes: Proposal Intake, Confidentiality agreements, Technical and Impact 

Reviews, and Mailing list information. Electronic submission significantly reduces errors by 

eliminating the need for TIP staff to manually enter the data into NIST’s electronic systems. 

NIST has designed data collection forms which produce an xml-formatted data stream that is 

imported into NIST databases exactly as the person submitting the data entered it. The Conflict 

of Interest and Confidentiality form which must be completed by everyone in TIP, along with 

anyone having access to proposal data, is submitted electronically with pertinent data extracted 

from the form and entered into the database. Electronic submission saves time and prevents 

errors in recording addresses, which could hamper delivery of proposals to potential reviewers.

The NIST Office Weights and Measures (OWM) Contact Management System (CMS) was 

brought online in FY10 and continues to be updated to increase its usefulness and time saving 

options. This system allows OWM to replace the manual work previously done to maintain an 

MS Access database of over 16,000 contacts that interact with OWM. Through use of the CMS 

system these contacts are able to update their contact information and request training, 

documents, and materials from NIST. Conversely, OWM is able to quickly and efficiently 

inform their contacts of Webinars and process Webinar registrations promptly.

BEA developed an electronic data collection system for a joint National Institute of Health 

(NIH)/BEA survey that collects data in support of BEA's estimation of the Biomedical Research 

and Development Price Index (BRDPI). All of these electronic filing processes reduce 

respondent burden for reporters and improve internal efficiencies for producing the respective 

estimates by reducing the costs of printing, mailing, collecting, and data conversion of paper 

forms. Additionally, the electronic filing process significantly improves the timeliness and 

comprehensiveness of the international accounts estimates.

USPTO deployed the Electronic Filing System-Web (EFS-Web) for patent application filing and 

Trademark Electronic Application System (TEAS) for trademark application filing. EFS-Web 

utilizes standard Web-based screens and prompts to enable the applicant to submit patent 

application documents in PDF format directly to USPTO. TEAS allows the applicant to fill out 

an application form and check it for completeness, and then submit the application directly to 

USPTO over the Internet. In addition, the Agency encourages the applicant to pay for their 

applications electronically by credit card , through an existing USPTO deposit account, or via 

electronic funds transfer. EFS-Web provides an Acknowledgement Receipt that contains critical 

information, including date stamp, an application number and a confirmation number. This 

receipt is electronic and may be printed. The receipt carries the security and authority of the post 

card receipt commonly provided in paper-filed applications. All electronic processes are 

designed to increase the speed patents are granted and trademarks issued, decrease errors, and 

improve communication.
45

Efforts to Comply with Section 508 Regarding Information Management 

Commerce maintains an Electronic and IT Accessibility website that provides the public and 

Commerce employees with information about their rights under Section 508 and Commerce 

policies and procedures to ensure that Commerce information is accessible. The Commerce 

Section 508 Coordinator maintains a network of Section 508 coordinators throughout the 

Commerce operating units to communicate Commerce accessibility policy and share best 

practices. Commerce ensures that all of the information on its websites is fully accessible to 

individuals with disabilities through its annual Web Certification program. 

Commerce operating units review procurement requests to determine if Section 508 applies and 

to ensure compliance. Public facing Web pages are routinely scanned for compliance with 

standard 1194.22 “Web-based intranet and internet information and applications” using 

automated tools. Internal pages are scanned on demand, and discrepancies are corrected as soon 

as possible. Training is offered to Web content managers and content providers to emphasize the 

importance of Section 508 compliance and the standards of Section 508. Commerce is 

committed to ensuring that Section 508 is fully implemented and that Commerce websites are 

accessible to all.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

Examples of cost savings and cost avoidance achieved through implementation of IT programs 

follow:

NOAA introduced NOAALink, a strategic sourcing vehicle for acquiring IT products and 

services, to improve IT acquisition practices across NOAA. NOAALink aims to establish 

enterprise-wide solutions, standardize common IT products and services, and leverage 

purchasing power. The NOAALink team strives to recognize the most significant cost 

advantages possible by closely assessing each and every requirement, including time constraints, 

infrastructure applicability, and the likelihood of enterprise consolidation. Through 

consolidation of requirements, NOAA met its FY11 targets to reduce by 3 percent the total 

number of contracts awarded and achieve acquisition savings of 14 percent. NOAALink is now 

available to Commerce operating units outside NOAA.

NOAA’s National Ocean Service (NOS) continues to consolidate purchasing to gain economies 

of scale and reduction in costs, including expanding the list of common software and hardware 

for consolidated purchasing to include: Adobe Acrobat, ESRI, NetApp storage, OpenLM, 

Printers, Roxio, SAS, Cisco SmartNet, and desktop / laptop refresh. These efforts have resulted 

in cost savings of over $600,000.

Department of Defense

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: http://cionii.defense.gov/docs/DodIESP-r16.pdf.

Enterprise Architecture (EA) Plan: http://cio-nii.defense.gov/policy/eas.shtml. Department of 

Defense (DOD) Enterprise Architecture Modernization Blueprint. 
46

Information Dissemination Management to the Public

The Department is an active participant in the following six E-Gov Lines of Business (LoB),

Budget Formulation and Execution LoB, Federal Health Architecture LoB, Financial 

Management LoB, Geospatial LoB, Grants Management LoB, and the Human Resources 

Management LoB. The specific monetary contributions to and the benefits realized by the 

Department through the use of these LoBs are highlighted in the FY11 Report to Congress on the 

Benefits of the President's E-Government Initiatives: 

(http://www.whitehouse.gov/sites/default/files/omb/assets/egov_docs/FY11_EGov_Benefits_Re

port_v2.pdf.):

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access of information by the public: 

http://www.defense.gov. 

Defense.gov is the Department's premier public information site for the dissemination of all 

current information on DOD. This website includes URLs to DOD information dissemination 

product catalogs, directories, inventories, and other management tools. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.dod.mil/pubs/foi/dfoipo/docs/FOIAhandbook.pdf. DOD’s 

Freedom of Information (FOIA) Handbook. 

Primary FOIA website: http://www.dod.mil/pubs/foi/dfoipo/. The Defense Freedom of 

Information Policy Office maintains the primary FOIA web site for the Department of Defense. 

This website also contains links to the FOIA websites for the Department of Defense 

Components. 

Frequent requests for records are made available to the public at: 

http://www.dod.mil/pubs/foi/rdroom.html. Location of documents that are frequently requested 

by the public under the FOIA from the Office of the Secretary of Defense/Joint Staff. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Link to DOD’s Comptroller's website: http://comptroller.defense.gov/.

The Director, Defense Research & Engineering (DDR&E) works closely with DOD’s 

Comptroller to ensure that consistent and accurate information on R&D activities is available to 

the public. Funding information associated with individual Program Elements (PE) is located 

under the Detailed Budget Documents section. DOD also provides information at the transaction 

level on all grants to the Office of Management and Budget’s (OMB) USAspending.gov website, 

established under the Federal Funding Accountability and Transparency Act (FFATA). In 

addition to the Comptroller-verified data on all Research, Development, Test and Evaluation 

programs, this information includes a record for each obligating action with an OMB-specified 

set of elements (called the Federal Assistance Awards Data System (FAADS) Plus), because it 

adds specific data elements required by the FFATA to a larger set of data elements and can also 

be found online through FAADS at: www.census.gov/govs/www/faadsmain.html.
47

Dissemination of Formal Agency Agreements with External Entities to the Public

Link to the Defense Industrial Base Critical Infrastructure and Key Resources Sector-Specific 

Plan: http://www.dhs.gov/xlibrary/assets/nipp-ssp-defense-industrial-base.pdf.

In support of the 2009 National Infrastructure Protection Plan, published by the Department of 

Homeland Security under the requirements of Homeland Security Presidential Directive-7, 

Critical Infrastructure Identification, Prioritization, and Protection, DOD is actively engaged 

with private sector owners and operators in sharing of information about cyber threats, 

vulnerabilities, incidents, and best practices. Additionally, DOD, as the Defense Industrial Base 

(DIB) Sector Specific Agency, is initiating a collaborative cyber threat sharing program to share 

cyber threat information with the DIB private sector which will allow DOD to comply with the 

national cyber security direction and achieve a viable Government-private sector reporting 

partnership. 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: www.defenselink.mil/webmasters/policy/dodd50152p.pdf. 

This is a link to DOD Directive DODD 5015.2, "DOD Records Management Program”. DOD 

continues to work with NARA to schedule its systems to implement the objectives of NARA 

Bulletin 2006-02. The principal policy document used by the Department is DOD Directive 

DODD 5015.2, “DOD Records Management Program”, March 6, 2000. As of October 1, 2011, 

DOD had the following electronic information systems scheduled with NARA in compliance 

with their Bulletin request. 

Army: 

 Approx. 27 percent compliance

 Army Breakdown Total: 1,772 (1,216 do not create records)

 Systems that create records: 556

 Scheduled/approved with NARA: 145. Remaining: 411

Air Force: 

 Approx.41 percent compliance

 Systems that create records: 364

 Scheduled: 151

 Remaining: 213

Navy: 

 Approx. 95 percent compliance

 Navy Breakdown (Marine Corps numbers included): Total: 1,390 (864 do not create any 

records)

 Systems that create records: 526

 Scheduled/approved with NARA: 493

 Remaining: 33
48

Office of Secretary of Defense: 

 Remaining: 63

Implementation of Electronic Signatures for Interoperability 

DODI 8520.02, Public Key Infrastructure (PKI) and Public Key (PK) Enabling dated May 24, 

2011, updates established policy, guidance, and governance for the use of the digital signature to 

enable secure electronic transactions. Success has been realized in both the enabling of products 

to apply and validate digital signatures as well as the perceived value of the capability 

throughout DOD. Digital signatures are used to accomplish DOD’s business and mission 

requirements. They are used to support DOD’s business processes such as contracting, travel, 

forms processing, and personnel actions.

DOD has enabled the workforce with the capability to digitally sign. The Common Access Card 

(CAC) is DOD’s identification card issued to employees. This smartcard platform contains a 

digital signing PKI certificate unique to each individual. 

Electronic Means of Enhancing Public Participation in Government 

It is Departmental policy to make regulatory dockets electronically accessible and searchable, 

and to allow for electronic submission of comments using Regulations.gov, as part of DOD’s 

implementation of the E-Government Act of 2002. Department administrators establish 

regulatory dockets for posting rules and other supporting materials on the Regulations.gov

Website to enable the public to comment electronically. All public comments submitted 

electronically, or by mail, are posted to the appropriate regulatory docket on the site. In addition 

to rulemakings, the Department posts and accepts public comment on Federal Register notices, 

such as Information Collection Requests under the Paperwork Reduction Act and Privacy Act 

notices. Participation by the Department in this important initiative provides transparency and 

public access in developing regulations, as well as promoting a more efficient regulatory process 

within the Department of Defense. 

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

DOD High-Priority Performance Goals can be found at: http://www.Performance.gov.

DOD Information Enterprise (IE) delivers services that provide information and capabilities to 

end-user communities-both within the Department and with its many external mission partnersenabling more effective and efficient support to mission operations. DOD’s IE Strategic Plan 

was collaboratively developed with key stakeholders to form the Department's approach to 

achieving DOD’s Information Enterprise. Over time, DOD’s IE Strategic Plan and associated 

Roadmap (collectively known as DOD’s IE SP&R) will deliver DOD’s Information Enterprise 

envisioned by the National Defense Strategy, the National Military Strategy, the Quadrennial 

Defense Review, and the Department's Global Information Grid (GIG) 2.0 Concept of 

Operations (CONOPS) and Implementation Plan.

Reducing Errors through Electronic Submissions 

Enabling the capability to electronically submit data in response to surveys, data calls, reporting 

and other types of information gathering requests have provided DOD with improved data 
49

accuracy in real-time. Digitally signing submissions, whether from an individual or non-person 

entity is made possible through the use of PKI certificates. Digitally signing data submissions 

provides efficiency, data integrity and non-repudiation.

Efforts to Comply with Section 508 Regarding Information Management 

DOD Section 508 Manual: On June 3, 2011, DOD’s CIO signed DOD’s Section 508 Policy 

Manual 8400.01-M: Procedures for Ensuring the Accessibility of Electronic and Information 

Technology (E&IT) Procured by DOD Organizations. This document implements the policy in 

DOD Directive 8000.01, assigns responsibilities for 508 management, and provides procedures 

for the implementation of Section 508. 

Increase Education and Training: DOD in collaboration with the Federal Acquisition Institute 

and other Federal agencies has begun efforts to ensure that DOD on-line courses are accessible 

to individuals with disabilities. In June 2011, DOD completed its first on-line course review 

initiative in collaboration with the Department of Homeland Security, the Federal Acquisition 

Institute, and the Defense Acquisition University (DAU) to identify, update/revise, and maintain 

accessible DAU on-line courses.

DOD Quarterly Public Website Reviews: In an effort to improve accessibility of DOD public 

information, DOD has quarterly reviews of DOD public websites for accessibility. Using 

“website accessibility testing tools,” the Office of DOD’s CIO has tested 47 DOD Public 

websites focusing on the 16 accessibility standards.

GSA Reviews DOD E&IT Solicitations: DOD in collaboration with GSA has established an 

aggressive “accessible solicitation development program” designed to ensure that IT solicitations 

include the appropriate Section 508 language in accordance with the U.S. Access Board 

standards and the FAR. 

Section 508 Coordinators Meeting: The Office of the CIO conducts quarterly meeting for all 

DOD Section 508 Coordinators. These meetings provide updates on DOD and Federal-wide 

Section 508 actions and activities; identifies Defense-wide training opportunities on 508; reviews 

industry best practices; and addresses 508 issues impacting the Department.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

The Department is engaged in ongoing IT management and acquisition reform efforts that will 

result in DOD-wide cost savings and avoidances. For example, the Department’s data center 

closure/consolidation initiatives will result in efficiencies and cost avoidances through reduced 

data center operations costs and energy usage. Additionally, the Department’s use of electronic 

communications, such as digital signatures and online forms, has reduced the information 

collection burden placed on the public. 

Department of Education

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.ed.gov/about/reports/annual/ocio/irmstratplan.doc. 
50

Enterprise Architecture (EA) Plan: http://www.ed.gov/about/reports/annual/ocio/ea-plan.doc. 

Information Dissemination Management to the Public

ED.gov offers regularly updated information Department grants and contracts, Federal student 

financial aid, education research and statistics, agency policy and programs, and visitors top 

tasks (in the How do I find? section). The Department developed an inventory of website 

content, http://www.ed.gov/notices/egovinventory.html, as required by Section 207(f)(2) of the 

E-Government Act of 2002.

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://www.ed.gov/. The Department is committed to providing its full range of information to 

the public. A primary vehicle for doing so is the Department's main website, ED.gov. The 

Department offers a one-stop system for ordering its publications http://edpubs.ed.gov/, RSS 

feeds http://www.ed.gov/news, and a new e-newsletter management system, GovDelivery, which 

allows citizens to subscribe to Department of Education (ED) newsletters on more than 20 

topics. The Department also uses social media sites to help communicate the Secretary's message 

and priorities. A complete list of the agency's social media pages, feeds, and channels is at: 

http://www.ed.gov/about/overview/focus/social-media.html. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: The Department provides a link from its primary FOIA website to the 

Department of Justice FOIA Guide: http://www.ed.gov/policy/gen/leg/foia/foiatoc.html. The 

Department provides information to assist requesters to make a FOIA request. The web address 

for How to Make a Request is: http://www.ed.gov/policy/gen/leg/foia/request.html. 

Primary FOIA website: http://www.ed.gov/policy/gen/leg/foia/foiatoc.html. 

Frequent requests for records are made available to the public at: 

http://www.ed.gov/policy/gen/leg/foia/readingroom_2.html. 

Dissemination of Federal Research (R&D) Development Funding to the Public

Public websites disseminating research and development (R&D) information to the public: 

http://ies.ed.gov/. The main ED organization that supports ED research and statistics is the 

Institute of Education Sciences: (http://ies.ed.gov/). 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: :

 http://edpubs.ed.gov/webstore/Content/search.asp and http://www.fsapubs.gov/

 http://eric.ed.gov/

 http://ies.ed.gov/ncee/wwc/

 http://dww.ed.gov/

 http://www.college.gov/

 https://answers.ed.gov/

 http://www.teach.gov/

 http://free.ed.gov
51

 http://federalstudentaid.ed.gov/opportunity/questions.html

The Department has contracted for the following to complement its information dissemination 

program: 

 EDPubs and FSAPubs;

 the Education Resources Information Center (ERIC) for free access to bibliographic 

records of journal articles and other materials;

 the What Works Clearinghouse for scientific evidence of what works in education;

 Doing What Works for effective teaching practices and ways to implement them;

 College.gov for information about planning, preparing and paying for college;

 Frequently Asked Questions; and

 Teach.gov, which aims to increase the number, quality, and diversity of people seeking to 

become teachers.

The Department has the following cooperative agreements: 

 Federal Resources for Educational Excellence (FREE) for teaching and learning 

resources and 

 Opportunity.gov, highlighting education and training opportunities for unemployed 

Americans.

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://www.ed.gov/about/offices/list/om/recordsmgmt.html. 

Of the 107 electronic information systems containing Federal records, all are covered by a 

NARA-approved or NARA-submitted records retention schedule. Schedules for 26 new systems 

identified in FY11 will be completed in FY12. 

Implementation of Electronic Signatures for Interoperability 

The Department has an ongoing Email Encryption/Digital Signatures Project that will enable 

users to encrypt email that contains sensitive information prior to sending. This project will also 

allow users to attach a digital signature to an email prior to sending. As part of the project, the 

Department has created a key management infrastructure that will enable the Office of Inspector 

General and Office for Civil Rights to decrypt encrypted emails to meet investigative 

requirements and to support legal and Freedom of Information Act requests in a timely manner. 

This project is scheduled to be completed by March 30, 2012.

Electronic Means of Enhancing Public Participation in Government 

The Department continues to seek greater and more useful public participation in ED’s 

rulemaking activities through the use of transparent and interactive rulemaking procedures and 

new technologies. The Department participates in Regulations.gov, an electronic, single, 

Government-wide access point that enables the public to submit comments on Federal regulatory 

documents and to read and respond to comments from other members of the public during the 

comment period. The Department accepts public comments on all of its proposed and interim 
52

final regulations, as well as a limited number of other regulatory documents, through 

Regulations.gov.

In addition to using Regulations.gov, the Department has sought to use blogs to obtain input 

from the public on regulatory documents. Notably, in 2011, the Department invited public 

participation as it developed an approach to the Race to the Top–Early Learning Challenge 

competition (RTT-ELC). Although the Department was waiving notice-and-comment 

rulemaking in establishing the priorities and requirements for this competition, ED invited the 

public to provide general input on the ED.gov blog. In response to this invitation, ED received 

199 responses, which were considered in its development of the RTT-ELC grant competition 

notice. ED subsequently posted on the Department’s website, a draft Executive Summary of the 

competition and invited public input on draft competition priorities, requirements, definitions, 

and selection criteria. Through the Department’s website, members of the public could submit 

comments directly on one or more of the key competition elements. ED received 349 responses, 

which were also considered in developing the final competition notice.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

Department-wide annual plans and performance reports, 

http://www.ed.gov/about/reports/annual/index.html, describe the goals and intended outcomes of 

agency programs and initiatives. Annual strategies are published in performance plans in 

advance of each fiscal year, and results are reported in annual performance and accountability 

reports following the fiscal year end. In FY11, the Department implemented several new 

strategies to facilitate transparency and improve stakeholder collaboration through improved use 

of technology. Specifically, the Department made significant progress in expanding access to 

education-related data, so that analysis of reports on education data can be done outside of the 

walls of the Department. This includes working to present data in formats that are easily 

accessed by the general public. These new tools allow users to track their state and the nation’s 

progress on key indicators for early learning, elementary and secondary, and postsecondary 

education on the U.S. Education Dashboard http://dashboard.ed.gov and at Ed Data Express 

http://www.eddataexpress.ed.gov/. Performance.gov, http://goals.performance.gov/agency/ed

identifies the priority goals that will deliver improved educational outcomes for students.

Reducing Errors through Electronic Submissions 

In accordance with the Federal Funding Accountability and Transparency Act, prior to FY11, 

agencies were required to submit contract data to the Federal Procurement Data System (FPDSNG) and separately submit the associated contract accounting information to USASpending.gov. 

At that time, FPDS-NG did not capture the accounting information, and ED’s Contracts and 

Purchasing Support System (CPSS) maintained it separately. Therefore, twice a month, ED ran a 

query to extract this data from CPSS and submit it directly to USASpending.gov in order to 

update ED contract information that was pre-populated from FPDS-NG. This process was 

cumbersome and required extra measures to ensure the quality of ED contract accounting data on 

the USASpending.gov site.

In November 2010, FPDS-NG was enhanced to capture the accounting data. In addition, ED’s 

CPSS was enhanced to require users to enter the accounting data in CPSS and automatically send 

the fields to FPDS-NG for approval at the time of contract award. As a result, contract 
53

accounting data is approved, completed and automatically transferred to the FPDS-NG system in 

real time. Today, the FPDS-NG system transmits all of ED’s contract accounting data to 

USASpending.gov, and the monthly query that ED submitted separately is no longer 

required. This improved process puts quality first and reduces the risk that ED contract data will 

be incomplete or inaccurate when viewed by the public.

Efforts to Comply with Section 508 Regarding Information Management 

The Department has embarked on an Accessibility Enhancement Program. This program is led 

by the Under Secretary and supported by the Deputy Secretary and Assistant Secretary for 

Communications and Outreach. An Accessibility Task Force has outlined several key initiatives 

that make up this program: increasing awareness about accessibility and the importance of 

accessible websites and electronic documents posted on websites; establishing more robust 

accessibility policies and standards; developing tools, support and training for those responsible 

for developing and maintaining content; and establishing processes for periodic review and 

evaluation of accessibility policies, standards, and practices at the Department. 

The Department has distributed an enterprise memo outlining the accessibility program, 504 and 

508 information, and requesting an accessibility team lead from each major office; provided 

multiple presentations on accessibility to staff, including Senior Leadership; worked with the 

Office of General Counsel to develop ED accessibility policies; worked with Accessibility Task 

Force to draft Strategic Plan for Accessibility Improvement; and purchased Adobe Pro for those 

responsible for electronic content. 

Efforts under way include: evaluating new tools that improve accessibility for social media; 

documenting ED requirements for electronic documents; developing and delivering accessibility 

training; and developing standardized contract language to ensure accessibility is considered for 

non-IT projects. 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

The enterprise architecture segment modernization planning process has enabled line of business 

segment owners to increase the amount of development, modernization and enhancement

funding across the IT portfolio from $45.17M (10 percent of total IT spending) in FY10 to 

$64.63M (13 percent of total IT spending) in FY11. The impact of these adjustments is that the 

Department has increased its spending for performance-improving IT innovations by 

$19.46M. An example of the cost avoidance and cost savings that the segment modernization 

planning process has enabled can be found in ED’s Grants segment. By opting to reuse the 

Grants Electronic Monitoring System developed by the Office of Postsecondary Education to 

support grants management operations in the Office of Elementary and Secondary Education, the 

Department was able to avoid a onetime $300,000 charge for software development and save 

$10,000 a year in software licensing costs. 

Department of Energy

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://energy.gov/cio/downloads/ocio-strategic-plan. 
54

Enterprise Architecture (EA) Plan: http://energy.gov/cio/downloads/enterprise-architecturetransition-plan-april-2011. 

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: www.energy.gov/open. 

The Department of Energy (Energy) is not the lead agency for any current E-Gov initiative. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to your agency’s information by the 

public:

 http://energy.gov/about-us/web-policies

 http://energy.gov/cio/federal-regulations

 http://energy.gov/cio/guidance

 http://energy.gov/cio/omb-requirements

 http://www.osti.gov

 http://energy.gov/management/office-management/operational-management/freedominformation-act

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://energy.gov/management/downloads/how-make-foia-request. 

Primary FOIA website: http://energy.gov/management/office-management/operationalmanagement/freedom-information-act. 

Frequent requests for records are made available to the public at: 

http://energy.gov/management/freedom-information-act/documents/frequently-requesteddocuments. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

 www.osti.gov; 

 www.scienceaccelerator.gov/;

 www.osti.gov/energycitations; 

 www.osti.gov/bridge; 

 www.osti.gov/rdprojects; 

 www.osti.gov/doepatents;

 www.osti.gov/accomplishments;

 www.osti.gov/dataexplorer;

 www.science.gov

 www.osti.gov/mobilegallery.html;

 www.osti.gov/greenenergy

 http://m.worldwidescience.org

To further extend the availability of scientific research results, Energy R&D information is now 

accessible through the establishment of mobile applications for mobile devices. Energy has 
55

developed mobile apps to enable researchers to access a number of databases, including Energy 

Citations Database, Information Bridge, ScienceCinema, DOEpatents, and DOE Green Energy. 

Searches may be narrowed by document type, including multimedia and standard options, with 

results downloaded or emailed. There is a mobile gallery www.osti.gov/mobilegallery.html for 

easy reference.

The Office of Scientific and Technical Information launched the Green Energy Portal 

www.osti.gov/greenenergy in FY10 to host green energy results from research and development 

conducted throughout the Department and by Energy-funded awards at universities. In FY11, 

the portal was enhanced with new semantic search technology called “keyword to concept 

mapping”. This search technology is applied to a user’s search behind the scenes and helps hone 

the search for more efficient knowledge access and discovery. The DOE Green Energy site 

organizes green energy R&D and makes it freely accessible to researchers, scientists, educators, 

students and the public. 

A mobile version of WorldWideScience.org, http://m.worldwidescience.org has been launched, 

which will mark another first in the field of federated search. Hosted by DOE in partnership with 

the WorldWideScience Alliance, these enhancements build on WorldWideScience.org’s history 

of innovation in combining information and search technologies with a commitment to accelerate 

scientific discovery. This commitment is shared by the multilateral WorldWideScience Alliance, 

comprised of globally-dispersed national and international scientific and technical information.

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : http://www.osti.gov/alliances.

In partnership with the Science.gov Alliance, the Office of Scientific and Technical Information 

(OSTI) hosts Science.gov, an interagency portal providing single-query access to RD results of 

14 Federal agencies. Science.gov is governed by a voluntary collaboration of 18 U.S. 

Government science organizations which enable the public, science professionals, students, 

educators and the business community to find authoritative Government science information. In 

FY11 Science.gov added an image search and a mobile version of Science.gov was developed, 

available at m.science.gov. OSTI partnered with a vendor in the launch of a new multimedia 

search tool: ScienceCinema. OSTI broadly disseminates and preserves the Energy Department's 

scientific output. This search tool uses speech recognition technology to enable searching of 

digitized spoken content. 

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://energy.gov/cio/guidance/recordsmanagement/disposition-schedules. 

Energy continues to implement the initial guidance contained in NARA Bulletin 2006-02. 

Energy submitted one schedule for electronic systems to NARA in FY11. This schedule is 

pending approval. 

Implementation of Electronic Signatures for Interoperability 

Energy has implemented the use of electronic signatures allowing Department officials to sign 

documents and carry out business transactions electronically. The use of electronic signatures 
56

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. 

Electronic Means of Enhancing Public Participation in Government 

Energy participates in the E-Rulemaking initiative http://www.regulations.gov which provides 

citizens a one-stop Internet site to easily access and participate in Federal rulemaking activities. 

Citizens can access Federal regulations on the Internet, and search, view and comment on Energy 

proposed rulemakings. 

Energy also uses the Federal Docket Management System (FDMS), a Government-wide 

electronic docket management system, in its regulatory business activities.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

The 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.

 http://www.energy.gov/about/budget.htm

 http://www.goals.performance.gov/agency/doe

Energy’s performance goals are linked to key stakeholders, private sector, other agencies, and 

internal operations in Energy’s Strategic Plan and Annual Performance Report. These documents 

are available for review by the public and posted to:

 http://www.cfo.doe.gov/strategicplan/strategicplan.htm

 http://www.energy.gov/about/budget.htm

Reducing Errors through Electronic Submissions 

Hiring Management Enterprise Solution (HMES): Hiring Management, the Department’s 

automated talent acquisition system, reduces the potential for errors particularly during the 

category rating process. In HMES, qualifications are largely performed by the system utilizing 

category rating. Applicants now submit all of the information electronically. The applicant 

answers a series of questions relating to work experience and education. The system itself now 

tallies up the responses to job assessments and derives the score for each applicant automatically. 

Veteran’s Preference is adjudicated within each category and applicants are sorted accordingly. 

HM also produces an electronic certificate of eligible applicants for hiring managers. 

Electronic Official Personnel File (eOPF): Energy is using the eOPF to automate the handling 

and storage of Federal employee official personnel records. The secure eOPF system allows 

employees to access their personnel records online and be automatically notified when 

documents are added to their record, making this information transparent to the employee. This 

information is available online, employees can review personnel action for processing errors and 

report to the HR office for resolution. Employees can also identify missing documents in their 

personnel record and notify the HR office. Energy’s eOPF allows electronic transfer of records 

between Federal agencies reducing the possibility of misplaced or compromised records.
57

e-QIP Submissions: Energy has reduced errors through the use of the OPM’s e-QIP. e-QIP –

Electronic Questionnaires for Investigations Processing is a secure-web based automated system 

which facilitates the processing of the investigative standard forms approved by the OPM and the 

OMB. 

Efforts to Comply with Section 508 Regarding Information Management 

The Office of the Chief Information Officer is responsible for promoting and providing 

Information Technology (IT) Services Energy-wide to persons regardless of disability, and 

providing Section 508 Compliance Assistance and Guidance where appropriate.

To date, the OCIO has established a designated Agency Overall Section 508 Coordinator 

responsible for providing a lead role in responding to ad hoc Section 508 requests and in 

establishing overall 508 Program implementation strategy. Recent efforts in bringing IT Field 

Sites and Headquarters under one Energy Standard Operating Desktop System will enhance 

efforts necessary in establishing full Section 508 Compliance.

Though Energy has experienced success, there have been challenges including enhancing current 

Policy, establishing Energy specific 508 guidance, and establishing agreed and necessary 

funding. In an effort to meet this requirement, Energy works closely with the established Section 

508 Charter Working Group responsible for coordinating with Headquarters and Field Site IT 

Management in meeting what is anticipated to be a large scale effort necessary in ensuring full 

compliance.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

An estimated savings of $17M is projected over FY11-FY15 from utilizing cloud computing to 

transform the delivery of commodity IT services; transitioning calendar and e-mail operations for 

5,000 users; modernizing an enterprise resource planning (ERP) system which will retire over 25 

legacy systems; a data center optimization initiative; and revitalizing the records management 

process. 

Department of Health and Human Services

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Technology Strategic Plan:

http://www.hhs.gov/ocio/ea/documents/hhs_irm_strategic_plan_2007_2012.pdf. A revised plan 

for FY13-FY17 is due to be published in FY12. 

Enterprise Architecture Transition Plan: 

http://www.hhs.gov/ocio/ea/documents/hhs_ent_trans_2009.pdf.

Information Dissemination Management to the Public

 Information on HHS' web communication and new media programs and presence: 

http://www.hhs.gov/web/index.html.

 HHS Web Policies: http://www.hhs.gov/web/policies/webpolicies/index.html.

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.hhs.gov/about/infoguid.html - foia.
58

Primary FOIA website: http://www.hhs.gov/foia/.

Frequent requests for records are made available to the public at:

http://www.hhs.gov/foia/reading/index.html.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

http://www.hhs.gov/about/hhsbudget.html#SecretarySebeliusSummarizestheHHSFY2012.

Budget FY12 President's Budget for HHS.

Dissemination of Formal Agency Agreements with External Entities to the Public

Information Dissemination Management to the Public: http://www.hhs.gov/policies/index.html

HHS policies 

Information Dissemination Management to the Public HHS Agency Newsrooms: 

http://www.hhs.gov/aspa/newsrooms/index.html.

Information Dissemination Management to the Public: http://aspe.hhs.gov/pic/. Assistant 

Secretary for Planning and Evaluation Policy Information Center 

Information Dissemination Management to the Public: http://www.hhs.gov/afr/. HHS Agency 

Financial Reports 

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

The HHS website that contains the publicly-posted records schedules is located at: 

http://www.archives.gov/records-mgmt/rcs/. 

Implementation of Electronic Signatures for Interoperability 

In conjunction with HHS' HSPD-12 program and the roll-out of the Person Identity Verification 

(PIV) cards, HHS employees and contractors can leverage their personal certificates to sign 

electronic documents, sign and encrypt electronic mail, as well as securely access sites and 

systems across the Government and HHS that have enabled certificate based authentication. 

HHS utilizes the Public Key Infrastructure (PKI) Federal Bridge framework for electronic 

signature of electronic mail to enable the exchange of digitally signed messages and documents 

with any organization whose certificate authority is cross certified with the Federal Bridge.

The Indian Health Services utilizes signed electronic records as a part of its Resource and Patient 

Management System (RPMS) Electronic Health Record (EHR), which permits improved access 

to important clinical information, direct entry of data by clinicians and other users, and clinical 

decision support tools at the point of care.

Electronic Means of Enhancing Public Participation in Government 

HHS has enhanced public participation in Government by becoming a full partner in the 

Government-wide E-Rulemaking initiative. All HHS regulatory proposals routinely inform the 

public about how comments on the proposals can be submitted to Regulations.gov. Such notices 

of proposed rulemaking provided the public with the opportunity for electronic submission of 
59

comments, which the Department is legally required to take into account before moving to issue 

a final rule.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

The Centers for Medicare and Medicaid Services (CMS) Quality Improvement 

Organization program promotes higher quality, more efficient health care for Medicare 

beneficiaries. The reporting of quality measures encourages physicians to improve their quality 

of care and empowers consumers with information to make more educated health care decisions.

The goal of the CMS Quality Program Investment is to provide a common IT platform to 

support QIO business operations, promote application, data & information sharing, and to 

support management information. The purpose of QualityNet Exchange is to improve the quality 

of care for Medicare beneficiaries through increased efficiencies in information exchange. CMS 

publicly reporting quality measures encourages physicians and hospitals to improve their quality 

of care and empowers consumers with information to make more educated health care decisions.

The Indian Health Service Resource (IHS) and Patient Management System (RPMS) is a 

comprehensive health information system (HIS) created to support the delivery of high quality 

health care to American Indians and Alaska Natives who attend several hundred Federal, Tribal, 

and Urban facilities nationwide. RPMS is critical to IHS operations and integrates practice 

management, medical, behavioral health, population health and performance reporting functions 

into a fully capable electronic health record (EHR) suite.

The FY10 target to derive 63 clinical measures from the Resource and Patient Management 

System (RPMS) and integrating the Electronic Health Record (EHR) in all 12 Areas was met and 

exceeded. This measure is designed to improve the quality of care through the use of appropriate 

technology and to improve passive extraction of clinical performance data from RPMS health 

information system. 

Reducing Errors through Electronic Submissions 

Changes to NIH policy and systems have had an impact on the efficiency of the grant application 

and award processes. NIH grant applicants now submit over 93 percent of grant applications 

electronically through the central Federal portal, Grants.gov, on forms that are shared across the 

Federal research agencies. The integration of the applicant's information into the NIH Electronic 

Research Administration has increased the accuracy of the information provided to grant 

program officers and reviewers. NIH has also moved to fully electronic notices of grant awards, 

Financial Status reports, and annual noncompeting progress reports, creating processes that are 

more accurate, streamlined and efficient for the scientific community.

The Food and Drug Administration (FDA) Electronic Submissions Gateway is an integrated 

system that enables the electronic regulatory process between industry and FDA. It stores, 

retrieves, and distributes submissions to reviewers and interfaces with FDA databases. The

Gateway has a positive impact on existing practices: timeliness is increased; paper copies 

generated for submission and archiving are reduced; electronic acknowledgments of successful 

transmission can be received and saved; and the accuracy of submissions is increased, which can 

speed up the new product review process.
60

The CDC Public Health Information Network BioSense Program is critical to improving local, 

state, and Federal surveillance capacity into the health of communities and the country. It helps 

guide public health decision making and action at the local, regional and national level. With 

BioSense, the public health community is able to more efficiently track health problems as they 

evolve and provide public health officials with the data, information and tools they need to better 

prepare for and coordinate responses to public health crisis. 

Efforts to Comply with Section 508 Regarding Information Management 

The Office on Disability and the Office of the Assistant Secretary for Public Affairs convened a 

departmental working group to revise and update Section 508 policy. The Assistant Secretary 

for Administration was designated the lead to outline a new approach in view of gaps in 508 

compliance identified by the Office on Disability and employees with disabilities.

The HHS Section 508 Program Team reconvened as the Access Board to serve as 508 

Governance for activities and issues. The team of Section 508 Coordinators and technical experts 

from each HHS operating division http://www.hhs.gov/od/508coordinators, conduct meetings to 

address technical questions and accessibility issues, and to share accessibility information 

throughout HHS. The Access Board's refresh of Section 508 regulations are forthcoming, HHS 

anticipates developing and disseminating revised Section 508 policy and guidance what 

accessibility issues must be addressed and how to plan for and remediate accommodation issues. 

Current examples of Section 508 guidance include:

 The HHS Section 508 Program team is developing a Section 508 Acquisition training to 

improve the use of appropriate solicitation and contract language when procuring goods 

and services for HHS.

 The Section 508 Training Subgroup released a video on Section 508 awareness. The 

video is now included in the Office of the Secretary and the HHS FDA new employee 

orientation.

 The Assistant Secretary for Public Affairs developed training materials on how to prepare 

documents in various formats that meet accessibility requirements.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

The E-Gov Benefits Report summarizes benefits realized and expected from Electronic 

Government (E-Gov) initiatives funded by HHS, either as the managing agency or through 

contributions to other agencies in accordance with the reporting requirements established in 

section 737 of Public Law 110-161.

HHS serves as the managing partner of the Grants.gov e-Government program. Grants.gov is 

the Federal Government’s single website providing information on over 1000 grant programs 

awarded by the 26 grant-making agencies and other Federal grant-making organizations. The 

initiative enables Federal agencies to publish grant funding opportunities and application 

packages online, while allowing over 1 million organizations that comprise the grant community 

(state, local, and tribal governments, education and research organizations, non-profit 

organizations, public housing agencies, and individuals) to search for opportunities and 

download, complete, and electronically submit applications. The following highlight the 

system’s use and benefits in FY11:
61

 3,847 discretionary funding opportunities were posted in FY11, 3,762 of those 

accompanying a matching synopsis. 

 The funding opportunities announced through Grants.gov resulted in approximately $156 

billion in grants and financial assistance awarded by the 26 grant-making agencies and 

other Federal grant-making organizations. 

 257,315 grant applications were received and processed

 Over 275,000 Authorized Organization Representatives were registered with Grants.gov. 

 Through the government-wide Grants.gov Memorandum of Understanding and Service 

Level Agreement with all 26 Federal agencies, contact center operations serviced

288,843 calls and 40,450 emails for a total of 329,293 contacts on behalf of the grant 

making agencies. 

 Over 2,000 people were supported and trained, including Federal, state and local grant 

administrators, congressional workshops, and grant organizations. 

 Over 6,000 registration brochures and CD’s were distributed

 Quarterly satellite webcasts were instituted to provide outreach, status and technical and 

program management status and support servicing the grant community. 

The collection and analysis of data by FDA staff must occur throughout the entire life cycle of a 

product to identify unexpected safety risks associated with the use of a human drug that could 

not have been predicted by clinical trials and bio statistical analysis. Reports of these unexpected 

safety problems, called adverse events, are captured in the Adverse Event Reporting System 

(AERS), a critical component of FDA's post-marketing safety surveillance systems for all drug 

and therapeutic biologic products. Information captured in AERS allows FDA scientists and 

statisticians to search for patterns that may indicate an emerging safety hazard, which is the first 

step in analyzing the potential causes and formulating an effective risk management response. 

The average cost associated with turning a submitted Adverse Event Report into a verified record 

in the database has been decreasing since FY03 due to FDA efforts to streamline its business 

processes and improve the information systems that are used to process records. In FY03, the 

cost per report was $21.91 per report. By FY10, the cost per report was reduced to $7.35. The 

overall savings to FDA from electronic submission continues to increase due the increasing 

numbers of received reports. In the absence of electronic submissions, the program costs for 

manual data entry would be nearly double the cost using electronic submission. 

Department of Homeland Security

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Department of Homeland Security (DHS) IT Strategic Plan: 

http://www.dhs.gov/xlibrary/assets/cio_infotech_strategic_plan_2009-2013.pdf.

Enterprise Architecture (EA) Plan: http://www.dhs.gov/xlibrary/assets/qhsr_report.pdf. 

Information Dissemination Management to the Public

The following section outlines determinations, priorities and timeline information for each EGov Initiative. In addition, the Initiative websites that are used to disseminate data to the public 

are listed below (where applicable): 
62

Disaster Management: 

 Determinations: In 2011, it was determined that it was in the best interest of the 

Government to fund the Disaster Management Initiative in the amount of $12,270,000. 

 Priorities: 

o Continued rollout of the CMS across DHS components.

o To consolidate Web content to more easily access information on cross-cutting 

national initiatives that the Federal Emergency Management Agency (FEMA) 

manages for the benefit of Federal departments and agencies and the American 

people, such as the National Exercise Program, National Training Program, 

lessons learned and corrective action platforms, grant programs, and FEMA’s role 

in coordinating the Federal response and recovery efforts during disasters. 

o Updates and enhancements to FEMA mobile site and the FEMA mobile 

application.

o Research, design, and development of emerging technologies.

 Schedule: Complete the above priorities by the end of FY12.

 Website: http://www.fema.gov/about/programs/disastermanagement/.

Disaster Assistance Improvement Plan: 

 Determinations: In 2011, it was determined that it was in the best interest of the 

Government to fund the Disaster Assistance Improvement Plan Initiative in the amount of 

$15,847,536. 

 Priorities: 

o Improve the citizen disaster survivor experience in applying for and receiving 

disaster assistance by providing a consolidated repository of forms of assistance 

(FOAs) and simplifying the application process. Initial completion date for this 

item was December 2008. In 2011, the DAIP PMO began working on usability 

improvements to further improve the Web portal and application process. The 

first of the usability improvements will be implemented in production January 

2012, with additional improvements to usability, the application process, and 

account creation continuing in FY12.

o Enable improvements to DAIP and its partners’ business processes currently in 

place to provide disaster assistance. Completion date for this priority was 

September 2011.

o Improve the coordination of interagency operations to better facilitate disaster 

assistance. Completion date for this priority was September 2011.

 Website: http://www.disasterassistance.gov/daip_en.portal.

Information Systems Security Line of Business (LoB): 

 Determinations: In 2011, it was determined that it was in the best interest of DHS to fund 

the Information Systems Security LoB Initiative in the amount of $3,026,000. 

 Priorities: 

o Establish BPAs for Continuous Monitoring Products and Services. Requirements 

were completed by September 2011 and on-going BPA development continues in 

FY12.
63

o Deliver an acquisition guide for federal agency use in procuring DNSSEC 

services. Priority completed April 2011.

o Identify Situational Awareness and Incident Response Tier IV product acquisition 

targets. A number of targets for SAIR Tier 4 are being considered including 

Continuous Monitoring as a Service, tools and services to support secure email 

gateways and tools and services to support secure wireless networking; work on 

this priority continues in FY12.

o ISS LoB Shared Service Center performance review These are quarterly events, 

with reviews held May 2011, September 2011, and December 2011. Status on 

Shared Service center performance is documented quarterly.

o Develop an ISS LoB sponsored GOTS product repository for agency reference. 

Priority completed May 2011.

International Trade Data System: 

 Determinations: In 2011, it was determined that it was in the best interest of the

Government to fund the International Trade Data System in the amount of $16,000,000. 

 Priorities: 

o Reduce the cost of reporting international trade transactions for business and 

processing international trade transactions 

o Facilitate compliance with Government trade requirements (e.g., transportation, 

public health, safety, export control) 

o Enhance national security by facilitating the sharing of information among 

authorized agencies 

o Provide access to more accurate, complete, and timely international trade 

information 

o CBP has released various interfaces and protocols, including message sets and 

implementation guides, to allow PGAs (Participating Government Agencies) to 

communicate and share information related to cargo imports, and to allow Trade 

Members to supply documentation needed during the cargo release process to 

Federal agencies electronically. These actions will assist in meeting the priorities 

listed; the specific actions and dates are as follows:

 PGA interfaces and interoperability: deployed August 2011.

 PGA web service capability: deployed September 2011.

 PGA message set: deployed December 2011

 Document Image System (DIS) / ACE portal link: March 2011.

 Website: http://www.itds.gov/.

SAFECOM: 

 Determinations: In 2010, it was determined that it was in the best interest of the 

Government to fund the SAFECOM Initiative in the amount of $2,098,000. 

 Priorities:

o Update and deliver the annual SAFECOM grant guidance document to help 

maximize the efficiency in which public safety communications-related funds are 

allocated and spent. Priority completed January 2011.
64

o Provide guidance and support to the Office of Emergency Communications as it 

conducts follow-up state-wide planning evaluation activities. Priority completed 

June 2011.

o Provide guidance and support to the Office of Emergency Communications in its 

delivery of state-wide and tactical technical assistance to state, local and tribal 

governments and first responder organizations. Priority completed September 

2011.

 Website: http://www.safecomprogram.gov/.

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.dhs.gov/xlibrary/assets/foia/privacy_foia_improvement-plan_r.pdf.

Primary FOIA website: http://www.dhs.gov/xfoia/editorial_0579.shtm. 

Frequent requests for records are made available to the public at: 

http://www.dhs.gov/xfoia/editorial_0424.shtm#1. 

Dissemination of Federal Research (R&D) Development Funding to the Public

Public websites disseminating research and development (R&D) information to the public: 

www.safecomprogram.gov. 

From an E-Gov perspective, SAFECOM is a communications program of the Department of 

Homeland Security. SAFECOM provides research, development, testing and evaluation, 

guidance, tools, and templates on interoperable communications-related issues to local, tribal, 

state, and Federal emergency response agencies. The Office for Interoperability and 

Compatibility (OIC) supports SAFECOM-related research, development, testing, evaluation and 

standards. OIC is managed by the Science and Technology Directorate. The SAFECOM website 

is www.safecomprogram.gov.

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : 

DHS enters into formal agency agreements with the following Federal Departments and 

Agencies for the purposes of E-Gov initiatives: Small Business Administration (SBA), General 

Services Administration (GSA), Environmental Protection Agency, Office of Personnel 

Management (OPM), Health and Human Services (HHS), Department of Interior (Interior), 

Department of Labor (Labor), Department of Education (ED), and National Science Foundation 

(NSF). Initiatives where DHS is the managing partner, additional agreements exist with state and 

local emergency management organizations and other private industry organizations. DHS 

participates in the following E-Gov initiatives. 

 Disaster Management: Helps citizens and members of the emergency management 

community at the Federal, Local, Tribal, and State government levels by improving 

public safety response through more effective and efficient interoperable data 

communications and to serve as a unified point of access to disaster preparedness, 

mitigation, response, and recovery information.

 Disaster Assistance Improvement Plan: Disaster Assistance Improvement Plan is a 

Government-wide single portal for disaster victims to submit electronic applications for 
65

assistance. The focus of the current plan is to provide application services following 

major disaster declarations to homeowners and renters, most of which are typically 

referred to SBA for a loan.

 Information Systems Security LoB: The Federal Government’s information systems 

security program enables agencies’ mission objectives through a comprehensive and 

consistently implemented set of risk-based, cost-effective controls and measures that 

adequately protects information contained in Federal Government information systems.

 International Trade Data System: ITDS provides all appropriate agencies a single point 

of access to consolidated import information through a secure web portal, and will 

continue to expand existing public-private partnerships in order to seek and share 

recommendations and best practices within the importing community.

 SAFECOM: SAFECOM functions as the key Federal coordinator for promoting and 

providing support to local, tribal, state, and Federal public safety agencies for the 

improvement of public safety response through more effective and efficient interoperable 

wireless communications.

 Enterprise Human Resource Integration: The EHRI initiative develops policies and tools 

to streamline and automate the electronic exchange of standardized HR data needed to 

create official employee records across the Executive Branch. The EHRI toolset and 

central data repository will provide comprehensive knowledge management, workforce 

analysis, forecasting, and reporting across the Executive Branch for the strategic 

management of human capital.

 E-Rulemaking: Improves the access to, and quality of, the rulemaking process for 

individuals, businesses, and other Government entities while streamlining and increasing 

the efficiency of internal agency processes.

 E-Training: E-Training is a Government-wide initiative focused on creating a premier Etraining environment that supports the development of the Federal workforce and 

advances the accomplishment of agency missions through simplified, one-stop access to 

E-Training products and services.

 GovBenefits.gov: Provides a single point of access for citizens to locate and determine 

potential eligibility for Government benefits and services.

 Grants.gov: Grants.gov is a single portal for all Federal grant customers to find and apply 

for grants online.

 IAE-Loans and Grants: The Federal Funding Accountability and Transparency Act of 

2006 (FFATA) requires OMB to “ensure the existence and operation of a single 

searchable website, accessible by the public at no cost” that includes information on each 

Federal award. The IAE – Loans and Grants initiative supports the FFATA for the 

relationship with Dun and Bradstreet (D&B) and Data Universal Numbering System 

(DUNS) support services. The IAE Program Management Office shall execute any 

interagency funding agreements necessary to cover the cost of participating in the 

initiative and ensure administration of the D&B contract.

 Integrated Acquisition Environment: This initiative creates a secure business 

environment that facilitates and supports cost-effective acquisition of goods and services 

by Federal agencies, while eliminating inefficiencies in the current acquisition 

environment.

 Budget Formulation and Execution (BFE) LoB: The BFE LoB strives to find solutions 

that link budget formulation, execution, planning, performance, and financial 
66

information. Areas of particular interest include technology, budget performance 

integration, data collection and tracking, financial management integration, and human 

capital.

 Financial Management LoB: Improves the cost, quality, and performance of financial 

management, reducing non-compliance systems by leveraging common standards, shared 

service solutions and implementing other Government-wide reforms that foster 

efficiencies in Federal financial operations.

 Geospatial LoB: The Geospatial LoB will identify opportunities for optimizing and 

consolidating Federal geospatial-related investments and activities to reduce the cost of 

Government and improve services to citizens.

 Grants Management LoB: A Government-wide system to support end-to-end grants 

management activities that promote citizen access, customer service, and agency 

financial and technical stewardship.

 HR Management LoB: Cross-agency system that seeks to provide modern, cost-effective, 

standardized, and interoperable Human Resource services; providing common core 

functionality to support the strategic management of Human Capital.

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules:

Component-Total Systems-Systems Scheduled: DHS-181-128, CIS-46-39, CBP-65-43, ICE-87-

58, FEMA-79-19, FLETC-3-2, USSS-71-70, USCG-92-34, and TSA-98-14. 

Systems with approved NARA schedules are available to be viewed from this web site -

http://www.archives.gov/records-mgmt/rcs/ and further information is provided below:

As reflected in the Chief Acquisition Officer (CAO)/Records Management scorecard for the 

third quarter of FY11, the number of total systems and systems for which schedules have been 

submitted are provided below.

Component Total Systems Systems Scheduled

DHS 181 128

CIS 46 39

CBP 65 43

ICE 87 58

FEMA 79 19

FLETC 3 2

USSS 71 70
67

Component Total Systems Systems Scheduled

USCG 92 34

TSA 98 14

All DHS Systems with applicable schedules:

Component Name Schedule

CHCO

Human Capital Business Systems - Enterprise Integration 

Environment (HCBS - EIE) GRS

CIS 

Ombudsman

Office of the Citizenship & Immigration Services 

Ombudsman (CISOMB) N1-563-08-1

DNDO DNDObids GRS 3, Item 05

DNDO DNDOBIDS/SBIR GRS 3, Item 3

DNDO

Enterprise Architecture Repository and Requirements 

Management System (EAR-RMS) GRS 27, Item 02

DNDO

Joint Analysis Center Collaborative Information System 

(JACCIS) N1-563-09-09

IA

Domestic Terrorism/Ideologically Based Violence (DTx) 

Incident Database N1-563-08-024

IA Homeland Security Intelligence Database (HSIDB) N1-563-07-16-3

IA HSIN - Intel N1-563-07-16-3

IA HSIN Next Generation N1-563-08-19-1

IA HSIN-Intelligence Portal N1-563-07-16-3

IA HSIN-S N1-563-07-16-3

IA IA-R Contact DB N1-563-07-16-2

IA Intelligence and Information Fusion (I2F) N1-563-07-16-3

IA IWW 24 Hour Log N1-563-07-11
68

Component Name Schedule

IA Organizational Shared Space (OSS) N1-563-07-16-4

IA Pantheon N1-563-07-16-5

IA Pathfinder N1-563-07-16-3

Infrastructur

e Earned Value Management System GRS 5, Items 2,3,4

ITSO ISD CRCL External Complaints N1-563-07-006

ITSO ISD

Department of Homeland Security Treasury Information 

Executive Repository (DHSTIER) GRS 6, Item 1

ITSO ISD Enterprise Architecture Information Repository Grs 27, Item 02

ITSO ISD Enterprise Identity Management System (EIMS) GRS 18, item 22a

ITSO ISD ePerformance GRS 1, item 23

ITSO ISD

Identity Credentialing Issuance Station and System 

(ICISS) GRS 11, item 4a

ITSO ISD Integrated Security Management System (ISMS) GRS 18, Item 22

ITSO ISD Intranet Quorum (IQ) N1-563-07-1

ITSO ISD Mail Business Intelligence Tool (MBIT) N1-563-08-15

ITSO ISD NBIS - National Bio-Surveillance Integration System N1-563-08-18

ITSO ISD Performance Management GRS 1, Item 23a(1)

ITSO ISD Physical Access Control Service (PACS) GRS

ITSO ISD

Procurement Request Information System Management 

(PRISM) GRS 03, item 03

ITSO ISD Prosight IMS GRS 27, ITEM 1

ITSO ISD Prosight new Periodic Reporting System (nPRS) GRS 27, item 3

ITSO ISD Prosight Periodic Reporting System (PRS) GRS 27, ITEM 1

ITSO ISD Real Property Information System (RPIS) GRS 3, item 01
69

Component Name Schedule

ITSO ISD Service Catalog (SVC CTLG) GRS 8, items 6,7

ITSO ISD Sunflower Asset Management System (SAMS) GRS 08, item 05

ITSO ISD TALENTLink GRS 1, Item 4

ITSO ISD webTA GRS 2, Item 1a

Management DHS Foreign Access Management System (DFAMS) N1-563-09-001

Management DHSAccessGate System N1-563-09-002

Management DHScovery GRS 01, item 29

Management Lenel's On Guard (Access Control System) GRS 18, item 22a

Management MAXHR Solution Component e-Performance System

GRS 01, item 

23a(1)

Management Personal Identify Verification Management System (PIV) GRS 18, item 22a

NPPD Air and Sea Exit (Increment 1B)

See IDENT (N1-

563-08-34-1)

NPPD Arrival Departure Information (ADIS)

See IDENT (N1-

563-08-34)

NPPD Automated Biometric Identification System (IDENT) N1-563-08-34

NPPD

Automated Identification Management System - AIDMS 

(Increment 2C)

See IDENT (N1-

563-08-34-1)

NPPD Chemical Security Assessment Tool - Classified N1-563-07-7

NPPD Chemical Security Assessment Tool Version 2.0 N1-563-07-7

NPPD Chemical Security Awareness Training Program N1-563-08-11-2

NPPD Chief of Staff Dashboard GRS 23, item 05a

NPPD Clarity GRS 27, Item 3

NPPD

Communication Assets Survey and Mapping Tool 

(CASM) N1-563-08-32
70

Component Name Schedule

NPPD Communications Asset Database (CAD) N1-563-08-43

NPPD Constellation/ACAMS 2.0

See IICP (N1-563-

08-14)

NPPD

Critical Infrastructure Warning Information Network 

(CWIN) N1-563-07-8

NPPD

Critical Infrastructure/Key Resources (CI/KRs) Sector 

Clearance Program (SCP) Master Roster GRS 18, item 22a

NPPD CSAT - Chemical Security Assessment Tool N1-563-07-007

NPPD

CWIN SBU -Critical Infrastructure Warning Information 

Network N1-563-07-008

NPPD iCAV - S

See IICP (N1-563-

08-14)

NPPD iCAV - SBU

See IICP (N1-563-

08-14)

NPPD Infrastructure Information Collection Program (IICP) N1-563-08-14

NPPD Linking Encrypted Network System N1-563-08-25

NPPD Master Station Log (MSL) Glebe Rd N1-563-07-10

NPPD NADB - National Asset Database - Secret

See Infrastructure 

Information 

Collection Program 

(IICP)

NPPD NADB- National Asset Database- SBU

See IICP (N1-563-

08-14)

NPPD National Capabilities Analysis Database (NCAD) N1-563-08-26

NPPD NBIS Operational Display System (NODS)

See BCON (N1-

563-08-18-1)

NPPD NEXMSEL Tool GRS 18, item 28

NPPD NICC Insight (Prizm) N1-563-08-27
71

Component Name Schedule

NPPD

NPPD-US-VISIT-Comprehensive Biometric Exit-Air/Sea 

(2010)

See IDENT (N1-

563-08-34)

NPPD

NPPD-US-VISIT-Comprehensive Biometric Exit-Land 

(2010)

See IDENT (N1-

563-08-34)

NPPD

NPPD-US-VISIT-Unique Identity-10-Print 

Interoperability (2010)

See IDENT (N1-

563-08-34)

NPPD PCII esubmissions

See PCIIMS (N1-

563-08-36-1)

NPPD Priority Telecommunication System (PTS) N1-563-07-9

NPPD Priority Telecommunications Service (PTS) N1-563-07-12

NPPD

Protected Critical Infrastructure Information Management 

System N1-563-08-036

NPPD Protective Security Analysis Center- PSAC N1-563-08-32-1

NPPD PSCD Support Tools (PST) GRS 18, item 27

NPPD PSD Quick Response Communications Package (SBU) GRS 18, item 27

NPPD PSD Quick Response Communications Package (Secret) GRS 18, item 27

NPPD Technology Assessment Network (TAN) N1-563-08-42

NPPD Telecommunications Service Priority (TSP) Web N1-563-07-9-1

NPPD TRACS N1-563-08-35

NPPD Tripwire N1-563-08-28

NPPD US-CERT Malware In Process

NPPD US-VISIT TechDocs GRS 24, item 11a

NPPD

VISAT- Vulnerability Identification Self-Assessment 

Tool

See IICP (N1-563-

08-14)

NPPD/FPS FPS Data System GRS 08, item 06

NPPD/FPS Web Records Management System (WebRMS) GRS 18, item 14
72

Component Name Schedule

OAT Enterprise Architecture Information Repository Grs 27, Item 02

OIG Investigative Data Management System (IDMS) N1-563-07-5

OIS OIG Enforcement Data System

See IDMS (N1-

563-07-5)

Operations 

Coordination Homeland Security Information Network (HSIN) - SBU N1-563-08-19

Operations 

Coordination HSIN Next Generation N1-563-08-19-1

Operations 

Coordination

NOC BDS - National Operations Center Briefing Display 

System

NOT MAJOR 

APPLICATION

Operations 

Coordination TAF/C GRS 24, item 05a

OPS Homeland Security Information Network (HSIN) N1-563-08-19

OPS

National Operations Center (NOC) Senior Watch Officer 

(SWO)/Tracker Logs N1-563-08-23

OPS Operations Directorate COOP/Personnel Database N1-563-07-14

OPS Repeat and Disruptive Callers Database (RDCR) N1-563-07-15

POL Performance Analysis System (PAS)

Transferred to 

USCIS

Science and 

Technology Access Commander GRS 20, item 09

Science and 

Technology

Biological Warning and Incident Characterization System 

(BWICS)

See BCON (N1-

563-08-18-1)

Science and 

Technology

Execution Performance Invoice Consolidation Tool -

EPIC/BAIRS GRS 3, item 03

Science and 

Technology FirstResponders.gov

Transferred to 

FEMA

Science and 

HSARPA BAA_SBIR GRS 3, Item 3
73

Component Name Schedule

Technology

Science and 

Technology PREDICT N1-563-08-37

Science and 

Technology Project Execution System (PES) GRS 27, Item 3

Science and 

Technology SAFECOM Baseline Searchable DB System N1-563-07-18

Science and 

Technology SAFECOM Website N1-563-08-30-2

Science and 

Technology SAFETY Act N1-563-07-23

Science and 

Technology

Safety Act Business Process Management Research 

System (SABPMRS)

See Safety Act (N1-

563-07-23)

Science and 

Technology Staffing Management System GRS 01, item 18a

Science and 

Technology Standardized Policies and Procedures - SP2 GRS 20, item 09

Science and 

Technology

Support Anti-Terrorism by Fostering Effective 

Technologies Act Website (SAFETY ACT)

See Safety Act (N1-

563-07-23)

Science and 

Technology Tech Solutions N1-563-07-21

Science and 

Technology Technical Evaluation System for SAFETY Act N1-563-07-23

Science and 

Technology Technology Clearinghouse N1-563-07-22

Implementation of Electronic Signatures for Interoperability 

Currently, the Department issues digital certificates as “soft certificates” to enable digital signing 

and encryption of email and documents. Those certificates are made available to users on an asneeded basis. For example, the DHS Science and Technology Directorate uses digital signatures 

extensively for securely communicating and transferring sensitive data within S&T (Employees 

and Contractors) as well as secure communications with the Department of Energy, Department 
74

of Defense, and the Government of Canada. As a result of the HSPD-12 program, now virtually 

all DHS employees and contractors will have a digital signing and encryption certificate as part 

of their credential. This fact coupled with existing and recent enterprise software purchases will

enable almost any users across the Department to more securely conduct interoperable, 

electronic transactions. Pilots are underway in multiple Components and offices across the 

Department as the IT infrastructure to support an enterprise digital signature capability is 

underway as a high-priority initiative. 

Electronic Means of Enhancing Public Participation in Government

OMB Implementation Guidance for the E-Government Act of 2002 directed Federal Agencies to 

make their regulatory docket information accessible and searchable to the public using the 

Regulations.gov web site, the public facing side of the Federal Docket Management System 

(FDMS). Through a customizable agency interface, FDMS provides DHS users with the ability 

to manage docket materials through the use of role-based access controls; workflow and 

collaboration processes; creating/managing/revising content; comment management; and 

integrated COTS scanning solutions. Regulations.gov serves as a trusted source of Federal 

information providing the public with easy one-stop access to all posted agency information. 

Since September 2007, all DHS rulemaking activities are posted through 

FDMS/Regulations.gov. In calendar year 2010 (the latest data available), DHS posted a total of 

6,355 documents to FDMS, 579 rules and proposed rules, and received 1,513 public comments 

in Regulations.gov.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

The Department has been working diligently to improve outcome-oriented performance 

measurement at both the Enterprise and individual IT program levels. 

Enterprise Performance: The Federal Information Security Management Act (FISMA) 

compliance measure is not expected to meet the target for FY11 because the FISMA Scorecard 

was revised due to new FISMA requirements and other data collection needs, thereby raising the 

acceptable level of performance. The Enterprise Architecture maturity score is likely to reach 3 

by the end of FY11. As of July 22, 2011, three domains/segments are covered by portfolio 

governance. The fourth domain/segment will have its first meeting by the end of the fiscal year, 

thus meeting the FY11 target.

Major IT Program Performance: The Department continues to provide monthly updates on DHS 

major IT programs reported on the Federal Information Technology (IT) Dashboard. Through 

the IT Dashboard, DHS shares up-to-date investment, planning, and performance information for 

the existing 87 major IT programs across all Components of DHS. These updates can be found 

at the following URL: http://www.itdashboard.gov/.

In compliance with OMB’s 25 Point Implementation Plan to Reform Federal Information 

Technology Management, DHS OCIO implemented the TechStat process used to perform 

comprehensive reviews of troubled IT program, identify and document issues, and provide 

correct actions. In FY12, OCIO plans to transfer the responsibility of conducting regular 

TechStats to the Components. OCIO will still maintain oversight of the TechStat process.
75

Reducing Errors through Electronic Submissions 

The Department as a whole engages in 462 information collections from the public. Of these, 

there are 271 in which the information is submitted electronically. From an E-Government 

perspective, the best examples of these electronic submissions include Grants.gov, 

GovBenefits.gov, and DisasterAssistance.gov. Through these websites, applicants submit their 

requests for grants, benefits, and disaster assistance. This information feeds content management 

systems that route the applications for review and approval. The accuracy of the data in the 

applications is important in the award of the grant or benefit. More than just submitting a 

scanned image of a form, the individual fields completed on each application reduce the errors 

when compared to hand-written or verbal submissions. This saves both time and administrative 

burden when reviewing and adjudicating the applications.

Efforts to Comply with Section 508 Regarding Information Management 

The Officer for Civil Rights and Civil Liberties and the DHS CIO continue to collaborate to fully 

implement and enforce the provisions of Section 508 throughout the Department. The two 

offices worked in concert to establish a Department-wide Section 508 program, run by the Office 

on Accessible Systems & Technology (OAST). OAST continues to be a catalyst for great 

progress in the Section 508 compliance area, performing periodic scanning of Department 

systems. OAST operations and services include:

Accessibility Helpdesk: Staff a single point of contact for employees with accessibility needs or 

questions regarding 508 compliance. OAST processed 2,551 DHS Accessibility Help Desk 

requests, a 5.3 percent increase over last year. 

Training and Outreach: OAST offers an extensive selection of hands-on, online and customized 

training opportunities. The Department successfully trained 1,032 DHS employees (COTRs, 

Program/Project Managers, developers) on Section 508 compliance and testing procedures. 

OAST conducted two “Listening Sessions” - Deaf/HoH & Low Vision/Blind DHS employees. 

These sessions provided DHS employees the opportunity to identify and share experiences 

whereby there was a lack in assistive services. 

Document accessibility: OAST personnel provide assistance to all DHS Components, as well as 

various external audiences, in reviewing and remediating electronic document files, including 

forms, memorandums, informational pamphlets, flyers and various reports. 

Governance: OAST governance and compliance activities include assessing performance of IT 

programs and organizations, as well as managing accessibility risks through detailed process 

controls. DHS conducted 362 IT Acquisition Reviews for Section 508 compliance – thereby 

influencing more than $3.5B worth of IT acquisitions. The Department launched DHS 

Component Dashboard to assist in tracking Section 508 activities across Components. 

Application accessibility assessment: OAST provides accessibility assessments, reviews and 

evaluations of commercial and Government applications, including Web applications, for 

Section 508 compliance. The Department evaluated 405 IT applications for 508 compliance.
76

Examples of additional efforts throughout DHS include the IT Acquisition Review (ITAR), EA 

Center of Excellence, and Paperwork Reduction Act Program Management, in which 508-

compliance is built into the IT governance and compliance process.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

Under OCIO leadership, the Enterprise Architecture team achieved cost avoidance and/or 

efficiency improvements of at least $25M by rationalizing the portfolio of IT applications and 

standardizing processes and technologies in four additional segments of the Homeland Security 

EA. The Department of Homeland Security redirects any costs saved through efficiencies to 

other priorities.

Department of Housing and Urban Development

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.hud.gov/offices/cio/documents/itstratplan3.pdf. 

Enterprise Architecture (EA) Plan: 

http://portal.hud.gov/hudportal/documents/huddoc?id=DOC_13831.pdf. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

http://portal.hud.gov/portal/page/portal/HUD/about/inventory. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://portal.hud.gov/portal/page/portal/HUD/about/inventory.

HUD.gov was developed as the information clearinghouse for the public and the Department of 

Housing and Urban Development’s (HUD) business partners. Consequently, HUD’s E-Gov 

initiatives already provide the most commonly requested information under the Freedom of 

Information Act and through email and telephone contacts. However, to ensure requested 

information is available HUD staffs who routinely respond to customer questions, provide 

feedback on any frequently requested information that is not already available on HUD's 

website. HUD has identified the inventory of information priorities and schedules available at: 

http://portal.hud.gov/portal/page/portal/HUD/about/inventory

This Web Publication Schedule page also provides a link to HUD's Web Manager mailbox and 

solicits public comments and suggestions. As new information becomes available at HUD that is 

important to the public, the Department is committed to putting it on HUD's Homes and 

Community website. HUD’s information dissemination products, catalogs, directories, 

inventories and other management tools are found on HUD.gov Resources, Contact Us, and 

HUD User web pages.

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.hud.gov/offices/adm/hudclips/handbooks/ogch/13271/index.cfm
77

Primary FOIA website: 

http://portal.hud.gov/portal/page/portal/HUD/program_offices/administration/foia. 

Frequent requests for records are made available to the public at: 

http://www.hud.gov/offices/adm/foia/referencematerials.cfm .

Dissemination of Federal Research and Development (R&D) Funding to the Public

Not Applicable, HUD does not fund research and development (R&D) activities 

Dissemination of Formal Agency Agreements with External Entities to the Public

Agreements either between or among Federal agencies, or between Federal agency and state or 

local governmental agencies or nongovernmental entities, go by many names, for example, 

memorandum of agreement, memorandum of understanding, interagency agreements, and 

intergovernmental agreement.

Historically, HUD has successfully carried out its mission through its relationships with other 

Federal agencies and various business partners, including nonprofit organizations, state and local 

governments, housing agencies, authorities, and tribes; community and faith-based 

organizations, various housing industry groups including lenders, brokers, appraisers, and 

multifamily developers and owners, health care facilities providers, small businesses; fair 

housing organizations; and investors. These partnerships have allowed the development of 

various communication vehicles and channels that increase its ability to deliver information to its 

customers. Efforts that are resulting in effective communications include:

Disaster Assistance Improvement Plan (DAIP): The Disaster Assistance Improvement Plan 

(DAIP) implemented DisasterAssistance.gov to improve the delivery of disaster assistance all 

across Federal Government. The initiative includes member agencies that have active disaster 

assistance programs as well as those that do not. 

http://www.disasterassistance.gov/daip_en.portal. 

Grants.gov: Grants.gov enables Federal agencies to publish grant funding opportunities and 

application packages online while allowing the grant community to search for opportunities and 

download, complete, and electronically submit applications. By using Grants.gov, HUD was 

able to receive and review applications for funding through a single interface. http://grants.gov/.

Integrated Acquisition Environment: IAE creates a secure business environment that will 

facilitate and support cost-effective acquisition of goods and services by agencies, while 

eliminating inefficiencies in the current acquisition environment. This initiative will promote 

increased efficiency and effectiveness of goods and services in a cost effective manner, while 

providing more access to small business. By using IAE HUD has the capability to access 

common systems that support the procurement process (e.g., past performance, central contractor 

registration), and share data and expenses with other agencies, thus providing greater 

functionality and better information at reduce cost. https://www.acquisition.gov/.
78

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

In compliance with NARA Bulletin 2006-2, 100 percent of HUDs financial information systems 

have been approved by NARA. HUDCLIPS and HUDs Web Management records were

approved in FY11. HUDs Directives/Issuances/Policy files were converted from a temporary 

retention to a permanent collection. OGCs Legal record schedule was approved as media-neutral 

records. 

HUD public website to HUD Records Disposition Schedules can be found at: 

http://portal.hud.gov/portal/page/portal/HUD/program_offices/administration/hudclips/handbook

s/admh/2225.6.

The public website to HUD Records Control Schedules can be found at: 

http://www.archives.gov/records-mgmt/rcs/schedules/index.html?dir=/departments/departmentof-housing-and-urban-development/rg-0207.

Implementation of Electronic Signatures for Interoperability

HUD is evolving and maturing its use of electronic authentication tools to support secure access 

to systems and data both internally and externally. Internally, HUD has issued FIPS 201 

compliant personal identity verification (PIV) credentials to virtually 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 electronic signature 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. 

Electronic Means of Enhancing Public Participation in Government 

HUD continues to support the effort to support Regulations.gov, the Government-wide website 

that provides the public a portal to access and participate in the Federal rulemaking process. 

HUD has participated in this effort since the inception of Regulation.gov in 2002. Since that 

time, HUD has posted all of its documents requesting public comment (e.g., proposed and 

interim rules) on Regulations.gov. In addition, HUD includes language in all documents 

published in the Federal Register alerting the public to Regulations.gov as the preferred method 

of submitting comments. During the last fiscal year, HUD has received over 20,000 public 

comments through Regulations.gov. In addition, HUD has actively served on the Executive 

Board overseeing Regulations.gov and on its various task groups.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

To realize HUD’s mission to create strong, sustainable, inclusive communities and quality, 

affordable homes for all, the HUD Strategic Plan articulates five overarching goals. These goals 

guide the transformation of HUD to implement place-based policies; drive a balanced, 

comprehensive national housing policy that supports sustainable homeownership and affordable 
79

rental homes alike; and build the strong and discrimination-free communities that serve as the 

foundation for opportunity.

The Management Action Plan (MAP) translates the broad goals and outcome measures in 

HUD’s FY10-FY15 Strategic Plan into specific, quantifiable targets and actions that HUD plans 

to accomplish in the upcoming fiscal year. The MAP focuses on Agency Priority Goals (APGs), 

priorities which the Department has committed to achieve by the end of FY13. The MAP also 

includes objectives to achieve Goal 5 in the HUD Strategic Plan, Transforming how HUD does 

business. 

The Government Performance and Results Modernization Act of 2011 require all Federal 

agencies to develop a set of APGs against which they will report progress quarterly. HUD 

identified seven APGs during a series of priority setting meetings with senior leadership during 

the spring of 2011, representing some of the core programs of the agency. Four of the seven 

APGs are extensions of the FY10/11 APGs (formerly known as High Priority Performance Goals 

(HPPGs)). 

The MAP is not intended to represent all of the work HUD will do towards achieving the 

Department’s goals, rather it focuses on the strategies and targets related to achieving the APGs 

and strategies related to achieving Goal 5 of the Strategic Plan. Further detail for programs and 

activities that do not contribute to the APGs or Goal 5 objectives will be reflected in each 

program and support area Operating Plans which are still under development. The FY12/13 

MAP is designed to: 

 Include both program and place-based activities, outputs and outcomes; 

 Guide the work activities of HUD staff in headquarters and in the field; and 

 Ensure that HUD achieves the Department’s Strategic goals 

Reducing Errors through Electronic Submissions

HUD has consistently utilized XML schema and the eCPIC tool to submit data to the Office of 

Management and Budget (OMB) to update the Federal IT Dashboard and subsequently ensure its 

accuracy, reliability, and timeliness. HUD has already made the details of its major investments 

available on the dashboard, along with links to detailed financial information, Exhibit 300s, and 

other relevant data. HUD is fully committed to the principles of Open Government and 

recognizes the importance of not simply submitting data to the IT dashboard but of ensuring the 

quality and reliability of that data. Ranked among the best plans, HUD’s Open Government plan 

was received favorably throughout the Government and among numerous watchdog groups. 

Active collaboration with OMB has already revealed certain deficiencies that need to be rectified 

and yielded a number of lessons learned that will be useful in moving forward. 

HUD has been a leader in Open Government and is committed to making its operations more 

transparent and intelligible to the American people. The Department is proud of its efforts to 

modernize its IT investment management processes and its work with OMB in releasing 

investment data and proactively addressing data quality issues. HUD is committed to continuing 

to modernize its practices and to fully implement its planned controls that will better ensure data 

quality for the Federal IT Dashboard.
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Efforts to Comply with Section 508 Regarding Information Management 

HUD has integrated Section 508 standards into its procurement and system development 

standards. All contracts for the procurement of electronic information processing equipment, 

Commercial off- the- shelf software (COTS) and information processing services have a clause 

stating that all appropriate deliverables must be Section 508 compliant. The Department has 

conducted training for procurement officials, project managers and information technology 

professionals to assure a complete understanding of the letter and intent of Section 508.

The Section 508 roles and responsibilities of involved personnel have been stressed in instructorled classes and all class material is available on the Department’s intranet site to ensure clear 

guidance for each key procurement process area (HUD Requiring Officials, the Procurement 

Office, the Section 508 Coordinator, the Office of Fair Housing and Equal Opportunity, and its 

Assistive Technology Program). Carrying out the outlined responsibilities ensures that HUD 

acquires the most compliant EIT. Additionally, HUD's web policies state the following:

HUD’s websites, including all online applications and work processes, must comply with Section 

508 of the Rehabilitation Act of 1973, making content accessible to people with disabilities. 

Section 508 requires that anyone with disabilities must be able to access and use information and 

data on a website, comparable to the way people without disabilities can get that information and 

data, unless it would cause the agency an undue burden. 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

During FY12 and FY13, HUD currently expects to retire or decommission and receive expected 

cost savings (ECS) from these systems once the new capabilities for the Transformation 

Initiative (TI)/IT initiatives are in place: 

 Program Accounting System (PAS) – ECS: $411,733;

 HUD’s Central Accounting and Program System (HUDCAPS) – ECS: $3,298,259;

 Fair Housing Administration Subsidiary Ledger (FHASL) – ECS: $2,525,390;

 Grants Management Process (GMP) Legacy - ECS: $119,000. 

HUD has not yet quantified programmatic efficiencies that may occur following the 

implementation of new supporting technologies for the target business areas. Planning is 

currently on the way to determine projected retirement dates and estimated cost savings of 

approximately ten additional systems.

Department of Justice

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: http://www.justice.gov/jmd/ocio/itstrategic-plan.htm. 

Enterprise Architecture (EA) Plan: The Department of Justice (Justice) Enterprise Architecture 

(EA) is an integrated, agency-wide blueprint designed to help Justice use information technology 

resources more efficiently and effectively, and to improve the delivery of Justice’s critical 

mission programs. The Department Transition Strategy and Sequencing Plan (T&S) documents 

Justice’s progress towards the Target Enterprise Architecture (EA). The goal of the T&S is to 
81

clearly articulate Segment performance and provide a summary of modernization activities. The 

intent of the T&S is to enable better management of Justice systems and programs against 

agency-wide plans. The T&S Plan also shows how the Department's investments will address 

performance gaps and work to improve Justice capabilities; driving the Department towards the 

Target Architecture. 

Information Dissemination Management to the Public

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://www.justice.gov/jmd/ocio/egovschedule.htm. The Department of Justice publishes a 

comprehensive web site inventory and priority list that is available for public comment at all 

times. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: www.justice.gov/oip/04_3.html. 

Primary FOIA website: www.justice.gov/oip. 

Frequent requests for records are made available to the public at: www.justice.gov/oip/foialibrary.html. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

 www.nij.gov/

 www.bja.gov/

 www.ojjdp.gov/

 www.it.ojp.gov

 www.dna.gov

 www.ojp.usdoj.gov

 www.nij.gov/

 www.bja.gov/

 www.bjs.gov/

 www.ojjdp.gov/

 www.ovc.gov/

 www.ncjrs.gov

 www.dna.gov

 www.smart.gov/

Dissemination of Formal Agency Agreements with External Entities to the Public

The 2011 inventory describing agreements with external entities complementing Justice’s 

information dissemination program is below:

 City, county, and state law enforcement, http://www.fbi.gov/about-us/cjis/ucr/ucr.

 Community Anti-Drug Coalitions of America (CADCA National Coalition), 

http://cadca.org

 Corporation for National and Community Service, http://www.nationalservice.gov/
82

 Development Services Group, http://www.ojjdp.gov/mpg/

 Justice Research and Statistics Association, http://www.jrsainfo.org/

 National Center for Juvenile Justice, 

http://www.ncjjservehttp.org/NCJJWebsite/main.html

 National Center for Missing and Exploited Children, 

http://www.ncmec.org/missingkids/servlet/PublicHomeServlet?LanguageCountry=en_U

S&

 National Criminal Justice Association, http://www.ncja.org

 National Criminal Justice Reference Service (NCJRS), http://www.ncjrs.gov

 National Criminal Justice Reference Service - Justice Information Listserv – JUSTINFO, 

http://www.ncjrs.gov/justinfo/dates.html 

 National Criminal Justice Reference Service - Library monthly update of titles on 

international topics added to the collection, https://www.ncjrs.gov/imal.html

 National Criminal Justice Reference Service - Library weekly update of titles added to 

the collection, http://www.ncjrs.gov/wal.html 

 National Criminal Justice Reference Service - Program for the International Document 

Exchange (IDE) of justice information, http://www.ncjrs.gov/intlide.html

 National Training and Technical Assistance Center, http://www.nttac.org

 Pacific Institute for Research and Evaluation, http://www.udetc.org

 State Administering Agencies, www.ojp.usdoj.gov/saa/

 University at Albany, School of Criminal Justice, http://www.albany.edu/sourcebook/

 U.S. General Services Administration, Office of Citizen Services and Communications, 

www.usa.gov/About.shtml

 Urban Institute - Federal Justice Statistics Resource Center (FJSRC), 

http://fjsrc.urban.org/index.cfm

Bureau of Justice Statistics Listserv, JUSTSTATS

 Database aggregators that host the NCJRS Abstracts Database, 

DIALOG/Cambridge/EBSCO

 Editors of justice and substance abuse periodicals, Criminal Justice Editors' Group

 International audience of justice and substance abuse researchers, policymakers, 

practitioners, and others, Electronic Mailing Lists

 Multi-disciplinary group of NCJRS customers, Consumer Advisory Network

 National Archive of Criminal Justice Data (NACJD), 

http://wwwwww.icpsr.umich.edu/NACJD/index.html

 Español for Law Enforcement: Online Training, http://espanolforlawenforcement.gov

 Law Enforcement Aviation Technology Program, 

http://lawenforcementaviation.org/index.htm/Sheriffs_Association_of_Texas___Border_

Research_Technology_Center/Home.html

 Mock Prison Riot, http://mockprisonriot.org/mpr/index.aspx

 NIJ Consultant Information System, http://www.nijcis.org

 DNA Initiative, http://www.dna.gov

 The Hague Domestic Violence Project, http://www.haguedv.org/

 The Rural Law Enforcement Technology Institute, http://rleti.org

 Electronic Crime Partnership Initiative, http://ecpi-us.org/contacts.html

 Forensic Science Continuing Education Course List, https://www.forensiced.org/
83

 National Forensic Science Technology Center (NFSTC), www.nfstc.org

 Justice Technology Information Network (JUSTNET), 

http://www.justnet.org/Pages/home.aspx

 National Clearinghouse for Science, Technology, and Law, www.ncstl.org

 Marshall University Forensic Science Center, DNA Training Pages, 

http://forensics.marshall.edu/

 Electronic Monitoring Resource Center, https://emresourcecenter.nlectc.du.edu/

 NamUs Unidentified Persons, https://identifyus.org/

 NamUs Missing Persons, https://www.findthemissing.org/

 Forensic Training Network, https://www.forensic-training-network.com/

 Virginia Center for Policing Innovation, http://www.vcpionline.org/

 West Virginia University, http://elearn.wvu.edu/

 Justice Resource Update, Online and hardcopy publication

 Institute for Intergovernmental Research, http://www.nsopw.gov/Core/Conditions.aspx

 National Calendar of Crime Victim Assistance-Related Events, HELP For Victim Service 

Providers Web Forum, Directory of Crime Victim Services, 

http://ovc.ncjrs.gov/ovccalendar/ , http://ovc.ncjrs.gov/ovcproviderforum/index.asp , 

http://ovc.ncjrs.gov/findvictimservices/

 OVC Gallery, http://ovc.ncjrs.gov/gallery/index.html

 OVC CrimeVictims.gov, http://www.crimevictims.gov

 National Crime Victims' Service Awards Nomination Site, 

https://ovcncvrw.ncjrs.gov/awards/default.html

 National Crime Victims' Rights Week (NCVRW) Weblet, http://ovc.ncjrs.gov/ncvrw/

 Office for Victims of Crime Training and Technical Assistance Center (OVC TTAC), 

www.ovcttac.gov

 Institute for Intergovernmental Research, http://www.nationalgangcenter.gov

 Institute for Intergovernmental Research, http://it.ojp.gov/default.aspx

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://www.archives.gov/recordsmgmt/rcs/schedules/index.html?dir=/departments/department-of-justice/rg-0060

In FY11, the Department of Justice (not including the independent Bureaus: Office of Justice 

Programs (OJP), Executive Office for United States Attorneys (EOUSA), U.S. Marshall Service 

(USMS), Executive Office for Immigration Review (EOIR), Bureau of Alcohol, Tobacco, 

Firearms and Explosives (ATF), Federal Bureau of Investigation (FBI), Drug Enforcement 

Administration (DEA), National Drug Intelligence Center (NDIC), and the Federal Bureau of 

Prisons (BOP) submitted 20 records schedules for electronic information systems (EIS) that 

contain Federal records. According to the Office of Records and Management Policy’s (ORMP) 

most recent records, the Department currently has 194 EIS that contain Federal records, of which 

159 have been scheduled (approved for final disposition) by the NARA, and 25 schedules have 

been submitted by Justice and are awaiting approval by NARA. To the best of Justice’s 

knowledge, only 10 EIS with Federal records are awaiting draft schedules from Justice 

Components which manage the systems.
84

Implementation of Electronic Signatures for Interoperability 

Justice has begun to plan and implement the use of digital signatures as part of the Department’s 

compliance with the Federal Identity Credentialing and Access Management (ICAM) roadmap. 

To date, Justice has enabled a small number of Adobe PDF forms in production and digital 

signing pilots have begun within Justice enabling Adobe PDF documents to be signed using the 

PKI signing certificates present on the HSPD-12 card. Additionally, Justice has established a 

technical infrastructure to provide long-term validation of digitally signed documents. In 

parallel, Justice is exploring implementing Digital Signing as a Service. 

Electronic Means of Enhancing Public Participation in Government 

With one single online website, the Federal Docket Management System (FDMS) enables the 

Department of Justice 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 of Justice with more active regulatory and notice programs are 

the Bureau of Alcohol, Tobacco, Firearms, and Explosives, the Bureau of Prisons, the Civil 

Rights Division, the Drug Enforcement Administration, the Executive Office for Immigration 

Review, and the Federal Bureau of Investigation. 

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

Justice’s Strategic Plan: http://www.justice.gov/jmd/mps/strategic2007-2012/index.html.

Justice’s Performance and Accountability Report: http://www.justice.gov/about/bpp.htm. 

Reducing Errors through Electronic Submissions 

The Department has been submitting its Office of Management and Budget (OMB) Exhibits 53, 

OMB Ex 300A and B, and monthly Federal IT Dashboard updates electronically to OMB 

through the Federal IT Dashboard. The Department uses the electronic Capital Planning and 

Investment Control (eCPIC) application to collect, validate, and submit its IT Budget and project 

management information to OMB. Beginning May 2011, the Department implemented a new 

eCPIC Data Exchange (EDX) process to more directly collect Investment IT budget information. 

The EDX process ensures consistency between budget documents and helps the Department and 

Component agencies minimize IT reporting inconsistencies and redundant data entry. This new 

process serves to collect the data used to produce the Department’s OMB Exhibit 53. 

Efforts to Comply with Section 508 Regarding Information Management 

The Department of Justice has established an Assistive Technology Resource Center (ATRC) 

within the Justice Management Division whose mission is to provide accessible electronic and 

information technology solutions to Department of Justice employees with disabilities. The 

ATRC works with organization managers and employees with disabilities who qualify for 

assistive technology to identify appropriate solutions, and assist with obtaining and installing the 

solutions, and assisting employees learn to employ those solutions. 

The Department’s Office of the Chief Information Officer, Internet Services Office leads regular 

meetings of a Department-wide Content Manager’s forum. One of the key issues that this group 

addresses is ensuring that the Department’s public and internal web pages comply with the 
85

technical requirements of Section 508. The Content Manager Forum share best practices, tools, 

and techniques for ensuring that web content is compliant.

The Department’s Section 508 Coordinator reinvigorated the Accessibility Program by working 

with the department’s components to identify Section 508 Points of Contact within each 

organization. These POCs served as the leads for obtaining responses from each component to 

the FY10 Section 508 Compliance Survey. The results of the survey are being used to develop 

an Accessibility Awareness and Compliance training program. The objective of this training 

program is to raise awareness of the responsibilities of nearly every employee in meeting the 

requirements of Section 508.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

The Department of Justice has implemented several IT programs that have achieved cost savings 

and/or cost avoidance, one example is the Justice Transition from JUTNet to Networx. The 

Department of Justice awarded the Networx contract to manage Justice’s Wide Area Network, 

JUTNet, in July 2010. Pricing reductions went into effect as of November 1, 2010, providing the 

Department with a 14.3 percent savings per month in FY11, as compared to the legacy FTS2001 

rates, resulting in a total FY11 savings of $6.32M. 

Department of Labor

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.dol.gov/cio/programs/ITStrategicPlan2006/IT-Strategic-Plan.htm .

Enterprise Architecture (EA) Plan: http://www.dol.gov/cio/programs/DOL-Transition-StrategyPlan.pdf.

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: In accordance with 

Section 207(f)(2) of the E-Government Act of 2002, the Department of Labor (Labor) posts its 

web content publication schedule at the following link: 

http://www.dol.gov/dol/aboutdol/content.htm. Additional publication resources are listed under 

the FOIA Reading Room at http://www.dol.gov/dol/foia/readroom.htm. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: In 

accordance with Section 207(f)(2) of the E-Government Act of 2002, Labor posts its web content 

publication schedule at the following link: http://www.dol.gov/dol/aboutdol/content.htm. 

Additional publication resources are listed under the FOIA Reading Room at: 

http://www.dol.gov/dol/foia/readroom.htm. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.dol.gov/dol/foia/guide6.htm. 

Primary FOIA website: http://www.dol.gov/dol/foia/. 
86

Frequent requests for records are made available to the public at: 

http://www.dol.gov/dol/foia/readroom.htm. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

The Employment and Training Administration's (ETA) website http://www.doleta.gov/research/, 

provides information on ETA’s completed, current, and planned research and evaluation 

projects. Occupational Safety and Health Administration ‘s (OSHA) website, 

http://www.osha.gov/dte/sharwood/index.html, provides information about the Susan Harwood 

Training Grant Program which is designed to provide training and education programs for 

employers and employees on the recognition, avoidance, and prevention of safety and health 

hazards in their workplaces. Additional information on these grants as well as other competitive 

grants can be found on Labor’s Grant Application and Award Database, 

http://www.dol.gov/dol/grants. This database, which was launched in September 2011, provides 

the public a central location to find award and programmatic information on all Labor’s 

competitive grants. Labor is promoting greater transparency to the grant making process by 

posting the abstracts of grant applications, and the contents of all grant applications selected for 

award. This site is a work in progress as new features and functionality will be added in the first 

quarter of 2012.

On April 15, 2010, Labor launched a website that provides searchable enforcement data 

produced by the Office of Federal Contract Compliance Programs (OFCCP), Employee Benefits 

Security Administration (EBSA), OSHA, Wage and Hour Division (WHD), and the Mine Safety 

and Health Administration (MSHA), http://ogesdw.dol.gov/. The purpose of the enforcement 

website is “to make the enforcement data accessible and searchable, using common search 

criteria, by the public. Since its initial launch new features and functionality have been added.

Dissemination of Formal Agency Agreements with External Entities to the Public

Labor 's inventory of formal agency agreements is published at the following link: 

http://www.dol.gov/dol/2011MOUE-GovReport.htm .

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

Labor has 175 approved records schedules covering the retention and disposition of Labor 

agency records. In FY11, in accordance with Section 207(e) of the E Government Act of 2002 

[44 U.S.C. 3601] and NARA Bulletins 2008 03, Scheduling Existing Electronic Records, and 

2006 02, NARA Guidance for Implementing Section 207(e) of the E Government Act of 2002, 

Labor submitted one record schedule covering an electronic information system (EIS). During 

this reporting period, the total number of EIS is 175, as well as 98 scheduled EIS, and the 23 

pending EIS. Labor is in the initial stages of improving its communication channels with the IT 

programs. One of Labor’s upcoming events will be the IT/RM Workshop which plans to cover 

the importance of records management, relationship between IT and Records Management, 

scheduling an EIS, information about NARA’s Semi-Annual EIS Survey, and how to complete 

the SF 115. 

Implementation of Electronic Signatures for Interoperability 

In 2007, Labor became the first Cabinet-level agency to implement a department-wide system 

for the electronic submission of documents to the Federal Register using eSignature procedures. 
87

On average, Labor transmits 15-25 submissions to the Federal Register each week using 

eSignature procedures. By using eSignature procedures, Labor has been able to modernize the 

document submission process. This has eliminated redundancies, reduced costs, and improved 

the quality of Labor 's submissions.

Electronic Means of Enhancing Public Participation in Government

Since 2006 Labor has participated in the Government-wide eRulemaking initiative, which is 

comprised of the FDMS system and Regulations.gov. The Department has also developed a new 

website, http://www.dol.gov/regulations/ that provides the public a central point to learn more 

about the regulatory process and specific Labor regulatory activities and facilitate access to 

Labor regulatory material. This new website also provides the public a live web experience 

where the Secretary of Labor and other Labor executive leadership staff answered questions 

about the Labor regulatory agenda submitted online from the public.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

Through the preparation of the 2011-2016 Strategic Plan, Labor is developing performance 

measures for its agencies that meet the standard of measuring outcomes. Labor is moving 

toward developing such performance measure schemes for its worker protection agencies. While 

there is some expense and great effort required to implement these measures, Labor’s 

accountability to the public – to report the extent to which employers deliver on the rights and 

benefits guaranteed to the nation’s workers and to use its resources for strategies that achieve the 

greatest effect is vitally important.

The Labor Performance Model represents the overall landscape for performance measurement at 

Labor. This model starts with the Department Strategic Plan (goals, performance outcomes and 

measures) and drills down the hierarchy to the Agency Strategic Plan (goals, objectives and 

measures) and then to Program Initiative Plans (goals, objectives and measures). This model 

enables Labor to ensure that initiatives are planned and managed within the bounds of the 

Department's Strategic Goals and Performance Outcomes. The model facilitates the integration 

of customer and citizen needs and benefits while maintaining executive alignment with the 

President's agenda and Federal Transition Framework. Further, segment and initiative measures 

align with the Federated Performance Reference Model performance areas and serve to detail 

performance objectives within the relevant criteria. The structure and function of the Labor 

Performance Model drives the development of and ensures the successful execution of Labor 's 

Annual Performance Plan.

Reducing Errors through Electronic Submissions 

Labor continues to implement a Government Paperwork Elimination Act (GPEA) strategy to 

improve customer service delivery, support Labor’s Information Technology strategy of meeting 

near-term report requirements, reduce paper submission errors through the use of electronic 

submissions, and ensure integration into major management processes. Additionally, Labor 

continues to leverage technology to reduce errors and public burden. Some examples are as 

follows: 

The United States Bureau of Labor Statistics’ (BLS) Internet Data Collection Facility provides 

an automated tool that simplifies the reporting from the Bureau's respondents. 
88

The Employee Benefits Security Administration’s (EBSA) major pension and welfare plan filing 

system, referred to as EFAST2, provides 100 percent electronic filing for Form 5500 series

returns/reports. EFAST2 significantly reduces the filing burden and processing time for filers 

compared with paper filing systems. By incorporating business logic and allowing filers to prevalidate filings for errors prior to submission, EFAST2 reduces filing errors and improves data 

quality. Paper-processing under the legacy system required the manual processing of all 

received filings, and sought to correct any filing errors through multiple rounds of 

correspondence. Paper processing was, therefore, subject to mail correspondence delays, datacapture error, human error, and correspondingly slow processing throughout. EFAST2 

eliminates many of these delays and errors while dramatically increasing processing speeds. 

EFAST2 provides filers with real-time access to their filing status. EFAST2 also provides new 

capabilities for the public to access submitted and disclosable Form 5500 filings within one day 

of filing receipt. Filing data distribution took as many as 90 days under the legacy system. 

The Wage and Hour Division (WHD) has over 150 forms, publications, posters, etc. available in 

electronic format on the Internet at the Wage Hour Publication System web site. In addition, two 

of WHD's forms, the Electronic WD-10 and the Electronic SF-98, allow for direct and complete 

data submission via the web. 

The Mine Safety and Health Administration (MSH) also continues to support to web-based filing 

for its customers, thus reducing public paperwork burden. Currently 100 percent of MSHA's 

public-use forms with 5,000 or more respondents provide an electronic submission option via the 

public website. 

Efforts to Comply with Section 508 Regarding Information Management 

Labor maintains an internal policy as part of its comprehensive Manual Series titled, IT 

Accessibility Management (Department of Labor Manual Series, Chapter 9-600). This chapter 

establishes policies and procedures within Labor to implement Section 508 of the Rehabilitation 

Act of 1973, as amended (29 U.S.C. 794d). This policy is applicable to all Labor electronic and 

information technology, including information contained on Labor external and internal websites 

and also applies to office equipment such as computers, printers, fax machines, copiers, and 

other electronic resources such as software applications and telephones. In FY12, Labor plans to 

review and update the DLMS Chapter 9-600 to include language that reflects both the changes in 

the web environment and the Section 508 Refresh's move to harmonize with WCAG 2.0 level 

AA.

The Department plans to continue trainings and outreach during FY12 to address project 

manager, developer and procurement 508 support needs and to ensure the Department’s 

preparedness to meet EO 13548, the upcoming Section 508 Refresh and the anticipated White 

House Section 508 Implementation plan for Federal Agencies. Additionally, working in 

partnership with Department’s procurement officials and staff to identify gaps where Section 508 

compliance has not been fully achieved Labor will encourage Project Managers to include a 

Voluntary Product Accessibility Template (VPAT) as a deliverable in all IT contracts. 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

Labor continually strives to position EA as a facilitator of meaningful, mission-driven business 

transformation as it enables informed decision-making and provides for the ability to manage 
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performance through transition. EA also allows agencies to directly estimate cost savings and 

costs avoidance through cost benefit analysis, information validation and sharing, technology 

standardization and business process re-engineering. This enables improved program 

effectiveness, improvement in the ability to service the citizens, as well as an overarching 

improvement of Department spending efficiencies. 

The Department’s IT Infrastructure modernization program is an example of improving the 

Department’s spending efficiencies. Based on employee feedback in 2011, it was readily 

apparent that the current email services implemented across the Department were not meeting 

the needs of the employees. After analyzing options, it was in the best interest of Labor to 

pursue replacing its email system with a cloud-based email service. In May 2011, the Deputy 

Secretary announced Labor’s intent to pursue the migration of current email services to a cloudbased email service. In addition to providing enhanced value and improved productivity for 

Labor employees, Labor expects to obtain cost savings and cost avoidance when the procured 

cloud email service is compared to the costs of the current Labor email environment. These 

baseline costs are currently being developed. Requirements for this cloud email service were 

completed in FY11 and Labor is in the acquisition phase for transition and implementation 

during the second half of FY12. 

Department of State

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.state.gov/m/irm/rls/c39428.htm. 

Enterprise Architecture (EA) Plan: http://www.state.gov/m/irm/. 

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

http://www.state.gov/m/a/ips/c32484.htm. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://www.state.gov/m/irm/exhibit300s. 

 A list of the Department’s major capital information technology investments at: 

http://www.state.gov/m/irm/exhibit300s. 

 A description of the Office of eDiplomacy’s programs at: 

http://www.state.gov/m/irm/ediplomacy. 

 A list of Department of State’s electronic information collections and information 

technology (IT) systems containing personally identifiable information at: 

http://www.state.gov/m/a/ips/c24223.htm.

 A description of what kinds of personal information the Department of State maintains at: 

http://www.state.gov/m/a/ips/c25533.htm.

 The GPO Access / Government Information Locator Service Records (GILS) at: 

http://www.gpoaccess.gov/gils/index.html.
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 The Department of State’s Records Disposition Schedules at: 

http://www.state.gov/m/a/ips/c32492.htm. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.state.gov/m/a/ips. The link to the Department's Information Access 

Guide (State’s FOIA Handbook) is found by clicking on the previous link, 

http://www.state.gov/m/a/ips, and then clicking on the first link on the left hand side, 

Information Access Guide. The Departments Information Access Guide includes guidelines for 

requesting information under the Privacy Act and for requesting Mandatory Declassification 

Review. 

The link to the Department's Declassified/Released Document Collections (where frequently 

requested documents are made available) is: http://www.state.gov/m/a/ips/c22798.htm. 

Primary FOIA website: http://www.state.gov/m/a/ips. 

Frequent requests for records are made available to the public at: 

http://www.state.gov/m/a/ips/c22798.htm. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

The Department of State does not perform research and development (R&D) activities. 

Dissemination of Formal Agency Agreements with External Entities to the Public

The Department of State, through the Bureau of Public Affairs, has entered into the following 

formal agreements that complement the Department’s information dissemination 

program. There is no link to these agreements because they are not posted on the Department’s 

public website:

Federal Consulting Group, Department of Treasury, interagency agreement to provide the 

following services through commercial contractors:

 Website assessments of broken links, external links to inappropriate content, etc., to 

improve user experience.

 Email subscription service to provide the public with up-to-date news from the State 

Department through GovDelivery. GovDelivery provides the Department with 

automated subscription services. Visitors to state.gov can choose from 45 different 

categories of information. When a new document is posted within that category, the 

subscriber receives an email that contains the newly posted information.

 The American Customer Satisfaction Survey provides customer feedback on defined 

website components, such as content and site performance.

 A webform-based Contact Us system to allow any visitor to state.gov to browse FAQs 

and submit unique questions, which are then responded to by both automated and 

personal replies.

 Hosted video content for the Department of State, providing an alternative means for the 

public to access critical information.
91

The Department of State successfully negotiated Terms of Service Agreements with vendors to 

host content on their respective social media platforms, expanding the Department’s presence 

where an increasing percentage of the general public accesses information.

The Department of State worked with industry so that timely country information and travel 

warnings for overseas travelers could be made available for download via mobile applications 

and programs. As a result, the Department’s first official smartphone-app, Smart Traveler was 

available for downloading in June 2011.

Arts in Embassies, http://art.state.gov/default.aspx , is the Department’s website promoting a 

public/private partnership that facilitates diplomacy by promoting temporary exhibitions and 

permanent collections, cultural exchange, and publications. More than 12,000 partners have 

joined State’s effort to make American art accessible. Through a Department agreement with 

Carnegie Mellon, led by the Bureau of Overseas Buildings Operations (OBO), an art in embassy 

artist registry is maintained at: http://aiep.artistroster.org.

Starting in August 2011, OBO began the process of taking over the support and hosting of the 

registry. The relationship with Carnegie Mellon is set to discontinue on January 1, 2012, at 

which time OBO/IM will fully support/host the site.

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://www.state.gov/m/a/ips/c32492.htm.

Implementation of Electronic Signatures for Interoperability 

The Department of State has implemented, and is using, a high- assurance Public Key 

Infrastructure (PKI) that provides a robust and easily accessed system for digitally signing 

documents. Digital signatures are differentiated from electronic signatures by the fact that they 

are cryptographically generated and provide the maximum level of safety and non-repudiation 

available. The PKI is designed for users across the Department. The Department’s PKI enables

signing of such diverse documentation as email, and documents generated using other word 

processing software. Because the certificates for use in this system are secured on FIPS 140-2 

compliant tokens, users are protected from misuse of their credentials, further instilling trust in 

individuals’ digital signatures when presented in electronic documents.

To ensure a high level of understanding, use, and acceptance of digital signatures among its 

employees, the Department of State implemented a formal policy that validates the use of 

electronic signatures within the Department. This policy, which addresses the use, acceptability, 

and management of risks associated with electronic signatures, provides a roadmap that 

structures the deployment of such signatures for organizations within the Department. Due to the 

integrated nature of PKI within the Department, should an operational element within the 

Department choose to implement PKI as a solution for digital signature, no further technical 

assessment is required. This policy, entitled 5 FAM 140, Acceptability and Use of Electronic 

Signatures, is publicly available at: 

 http://www.state.gov/m/a/dir/regs/fam/05fam/5_100/index.htm

 http://www.state.gov/documents/organization/156501.pdf
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Currently, there are approximately 28 PKI-enabled applications and five under development at 

the Department. For example, the Department uses PKI to: encrypt and decrypt email exchanges 

between the Department and other agencies; enable the use of digital signatures in a range of 

routine e-Form documents and on-line applications, and to encrypt and decrypt information 

exchanges between the Department’s Financial Center and various domestic and international 

banks.

Electronic Means of Enhancing Public Participation in Government 

In 2011, the Department’s centralized forms program, utilizing an electronic forms application 

(e-Forms), partnered with Program Offices in many activities that furthered the E-Government 

Act provisions and goals. E-Forms functionalities were expanded in order to produce processintegrated forms – forms that not only collect information but can share it with multiple users 

and make it directly available to applications. The Department is also piloting forms for mobile 

devices. Some key activities included:

 Created a form on the Internet that organizations worldwide use to express their interest 

in public-private partnerships with the Department. The collected information is moved 

to a back-end database for sharing, analysis and further processing. The Secretary of 

State uses this information in scheduling her visits around the world.

 Created a registration form and posted it in a cloud computing environment for 

interagency staffs, foreign governments and the public to use to register for a security 

conference. The form was designed for registrants to complete online and it contained an 

automatic address to transfer the registration information to a Diplomatic Security central 

mailbox and then move the information to a database for use. This form allowed 

participants, no matter where they were located in the world, to register.

 Created a form for Department staff to notify Diplomatic Security (DS) of any contact 

with Foreign Nationals. In the past, this information was manually entered (often 

incompletely) from a form into a classified DS application; now the information is filled 

out online and feeds to an application electronically. The data is used for 

counterintelligence activities.

Additionally, the Department of State has enhanced public participation and reduced errors 

through electronic processing of information: 

 Program Offices submit documents to send to OMB in electronic format, avoiding 

transcription errors. 

 Burden data provided to Office of Directives Management (DIR) through the use of eForm documents so this information can be directly sent to OMB. Forms provide 

automatic calculation fields to eliminate errors. 

 E-Forms documents sent to DIR have exclusion parameters to avoid duplications (i.e. –

some fields are locked out when other fields are filled in). 

 Federal Register documents are provided in electronic format so direct submission to FR 

of these electronic documents eliminates transcription errors. 

 Public comments are sent electronically to Program Office mailboxes, which reduces 

human errors.
93

 Electronic documents provided for public comment requests eliminate errors that could 

be associated with verbal/phone responses. 

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

The Department provides information regarding information technology performance measures 

at http://technology.performance.gov/agency/state/technology and describes how the 

Department links performance goals with other agencies at: 

http://goals.performance.gov/agency/dosusaid. 

From the first link, one can navigate to the Department’s performance measures for IT 

investments on the IT Dashboard ( http://it.usaspending.gov ) and from the second to information 

on the Department’s performance and its contributions to the Federal Government-wide 

initiatives. In addition , performance information is provided as part of the Department’s annual 

Congressional Budget Justification (CBJ). That and other kinds of performance information can 

be obtained on the Planning, Performance, and Budgets page of the state.gov website at: 

http://www.state.gov/s/d/rm/c6113.htm. 

Reducing Errors through Electronic Submissions 

The Department of State has enhanced public participation and reduced errors through electronic 

processing of information as follows: 

 Program Offices submit documents to send to OMB in electronic format, avoiding 

transcription errors. 

 Burden data provided to DIR through the use of e-Form documents so this information 

can be directly sent to OMB. Forms provide automatic calculation fields to eliminate 

errors. 

 E-Forms documents sent to DIR have exclusion parameters to avoid duplications (i.e. –

some fields are locked out when other fields are filled in). 

 Federal Register documents are provided in electronic format so direct submission to FR 

of these electronic documents eliminates transcription errors. 

 Public comments are sent electronically to Program Office mailboxes avoiding “snail 

mail” losses. 

 Electronic documents provided for public comment requests eliminate errors that could 

be associated with verbal/phone responses. 

Efforts to Comply with Section 508 Regarding Information Management 

The link to the Department’s IRM Program for Accessible Computer/communication 

Technology (IMPACT) is: http://www.state.gov/m/irm/impact.

The IRM Program for Accessible Computer/Communication Technology (IMPACT) serves as 

the Department’s resource for achieving electronic information technology (EIT) accessibility 

for all employees and customers. The program includes providing assistance to all bureaus in 

their implementation of Section 508 of the Rehabilitation Act, which requires the Federal 

Government to make all EIT procured, maintained, or used by the Federal Government 

accessible to people with disabilities. 
94

The IMPACT team conducts analysis, testing, and provides recommendations for the bureaus’ 

Section 508 compliant EIT products such as software/web applications, online documents, video 

and multimedia products. All official forms created in the Department’s e-Forms application are 

508 compliant.

Intra-agency collaborations include: the IT Configuration Control Board (IMPACT technical 

reviews and analysis are an integral part of the approval process prior to deployment of products 

critical to the Department IT operations), the Office of Civil Rights (providing compliant 

quarterly reports of Government disciplinary actions posted in the Internet), and the Office of the 

Inspector General’s overseas inspection process (OIG overseas post inspections require IMPACT 

508 compliancy evaluations of post websites). IMPACT is a participant in collaborative events 

such as the Wounded Warrior Career Fair.

The IMPACT Outreach Lab provides information and training to customers about how to 

implement necessary steps to meet the requirements of Section 508. The IMPACT team also 

maintains websites to enable this information to be available “anytime/anywhere”. 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

The Department’s IT programs are cost-effective initiatives that use open source technologies 

and COTS products whenever possible. The Department strives to ensure that these programs 

are incurring minimal outlays for hardware, software, labor, training, and travel costs. 

The Department has instituted a rigorous governance process to achieve cost savings and cost 

avoidance through efficient use of IT. The E-Government Program Board (E-Gov PB), which 

leads the IT governance process, is composed of the Under Secretary for Management, who 

chairs the Board, and includes the Chief Information Officer, the Chief Financial Officer, the 

Chief Procurement Officer, and Assistant Secretaries from a cross section of the Department’s 

geographic and functional bureaus. The Board approves each major IT investment and reviews 

the investment at each major decision point in the investment’s lifecycle. In addition, the Board 

approves the Department’s annual IT budget request to the Office of Management and Budget.

Under the policy direction of the E-Gov PB, the Department manages IT programs, both major 

and minor investments, through the Capital Planning and Investment Control (CPIC) process. 

Each IT investment is reviewed annually for the validity of its business case and resource needs 

and is compared and evaluated with the other IT requests for funding. The Department’s major 

IT investments are evaluated under three criteria with equal weight: (1) Risk Management (how 

well project risks are being managed; (2) Cost and Schedule Work Breakdown Structure (WBS) 

(how well the project’s WBS is defined); and (3) Performance Measures (how well the project’s 

performance is being managed). The results are submitted to the CIO for further review and 

analysis, and a decision to post the investments to the Department’s IT Dashboard, which is 

available to the public at: http://it.usaspending.gov.

The Department’s Enterprise Power Management, Data Center Consolidation, and the Overseas

Server Virtualization Program are three excellent examples of cost avoidance achieved through 

IT programs.
95

Enterprise Power Management: The Department has implemented an Enterprise Power 

Management initiative encompassing all Department desktops, based on a phased approach. In 

July 2010, the Department approved 1E (a power management solution provider) for use on all 

Department networks and purchased 1E as its EPM solution to provide shutdown and wake-up 

services for all Department desktops. During the first quarter of FY11, the Department 

completed a pilot on a select group of IT desktops and expanded deployment to the entire 

enterprise. The deployment occurred in two stages: (1) the software image was deployed to a 

management server at each site, both domestically and at overseas posts; and (2) the 

Department’s central deployment team worked with a local administrator to push the power 

management agent to all local desktop systems. The Department completed the first stage of the 

deployment with 100 percent coverage of sites under Department management. EPM was 

deployed to 93 percent of the enterprise desktops by August 31, 2011 and full deployment is 

estimated to be achieved by Q1, FY12. The power management cost avoidance realized to date 

in FY11 as a result of the EPM initiative totals $863K.

Data Center Consolidation Program: The Department’s Data Center Consolidation Program is 

focused on consolidating the enterprise-level domestic data centers. The goals of this initiative 

are to reduce energy use, reduce server operating costs, limit long-term capital investments and 

increase efficiency in automation processes. To achieve these goals, the Department plans to 

consolidate domestic servers into four data centers by the end of 2015. Production servers of 

classification ‘Secret’ and below will be located in two Enterprise Server Operations Centers 

(ESOCs) – ESOC East and ESOC West – geographically separated and on separate power grids. 

Two other data centers in the Washington DC area will be repurposed: one for development 

systems and the other for higher classification systems. 

ESOC East, now in full production, supports over 1,900 servers including 878 servers 

transitioned to ESOC East in 2010. The virtual infrastructure has been expanded to support over 

1,000 virtual servers accounting for more than 54 percent of the total servers in the data center. 

ESOC West continues to make progress. Construction is nearing completion operational 

transition to the center is scheduled to begin in December 2011 with final turnover and 

acceptance for full operations in June 2012 as a Leadership in Energy and Environmental Design 

(LEED) Gold certified data center in June of 2012.

Server and service consolidation is occurring as an integral part of merging data centers. The 

Department is simultaneously pursuing cost avoidance and reduction through server 

virtualization, adoption of more efficient server hardware platforms, and standardization and 

automation of the processes used to support servers. The Department exceeded its FY11 target 

for Data Center server virtualization. The Department’s server virtualization target was 25 

percent and the actual server virtualization was 30 percent. The target for FY12 is 40 percent.

The Department remained within the FY11 budget for Data Center Consolidation and exceeded 

its cost avoidance goals (i.e. estimated costs avoided exceeded the projected costs avoided). 

Cost avoidance was primarily achieved through virtualization. It is estimated that the 

Department saved $1.5M in FY11 by avoiding the hardware and power costs associated with the 

physical servers that did not have to be purchased or powered. State estimates that the 

Department will be able to reallocate over $5.8M per year once the transitions are complete and 
96

steady state has been achieved at the ESOCs. It is also estimated that the Department avoided 

$156K in operational costs by having turned down data centers in FY11. 

Overseas Server Virtualization Program: The Global Information Technology Modernization 

(GITM) Program is the enterprise-wide lifecycle replacement program for the Department’s IT 

infrastructure addressing both domestic and overseas sites. One aspect of the GITM program is 

the virtualization of the multiple IT infrastructure servers at overseas posts onto a local virtual 

infrastructure. Each post currently has roughly 20 physical servers that support the breadth of 

the Department’s IT infrastructure services as well as some local IT applications. The combined 

overseas “distributed server farm” comprises over 2,300 servers. These servers will be replaced 

by a virtual infrastructure that will consolidate all servers onto an integrated two-server platform. 

That effort will take a minimum of four years, which is the average life cycle to refresh all posts 

worldwide. 

The Department began the overseas server consolidation effort in the spring of 2009 by 

conducting proof of concepts at U.S. Embassy Managua and the IRM Regional Information 

Management Center, Ft. Lauderdale, Florida. In August 2010, based on the results achieved 

during the proof of concept pilots, the Department returned to both sites to perform full 

production virtualization pilots. The full production pilots were remarkably stable and as a 

result, two additional pilots were scheduled for the U.S. Embassies in Nairobi and Geneva. In 

2011, the Department completed an unclassified server virtualization pilot in Nairobi and went 

into production and completed both classified and unclassified installations in Geneva. With the 

completion of the proof of concepts at these pilot locations, the Department is planning to begin 

server virtualization deployment in Quarter 1, FY12.

The savings and efficiencies from overseas server consolidation will include reduction in power 

consumption (direct for equipment, indirect by way of less cooling required), and less rack 

space. In addition there will be savings in the hardware, particularly where the Department can 

virtualize some of the additional physical servers that posts have been adding, with little change 

to the virtual infrastructure. The other major benefit from virtualization will be improved remote 

monitoring and administration, which will reduce the excessive workload on local IT staff. On 

average, the Department expects to reduce the physical footprint at each location by more than 

50 percent with energy savings of up to 30 percent at each location. 

Department of the Interior

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.doi.gov/news/pressreleases/upload/IT_Transformation_Plan_062811_v35.pdf. 

Enterprise Architecture (EA) Plan: http://www.doi.gov/ocio/. The Department of the Interior’s 

(Interior) EA Transition Plan (ETP) will be provided to OMB on March 1, 2012. The IT 

Transformation Strategic Plan, which marks a major directional shift in IT management at 

Interior, was accepted by OMB as Interior’s interim ETP. 
97

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

http://www.doi.gov/notices_soc.cfm. (Interior’s Schedule of Content) 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://www.doi.gov/archive/ocio/egov/index.html

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.doi.gov/foia/foiahandbook.html. 

Primary FOIA website: http://www.doi.gov/foia/. 

Frequent requests for records are made available to the public at: 

http://www.doi.gov/foia/frrindex.html.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

 http://www.doi.gov/ocio/egov/research.html

 http://search.usa.gov/search?utf8=%E2%9C%93&sc=0&query=%27research+and+devel

opment%22&locale=en&m=&embedded=&affiliate=doi.gov&filter=moderate&commit=

Search

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory describing formal agency agreements) with external entities:

 http://www.doi.gov/archive/ocio/egov/inventory.html

 www.usaspending.gov (search DOI)

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://www.doi.gov/archive/ocio/egov/index.html. 

Implementation of Electronic Signatures for Interoperability 

In 2010, Interior inventoried public facing applications and determined that there were no 

appropriate uses for digital signatures to secure electronic transactions. As of September 30, 

2011, Interior issued Federal Information Processing Standard (FIPS) 201 Personal Identity 

Verification (PIV) cards with digital signature certificates to over 90 percent of the employee 

population. Interior is well positioned to utilize digital signatures for secure electronic 

transactions, as applications are planned and implemented using that capability. 

Electronic Means of Enhancing Public Participation in Government 

For FY11, the Department of the Interior used Regulations.gov to publish 1,016 notices, 205 

proposed and final rules, and numerous supporting documents. Interior received several 

thousands of comments on these publications through the site. The community interested in 

Interior’s activities is extremely large and diverse. This community benefited through public 

submissions to the Regulations.Gov website and through Interior’s management of these 

submissions using the Federal Docket Management System (FDMS).
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 The eRulemaking Initiative outcome for Interior and the other partner agencies include 

the items below. 

 Substantially improved usability for agencies and the public with more improvements 

pending. 

 Growing public and agency usage. Visits to and comments submitted through 

Regulations.Gov continue to climb and agencies continue to increase their use of FDMS. 

Interior provides improved service to the public through an easier and more efficient 

commenting process using FDMS.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

Highlights of accomplishments are listed below:

 Implemented a digital sign-in feature with the HSPD12 smart card for remote access : 

The implementation extends to workstations and mobile devices, including Macintosh 

devices. In 2012, this implementation will be extended to digital signing and user login 

to office automation devices. This implementation has reduced workloads by enabling a 

single authentication source for those staff working remotely. The smart card is an 

efficient device for enabling the user to connect, use, and get information.

 Implemented a document repository using a collaboration tool, with authentication 

against Active Directory: This data store will reduce the amount of duplicate places files 

and documents reside and reduce authentication mechanisms. Document movement, 

access, and updates can be tracked digitally and stored for future reference.

 Implemented an automated inventory system for mobile devices: mobile devices are now 

tracked in a mobile device management system, with inventory and security 

compliance. The USGS has seen the rise of these devices for scientific investigation and 

enabling an asset inventory system will greatly reduce the methods of inventory in an 

automated means.

The accomplishments described above are examples of Interior’s commitment to improve the 

delivery of information technology. This commitment is also explained in the IT Transformation 

Strategic Plan.

Reducing Errors through Electronic Submissions 

Interior has reduced errors through the use and participation in public facing initiatives and other 

structured data formatting tools. Data validation is required for the use of these tools. The 

initiatives that provide the most direct benefit to the citizens are:

 http://americasgreatoutdoors.gov/

 www.benefits.gov

 www.geoplatform.gov 

 www.grants.gov

 www.recreation.gov

 www.regulations.gov

 www.usajobs.gov
99

The cost to upgrade and maintain these solutions are shared with Agencies across the 

Government. This minimizes redundancy, increases the efficiency and optimizes the economies 

of scale. The outcome of the E-Gov initiatives is not only consistent with the President’s 

Campaign to Cut Waste but Interior’s IT Transformation.

Efforts to Comply with Section 508 Regarding Information Management 

Training: Tools and training are available for Section 508 Coordinators and other applicable 

Interior employees. A computer-based training module on Section 508 awareness is available 

for Section 508 Coordinators, employees and contractors involved with the acquisition process 

Web Presence: Interior ensures that its’ websites comply with the Access Board Standard’s 

technical provisions. Bureau and Office public Web pages are currently being scanned with the 

HiSoftware Compliance Sheriff software. 

Bureaus/Offices are posting procurement solicitations on Federal Business Opportunities 

(FedBizOpps), which include applicable Section 508 standards: This is the official, on-line 

registrant database for the U.S. Federal Government. The Central Contractor Registration (CCR) 

collects, validates, stores and disseminates data on prospective vendors in support of agency 

acquisition and award missions. CCR validates the registrant information electronically. 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

Interior is undertaking a major initiative, known as the “IT Transformation”. This initiative will 

change the way information technology is managed and offered throughout Interior. 

Interior was challenged to develop a plan to realign IT infrastructure and compliance functions

under a single CIO. Interior met that challenge in June 2011. This is a self-funded initiative, 

meaning savings captured are to be reinvested into next phases of transformation. $500M dollars 

are expected to be saved from 2016 – 2020.

Each Interior Bureau and most Offices had CIOs. They are now called Assistant Directors of 

Information Resources (ADIRs). The ADIRs meet with the OCIO management team on a 

regular basis as part of a new governance structure for Interior’s IT infrastructure, and together,

prepared the IT Transformation Strategic Plan. Seven out of twenty-eight initiatives have been 

prioritized as key opportunities to embrace on an enterprise level to enable optimal efficiency 

and cost savings. They are: 

 A single email system for Interior 

 Telecommunications 

 Account management 

 Hosting services 

 Workplace computing services 

 Risk management 

 Enterprise service desk (help desk) 

Interior has approximately 4 years to transform IT. A detailed implementation plan will be 

delivered to the Secretary by December 31, 2011. Performance metrics are being put in place to 
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monitor Interior’s progress in improving employee productivity through technology, 

consolidating the IT infrastructure and reducing duplication and costs. 

Department of the Treasury

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: Given the opportunities available for 

cloud and shared services, the Department is reviewing its existing enterprise plans and 

associated methodologies such that it can take advantage of these opportunities to improve 

coordination and adherence to the Office of Management and Budget’s (OMB) directions, 

Agency goals, and Bureau plans. In the case of the IRM Strategic Plan, the current version 

includes pre-decisional information and it is not available on Treasury’s public website. 

Enterprise Architecture (EA) Plan: http://www.treasury.gov/about/organizationalstructure/offices/Documents/Treasury_2011_DCCI_Plan_public_version_508_compliant_Redac

ted.pdf. Infrastructure reflects the majority of IT spending at Treasury. Through updates of the 

Data Center Consolidation Initiative (DCCI) plan, which also emphasizes the transition to shared 

services and cloud computing, the Department will continue to document its current and future 

architecture. 

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

http://www.treasury.gov/SitePolicies/Pages/web-inventory.aspx. The Department examines 

citizen feedback through emails. The Department analyzes the responses from its customer 

satisfaction survey questions to determine what information, if any, is missing from the public 

website. In addition, a regular review of the search engine metrics takes place to determine 

frequently searched words and phrases. The result of this analysis leads to adjustments in the 

provided information. The schedule for posting of web content and a comment form are 

available on the Department’s principal public website at 

http://www.treasury.gov/SitePolicies/Pages/web-inventory.aspx. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: The 

website http://www.treasury.gov also enables customers to subscribe and to receive email alerts 

upon site updates (GovDelivery). After customers subscribe to receive information on 

http://www.treasury.gov, the Department presents subscribers with information from Treasury 

Department bureaus to which they can also subscribe. Press Releases and several other types of 

information are also available via RSS feeds. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: 

http://www.treasury.gov/FOIA/Documents/FOIA%20Handbook%20rev%2010.15.pdf. The 

Department's policy is to implement FOIA uniformly and consistently, and to provide the 

maximum allowable disclosure of records. Anyone can request access to Department of the 

Treasury records; if the requester follows the rules for making a FOIA request, the records will 

be disclosed unless they are appropriately protected from disclosure by one or more of nine 
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exemptions, or by one of the three law enforcement record exclusions contained in the FOIA 

statute. 

Primary FOIA website: http://www.treasury.gov/foia/Pages/index.aspx. Through Treasury’s 

Enterprise Content Management (ECM) goFOIA initiative, was released in April 30, 2011, for 

citizens to post online requests: https://www.onlinefoia.treasury.gov/. To augment the 

President’s emphasis on openness and transparency in Government, FOIA enables citizens to 

access governmental records and establishes a citizen-centered process to efficiently meet the 

public’s demand for timely information. Last year, the Department of the Treasury reviewed the 

available technologies and selected a three-pronged solution, resulting in increased efficiencies 

and greater transparency of information balanced with the protection of non-releasable 

information. 

Frequent requests for records are made available to the public at: 

http://www.treasury.gov/FOIA/Pages/reading_room.aspx. Prong 1 focuses on the public by 

allowing online submissions of FOIA requests, Prong 2 is comprised of a cloud tracking solution 

to manage the requests and citizens information, and Prong 3 addresses the myriad of documents 

involved in responding to a FOIA request through the use of a collaborative document 

management system. The tools were selected because they provided improvements for both the 

public and Treasury personnel that process requests, were cost effective, and allowed for quick 

implementation. Together the selected tools are known as goFOIA. The public access, tracking, 

and reporting pieces are hosted in the cloud. This allows for flexible access and the ability for 

other agencies to leverage Treasury’s investment in building a secure private cloud for this 

functionality. To date, one other agency has joined the Treasury cloud, and a second agency is 

starting the process to join. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public: The 

Department does not fund R&D Activities 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory describing formal agency agreements) with external entities: 

http://www.treasury.gov/about/organizationalstructure/offices/Documents/Computer%20Matching%20Agreements%20(CMA).pdf, 

http://www.cdfifund.gov CDFIFund.gov. 

The Department has a number of means to disseminate Government information to the public. 

Among these are: 

Computer Matching Agreements: The Treasury Data Integrity Board, approves matching 

agreements that are subject to the Privacy Act between the Treasury Bureaus and Offices and 

other Federal, State, Local, and Tribal governments to share taxpayer’s personal information 

when disclosure is authorized by law to obtain a benefit or service or to collect a Federal debt. 

There are also memoranda of understanding for disclosing federal tax information when 

authorized by title 26 of the United States Code. 
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The Department also provides information as authorized by law to persons submitting Privacy 

Act requests for Privacy Act records retrieved by an identifier for them. 

Transmission of any sensitive information complies with the NIST security standards for the 

kind of personally identifiable information involved. 

Memorandum of Agreement (MOA) Community Development Financial Institutions (CDFI) 

Fund has a MOA with the Alcohol and Tobacco Tax and Trade Bureau for hosting the CDFI 

Fund website server. Contractual Services CDFI has a contract with International Business 

Machines to provide support for the update of the CDFIFund.gov public facing website that 

disseminates information to the public. Department of the Treasury Library has a partnership 

with the Library of Congress to digitize historical Treasury Department materials and make 

reports and documents publically available on the Internet. 

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://www.archives.gov/recordsmgmt/rcs/schedules/index.html?dir=3D/departments/department-of-the-treasury. While the 

Department did not have any additional electronic systems to schedule in FY11, the Department 

will continue to schedule newly identified electronic systems on an ongoing basis. 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 1,265 

electronic systems. In FY11, the Department allocated considerable resources to bring the 

Department into compliance with NARA Bulletin 2006-02 initiatives. There were 1,265 major 

and minor electronic recordkeeping systems Department-wide at the close of the FY11. The 

Department has approved all systems for disposition or submitted schedules to NARA for 

approval. 

Implementation of Electronic Signatures for Interoperability 

Beginning in the second quarter of FY11, the Departmental Clearance Staff, for the Information 

Collection Program under the Paperwork Reduction Act (PRA), began to use digital signatures to 

transmit the 30-day Federal Register Notices (FRNs) to the Government Printing Office (GPO) 

to publish for public comments. The Department of Treasury has been successful in the 

transmission of digitally-signed documents to GPO through the Federal Bridge Certification 

Authority. Using PIV card readers, ActivClient Middleware, and PKCS#7 software, the FRNs 

documents passed GPO’s tests. Treasury collaborated with GPO for enrollment under the Office 

of the Federal Register, and obtained an Agency ID (343) for the Department. In the fourth 

quarter of FY11, the Office of the Chief Information Officer (OCIO) met with bureau program 

and clearance officers to introduce them to the electronic FRN project, determine hardware and 

software profiles, and explain the processes required to implement this project Treasury-wide.

Electronic Means of Enhancing Public Participation in Government 

The Department is using a collaboration tool to increase public participation in the Department’s 

Paperwork Reduction Act (PRA) information collection program. The tool, 

www.PRAComment.gov , is used to solicit comments on any forms or information collections 
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used by the public in response to the PRA. The Department of Treasury accounts for 77 percent 

of the paperwork burden placed on the public, and the majority of this burden is attributable to 

information gathering required by the tax code. While the statute requires that public notice 

must be published through the Federal Register (FR) process, research of randomly selected 

information collection documentation indicates that the Department receives few, if any, 

comments from the public via the FR process. With this introduction of PRA Comment, public 

comments have been received, and the Treasury OCIO is developing a marketing campaign in 

FY12 to increase public participation in commenting on the Department’s 1,200 information 

collections (ICs) as a means of soliciting input on ways to reduce paperwork burden on the 

public.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

The Department links performance goals to key stakeholders by ensuring that realistic 

“Customer Results” and “Mission and Business Results” performance measures are always 

included in all projects and investments that provide or enhance core mission-related 

functionality to the Department. (Customer Results and Mission Business Results performance 

measures are two of the four major measurement types defined by the Federal Enterprise 

Architecture Program Management Office, as part of its Performance Reference Model. These 

two measurement types focus on actual success of outcomes of IT investments.)

Customer Results performance measures are typically attained by:

 Performing formal customer satisfaction surveys that are completed by customers, both 

internal (e.g. Federal workers) and external (e.g. citizens).

 Tracking key indicators where measures are directly tied to customers and the level of 

satisfaction is intrinsic to the measure. For example, the “number of taxpayer refunds 

issued within 40 days” is a measure that (1) is directly tied to customers and (2) it is clear 

that customers are more satisfied the higher this measure is.

Mission and Business Results performance measures are typically attained by:

 Selecting performance goals that directly measure changes to key program objectives 

(e.g. number of Government payments made through electronic deposit).

 Selecting or defining performance goals that measure efficiencies or participation rates 

(e.g. Taxpayer Self-Assistance Participation Rate).

The Treasury Secretary’s Paperless strategic goal embodies the goals of the E-Gov Act. The 

following are indicative of the Department’s IT portfolio investments that support Treasury’s 

Paperless Initiative:

The Bureau of the Public Debt (BPD) manages the Retail Securities Services Program, which 

exists to enable private citizens and organizations to directly own and maintain U.S. Treasury 

securities. BPD’s Retail Securities Services (RSS) investment supports this mission through 

various IT systems, such as TreasuryDirect, SaBRe, and Treasury Retail E-Services, to deliver 

effective retail customer service and products. TreasuryDirect enables investors to set up 

accounts online, purchase savings bonds and marketable securities in electronic form, and self-
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manage their holdings. RSS met its FY11 target 100 percent for the following performance 

metric: Percentage of time to provide financial and accounting data to the Public Debt 

Accounting and Reporting System (PARS) by 7:00 A.M. each business day.

Financial Management Service’s (FMS) Internet Payment Platform (IPP) provides a centralized 

electronic invoicing and payment information portal accessible to all participants in Federal 

payment transactions: agencies, payment recipients, and FMS. The IPP enables the presentation 

of electronic orders, receipt of electronic invoices, automated routing and approval (workflow), 

electronic notifications, and treasury payment information. The IPP is designed to yield 

Government-wide efficiencies by: (1) reducing or eliminating paper-based processing by 

accounts payable; (2) enhancing Treasury's value and service to its citizens by increasing access 

to, and the quality of, payment data; and (3) providing a single, central application in which 

Government finance departments can engage with their suppliers, and in which Government 

suppliers can engage with agencies. Use of IPP is estimated to reduce costs by $450 million 

government-wide. The Department of the Treasury announced that it is mandating that all 

Treasury Bureaus implement IPP by the end of FY12. Additionally, in FY13, Treasury will 

require that its commercial vendors submit their invoices using IPP.

IRS’ Modernized e-file (MeF) Program supports the Treasury and IRS strategic goals by 

effectively and efficiently using resources to optimize return filing, expand E-Government, and 

reduce taxpayer burden. MeF has developed a secure, web-based platform for filing tax and 

information returns electronically by registered Electronic Return Originators (ERO). This 

system uses a browser-based and application-to-application solution to provide ERO end users 

with optimized return filing by reducing the reporting burden on business and providing interagency use through use of Excise Tax E-File and Compliance (ETEC) process, and includes a 

data store and application supporting compliance activities by automating the sharing of 

authorized payment verification information with state vehicle registration offices. During the 

January - June 2011 timeframe, nearly 21M returns were submitted and over 16.4M were 

accepted.

Reducing Errors through Electronic Submissions 

The Department launched its Open Government webpage at 

http://www.treasury.gov/open/Pages/default.aspx in 2010. This webpage contains a wealth of 

information regarding the Department’s open government efforts, including links to the FOIA 

reading room, various bureaus’ records and reports, records schedules, Congressional testimony, 

and frequently updated information on the various opportunities for public engagement and 

participation with the Department. 

The Department has increased on-line transaction capabilities through increased use of 

TreasuryDirect – where individuals and entities can purchase retail securities directly from 

Treasury at http://treasurydirect.gov/. 

The Department has a solid portfolio of E-Government initiatives, including TreasuryDirect, the 

Federal Student Aid-Datashare, as well as citizen services with the aim to reduce cost, improve 

access to information, reduce data entry errors, and reduce the impact on the environment. The 

citizen services includes OCC provided direct links to find public information about individual 
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banks at: http://www.occ.treas.gov/pubinf.htm and FinCEN provided information on fighting 

mortgage fraud and foreclosure rescue scams at: http://www.fincen.gov/foreclosurerescue.html.

Many of the E-Government initiatives are already producing cost savings and transforming the 

way the Department conducts business with stakeholders. In addition to developing 

transformational E-Government initiatives, by leveraging best practices acquired in the 

development of older E-Government initiatives, the Department is better able to enhance existing 

initiatives with additional capabilities that use new technologies and services. This approach 

dramatically increased access and transparency of existing services, and increased collaboration 

with internal partners, external partners, and consumers. The Department continually engages 

consumers and other stakeholders to identify how technologies and services may best improve 

the Department’s operations.

Efforts to Comply with Section 508 Regarding Information Management 

Treasury is engaged in the White House Monthly Call on Disability, the Federal CIO Council 

Accessibility Committee, and the GSA Agency Section 508 Coordinators efforts to improve the 

Department’s compliance with Section 508. The Department has three key initiatives for 

improvement. The first, to ensure that persons with disabilities have access to and use of 

information and data on the Department’s public website, the OCIO is upgrading its current 

application, HiSoftware Compliance Sheriff accessibility tool, for enhanced capabilities and 

robust scanning of Treasury’s public websites. Second, the Department will implement the 

approved exception to the Federal Desktop Core Configuration to test Treasury’s intranet sites 

and applications to ensure that Treasury employees with disabilities can access and use 

information to be productive. Third, Treasury is in the process of revising its accessibility 

program management policy to supplement the Electronic and Information Technology (EIT) 

policy directive, http://www.treasury.gov/about/role-of-treasury/orders-directives/Pages/td87-

06.aspx. 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

The Department projects MeF to return nearly $1.5B in benefits through its life cycle.

As of March 27, 2011, for the processing year 2011 (tax year 2010), the volume of electronic 

returns filed through MeF reduced processing costs by over $8.022M when compared to the cost 

to process them as paper; each tax return received electronically and processed saves $2. From 

January 2011 through June 2011, nearly 21M returns were submitted and over 16.4M were 

accepted. Error reduction speeds processing time and decreases necessary interaction between 

the IRS and the Taxpayer.

MeF reduces the volume of paper tax returns that the Department must maintain in storage 

facilities for record retention purposes. The continued incorporation of additional forms and 

schedules onto the MeF platform will allow the IRS to retire the legacy e-File applications in 

approximately one year after deployment of the final MeF release. After deployment of the final 

MeF release, currently planned for FY15 (assuming availability of funding), the IRS anticipates 

saving more than $8M annually in operating and maintenance costs. 
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The other E-Government initiatives are either still in implementation and have no cost savings 

and cost avoidance information to capture or are still in the process of capturing this 

information.

Department of Transportation

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.dot.gov/cio/docs/IRM_StrategicPlanFY2007-2012.pdf.

Enterprise Architecture (EA) Plan: http://www.dot.gov/cio/docs/ETS_FY2009.pdf.

Information Dissemination Management to the Public

The Department of Transportation (DOT) will continue to support E-Gov managing partners as 

needed in the prioritization and execution of initiative goals and activities. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://www.dot.gov/webpublishing.htm, http://www.dot.gov/open/.

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.dot.gov/foia/foiareferenceguide.html .

Primary FOIA website: http://www.dot.gov/foia/.

Public websites disseminating research and development (R&D) information to the public, 

describing for each whether the website provides the public information about Federally funded 

R&D activities and/or provides the results of Federal research: 

 FAA: http://www.faa.gov/data_research/research/

 FHWA Turner-Fairbanks Highway Research Center: http://www.fhwa.dot.gov/research/

 FMCSA Analysis, Research & Technology: http://www.fmcsa.dot.gov/factsresearch/art.htm

 FRA Research & Development: http://www.fra.dot.gov/us/content/32

 MARAD Research & Development Activities: 

http://www.marad.dot.gov/environment_safety_landing_page/maritime_safety/rnd_act/rn

d_act.htm

 NHTSA Research and Evaluation Program: http://www.nhtsa.gov/

 Research & Development: http://www.phmsa.dot.gov/initiatives/r-and-d 

 RITA Intelligent Transportation Systems: http://www.its.dot.gov/index.htm 

 RITA RD and T: http://www.rita.dot.gov/rdt/

 Cooperative Research Programs (CRP): Airport Cooperative Research Program (ACRP): 

http://www.trb.org/ACRP/Public/ACRP.aspx. 

 National Cooperative Freight Research Program (NCFRP): 

http://www.trb.org/NCFRP/Public/NCFRP.aspx 

 Hazardous Materials Cooperative Research Program (HMCRP): 

http://www.trb.org/HMCRP/Public/HMCRP.aspx 
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 National Cooperative Highway Research Program (NCHRP): 

http://www.trb.org/NCHRP/Public/NCHRP.aspx. 

 Transit Cooperative Research Program (TCRP): 

http://www.trb.org/TCRP/Public/TCRP.aspx

Each of the R&D Information Posting and CRP sites contains an overview of the various 

research programs within the DOT's OAs. Where grant opportunities are available, information 

is posted. DOT’s grant opportunities are also noticed through Grants.gov. Publications are made 

available, as are annual summaries of program results. In some instances, strategic plans, events 

calendars, and public affairs collateral are also available. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Frequent requests for records are made available to the public at: 

 OST: http://www.dot.gov/foia/err.htm 

 OIG: https://www.oig.dot.gov/foia-electronic-reading-room 

 FAA: http://www.faa.gov/foia/electronic_reading_room/ 

 FHWA: http://www.fhwa.dot.gov/foia/err.htm 

 FMCSA: http://www.fmcsa.dot.gov/foia/electronicreadingroom.htm 

 FRA: http://www.fra.dot.gov/Pages/951.shtml 

 MARAD: 

http://www.marad.dot.gov/about_us_landing_page/freedom_of_information_act/foia_ele

c_reading_room/Electronic_Reading_Room.htm 

 NHTSA: 

http://www.nhtsa.gov/About+NHTSA/NHTSA+Electronic+Reading+Room+(ERR)

PHMSA: http://www.phmsa.dot.gov/foia/e-reading-room 

 RITA: http://www.rita.dot.gov/freedom_of_information_act/

 SLSDC: http://www.seaway.dot.gov/FOIA.htm 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : DOT has Memorandums of 

Agreement (MOA) with several agencies: 

 With the Small Business Administration for OA links to Business Gateway for small 

business compliance information, located at: http://business.gov. 

 With Labor for the Office of Small and Disadvantage Business Utilization to link to 

GovBenefits for benefit and assistance programs, located at: 

http://www.GovBenefits.gov. 

 With the National Science Foundation (NSF) to support the Grants Management Line of 

Business Program Management Office (GM LoB/PMO). 

DOT has an Interagency Service Level Agreement with the Grants.gov Program Management 

Office (PMO) and the Department of Health and Human Services (DHSS). DOT has a MOU 

with the Environmental Protection Agency to support the maintenance and operation of the 

Government-wide electronic docket management system known as the Federal Docket 

Management System (FDMS), located at: www.regulations.gov. 
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The FHWA has a signed MOU with Interior for FHWA’s Byways Program that links to 

Recreation One Stop, located at: http://www.recreation.gov. 

RITA has an MOU with the Transportation Research Board that enables the National 

Transportation Library (NTL) to host the Transportation Research Information System (TRIS) 

Online and make the database available free to the public (link is: 

http://ntlsearch.bts.gov/tris/index.do). RITA, through the Bureau of Transportation Statistics, 

houses the DOT Geospatial Information Officer (GIO). RITA has an MOU with Interior to 

participate in the Geospatial LoB and share DOT-related information through the Geospatial One 

Stop (GOS) site, located at: http://www.geodata.gov. 

SLSDC has an MOU with the Canadian St. Lawrence Seaway Management Corporation that 

allows for bi-national support of the Great Lakes St. Lawrence Seaway System bi-national 

website (www.greatlakes-seaway.com) that is linked to www.seaway.dot.gov. This site provides 

the general public with Seaway shipping news, port and terminal information, vessel tracking, 

cargo statistics and other useful resources. 

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules : http://archives.gov/recordsmgmt/rcs/schedules/index.html?dir=/departments/department-of-transportation

Implementation of Electronic Signatures for Interoperability 

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 Personal 

Identification Verification (PIV) cards and authenticating external users with PIV-interoperable 

(PIV-i) credentials and by utilizing the public key infrastructure (PKI) digital signature 

certificate stored on the PIV cards. DOT employees can currently send and receive digitallysigned emails both within DOT and to and from external partners as well as use the digital 

signature features of other word processing software.

Electronic Means of Enhancing Public Participation in Government 

DOT has a memorandum of understanding (MOU) with the Environmental Protection Agency 

(EPA) to participate in the Federal Docket Management System (FDMS) at 

http://www.regulations.gov, which hosts the official dockets for all DOT rulemakings and 

adjudicatory matters. DOT also promotes public participation in the rulemaking process via the 

Regulation Room, a pilot project at http://regulationroom.org.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

The DOT budget process links expenditures to strategic goals, which are developed in alignment 

with its mission and key stakeholders, including the private sector, other agencies, and internal 

operations. The DOT's current set of outcomes are:

 Safety

 State of Good Repair/Infrastructure
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 Economic Competitiveness

 Livable Communities

 Environmental Sustainability

 Organizational Excellence

Each outcome has performance goals, which in turn have metrics to which each program aligns 

its funding. Included in these funding amounts are IT dollars.

To further demonstrate alignment of services and allocation of the Department’s information 

management and technology resources, and identify business outcomes and operational 

efficiency opportunities, the DOT Chief Information Officer has developed an IT Vital Signs 

reporting tool. This tool tracks the DOT's Operating Administrations' performance in several key 

areas including cybersecurity and information assurance, IT investment management, and major 

enterprise IT initiative support. On a quarterly basis the leading indicators tool examines these 

key performance areas that fulfill the Department’s strategic business goals and reporting 

requirements.

Reducing Errors through Electronic Submissions 

DOT IT investment information is updated on OMB’s IT Dashboard using an electronic 

submission process that allows DOT’s current capital planning tool to directly interact with the 

IT Dashboard program. This allows DOT to create a series of validation requirements that can be 

run against the investment data to ensure it is in the proper format and logical. If any errors 

occur, the investment data is rejected and a list of specific faults is provided. Investment owners 

can therefore quickly locate and correct any issues before publishing their data to the publicfacing IT Dashboard. This ensures IT Dashboard users have logical, consistent data from which 

to analyze and report.

Efforts to Comply with Section 508 Regarding Information Management 

Federal Transit Administration offers specialized training to all employees on how to make 

documents 508 compliant. The training is available to all DOT employees and gives detailed 

instructions on how to assess and convert various types of media into 508 compliant media. 

Pipelines and Hazardous Materials Safety Administration is restructuring their systems and 

content for use by assistive technologies has multiple benefits beyond simply meeting mandates: 

 They value their constituency and desire to have their work available to all interested 

citizens. They recognize that accessibly designed systems are typically easier for nonexperts to use. 

 They believe that having their site structured for assistive technologies positions them 

well for wireless and other specialized access devices. 

DOT Office of the Secretary, Disability Resource Center has an IT Directives Review process 

that Section 508 practitioners, whether or not they have a similar agency review process, can 

draw from. The CIO Office uses a formalized process to develop, review, approve and 

disseminate agency IT policies. 
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Quantifying Cost Savings Achieved through Implementation of IT Programs 

The DOT Operating Administrations have been performing many data center consolidation, 

virtualization, and application redundancy cleanup activities in an effort to realize true cost

savings. A few of these efforts are highlighted below:

The Federal Aviation Administration (FAA) is implementing data center consolidation per DOT 

FDCCI plans reported to OMB. FAA had planned to have four data center spaces closed by the 

end of FY11, however, based on the most recent information available, only two centers are 

planned for closure by the fourth quarter of 2012, fifteen additional are under consideration for 

closure, and three will be in Stage 1 of the closure procedure. Cost savings and cost avoidance 

will occur as the centers are closed in FY12. While the FAA has not yet finalized targets for 

CY13-CY15, the aforementioned consolidations account for approximately $4.7M in cost 

savings, and in addition, the FAA saves approximately $4.5M per year with server 

consolidation/virtualization activities.

Since FY09, the Federal motor Carrier Safety Administration (FMCSA) has utilized VMware 

technology to migrate physical servers into the Volpe hybrid cloud and is currently saving 

approximately $397,800 annually. In FY12, approximately 24 additional servers are slated for 

migration into the hybrid cloud at Volpe, which would add an additional $81,600 to the current 

annual savings estimate. FMCSA will also work with developers to migrate seven Sun Solaris 

systems into the Linux virtual environment. Additional annual savings from that effort will be 

$24,000. FHWA has been working with program and project managers and system owners to 

optimize their portfolio. The OA has been evaluating investments to determine if they are 

duplicative, or if they could be merged or replaced by a shared service agreement within or 

outside the Agency. Recent IT applications that were identified as duplicative and were either 

merged or eliminated because shared services with another application could be applied have 

produced an estimated annual savings of $600,000.

Department of Veterans Affairs

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: http://www.itstrategy.oit.va.gov/.

Enterprise Architecture (EA) Plan: http://www.ea.oit.va.gov/index.asp.

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: The 

Department of Veterans Affairs’ (VA) final determinations, priorities, and schedules, including 

information dissemination product catalogs, directories and inventories are located at: 

http://www1.va.gov/webinventory. Public comments can be made via VAs on-line Inquiry 

Routing and Information System (IRIS): https://iris.va.gov. The Veterans Benefits 

Administration (VBA) provides a direct link to a query system that allows the public to access 

resource materials relative to benefits located at: 

http://www.warms.vba.va.gov/vbahome3bk.htm. 
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Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.foia.va.gov.

Primary FOIA website: http://www.foia.va.gov.

Frequent requests for records are made available to the public at: http://www.foia.va.gov.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public: 

http://www.research.va.gov and http://www.cider.research.va.gov. 

VAs public websites to disseminate research and development information to the public are 

located at: http://www.research.va.gov and http://www.cider.research.va.gov/. 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : http://www.va.gov/advisory. 

Advisory committees are used extensively by VA to provide advice and guidance on a wide 

variety of programs that deliver benefits and services to our Nation’s veterans. Advisory 

committees operate as another component of the people’s voice; in our democratic form of 

government. 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 Veterans Affairs to assess specific VA policies 

or programs. 

Advisory committee members are generally acknowledged, by VAs leadership and members of 

the Veterans Affairs committees in Congress, as consumer representatives of those 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). Advisory committee 

meetings at VA are generally open to the public, and notices of those meetings are published in 

the Federal Register.

One of VAs principal objectives in managing its advisory committees is to ensure that committee 

members appropriately reflect the diversity of American society and the veteran population. 

Committee members are expected to have the technical, scientific and programmatic expertise 

demanded by the committee’s areas of interest and emphasis. Committee members are also 

expected to offer unbiased advice and to comply with all Federal ethics standards. 

http://www.va.gov/advisory.

National Archives and Records Administration (NARA) - Approved Records Schedules Inventory 

and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://www.rms.oit.va.gov/Records.asp.

Implementation of Electronic Signatures for Interoperability 

VA implemented use of electronic signatures for appropriately secure electronic transactions 

through prescription services, disability claims processes, education entitlements, and additional 

benefits as identified on VA’s online application website: 

https://vabenefits.vba.va.gov/vonapp/main.asp.
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Electronic Means of Enhancing Public Participation in Government 

VA is an active and successful participant in the Federal Government’s Inter-Agency 

eRulemaking initiative. This E-Government initiative provides the public an opportunity to view 

and comment on all proposed VA regulations by visiting a single government website that 

displays VA regulations that have been published in the Federal Register and are open for public 

comment. VA uses the Federal Docket Management System 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 regulations are being developed. VA’s 

Office of Regulation Policy and Management in the Office of the General Counsel has a website, 

located at http://www.va.gov/orpm, which links readers to the Electronic Code of Federal 

Regulations (eCFR) where all current VA regulations can be found. The site also lists all VA 

rulemaking documents published in the Federal Register since its establishment in 2004. It also 

provides convenient links to copies of those publications and other materials that may be of 

interest to the public.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

Improved Performance in Support of Agency Objectives and Strategic Goals 

The VA FY10 Performance and Accountability Report (PAR) is currently posted on the VA 

internet site located at: http://www4.va.gov/budget/report/. Additional performance metrics and 

reports are available on ASPIRE at http://www.app.hospitalcompare.va.gov/ and 

http://www.vba.va.gov/reports/. 

Reducing Errors through Electronic Submissions 

Electronic forms and applications have been embedded with edits and numerous error checks to 

ensure the information being submitted meets minimal criteria to be processed. This helps to 

ensure that information submitted is not rejected because of keystroke or data type errors such as 

entering non-numeric data in a field requiring numeric data.

Efforts to Comply with Section 508 Regarding Information Management 

VA advanced conformance training, design planning, and remediation of the Secretary’s 16 

Major Initiatives. VA increased resourcing to participate in 25 integrated project teams to 

influence design for Section 508 compliance. VA trained over 500 VA personnel on Section 508 

for documentation, collaboration tools, and multimedia through efforts with the Governance 

Board and VA’s IT Workforce Development Office.

VA initiated two projects conformance on VA’s a collaboration tool and VA’s Internet/Intranet 

series of Hypertext Markup Language (HTML) sites. Metrics rating 56 servers indicated a need 

for accessibility and privacy governance in the collaboration tool environment and VA continued 

to remediate the collaboration tool environments with a governance board for oversight of these 

remediation efforts. VA awarded a contract for compliance on HTML sites, beginning a 3 year 

effort to analyze all VA’s Internet and Intranet sites and to apply governance rules to maintain 

compliance. An added capability that VA will be able to demonstrate to the rest of the Federal 

Government is the ability of its HTML tool to make social media content and sites accessible to 

disabled users.
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VA created vendor licensing agreements to distribute tools software developers use to test for 

conformance prior to deployment; and screen and document processing tools for disabled 

employees. VA worked with various developers in their introduction of and software 

development for mobile devices to accessibility requirements. VA began development of design 

standards to include accessibility for mobile devices.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

In June 2009, VA implemented the Program Management Accountability System (PMAS). 

Under PMAS, all projects must deliver customer-facing functionality every six months (or less). 

This rapid delivery approach is used extensively in the private sector to ensure IT projects 

deliver. VA combined rapid delivery with a management methodology that enforces strict 

adherence to project milestones. Before PMAS, development projects at VA met their milestone 

dates an estimated 30 percent of the time. In 2011, they are meeting their project milestones over 

80 percent of the time with a cost avoidance of $14M.

Environmental Protection Agency

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: The Environmental Protection 

Agency (EPA) has made significant progress in developing its IT strategic plan, which is 

currently under internal review. The plan will be completed in FY12, and will focus initially on a 

more comprehensive approach to portfolio management. The plan also includes an approach for 

1) improving delivery of employee services; 2) driving innovative technologies and processes; 

and, 3) enhancing cybersecurity. At the same time, EPA has implemented improvements in these 

areas, to meet evolving needs and challenges. 

Enterprise Architecture (EA) Plan: 

http://www.epa.gov/oei/EPAEnterpriseTransitionPlanFY2009v1.4.pdf. EPA provided the 

current EA plan to OMB on March 2, 2011, and is awaiting approval. 

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: www.Regulations.gov, 

www.epa.gov/open. 

E-Travel: Through a combination of advantageous TMC pricing and a substantially higher 

degree of OBE usage (81 percent), EPA is expected to save over $400,000 in travel management 

service fees for reservations in FY11 when compared to pre-ETS pricing and online usage. EPA 

continues to process vouchers through the E-Travel Service (ETS) and is expected to process 

over 68,000 vouchers in FY11. Geospatial LoB. Advantageous pricing from the General 

Services Administration’s (GSA) Smart Buy enables EPA to expand its usage of geospatial 

software to better meet business needs with a much lower annual increase than is possible 

without SmartBuy licenses. As an example of this savings, EPA estimates the Agency saves over 

$2M per year as compared to the street value of commercial geospatial software and data.

BFE LoB: The Budget Formulation and Execution Line of Business (BFE LoB) provides EPA 

with access to budget-related expertise, tools and services. EPA has benefited through the 

information sharing from other agencies on the various budget systems and software being
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utilized across the government. This effort has created a government only capability for 

electronic collaboration (Wiki) through the Budget Community website which allows EPA to 

share budget information with OMB (as well as other Federal agencies). The BFE LoB will also 

provide EPA with increased analytical and reporting capability through the ongoing systems 

development, such as MAX Analytics. The BFE LoB provides budget-related training to EPA 

budget staff related OMB’s MAX budget system and Treasury’s FACTS II statements.

FM LoB: The Financial Management Line of Business (FM LoB) provides the EPA with 

standards, requirements, tools, and services to support EPAs financial management activities. 

EPA benefitted from information sharing across the Federal community on standards and best 

practices in implementing financial systems based on commercial software products used across 

Government. In FY12, EPA implemented Compass, a new financial system that replaces EPAs 

22 year old legacy system. Compass is based upon Momentum, a Commercial-Off-The-Shelf 

(COTS) software. The system is a web-based, cloud-ready, open architecture application.

GM LoB: In FY10, EPA completed detailed Fit/Gap analyses of HHS Grants Solutions system 

and the Compusearch product Prism Grants. In addition, the Agency completed a cost benefit 

and alternatives analysis to determine the best GM LoB solution. Based on the findings and the 

projected cost of implementation, senior management decided to postpone selection of a GM 

LoB alternative until the Agency reexamined its grants process through business process reengineering and until GM LoB implementation could be sequenced appropriately within an 

administrative system overhaul including the contracts, finance, human resource, and grants 

systems.

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to information by the public:

 http://intranet.epa.gov/quality/informationguidelines/pdf/pdr-guidelines.pdf

 http://www.epa.gov/aboutepa/index.html

 http://www.epa.gov/epahome/comments.htm

 http://www.epa.gov/newsroom/ 

 http://www.epa.gov/gateway/learn/

 http://www.epa.gov/lawsregs/

 http://www.epa.gov/epahome/accessibility.htm

 http://www.epa.gov/epahome/faq.htm

 http://www.epa.gov/epahome/resource.htm

 http://www.epa.gov/epahome/topics.htm

 http://www.epa.gov/planandbudget/

 http://www.epa.gov/epahme/grants.htm

 http://www.data.gov

 http://www.epa.gov/datafinder/

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://epa.gov/foia/guide.html.

Primary FOIA website: http://epa.gov/foia/.
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Frequent requests for records are made available to the public at: 

http://www.epa.gov/foia/frequent.html.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

 http://www.epa.gov/research

 http://www.epa.gov/ncer

 http://www.epa.gov/gateway/science

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : 

 http://www.epa.gov/tri/stakeholders/state/state_exchange/index.htm

 http://explore.data.gov/catalog/raw/?Datasetsummary_Agency=Environmental+Protection+Agency

 http://www.loc.gov/flicc/

 http://www.epa.gov/agstar/index.html

 http://www.airnow.gov/

 http://www.epa.gov/asmdnerl/

 www.noattacks.org

 http://www.epa.gov/otaq/bwc.htm

 http://binational.net/index.html

 www.chesapeakebay.net

 www.epeat.net; www.energystar.gov

 http://www.exchangenetwork.net

 http://www.ncai.org/EPA_Environmental_Exchange_Net.208.0.html

 http://www.frtr.gov

 www.greensuppliers.gov

 http://www.mnrg.gov

 http://www.epa.gov/waterspace/

 http://www.epa.gov/oppfead1/international/naftatwg/

 http://schoolipm.ifas.ufl.edu/

 http://npic.orst.edu

 http://www.p2.org/

 http://www.epa.gov/gasstar/index.htm

 http://www.northeastdiesel.org/

 http://www.epa.gov/tri/stakeholders/state/state_exchange/index.htm

The Toxics Release Inventory (TRI) Data Exchange is a collaborative effort among states and 

EPA to provide real-time access to higher quality TRI data while saving time and resources. The 

TRI Data Exchange uses EPA's Central Data Exchange to automatically send copies of 

electronic TRI submissions to participating states and territories. Presently, 42 states have 

established formal agreements with EPA to receive data through TRI Data Exchange, and more 

are expected to join the program in the coming months.
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 http://www.epa.gov/oppt/sf

 http://www.epa.gov/pesp

 http://www.epa.gov/highgwp/semiconductor-pfc/index.html

 http://www.epa.gov/region10/psgb

 www.regulations.gov

 http://www.epa.gov/highgwp/electricpower-sf6/index.html

 http://www.epa.gov/highgwp/magnesium-sf6/index.html

 http://www.smogcity2.org/

 http://www.supplierspartnership.org

 http://www.triadcentral.org

 http://usbiotechreg.nbii.gov

 http://www.epa.gov/highgwp/aluminum-pfc/index.html

 http://www.westcoastdiesel.org/

 http://explore.data.gov/catalog/raw/?DatasetSummary_Agency=3DEnvironmental+Protection+Agency

EPA has extensively leveraged Data.gov in order to help community action groups and citizens 

hold informed discussions about environmental issues at local and regional levels. EPAs total 

contributions to Data.gov include 1,602 raw data sets, 258 geo data sets, and 65 applications or 

tools. EPA is routinely cited as the greatest contributor of data sets to Data.gov. 

AgSTAR Program: http://www.epa.gov/agstar/index.html. Each agreement improves the access 

to and dissemination of Government information to the public in order to help achieve EPA’s 

mission by combining its expertise with that of partners to reach additional audiences.

FLICC/FEDLINK: http://www.loc.gov/flicc/. Through Interagency Agreements with 

FLICC/FEDLINK at the Library of Congress, EPA National Library Network libraries are 

members of OCLC Online Computer Library Center (OCLC). OCLC is a 42 year-old 

cooperative community of over 72,000 libraries in 170 countries. Through OCLC services, 

libraries, archives, and museums across the globe share their unique resources through a Webscale infrastructure. This service facilitates access for the public to Agency resources and sharing 

of library collections by including bibliographic records of EPA Library collections in WorldCat, 

a publicly available database of bibliographic and institutional metadata.

Attack Asthma: www.noattacks.org. This web site is part of the national childhood asthma 

campaign that EPA sponsors through a cooperative agreement with the Advertising Council. The 

Ad Council's mission is to provide timely and the best public service information to the media

and the public. The Ad Council has a special focus on issues that adversely affect children and 

families.

Best Workplaces for Commuters: http://www.epa.gov/otaq/bwc.htm. The Best Workplaces for 

Commuters site is in collaboration with the Department of Transportation and will be solely 

hosted by the EPA Office of Transportation and Air Quality within the next year.

Binational.net: http://binational.net/index.html. This collaboration between the U.S. EPA and 

Environment Canada provides a single window on joint Great Lakes programs. 
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Chesapeake Bay Program: www.chesapeakebay.net. EPA is the lead agency in the Federalstate Chesapeake Bay program. The program has a joint website that is supported by an EPA 

grantee, the Alliance for the Chesapeake Bay, on behalf of at least a dozen Federal and state 

agencies.

Electronic Product Environmental Assessment Tool: www.epeat.net. EPA provided funding via 

a three-year EPEAT site (www.epeat.net) cooperative agreement to the Green Electronics 

Council for the creation of a registry of products meeting the EPEAT standard, a process for 

verifying that products meet the standard, and marketing of the standard and the registry. This 

site provides purchasers with easy access to the EPEAT Product Registry and manufacturers 

with a way to gain market advantage and recognition for greening their products. The three-year 

cooperative agreement expired this year, and the Green Electronics Council is now financially 

sustainable in its own right, and continues to maintain the EPEAT website.

EnergyStar: www.energystar.gov. ENERGY STAR is a joint program of the U.S. 

Environmental Protection Agency and the U.S. Department of Energy helping the public to save 

money and protect the environment through energy efficient products and practices.

Exchange Network: http://www.exchangenetwork.net and 

http://www.ncai.org/EPA_Environmental_Exchange_Net.208.0.html. These Websites inform 

states, territories and tribes about the Exchange Network and its grant program. While EPA 

provides the funds under the cooperative agreements with the Environmental Council of States 

and the National Congress of American Indians (NCAI), the websites are maintained 

independently of EPA. 

Federal Remediation Technology Roundtable (FRTR): http://www.frtr.gov. Federal

Remediation Technology Roundtable website is used to share information on characterization 

and cleanup resulting from EPA partnering with other Federal organizations including DOD, 

Energy, Interior, and NASA.

Green Supplier's Network in collaboration with Dept. of Commerce: www.greensuppliers.gov.

Green Suppliers Network is a joint effort of the U.S. Environmental Protection Agency, U.S. 

Department of Commerce, and the National Institute of Standards and Technology, 

Manufacturing Extension Partnership Program. By partnering with the Green Suppliers Network, 

manufacturers can learn lean manufacturing techniques coupled with sound environmental 

strategies, called the Lean and Green Advantage. 

Midwest Natural Resources Group: http://www.mnrg.gov. Federal agencies partner to bring 

focus and excellence to Federal activities supporting the vitality and sustainability of natural 

resources and the environment.

Midwest Spatial Decision Support System Partnership: http://www.epa.gov/waterspace/. This 

partnership with universities and states promotes the development and dissemination of webbased spatial decision support systems to help manage watersheds in the Midwest. 

NAFTA Technical Working Group on Pesticides: 

http://www.epa.gov/oppfead1/international/naftatwg/. The NAFTA partnership with Canada and 

Mexico increases bilateral efforts of the regulatory harmonization of pesticides regulation. 
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National IPM Information Source: http://schoolipm.ifas.ufl.edu/. Site funded by grant or 

contractor to assist the University of Florida reduce the risk of pests and unnecessary pesticide 

use by promoting integrated pest management (IPM) in schools and providing support, resources 

and training.

National Pesticide Information Center (NPIC): http://npic.orst.edu. This is a cooperative effort 

with Oregon State University. 

National Pollution Prevention Roundtable(s) (NPPR): http://www.p2.org/. This project involves 

Energy and various organizations that share the same goals of pollution prevention, research and 

education. 

Natural Gas STAR Program: http://www.epa.gov/gasstar/index.htm. Each agreement improves 

the access to and dissemination of Government information to the public in order to help achieve 

EPA’s mission by combining its expertise with that of partners to reach additional audiences. 

Northeast Diesel Collaborative: http://www.northeastdiesel.org/. The Northeast Diesel 

Collaborative (NEDC) combines the expertise of public and private partners in a coordinated 

regional initiative to significantly reduce diesel emissions and improve public health in the eight 

northeastern states. Stakeholders include Region 1, Region 2, and external stakeholders.

Office of Pollution Prevention and Toxics: Partnership with Canada, Mexico and the Center for 

Disease Control. 

P2 Framework / Sustainable Futures: http://www.epa.gov/oppt/sf. The Agency has an ongoing 

Cooperative Agreement with Purdue University's Indiana Clean Manufacturing Technology and 

Safe Materials Institute Pesticide Environmental Stewardship Program (PESP),

http://www.epa.gov/pesp. This is a voluntary partnership program to reduce pesticide risk. A list 

of partners can be found on the website. PFC (perfluorocompounds) Reduction/Climate 

Partnership for the Semiconductor Industry http://www.epa.gov/highgwp/semiconductorpfc/index.html. Each agreement improves the access to and dissemination of Government

information to the public in order to help achieve EPA’s mission by combining its expertise with 

that of partners to reach additional audiences.

Puget Sound Georgia Basin: http://www.epa.gov/region10/psgb. Partners include: U.S. EPA, 

Environment Canada, BC Ministry of the Environment, Washington State Department of 

Ecology, Puget Sound Action Team Regulations.gov www.regulations.gov. As a Federal-wide 

effort mandated by Section 206 of the 2002 E-Gov Act, www.regulations.gov is outside of EPA's 

web domain.

Regulations.gov provides citizens with one-stop, Internet access to and the ability to comment on 

all Federal rulemaking and non-rulemaking actions promulgated by all Federal Departments and 

Agencies. The eRulemaking Program also operates a secure login site for Federal agencies, 

www.fdms.gov, which supports more than 10,700 users from 39 Departments and Independent 

Agencies. The Departments and agencies collectively promulgate more than 90 percent of 

Federal rulemakings.
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Science.gov: http://www.science.gov/ is an interagency initiative by 14 Federal agencies, 

including EPA, launched in 2002 to serve the information needs of science-attentive citizens. 

Science.gov is a gateway to Government science information and research results, providing a 

search of over 50 scientific databases, 2,100 selected websites, and 200 million pages of science 

information, and is a gateway to over 2,100 scientific websites. Participating agencies form the 

voluntary Science.gov Alliance which governs Science.gov. SF6 (sulfur hexafluoride) Emission 

Reduction Partnership for Electric Power Systems http://www.epa.gov/highgwp/electricpowersf6/index.html. Each agreement improves the access to and dissemination of Government

information to the public in order to help achieve EPA’s mission by combining its expertise with 

that of partners to reach additional audiences.

SF6 Emission Reduction Partnership for the Magnesium Industry: 

http://www.epa.gov/highgwp/magnesium-sf6/index.html. Each agreement improves the access to 

and dissemination of Government information to the public in order to help achieve EPA’s

mission by combining its expertise with that of partners to reach additional audiences.

State Coalition for Remediation of Drycleaners (SCRD): http://www.drycleancoalition.org. 

Coalition members are states with mandated programs and funding for drycleaner site 

remediation. Current members are Alabama, Connecticut, Florida, Illinois, Kansas, Minnesota, 

Missouri, North Carolina, Oregon, South Carolina, Tennessee, Texas, and Wisconsin.

Strategic Agricultural Initiative (SAI) Toolbox: http://www.aftresearch.org/sai/. In conjunction 

with American Farmland Trust, the SAI is EPA's outreach program to demonstrate and facilitate 

the adoption of farm pest management practices that will enable growers to transition away from 

the use of high-risk pesticides. 

Suppliers' Partnership for the Environment: www.supplierspartnership.org. This is a 

partnership with the automobile sector. 

Triad Resource Center: http://www.triadcentral.org. Triad related information is a result of a 

partnership with USACE, ANL, and other Triad Practitioners.

U.S. Regulatory Agencies Unified Biotechnology Website: http://usbiotechreg.nbii.gov. EPA, 

USDA, and FDA are partners, USGS hosts the site.

Voluntary Aluminum Industrial Partnership (VAIP): http://www.epa.gov/highgwp/aluminumpfc/index.html. Each agreement improves the access to and dissemination of Government

information to the public in order to help achieve EPA’s mission by combining its expertise with 

that of partners to reach additional audiences. 

West Coast Diesel Collaborative: http://www.westcoastdiesel.org/. Partners: 

http://www.westcoastdiesel.org/partners.htm. The West Coast Collaborative (Collaborative) is an 

ambitious partnership between leaders from Federal, state, and local government, the private 

sector, and environmental groups committed to reducing diesel emissions along the West Coast. 

Partners come from all over Western North America, including California, Oregon, Washington, 

Alaska, Arizona, Idaho, Nevada, Hawaii, Canada and Mexico. The Collaborative is focused on 

creating, supporting and implementing diesel emissions reductions projects.
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National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: http://epa.gov/records/policy/schedule/index.htm. 

Implementation of Electronic Signatures for Interoperability 

EPA's Central Data Exchange (CDX) provides a set of environmental information exchange 

services that can be used by multiple stakeholders — EPA program offices, state environmental 

agencies, local and tribal agencies, and other federal agencies. These exchange services include 

but are not limited to registration, electronic signature, archiving, security services (identity 

management, authentication, authorization) quality assurance, standard transmission services, 

data transformation, discovery services (to locate and use services) supported by one group and a 

common help desk.

As EPA and other agencies face the challenge of meeting growing mission requirements with 

declining resources, shared environmental exchange services are one way to drive down 

development and operating costs. Shared services leverage what has been designed and built to 

be used by a number of stakeholders based on a service-oriented IT architecture, —essentially 

“build once, use many”. The use of these shared exchange services allows agencies to better 

focus their limited IT resources on their own unique requirements rather than developing 

duplicative services and custom approaches.

Electronic Means of Enhancing Public Participation in Government 

Regulations.gov: www.regulations.gov. This public website provides one-stop Internet access to 

view, download, and submit comments on all Federal regulations. In FY11, the public submitted 

505,000 comments via the Regulations.gov web form. Regulations.gov receives an average of 

850,000 visits per month. In FY11, EPA posted 1,034 proposed and final rulemakings, 1,002 

notices, 18,087 supporting documents, and 78,657 public comments on Regulations.gov. In 

addition, EPA posted videos and displays on a series of rulemaking and non-rulemaking actions 

on Regulations.gov, including EPA’s Tribal Policy in January 2011 and the joint EPA–DOT 

proposed fuel economy labels in November 2010. 

Regulations.gov Exchange: www.regulations.gov/exchange. The Regulations.gov Exchange is an 

integrated application that offers the public a new way to participate and collaborate with the 

Federal agencies on the Regulations.gov website. It enables agencies to host on-line discussions 

forums and collect public feedback and consideration. This year, the eRulemaking Program 

hosted multiple online discussions on topics, including: agency best practices in increasing 

public participation in the regulatory process and the President's Executive Order 13563. 

Regulatory Development and Retrospective Review Tracker (Reg DaRRT):

http://www.epa.gov/regdarrt/. The Reg DaRRT website provides information to the public on the 

status of EPA's priority rulemakings and retrospective reviews of existing regulations. The 

retrospective reviews section was added in response to Executive Order 13563. The other 

section of Reg DaRRT provides information early in a rulemaking's development process (i.e., 

before a proposed regulation is issued) and offers filters that indicate which rulemakings may be 

of interest to specific stakeholders. The goal is to help stakeholders understand what rulemakings 

may be forthcoming so they have adequate time to participate and prepare any comments they 

may wish to submit. Reg DaRRT links to in-depth information on Regulations.gov. 
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Reg Stat: http://www.epa.gov/regstat/. Reg Stat offers statistical data in the form of charts, tables 

and brief summary overviews to inform the public about the types of documents EPA publishes 

in the Federal Register annually. 

Small Entities and Rulemaking: http://www.epa.gov/rfa/. EPA launched a redesigned site in 2011 

to provide more user-friendly information that small businesses need. The site focuses on 

potential regulations that are expected to significantly impact small entities. Also, it offers a way 

that relevant small entities can self-nominate to be a part of an RFA process where EPA gathers 

information about such regulations. 

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

The link below provides the set of measures EPA currently uses to measure performance of IT 

related enabling support programs: http://epa.gov/planandbudget/results.html.

In being open and responsive to the public, EPA created the Enterprise Customer Service 

Solution (ECSS), used by over 30 EPA programs to provide information and better service to the 

public at a lower cost. ECSS has two components, Frequently Asked Questions (FAQs) and Email Alert Service (EAS). FAQs is a self-service application that manages incoming inquiries 

and EPA responses while building a knowledge base to create new FAQs. This self-service 

application has reduced the number of incoming inquiries and, consequently, the cost of 

providing the information, as well as guaranteeing consistent answers, thus reducing errors. EAS 

allows users to subscribe to receive email notifications when there is new information about 

environmental topics of interest to them. It provides performance measures for the number of 

visitors that have used the FAQ self-service application, as well as the number of email 

notifications sent through the EAS subscription service. EPA can measure the total number of 

inquiries and average response times; and how long it takes to respond to inquiries that requires 

individual handling. (http://www.epa.gov/epahome/faq.htm)

Reducing Errors through Electronic Submissions 

EPA's Central Data Exchange (CDX) uses a number of methods to ensure quality data when 

submitted to the Agency. First, when implementing a web form approach to reporting data, 

quality checks are embedded or called from the web form and compared to acceptable data or 

values as the user is in the process of submitting. In addition, many reporting data flows 

leverage the XML standard allowing for rudimentary quality assurance checks against XML 

schemas. Some EPA programs have adopted the extended capabilities of XML schemas 

(schematron) so that large batches of data complete a full quality check prior to being accepted 

by EPA.

The EPA developed web services so that CDX can call authoritative data sources, such as the 

Facility Registry System and Substance Registry System, to reduce typos or erroneous data 

entry. The kinds of quality assurance checks from these processes range from basic 

mandatory/optional fields to more complex data types involving allowable values or code sets. 

The purpose of these quality checks is to ensure as clean as possible data prior to coming into the 

Agency. An underlying instrument that helps facilitate these processes is the establishment of 

data standards for environmental information across EPA Programs. In a number of respects, 

this ensures the Agency is speaking one language enabling better query results in the future. 
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Efforts to Comply with Section 508 Regarding Information Management 

EPA works to ensure the accessibility of the Agency's websites, software, hardware, video and 

multimedia, and telecommunications by providing resources to information users with 

disabilities, information developers, and information managers. For more information about 

EPA's role in ensuring accessibility refer to:

 The Section 508 Accessibility page: http://www.epa.gov/accessibility/

 The EIT Tools resource page: http://www.epa.gov/accessibility/procurement/index.htm

 The Assistive Technology resource:

http://www.epa.gov/accessibility/technology/index.htm

Quantifying Cost Savings Achieved through Implementation of IT Programs 

Below are several examples of how EPA has achieved cost savings and cost avoidance through 

IT programs: 

 EPA completion of the network optimization initiative reduced EPA’s monthly WAN 

costs by over 50 percent from $179 to $83 per megabit. These cost savings enabled a 

doubling of EPA WAN capacity to support server consolidation efforts within EPA’s 

existing operating budget. WAN capacity is a critical path dependency for consolidation. 

 EPA re-competed labor contracts responsible for approximately 44 percent of server 

operations. The new contracting model provides for increased competition through a 

multi-award contract with annually renewable tasks. Reduced labor costs enable EPA to 

accommodate approximately $1.5M in annual server consolidation costs within EPA’s 

existing operating budgets. 

 When compared with the cost of Federal agencies developing and maintaining their own 

independent systems, the eRulemaking program saves the taxpayer $128M over a 5 year 

period.

 Advantageous pricing from GSA Smart Buy enables EPA to expand its usage of 

geospatial software to better meet business needs with a much lower annual increase than 

is possible without the SmartBuy licenses. EPA estimates saving over $2M per year as 

compared to the street value of commercial geospatial software and data.

 Through E-Travel, a combination of TMC pricing and a substantially higher degree of 

OBE usage (81 percent), EPA is expected to save over $400,000 in travel management 

service fees in FY11 when compared to pre-ETS pricing and online usage. EPA 

continues to process vouchers through ETS and is expected to process over 68,000 

vouchers in FY11.

General Services Administration

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: IRM Strategic Plan: 

http://www.gsa.gov/portal/category/22445. The General Services Administration’s (GSA) IT 

Strategic Business Plan of 2010 “ 2012 is being refreshed with an estimated publication date of 

December 2011 to be responsive to business needs and leverage new and emerging technology 

and best practices. The 2012- 2015 Plan will ensure that GSA’s current and future IT solutions 

directly support and align with GSA’s overall goals of Innovation, Customer Intimacy, and 
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Operational Excellence. The seven business capability areas, especially, Secure IT Services and 

Knowledge, Data-Driven Decision Making, serve as the foundation for this progressive approach 

to strategic planning, for which the expected outcome is improved IT investment management. 

Enterprise Architecture (EA) Plan: GSAs Enterprise Architecture public info: 

http://www.gsa.gov/portal/content/105229.

GSA’s Enterprise Architecture documents are posted at its internal-use portal, Insite. 2011 has 

been the year of revitalization for GSAs Enterprise Architecture program. Enterprise 

Architecture (EA) at GSA is a partnership with the business lines. The goal of this partnership is 

to identify and develop solutions designed to meet changing business needs. EA brings together 

people, processes and technology to facilitate data-driven decision-making in order to improve 

the quality of GSAs information technology (IT) portfolio. 

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: GSA’s FY10/11 Exhibit 

300s are posted at GSA’s public website: http://www.gsa.gov/portal/content/105116. Also 

located at GSA’s public website is the FY12 Congressional Justification, in which the EGovernment appropriation is discussed on pages 125-130. 

http://www.gsa.gov/portal/content/102463. FY12/13 are predecisional and not posted at gsa.gov; 

however, were sent to OMB as requested on September 23, 2011. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://www.gsa.gov/portal/content/112067. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: GSA’s FOIA handbook, FOIA Report, and online electronic FOIA request are 

located at the FOIA website at www.gsa.gov: http://www.gsa.gov/portal/category/21416. 

Primary FOIA website: GSA’s FOIA handbook, FOIA Report, and online electronic FOIA 

request are located at the FOIA website at gsa.gov: http://www.gsa.gov/portal/category/21416. 

Frequent requests for records are made available to the public at: GSA’s FOIA handbook, FOIA 

Report, and online electronic FOIA request are located at the FOIA website at gsa.gov: 

http://www.gsa.gov/portal/category/21416. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

GSA does not have R&D authority. 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : Terms of Service Agreements: 

http://forum.webcontent.gov/?page=TOS_agreements. 

A coalition of Federal agencies (led by GSA's Office of Citizen Services and Innovative 

Technologies) negotiated Terms of Service (TOS) agreements with a broad range of social media 

providers who offer free services to users in order to resolve issues with existing standard Terms 
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of Service that are problematic to Federal agencies. Having these agreements in place alleviates 

the need for agencies to negotiate individually. 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

GSA’s records schedules are located at: 

http://w3.gsa.gov/web/c/file.nsf/4b6aaf8da00cdb5c85256325005e3d48.

GSA’s OpenView Records Program is located at: http://www.gsa.gov/portal/content/104098.

(See Section 1) 

Implementation of Electronic Signatures for Interoperability 

GSA has a well-established e-Signature program with FAS that has been in operation for 5 years. 

In addition, GSA has been operating a digital signatures working group which reviews the 

current usage of electronic and digital signatures in the agency. The group assesses the 

capabilities of various tools available to GSA users. Their efforts include a review of best 

practices, laws and policy documents related to the use of digital signatures. The planning has 

resulted in a roadmap of use of digital signatures within GSA. A GSA Order [CIO 2162.1, 

Digital Signatures] was published by the CIO December 2, 2010 declaring digital signatures as 

the preferred method of signing documents. The Order is available electronically on GSA InSite. 

Changes are also being made to various existing policy documents such as the GSAM to clarify 

language concerning the signing of documents.

Electronic Means of Enhancing Public Participation in Government 

GSA always uses Regulations.gov to gain public comment on its GSA and FAR regulations. 

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, and 

Internal Operations 

The GSA IT Strategic Business Plan planning, implementation, and measurement processes link 

performance goals and measures to key stakeholders and customers’ needs/requirements, private 

sector best practices, other agencies’ best practices, and alignment with other internal GSA 

operations in delivery of information and services through use of IT. 

The GSA OCIO quarterly “In Progress Reviews” track OCIO’s critical success measurements 

referenced in GSA’s 2010-2012 GSA IT Strategic Business Plan goals. These include such 

measures as:

 Percent of IT strategic initiatives completed on schedule

 Percent of investments with cost variance within +/ 10 percent

 Percent of investments with schedule variance within +/10 percent

 Percent of EA segments completed

 Percent of IT Project Managers validated (Per CIO Council)

Long term performance goal measures include:

 IT portfolio composition-reduction of the O&M percent of total
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 Percent of new business capabilities funding (i.e. DME) in GSA’s portfolio compared to 

other agencies

Reducing Errors through Electronic Submissions 

GSA's PDF and Formnet Libraries of approximately 500 Standard, Optional, and GSA forms 

located at www.gsa.gov/forms are fillable, savable, XML-capable, 508-compliant, E-signature 

capable, and may be submitted electronically. 

The PDF versions are FDCC-compliant as well; that is, they are useable by any individuals via 

the free Adobe Reader software, which requires no IT Help Desk intervention. 

Since 2002, the Integrated Acquisition Environment (IAE) has offered a portfolio of nine 

acquisition services which facilitates all phases of the Federal acquisition lifecycle for buyers, 

sellers, and the public – bringing transparency and visibility to the process of Federal acquisition. 

These services evolved from the “Adopt, Adapt, Acquire” strategy. In FY08, due to the need to 

meet new challenges, a fourth strategy was added—“aggregate.” The “aggregation” strategy 

focuses on both business services and data in the acquisition lifecycle. The functions performed 

by the current IAE applications will be migrated to a set of acquisition business services that will 

be implemented consistent with Service-Oriented Architecture concepts and technology, and will 

leverage open source software and open source software development methodologies. 

Aggregating and leveraging a set of common services such as reporting and database 

management will greatly simplify the IT infrastructure. 

Managing a few databases, as opposed to the current nine, will reduce data redundancy and 

errors, contribute toward establishing a more secure platform, improve data integrity and reduce 

the cost of ownership and operation. 

Efforts to Comply with Section 508 Regarding Information Management 

GSA has incorporated key initiatives in its FY12 Strategic Program Plan, to improve compliance 

with Section 508 of the Rehabilitation Act. The first of 4 objectives includes developing a 

Section 508 course curriculum in the GSA On-Line University. This curriculum included a total 

of 5 training courses designed to aid employees in building accessible office documents. The 

final course will focuses on Fundamentals of Giving An Accessible Presentation, to ensure 

maximum accessibility of information to an audience.

The second initiative includes robust usability testing of websites and web-applications 

throughout the developmental phases of the lifecycle. GSA’s one-stop resource lab incorporated 

usability testing methodologies and best practices, with the goal of improving user-centered 

design and optimizing the user experience. In this lab, GSA will engage in writing for 

comprehension and plain language practices, such as active voice, shortening sentences, use of 

common words and deploying easy-to-read design features. These techniques also serve to 

enhance accessibility of GSA’s online presence.

The third and final initiative for this year is to procure Section 508 analysis and testing, 

evaluation and reporting services for websites and web applications. The scope of this 

procurement will allow GSA offices to acquire services as needed and on a pay per task basis. 
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The contractor will essentially perform independent verification and validation testing processes 

that include Section 508 error violation identification and analysis. The findings during testing 

will be evaluated and recommendations for remediation will be generated in a final report.

Quantifying Cost Savings Achieved through Implementation of IT Programs

GSA expects that using the cloud-based Mail system will reduce email operation costs by 50

percent over the next five years and save more than $15.2M for the agency in that time.

The E-Gov Benefits Report summarizes benefits realized and expected from Electronic 

Government (E-Gov) initiatives funded by GSA, either as the managing agency or through 

contributions to other agencies in accordance with the reporting requirements established in 

section 737 of Public Law 110-161.

GSA is a Managing Partner for the following E-Gov initiatives:

E-Government Travel Service (ETS)

 Increased cost savings associated with overall reduction in Travel Management Center 

(TMC) transaction service fees;

 Advantageous strategic source pricing through cross-government purchasing agreements;

 Improved business process functionality as a result of streamlined travel policies and 

processes;

 Eliminated over 250 disparate, paper-driven systems costing $180M annually;

 Increased online adoption from less than 5 percent in 2003 to 68 percent as of July 2011, 

saving close to $10M annually;

 Reduced traveler reimbursement cycle time from 28 days to 3 days;

 Leveraging commercial technology to position the Government for future technology 

such as cloud computing.

Electronic Federal Asset Sales (eFAS)

 Provides Federal agencies with a standardized mechanism to sell Government-owned 

property. A single portal allows agencies to reach a broader customer base and obtain 

greater exposure for their assets during disposal. Automating the disposal process has 

reduced cycle time, saving storage and transportation expenses; and

 Investigating moving GovSales.gov to a cloud computing environment to provide 

savings.

Integrated Acquisition Environment (IAE)

 Increasing transparency through data sharing to enable better decisions in procurement, 

logistics, payment, and performance assessment;

 Creating a simpler, common, integrated business process for buyers and sellers that 

promotes competition, transparency and integrity;

 Modernizing acquisition tools to leverage investment costs for business related processes;
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National Aeronautics and Space Administration

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.nasa.gov/offices/ocio/IRM_Plan.html.

Enterprise Architecture (EA) Plan: 

http://www.nasa.gov/pdf/282059main_NASAEnterpriseTransitionPlanv3.2FINAL.pdf. Version 

3.2 was most recently updated in May 2009, and includes updates to reflect changes in the 

Agency EA program. The Plan reflects segment architectures associated with the National 

Aeronautics and Space Administration’s (NASA) Lines of Business (LoBs) and mission support 

cross-cutting segments within the agency. 

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

http://www.nasa.gov/about/contact/information_inventories_schedules.html. NASA provides a 

link for the public to access NASA’s final determinations, priorities, and schedules on its main 

webpage (www.nasa.gov), pages accessible to the public with URL’s that end in nasa.gov, and 

each of the NASA Center’s web pages. The link is called “NASA Information-Dissemination 

Product Inventories, Priorities and Schedules.” 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://www.nasa.gov.

NASA’s Office of Public Affairs determines which Government information is made available 

and accessible to the public through the NASA Web Portal. The Office of Public Affairs releases 

information based on its news value and interest to the media and public. As the release of this 

information is timed to its news value and is highly variable in content, the Agency does not 

maintain a fixed schedule or list of priorities. In terms of final determinations, priorities, and 

schedules available for public notice and comment, the public and the news media provide 

feedback to the News and Multimedia Division on a daily basis via telephone and e-mail, making 

a formal comment period unnecessary. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.hq.nasa.gov/office/pao/FOIA/EO_FOIA_Ref_Guide.pdf. NASA 

continues to proactively comply with the “Electronic Freedom of Information Act Amendments 

of 1996.” In past years the Agency set up a specific Electronic FOIA (E-FOIA) Reading Room 

for posting documents relating to the Columbia accident. Releasable portions of several NASA 

contracts have also been posted in the reading room. These and other Agency records have been 

electronically posted for: (1) meeting the multiple requests for similar records; or (2) the 

anticipation of public interest for agency records. 

Primary FOIA website: http://www.hq.nasa.gov/office/pao/FOIA/agency/

Frequent requests for records are made available to the public at: 

http://www.hq.nasa.gov/office/pao/FOIA/agency/. Additionally, each NASA FOIA Requester 
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Service Center has and maintains separate electronic reading rooms, which contain records 

posted that have been previously released. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

http://ntrs.nasa.gov/.

The NASA Technical Report Server (NTRS) is a comprehensive source of NASA’s current and 

historical Federally funded research and development (R&D) aerospace research and engineering 

results. NASA’s R&D and missions produce a wealth of important scientific and technical 

information that is essential to the Agency, to U.S. aerospace companies and educational 

institutions, and to the Nation. The NTRS is an integral part of gathering and disseminating this 

mission-related information. NTRS promotes the dissemination of NASA Scientific and 

Technical (STI) to the widest audience possible by allowing NTRS information be harvested by 

sites using the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH). 

Dissemination of Formal Agency Agreements with External Entities to the Public

An updated inventory will be deployed during FY12 and will be available on 

http://www.nasa.gov/offices/ocio/IRM_Plan.html. NASA’s 2011 Strategic Plan called to expand 

partnerships with international, intergovernmental, academic, industrial, and entrepreneurial 

communities and recognize their role as important contributors of skill and creativity to NASA’s 

missions and for the propagation of its results. To further Open Government goals, NASA has 

developed a new inventory of sample agency agreements with external entities (e.g., partnerships 

with international space agencies, Federal agencies, State/local governments, universities, public 

libraries, industry and commercial search engines). This inventory will be an interactive, 

searchable info-graphic, slated for deployment in October 2011.

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: 

http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=1441&s=1D. NASA finalized an 

inventory of its electronic information systems and determined whether they contain Federal

records, and whether proper retention schedules already existed. Of the 2,187 information 

systems identified in the Agency, 1,330 were determined to contain records. NASA continues to 

create and submit to NARA retention schedules for those records determined to be unscheduled. 

Some new schedules have been approved and 1,236 of NASA’s systems now have appropriate 

retention schedules. All the systems were divided into 54 subject categories and schedules 

developed or revised for submission to NARA where necessary for the records within the system 

to be covered. The Agency now has approved schedules for 96.3 percent of the categories of 

systems. The Agency continues work on developing proposed schedules for the remaining 3.7

percent of the subject categories of systems containing 94 systems or applications requiring 

schedules. 

Implementation of Electronic Signatures for Interoperability 

NASA has replaced its Center-based, x.500 infrastructure for Public Key Infrastructure (PKI)

certificate discovery and validation with the NASA Enterprise Directory, which is fed directly 

from the authoritative source of all identities for PIV smartcard issuance and access 
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management. This change has allowed for more seamless integration of encrypted and 

electronically signed e-mail throughout NASA. Now that the revised NIST SP 800-73 provides 

guidance for management of key history on PIV smartcards, NASA intends to prototype the 

inclusion of encryption and signing certificates on their PIV smartcards in FY13. The inclusion 

of encryption and signing certificates on smartcards will provide enhanced capability to facilitate 

expanded use of electronic signatures in future applications. 

Electronic Means of Enhancing Public Participation in Government 

NASA’s benefits for the E-Rulemaking initiative are largely focused on public benefits. Onestop access to NASA and other Federal agency information on rulemakings and non-rulemaking 

activities is included in the more than 2M documents posted on Regulations.gov. Direct budget 

cost savings and cost avoidance result from NASA’s transition to the Federal Docket 

Management System (FDMS) and Regulations.gov, enabling the Agency to discontinue efforts 

to develop, deploy, and operate specific individual online docket and public comment systems. 

Over a five-year period, NASA is estimated to save over $700 thousand over alternative options 

that would provide similar services.

Another approach that NASA is using to engage the public is OpenNASA (http://open.nasa.gov),

a collaboratively written public blog by NASA employees about the Agency that presents open, 

transparent and direct communication about the space program. Team OpenNASA shares lessons 

learned, and what others can learn from them. Because the OpenNASA authors blog on their 

own time (and therefore do not represent NASA), the site allows a dialog to occur not only 

within the internal NASA community but also between the public and NASA. The goal of 

OpenNASA is to help the Agency become more transparent, authentic and direct with its 

communication to the public, to help create a participatory space agency – one that actively 

engages people from all backgrounds and perspectives

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

NASA’s 2011 Strategic Plan unveils the Agency’s new direction and new strategic goals. NASA 

has updated its annual performance plans (APPs) to reflect this new direction. In concert with 

this effort, NASA is transitioning to a new performance framework with a focus on increased 

transparency and accountability. References to IT performance goals can be found under 

Objective 5.2.2: Provide information technology that advances NASA space and research 

program results and promotes open dissemination through efficient, innovative, reliable, and 

responsive services that are appropriately secure and valued by stakeholders and the public. The 

NASA FY12 Performance Plan can be found at the following link: 

http://www.nasa.gov/pdf/533366main_NASAFY12_Performance_Plan-508.pdf.

Reducing Errors through Electronic Submissions 

NASA’s integrated human capital solution enables information to flow from the hiring process 

through on-boarding, to its personnel payroll system. Process automation has eliminated 

redundant manual data entry and associated errors. Additionally, automatically populating entry 

forms allows new employees to validate their information prior to submission into the badging, 

identity management, and payroll processes. The personnel data warehouse provides 

information to employees and managers to support both decision making and data quality 

control, since users can identify any errors for correction. 
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Instead of manually entering data directly into the Federal Procurement Data System/Next 

Generation (FPDS-NG) NASA utilizes its interface from the Contracts Management Module 

(CMM-PRISM) to populate the majority of the required data fields. NASA is also the only 

Agency that reports its Grants data to FPDS-NG and the majority of the data is provided through 

a custom interface thus promoting more timely and accurate data reporting. In support of EGov’s Open Government initiative and the Federal Funding Accounting and Transparency Act 

(FFATA), NASA implemented functions within the CMM-PRISM application to derive the 

predominate Treasury Account Symbol (TAS) for all NASA awards and interface it directly to 

the FPDS-NG. This function replaced a process containing a manual step by Contract 

Procurement Offices and increases efficiency and data quality for reporting TAS to FPDS-NG 

and USASpending.gov.

CMM-PRISM also includes an interface to Online Representation and Certifications (ORCA) 

website enabling NASA Contract Specialist to download Contractors ORCA data for inclusion in 

their electronic award document or print out for hard copy files. 

Efforts to Comply with Section 508 Regarding Information Management 

 In January 2011, NASA published its first ever Agency-wide Electronic and Information 

Technology Accessibility policy;

 In April 2011, NASA OCIO completed the development of a 508 Awareness training 

module that will be integrated into the agency's training suite (SATERN). This 

integration is scheduled to be completed by December, 2011; and, 

 The NASA OCIO is working with the NASA Office of Diversity and Equal Opportunity, 

specifically Center Disability Program Managers, to streamline requests for 

accommodations and accurately report those requests in the form of Agency metrics to 

the Agency 508 Coordinator, Chief Information Office, and Director, Office of Diversity 

and Equal Opportunity. 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

Deployment of NASA’s automated, integrated on boarding process enabled NASA to provide 

badges, access and equipment to new hires within the first two days of hire. Prior to 

implementation of this process, it took on average 30 days for a hire to receive the tools and 

access needed to be a fully performing employee. The agency was able to mitigate the lost 

productivity cost, estimated at over 4M annually that was caused by excessive delays in 

efficiently provisioning each new hire. 

SAP/Real Property Mgmt (RPM): This effort integrated the management of Real Property with 

the Agency’s Core Financial System via real-time integration at the individual asset level (asset 

capitalization and depreciation). Prior to the integration, manual Journal Vouchers (JV) were 

utilized at the summary level. This process was prone to human error. 

SAP/Materials Mgmt Initiative (MMI) - Cost Avoidance: Removing the legacy NASA Supply 

Mgmt System (NSMS) from the Agency mainframe platform by utilizing the Agency’s ERP 

software suite (SAP) will allow this platform to be decommissioned as planned (6 months after 

last shuttle mission—January 2012). Otherwise, the costs were estimated at $4.2M annually. The 

Agency was already licensed to utilize the SAP software. 
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National Science Foundation

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: Includes the EA Transition Plan. 

Enterprise Architecture (EA) Plan: http://www.nsf.gov/oirm/dis/.

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

http://www.nsf.gov/policies/egov_inventory.jsp.

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

http://www.nsf.gov/discoveries/, http://www.nsf.gov/news/overviews/, and 

http://www.nsf.gov/awardsearch/.

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.nsf.gov/policies/ogc1009.pdf.

Primary FOIA website http://www.nsf.gov/policies/foia.jsp.

Frequent requests for records are made available to the public at: 

http://www.nsf.gov/publications/ods/ and http://www.nsf.gov/policies/foia.jsp.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

http://www.nsf.gov, http://www.nsf.gov/recovery/, and http://www.research.gov. 

The National Science Foundation (NSF) publishes information about how Federally funded 

research and development grant dollars are being spent and what results are achieved. 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: :

http://www.nsf.gov/about/partners/ and http://www.nsf.gov/statistics/about.cfm.

NSF supports collaborative projects involving academic institutions, private industry, and state 

and local governments; works closely with other Federal agencies; and supports participation in 

international scientific efforts. 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

NARA-approved records schedules : http://www.nsf.gov/policies/records/index.jsp.

In FY11: NSF trained agency records custodians on the Department of Defense (DOD) 5015.2 

approved ERM system, Documentum, which manages retirement, retrieval, and transfer of 

physical records. NSF initiated Phase II of the Documentum implementation to support 

management of electronic records, including transfer to NARA. NSF is consulting with NARA 

on records management implications of social media and will seek approval of a relevant record 
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schedule. NSF continually evaluates new systems for records content, schedules them as 

appropriate, and updates business practices. 

Implementation of Electronic Signatures for Interoperability 

NSF has implemented electronic signatures across all of its key mission support systems, 

including FastLane, NSF’s legacy system for the research community to do business with the 

Foundation; eJacket, NSF’s internal system used by staff to make and manage the Foundation’s 

grant awards; and Research.gov, NSF’s modernization of FastLane.

In addition, NSF has established streamlined interoperability across its business applications for 

both internal and external users. With this functionality, NSF provides simple and secure entry 

into and transfer between its systems. Internally, NSF staff with approval authority can 

electronically approve and sign-off on awards and related activities. For external users, NSF 

established single sign-on credentials, which allow members of the research community to use 

the same credentials for logging into all external NSF systems, including FastLane and 

Research.gov, and to electronically sign-off on proposals and award-related activities such as 

financial and progress reports. Additionally, Research.gov not only supports NSF credentials but 

also credentials issued by the U.S. Department of Agriculture.

In order to further increase interoperability for the research community, NSF recently joined the 

InCommon Federation to provide simpler and easier access to online services. Once 

implemented, the research community will be able to securely access both Research.gov and 

FastLane using their unique IDs and passwords from their home institutions.

Electronic Means of Enhancing Public Participation in Government 

NSF is a participant in the Government-wide eRulemaking Program, and contributes to its 

cost. The Foundation typically publishes only one to three proposed regulations per year.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

NSF’s ability to fund science and engineering, research, and education is dependent on the 

business processes that support the agency each and every day. These processes are fully 

supported by electronic business solutions. While NSF has been a leader in technology solutions 

to support its mission, it remains focused on institutional transformation through creativity and 

innovation and by continuing its role performing as a “model organization,” which is a strategic 

goal from NSF’s FY11-FY16 Strategic Plan.

NSF’s Open Government Plan serves as the roadmap to improve transparency and better 

integrate public participation and collaboration into its core mission, thereby enabling NSF to 

become more innovative and efficient. Historically, NSF has made data and services readily 

available to the public through its website as well as through one of NSF’s key initiatives and 

technology platforms—Research.gov. Innovative tools available online through Research.gov

improve the interactions between Federal agencies, including NSF, the National Aeronautics and 

Space Administration (NASA), the Department of Defense, and the National Institute of Food 

and Agriculture (NIFA), and ease the administrative burden on the research organizations that 

submit applications to and receive funding from these agencies. Research.gov also makes 
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information that was not previously available electronically accessible to thousands of 

individuals at these organizations. 

Research.gov delivers important benefits to stakeholders by increasing the speed with which 

agencies communicate important information to applicants and grantees. Stakeholders have 

commented on the amount of time and effort Research.gov has saved them. Research.gov

currently provides information about research awards, outcomes and newsworthy highlights.

Reducing Errors through Electronic Submissions 

Since 1995, NSF has successfully supported electronic submissions throughout the proposal and 

award management lifecycle, including submission of proposals and post-award reports through 

FastLane, NSF’s legacy system for the research community to do business with the Foundation. 

FastLane was designed to streamline and improve the way NSF does business with the research 

community and to reduce the administrative burden on the research community and NSF staff by 

electronically-enabling formerly paper-based processes. In addition, FastLane greatly reduced 

proposal submission and award management errors by providing basic electronic checks to help 

ensure that submissions were in compliance with NSF regulations. Additionally, electronic 

reporting capabilities have made it easier for the Foundation and grantees to track and complete 

reporting requirements and have led to more timely submissions of required reports due to 

automated notifications of due and overdue reports. Over 15 years after FastLane’s inception, 

NSF continues to successfully support over 55,000 electronic proposal submissions and 

electronic post-award reporting submissions each year from a grantee community of over 

250,000. 

Additionally, while the research community continues to leverage FastLane for electronic 

submissions to NSF, the Foundation is investing in the future of its grants management solutions 

through Research.gov. Research.gov modernizes FastLane and offers a modern technology 

platform for the research community and the public to access information and do business with 

NSF and other Federal research agencies. Made possible by Research.gov’s cutting-edge 

technology, the Foundation is looking into opportunities to further reduce errors in electronic 

submissions through broader, more robust checks and validations. 

Efforts to Comply with Section 508 Regarding Information Management 

NSF strives to ensure its information systems are accessible to all, including individuals with 

disabilities and those without reasonable access to advanced technologies, and to make every 

document on NSF web pages accessible to the widest possible audience. To accomplish these 

goals, NSF has recently implemented the following initiatives to improve compliance with 

Section 508 of the Rehabilitation Act: 

NSF initiated an interagency agreement with the Department of Commerce’s National Technical 

Information Services (NTIS) to provide digitization services, including bulk scanning and 

CD/DVD duplication support, for conversion of printed, historical, and legacy documents to high 

quality, searchable digital files that are easily accessible on a computer. Using these services in 

FY11, NSF successfully digitized printed versions of National Science Board books produced 

between 1950 and 1995 and has begun the process of digitizing historical records, including NSF 

Annual Reports.
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 NSF partnered with the General Services Administration (GSA) to conduct multiple 

Section 508 meetings and training classes at NSF to increase staff awareness of Section 

508 compliance requirements. NSF also partnered with the Library of Congress in FY11 

to host a series of four webinars on Section 508 requirements; the end goals were to 

foster information exchange and share best practices for Section 508 implementation and 

compliance between agencies.

 NSF installed a Braille printer to create printed documents in a format accessible to 

individuals who are blind or have low vision, and began updating videos published to 

NSF websites to ensure each includes captioning and/or text file transcripts.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

Research.gov helps Federal agencies avoid the costs of developing and implementing online 

management services while supporting efforts to promote their common research 

mission. Research.gov also fulfills Federal mandates (Federal Financial Assistance Management 

Improvement Act, President's Management Agenda, E-Government Act, and Federal Funding 

Accountability and Transparency Act) and enhances agencies' management services by 

organizing information into a single access point throughout the management business process. 

Use of Research.gov reduces staff time spent fielding requests for status and policy information; 

increases standardization and decreases manual input with electronic intake of progress and 

financial reports; and provides an audit trail via electronic reporting and E-Authentication.

Nuclear Regulatory Commission

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: http://www.nrc.gov/reading-rm/doccollections/nuregs/staff/sr1614/v4/sr1614v4.pdf.The agency is coordinating the IT Roadmap and 

the IT/IM Strategic Plan to reflect the same themes aimed at meeting agency objectives. 

Enterprise Architecture (EA) Plan: The Nuclear Regulatory Commission’s (NRC) Information 

Technology (IT) Roadmap, most recently revised in February 2011, presents the agencies EA 

transition strategy. The agency is in the process of updating this document to better reflect the 

current and planned modernization initiatives as well as other relevant OMB E-Government 

priorities. NRC expects to complete the new revision of the IT Roadmap by the end of December 

2011. 

Final determinations, priorities, and schedules for each E-Gov initiative

Final determinations, priorities, and schedules for each E-Gov initiative: 

http://www.nrc.gov/reading-rm/copies-docs.html.

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

 Freedom of Information Act [FOIA] Guide: http://www.nrc.gov/reading-rm/foia/foiarequest.html.

 Nuclear Regulatory Commission Information: http://www.nrc.gov/reading-rm/doccollections/gen-comm/info-notices/.
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 NRC’s Government Information Locator Service: http://www.nrc.gov/reading-rm/doccollections/gils/.

 Privacy Act Systems of Records: http://www.nrc.gov/reading-rm/foia/privacysystems.html.

 Privacy Impact Assessments: http://www.nrc.gov/about-nrc/plans/privacy-impcatasess.html.

 Public Meeting Schedule: http://www.nrc.gov/public-involve/public-meetings/index.cfm.

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.nrc.gov/reading-rm/foia/foia-request.html.

Primary FOIA website: http://www.nrc.gov/reading-rm/foia/foia-privacy.html.

Frequent requests for records are made available to the public at: http://www.nrc.gov/readingrm/foia/recent-request.html.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

 http://www.nrc.gov

 http://www.nrc.gov/reading-rm/doc-collections/nuregs/contract/index.html

 http://www.nrc.gov/about-nrc/regulatory/research.html

NRCs public website as a whole disseminates R+D information to the public. The website

provides information about Federally funded R+D as well as the results of Federal research, 

specifically through the following pages: Publications Prepared by NRC Contractors (NUREGseries contractor reports) Research Activities 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory describing formal agency agreements) with external entities: NRC has formal agency 

agreements with several external entities that complement NRC’s information dissemination 

program. NRC uses the U.S. Government Printing Office*s agreement in place to participate in 

the Federal Depository Library Program and its sales program. NRC also is required to send to 

the Library of Congress File Center 15 copies of all its published NUREGs. The agency also 

supplies publications to the National Technical Information Service, which provides another 

point of public access for users. The U.S. Department of the Interior/Federal Consulting Group

provides an online customer satisfaction survey for users of NRC’s public website. NRC uses the 

results of this survey in planning for and prioritizing improvements to the site. The agency also 

contracts with Online Video Service for Web streaming of all Commission meetings and some 

public meetings 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

NRC Comprehensive Records Disposition Schedule, issued March 2005, describes records (in 

any format) that had a NARA-approved records retention schedule as of March 2005. This 

document, as well as any new NRC records disposition schedules post NUREG-0910, is on 

NRC’s website at http://www.nrc.gov/reading-rm/records-mgmt.html, NRC Management 
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Directive 3.53, NRC Records and Document Management Program, March 15, 2007, does not 

report on the transfer of electronic records but includes instructions on implementation for 

format and media. NRC did not submit records retention schedules to NARA in FY11. As stated 

in the report the agency submitted on these activities in September 2011, 114 systems have been 

identified, 99 have approved schedules, and 13 are pending approval. Two remain unscheduled 

but are in draft and going through NRC internal concurrence process. 

Implementation of Electronic Signatures for Interoperability 

For its electronic signature program, NRC implemented Public Key Infrastructure (PKI) digital 

signatures using X.509 standards-based digital certificates and elected to fund the PKI service 

and provide the digital certificates free of charge to approved participants. Persons who desired 

to submit forms and documents electronically used their digital certificate to authenticate to 

NRC’s Electronic Information Exchange system and to digitally sign their electronic submittal 

forms. The digital signatures allowed NRC staff and administrative judges to have full 

confidence that submitted content was not modified during transit or processing. 

In pursuit of efficient interoperability NRC engaged in a technical discussion with the 

Government Printing Office and the Office of the Federal Register to participate in the program 

for electronic submission of notices. Last year, NRC investigated a new PKCS #7 digital 

signature application developed by the Federal Identity, Credential, and Access Management 

subcommittee of the Chief Information Officers Council. This year, the agency implemented 

this application for select individuals who have the need and authority to digitally sign NRC 

submissions to the Federal Register. 

Recently, NRC has authorized a new project to gather electronic signature requirements agency 

wide. The project will compile the requirements and use these data to develop a comprehensive 

electronic signature infrastructure design to meet NRC’s needs for the next three to five years. 

The project will also design a solution to allow for the long-term archival and validation of 

electronic signatures at NRC which also meets NARA requirements for electronic records 

archival. 

Electronic Means of Enhancing Public Participation in Government 

NRC fully participates in the Federal e-Rulemaking Initiative at http://www.regulations.gov. 

NRC has created dockets on this website for all documents it has published in the Federal 

Register since December 2007. NRC has migrated data from its legacy system to 

Regulations.gov to provide access to more than 10 years of NRC rulemaking dockets, including 

all public submissions. NRC also posts to Regulations.gov all stakeholder comments on 

guidance and other non-rulemaking documents requesting comment that are published in the 

Federal Register, as well as supplemental background information and supporting documents for 

high-interest agency actions.

To increase public awareness of new NRC rulemaking actions, NRC provides a listserv on its 

website that alerts subscribers when a new NRC rulemaking docket has been opened on 

Regulations.gov. The public can also subscribe to updates on NRC’s rulemaking pages. 
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Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

OMB has determined that NRC need not set agency priority goals. Thus, NRC does not report on 

performance at Performance.gov. 

Performance information appears on NRC’s website: 

 Plans, Budget, & Performance: http://www.nrc.gov/about-nrc/plans-performance.html

 Performance and Accountability Report—FY10 (NUREG-1542, Volume 16):

http://www.nrc.gov/reading-rm/doc-collections/nuregs/staff/sr1542/v16/

The NSTS tracks the transfer of responsibility for sealed sources of radioactive materials 

spanning the life cycle of the source, from manufacture through shipment receipt, decay, and 

burial. It supports controlled authorizations and accountability for licensed suppliers and 

licensed recipients of sealed sources. The implementation of the NSTS satisfies the commitment 

to Congress to develop source-tracking capabilities and satisfies the call in the International 

Atomic Energy Agency’s Code of Conduct for a national, central database of high-risk sources.

The NSTS helps:

 Monitor the location, possession, and disposal of radioactive sources of concern 

throughout the country.

 Improve accountability and give better information to decision makers.

 Detect and act on tracking discrepancies through the use of automated alerts.

 Conduct inspections and investigations.

 Communicate radioactive source information among Government agencies.

 Respond in the event of an emergency.

 Verify legitimate import, export, ownership, and use of radioactive sources.

 Further analyze hazards attributable to the possession and use of radioactive materials.

In January 2009, all users of Category 1 and 2 radioactive sources in the United States began 

reporting their source inventories and transactions, as required by 10 CFR Part 20, “Standards for 

Protection against Radiation,” or equivalent Agreement State regulation.

Reducing Errors through Electronic Submissions 

NRC has enhanced its electronic submittal capability to facilitate the electronic transmission 

process. The use of electronic submissions has been highly effective in reducing errors. 

NRC uses its electronic submission capability to provide the means to receive and manage 

complex electronic document submittals in anticipation of major license applications for new 

nuclear power plants, license renewals for existing nuclear power plants, and adjudicatory 

artifacts for upcoming and ongoing proceedings, and for tracking the transfer of responsibility 

for sealed sources of radioactive materials. The electronic submittal process is invaluable for 

managing the interaction among internal NRC organizations and with external organizations. 

Electronic submission has been instrumental in allowing NRC to achieve significant operating 

goals for the receipt, possession, and distribution of high volumes of complex documents. The 
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electronic submittal capability ensures the optimum flow of documents into NRC, efficient 

processing of documents according to NRC policy, and effective distribution of the information 

to NRC business units, thus enabling the agency to achieve its mission of protecting people and 

the environment in a more efficient manner. 

Efforts to Comply with Section 508 Regarding Information Management 

NRC does have service provisions for people without access to the Internet. NRC maintains its 

Public Document Room (PDR), where members of the public can read copies of NRC publicly 

available records. The PDR has a fee-based copy service; copies can be ordered in person, 

through e-mail, or by telephone. The PDR has a toll-free telephone number (800-397-4209) and 

staff to assist members of the public who do not have Internet access. The PDR staff can also 

provide bibliographies based on subject searches of the public databases to give users an idea of 

the documents that are available. The PDR staff may also refer people to the nearest public 

library for further assistance, since most public libraries now have Internet access. 

In FY11, NRC deployed its redesigned public website. The agency implemented best practices 

in the redesign, including Section 508 compliance. In addition, upon completion of the redesign, 

NRC verified its compliance with Section 508 by responding to the U.S. Department of Justice 

Section 508 survey that tested the website for Section 508 compliance.

NRC is creating a charter for a Section 508 working group, with representatives for the different 

areas of responsibility (e.g., procurement, training, Web content management, application 

development, complaints) within the agency, to share information and coordinate improvement 

of Section 508 policy, procedures, and guidance. NRC is also increasing the number of Section 

508 training courses, starting with freely available ones. 

Quantifying Cost Savings Achieved through Implementation of IT Programs 

The following illustrates cost savings and cost avoidance achieved through NRC’s 

implementation of IT programs: 

 NSTS: Over the 5-year period ending in FY15, the projected cost avoidance and cost 

saving for the NSTS is $47M.

 Enterprise Content Management System: Through 2012, NRC’s enterprise content 

management system will accomplish document processing turnaround service-level 

commitments with estimated cost avoidance of $2M dollars in document processing 

contractor full-time equivalent staff. 

 e-Travel: In FY09, NRC successfully implemented the e-Travel system, a Presidential 

Priority Initiative under OMB’s E-Government program. e-Travel provides a common, 

automated, and integrated approach to manage the travel function of the Federal 

Government’s civilian agencies. Over the 4-year period ending in FY13, NRC projects 

cost avoidance and cost savings through its use of e-Travel of $1.6M dollars. 

 System Inventory: Proposed accreditation boundary realignments meet new system 

authorization requirements specified in National Institute of Standards and Technology 

Special Publication 800-37, Revision 1, “Guide for Applying the Risk Management 

Framework to Federal Information Systems: A Security Life Cycle Approach,” issued 

February 2010, achieving an approximate cost avoidance of $9.5M by not having to fund 
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new system authorization projects. NRC EA and computer security teams developed this 

solution.

Office of Personnel Management

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://www.opm.gov/about_opm/reports/OPM_IT_Strategic_Plan_FY10-13.pdf.

Enterprise Architecture (EA) Plan: The Office of Personnel Management (OPM) updated its 

Enterprise Architecture (EA) Plan in February 2008 but has not yet published the plan to its 

website.

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

E-Training: 

 Go-Learn: http://www.golearn.gov

 USA-Learning: http://www.usalearning.gov/USALearning/index.htm

Recruitment One-Stop: 

 USAJOBS website: http://www.usajobs.gov/

 USAJOBS Federal IT Dashboard info (successor to Recruitment One-Stop): 

http://www.itdashboard.gov/investment?buscid=600.

Enterprise Human Resource Integration (EHRI):

 EHRI website: http://www.opm.gov/egov/e-gov/EHRI/

 EHRI Federal IT Dashboard info: http://www.itdashboard.gov/investment?buscid=596

Human Resource Line of Business (HR LoB):

 HR LoB website: http://www.opm.gov/egov/HR_LOB/index.asp

 HR LoB Federal IT Dashboard info: http://www.itdashboard.gov/investment?buscid=594

E-Clearance: 

 e-Clearance E-Gov initiative has completed numerous accomplishments since inception. 

Currently, background investigation transformation and upgrade initiatives are being 

managed through the EPIC Transformation program with Federal IT Dashboard at: 

http://www.itdashboard.gov/investment?buscid=597.

OPM manages several E-Government Initiatives and publishes information about them at the 

respective websites. Priorities and schedules for several initiatives are available on the Federal IT 

Dashboard. 
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Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public:

 The publications data base: http://apps.opm.gov/publications/pages/searchall.cfm

 Key agency data bases: http://www.opm.gov/open/Data.aspx

 The agency’s FOIA web page: http://www.opm.gov/efoia/

 The agency’s electronic reading room: http://www.opm.gov/efoia/html/reading.asp

 Links to frequently requested documents: 

http://www.opm.gov/open/resources/MostRequested.aspx

 OPM Federal Register notices: http://www.opm.gov/fedregis/index.asp

 Federal Employment Statistics: http://www.opm.gov/feddata/index.asp

 Visitors can use OPM’s Subject Index to browse OPM’s website: 

http://www.opm.gov/topics.asp

 Answers to frequently asked questions (FAQs): 

http://www.opm.gov/open/resources/DidYouKnow.aspx

 OPM’s website offers an array of information to the public: http://www.opm.gov

OPM publishes information dissemination directories for access by the public on the agency’s 

Open Government website, in the agency’s electronic Freedom of information Act (FOIA) 

reading room, and in a publications data base that is available to the public. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.opm.gov/efoia/foiaguide.asp.

Primary FOIA website: http://www.opm.gov/efoia.

Frequent requests for records are made available to the public at: 

http://www.opm.gov/efoia/html/reading.asp.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public: OPM 

does not perform any research and development (R&D) activities. 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : OPM utilizes several resources to 

effectively disseminate the agency’s information and continues to strengthen its information 

dissemination program. As noted earlier in this report, the agency established an Open 

Government plan and website in FY11 where the agency disseminates information of broad 

interest to the public. For example, the agency provides: Data bases of interest to the public are 

located at: http://www.opm.gov/open/Data.aspx. 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

The OPM Records Management Program is located at: 

http://www.opm.gov/RecordsManagement/policies/index.asp.
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Implementation of Electronic Signatures for Interoperability 

OPM has a policy on Electronic Signatures that was established in May 2004. This policy has 

established a framework to allow efficient electronic signatures for business applications and 

information collections whenever the use of electronic transactions is practical.

Electronic Signatures are accepted on personnel actions with the approval of OPM. Control 

procedures have also been put in place to ensure the authenticity of data on the form, including 

the electronic signature.

As part of Enterprise Human Resources Integration (EHRI), the use of electronic signatures has 

been incorporated into the Entrance on Duty procedures.

Electronic Means of Enhancing Public Participation in Government 

OPM participates in eRulemaking which increases access to and participation in developing 

regulations and other related documents that can impact the public. OPM also promotes more 

efficient and effective rulemaking through public involvement and continuously leverages 

feedback provided by the American people to identify new policies, develop procedures, and 

improve processes.

OPM encourages public engagement through its Open Government site, OpenOPM, which is 

located at http://www.opm.gov/open/. The site includes an area for members of the public to 

submit questions and comments about OPM-related topics.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

OPM ensures that all of its IT systems and services are customer focused and linked to the 

performance goals in the OPM Strategic plan. The long-term performance goals of OPM are 1) 

Hiring Reform, 2) Telework, 3) Security Clearance Reform, and 4) Retirement Claims 

Processing.

OPM tracks the implementation of the strategic plan in several ways. OPM’s Office of the 

Director assigns one or more strategies identified to an OPM executive who will champion its 

implementation. This individual will be responsible for developing detailed yearly operating 

plans until the strategy is successfully implemented. The yearly operating plans include distinct 

actions with planned completion dates, along with performance measures or indicators to gauge 

progress. The Office of the Director reviews these operating plans several times a year to ensure 

that the necessary resources are being allocated to the strategy and sufficient progress is being 

made. To ensure transparency, operating plans are posted and periodically updated on the OPM 

website.

OPM works to determine where technology enablers will enhance the performance, value 

provided, and service to customers. OPM provides mission-focused solutions that prioritize 

mission investments based on their alignment and support of OPM strategic goals.

The OPM High-Priority Performance Goals are located at: http://www.opm.gov/gpra/opmgpra. 
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Reducing Errors through Electronic Submissions 

OPM has reduced errors through the use of electronic submissions by increasing its use of 

automation. For example, in FY10 OPM selected the eCPIC tool to help prepare IT Capital 

Planning reports and Federal IT Dashboard submissions for public review. The eCPIC tool 

supports the selection, control, and evaluation phases of the IT capital planning and investment 

control process and provides a self-documenting business case for investments which helps to 

eliminate errors. It also includes a central repository of cost, schedule, risk, and mission-related 

business performance information about investments. Information about OPM’s IT investment 

portfolio is reviewed and updated routinely using the tool. 

Efforts to Comply with Section 508 Regarding Information Management 

OPM has conducted numerous efforts to comply with Section 508. For example, the agency 

ensures that Electronic and Information Technology (EIT) acquisitions are compliant with 

Section 508 standards by including standard Section 508 compliance clauses in all OPM 

contracts. In addition, OPM includes controls in the agency’s web publishing process to address 

Section 508 compliance. The controls must be triggered before any OPM web pages are 

published. Furthermore, for all EIT that is not procured but developed internally, OPM requires 

that a self-certification of 508 compliance be completed by the program office that “owns” the 

EIT, and that an Independent Verification and Validation be performed by an independent third 

party to confirm that the self-certification is valid.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

OPM is continuing to utilize a multiyear Enterprise License Agreement for the Adaptable Data 

Base System (ADABAS) with flat-line maintenance payments resulting in a cost savings of 

$1.32M. This agreement established an end date of FY12 coordinated with the decommissioning 

of the Personnel Investigations Processing System (PIPS) and the move to the replacement 

system, the Electronic Information Privacy Center (EPIC), which will eliminate reliance on 

ADABAS in favor of a much less costly product. Other enterprise-wide license agreements up 

to FY16 with various companies such as Oracle on IT products have resulted in a $3.2M cost 

saving.

The Human Resources Line of Business (HR LoB) cost benefit analysis reflects the savings 

realized by the Federal Government as agencies migrate their legacy HR and payroll systems to 

HR Shared Service Centers (SSCs) or payroll providers. The current net present value for total 

cost savings and cost avoidance related to the HR LoB amounts to over $1.37B over a 10 year 

period from FY05 through FY15. The cost benefit analysis also identifies additional benefits and 

considerations, which increase the current net present value of the total savings to over $3.4B. 

Additionally, the HR LoB initiative will continue to generate approximately $200M in cost 

savings annually after FY15.

Small Business Administration

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: 

http://archive.sba.gov/aboutsba/sbaprograms/OCIO/sba_ocio_2007_2011.html.
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Enterprise Architecture (EA) Plan: 

http://archive.sba.gov/aboutsba/sbaprograms/OCIO/ocio_ea.html. This site provides SBA's EA 

Transition Plan, Blueprint, EA Policies and Procedures, and segment architectures.

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: 

http://yes2007.sba.gov/sites/ocio/policy/egov/Pages/Home.aspx. SBA participates in and makes 

financial contributions to nearly a dozen E-Government initiatives. The Agency has memoranda 

of agreements (MOA) and/or Interagency Agreements (IAA) with the managing partners of each 

these initiatives. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: The 

Small Business Association’s (SBA) primary mode of disseminating information is through its 

website http://www.SBA.gov. Additionally, SBA uses GovDelivery which allows the public to 

subscribe to receive email updates and newsletters from SBA, and several social media tools to 

reach a wider audience (http://www.sba.gov/social-media). SBA maintains an inventory of its 

web content at http://www.sba.gov/sitemap and http://www.sba.gov/about-sba-services/the-sbawebsite.

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.sba.gov/about-sba-services/foia.

Primary FOIA website: http://www.sba.gov/about-sba-services/foia.

Frequent requests for records are made available to the public at: http://www.sba.gov/about-sbaservices/7589.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

http://www.sba.gov/about-sba-info/11419. The Technology Program Office coordinates the 

Small Business Innovation Research (SBIR) Program and the Small Business Technology 

Transfer (STTR) Program. Through these two competitive programs, SBA ensures that the 

nation's small, high-tech, innovative businesses are a significant part of the Federal 

Government's research and development efforts. Eleven Federal departments participate in the 

SBIR program; five departments participate in the STTR program awarding $2B to small hightech businesses. 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : References to external 

agreements executed by SBA are located throughout www.SBA.gov. 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

NARA-approved records schedules: SBA presently has 27 approved electronic systems. SBA 

submitted one electronic schedule to the National Archives and Records Administration 

(NARA).
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Implementation of Electronic Signatures for Interoperability 

SBA continues work on its technical implementation of e-signature capability with an internal 

PKI infrastructure with planned completion of SBA-wide logical access using HSPD-12 PIV 

cards set for FY12. This infrastructure will be used for selected applications, including 

personnel-related applications.

Electronic Means of Enhancing Public Participation in Government 

SBA is an active participant in electronic rulemaking. During FY11, SBA created 23 rulemaking 

dockets through the Federal Docket Management System (FDMS) for inclusion on 

Regulations.gov. One of these dockets, Small Business Size Standards: Professional, Technical, 

and Scientific Services proposed rule generated 1,400 public comments.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

To provide transparency, SBA makes available documents critical to effective operation, 

including the administration’s strategic plan, budget requests, performance plans and 

recommendations for improvement, and financial reports. This information provides a thorough 

understanding of how SBA is working toward its mission to help small business owners succeed 

in a responsible and focused manner.

 SBA’s Strategic Plan: http://www.sba.gov/about-sba-info/11572

 SBA’s Information Technology Strategic Plan: http://www.sba.gov/content/sbainformation-technology-strategic-plan-itsp-2012-2016

 Annual Performance Report : http://www.sba.gov/content/fy-2012-congressional-budgetjustification-and-fy-2010-annual-performance

 Performance and Budget: http://www.sba.gov/about-sba-services/217

Reducing Errors through Electronic Submissions 

SBA's Office of Business Development manages the Business Development Management 

Information System (BDMIS) into which 8(a) firms are required to submit forms and documents 

electronically. 

BDMIS reduces error in the 8(a) program application and annual re-certification processes. Prior 

to BDMIS, applications for admission to the 8(a) program were submitted on paper to the 

SBA. Once admitted to the program for a period of nine years, the materials for annual recertification were submitted in a hardcopy format. When these materials were received by the 

SBA, the data was re-keyed into SBA’s internal 8(a) program processing and tracking 

system. This re-keying process was time consuming and error prone. The introduction of 

BDMIS allowed the SBA to completely eliminate such data re-keying errors. Using BDMIS, 

8(a) program applicants and certified 8(a) firms enter their information directly into the 

electronic forms required for processing and tracking 8(a) program participation. No re-keying 

of data by a third party takes place. 

Efforts to Comply with Section 508 Regarding Information Management 

In FY11, with the launch of a new SBA.gov website, SBA took the opportunity to recommit to 

providing information in a format accessible to all members of the public. The revamped 

SBA.gov focuses on providing content in HTML rather than PDF or other document formats 
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which may not always be accessible. A new website content review process was instituted and 

SBA undertook additional efforts to ensure Section 508 requirements are incorporated into 

relevant procurement contracts. SBA continues to make improvements to its Section 508 

program.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

SBA has implemented and re-evaluated two major IT programs (HSPD-12 and Loan 

Management and Accounting System) resulting in a significant cost savings or cost avoidance:

The Loan Management and Accounting System (LMAS) investment was approved to modernize 

SBA’s loan management and accounting systems. After successfully completing work on a 

number of initial projects, SBA re-evaluated the LMAS program and decided that the agency and 

its contractors cannot complete the remaining work of the project in an acceptable timeframe, for 

an acceptable cost, and with an acceptable level of risk. Thus, SBA terminated the LMAS 

investment during FY11 and redirected funding to smaller, more manageable projects known 

collectively as the Loan Management and Accounting System Incremental Improvement Projects 

(LMAS IIP). These smaller projects will be separately funded, and will provide more 

meaningful deliverables and decision points as the strategy is executed. 

The SBA estimates that the development costs for the new approach will total $39M as 

compared to the original LMAS development budget of $156M, and that work will be completed 

in approximately 2.5 years, as compared to the original LMAS schedule of 9 years. In addition, 

SBA estimates that the total life cycle costs for the new approach will be $94M as compared to 

$217M for the original approach.

In the September 2010 report to the Office of Management and Budget’s Financial Systems 

Advisory Board (FSAB), SBA estimated that the LMAS IIP development costs would total 

$42.67M. The LMAS IIP strategy was approved by FSAB in January 2011. With the approval 

of the strategy, SBA initiated market research that resulted in the development cost estimate 

being reduced from $42.67M to $39M. 

The SBA made progress toward the modernization of our loan management and accounting 

systems in FY11 with the completion of the Oracle R12 Upgrade (R12) project in May 2011. 

The R12 project was the first LMAS-IIP project to be completed. 

In FY11, SBA initiated the Incremental Migration of User Interfaces project to migrate the user 

interfaces from the mainframe environment to the Oracle/Cold Fusion/Java environment. During 

FY11, SBA began retiring screens resulting in 5 percent of the functionality being migrated from 

the mainframe environment to the Oracle/Cold Fusion/Java environment. In addition, there were 

1 million fewer transactions on the mainframe from June to July as a result of the screens 

migrating to the new environment. 

As SBA’s vision of the LMAS-IIP projects is being implemented, the agency is also 

implementing a data center consolidation strategy. In support of the data center consolidation 

efforts, SBA closed out its hosting contract with SRA. In FY11, SBA has entered an interagency agreement with the Department of Homeland Security for LMAS-IIP hosting services.
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During FY11, SBA implemented its acquisition strategy for several of the LMAS IIPs by 

awarding the following contracts:

 DSG was awarded a contract to assess and implement the strategy for the Migrate from 

Sybase to Oracle project

 SRA was awarded a task order to support the Root Cause Analysis project

 Select Computing was awarded a contract to assess the COBOL code

The Homeland Security Presidential Directive 12 (HSPD-12) initiative expedites SBA’s ability 

to enable IT solutions that directly address line of business needs for disaster response, 

automated small business services such as electronic (and paperless) workflow services, and 

reduction in other existing investments for help desk operations and password management. 

During FY10 SBA made a strategic decision to adjust HSPD-12 implementation strategies from 

a strictly internal issuance process to working with the General Services Administration (GSA). 

SBA re-baselined the HSPD-12 investment and moved into an Inter-Agency Agreement with 

GSA for a Managed Service Offering with their Office of Integrated Technology Services to 

provide Personal Identity Verification (PIV) card issuance for SBA. This change in 

implementation strategy and based on the number of cards that SBA has activated to date, the 

cost is approximately $409 per card which is a savings of $1,205 from the $1,614 estimate that 

was previously reported.

Social Security Administration

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: The Social Security Administration 

(SSA) Information Resources Management Strategic Plan document link is 

http://www.socialsecurity.gov/irm/. 

Enterprise Architecture (EA) Plan: The EA Program Plan is an internal document and is 

currently not available on the SSA website. SSA is currently in the process of updating a newer 

version of the IRM. 

Information Dissemination Management to the Public

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: SSA 

provides and disseminates information using multiple channels. These include the Internet, press 

releases, paper publications, mailings, briefings, and face-to-face meetings, articles in Social 

Security Update and webinars on a wide range of topics listed at 

http://www.socialsecurity.gov/webinars. The processes and channels used to disseminate this 

information follow the agency’s communication tactical plans managed by SSA’s Office of 

Communications. The following lists Internet links that are available to the public. The primary 

link is http://www.socialsecurity.gov/, which provides access to general agency program and 

benefits information and services along with non-agency related links. It also contains a link to 

the websites Policies & Other Important Information page at 

http://www.socialsecurity.gov/websitepolicies.htm. This page describes the policies and linking 

guidelines and includes a link to the Web Content Inventory page. 
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Social Security also maintains demographic-specific websites. In 2011, SSA updated its site for 

American Indians and Alaska Natives, http://www.socialsecurity.gov/aian. SSA added a 

completely new section called Tribal Communications and posted the Agency’s Tribal 

Consultation and Coordination Plan, Tribal Directory and Video Service Delivery Locations 

Serving Tribal Communities. In addition, SSA has also added a special website for AfricanAmericans and the Deaf or Hard of Hearing. 

The Web Content Inventory page, http://www.socialsecurity.gov/pgm/inventory.htm, describes 

the priorities and publishing schedules for all information on the web site. Also, 

http://www.socialsecurity.gov/ links to the online forms page, 

http://www.socialsecurity.gov/online, the publications page, http://www.socialsecurity.gov/pubs, 

the press release page, http://www.socialsecurity.gov/pressoffice/pressrel.htm, and the Office of 

the Actuary page, http://www.socialsecurity.gov/OACT/. The forms and publications pages 

provide the public with online access to forms and information. The press release page includes 

links to all agency press releases and a Facts And Figures page. The Office of the Actuary page 

provides the public access to actuarial publications, solvency estimates, cost of living adjustment 

data, benefits calculators, and beneficiary and trustee information. 

Freedom of Information Act (FOIA) Compliance 

The link, http://www.socialsecurity.gov/foia/index.htm, leads to the SSA FOIA website. It 

provides public access to the agency’s FOIA Reading Room, SSA’s FOIA Regulations, FOIA 

Guide, Annual Reports, Frequently Requested Documents, Manuals and Instructions, and 

Privacy Impact Assessments. 

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public: SSA 

has cooperative agreements with the Retirement Research Consortium (RRC), which is 

composed of world-renowned retirement research centers. SSA provides funds to the RRC to 

promote retirement research and to inform the public and policymakers about Social Security 

issues. Information developed by the centers is on their individual websites. The 

http://www.socialsecurity.gov/policy/ page contains information concerning the RRC and 

provides links to each center. This website also serves as the agency’s source for retirement and 

disability research, and Old Age, Survivors, and Disability Insurance (OASDI) and Supplemental 

Security Income (SSI) program statistics. 

Additional websites available to the public regarding research include:

http://www.socialsecurity.gov/policy/docs/contractreports/index.html, which provides reports for 

extramural research conducted by contractors; and -

http://www.socialsecurity.gov/disabilityresearch/, which provides information to the public about 

Federally funded research and development activities and provides the results of Federal

research.

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : SSA shares information in 

accordance with laws and regulations, to help others do their business more efficiently and 

effectively. SSA exchanges data with hundreds of state and local governments through its

agreements and makes available public statistical information through public use files in a 
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variety of formats. Within the agency, a number of organizational components have 

responsibilities for various types of exchange and information sharing agreements. They include 

the Office of General Counsel, Office of Systems, Office of Operations, Office of Budget 

Finance & Management and the Office of Retirement and Disability Policy. 

SSA utilizes the Agreement Workflow Tool (AWT) for processing SSAs data exchange and 

other Reimbursable Agreements according to SSA standards and process workflow. The AWT is 

a role-based Intranet application that provides users - that include the Offices of the 

Commissioner, Operations, General Counsel, Budget, Finance and Management, and Systems -

with functionality to create, renew and amend the financial agreements. The application also 

provides functionality to generate agreement related reports, search for agreements, view 

agreement history and store agreement related documentation including the legal agreement. The 

AWT facilitates the estimation, creation, and tracks the progress of new reimbursable agreements 

and renewals with outside entities (i.e., Government agencies and private sector) to ensure timely 

and appropriate action on the agreement.

The Data Exchange Inventory (DEXI) is the enterprise application used by the Office of Systems 

to identify both incoming and outgoing electronic data exchanges. It contains information on 

exchanges between SSA and various exchange partners, including Federal, foreign, State and 

local government agencies, as well as domestic private entities. DEXI allows any SSA Intranet 

user to query specific information about a particular data exchange or the ability to perform 

queries of a global nature. Types of data retrievable include the organization name, data flow 

direction, type of media exchanged, frequency, agreement type, and agreement beginning and 

ending dates. Some management information reports and a comprehensive ad hoc view of data 

are also available. DEXI currently contains information on approximately 1,500 data exchanges.

The Office of the General Counsel is responsible for data exchange agreements that fall within 

the purview of the Computer Matching and Privacy Protection Act of 1988 as well as certain 

types of information exchange agreements (e.g., SSN verifications, model state data exchange 

agreements). The Office of Operations is the official Agency repository for all finalized state 

data exchange agreements and the Office of Systems develops and maintains the information 

exchange programs. These processes help disseminate information among Federal, State and 

local agencies to make the benefits verification process more efficient and more accurate, and 

avoids the public’s cost in time and money if applicants had to provide this information on their 

own.

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

SSA schedules its records under agency-specific schedules or the General Records Schedule 

(GRS). The National Archives and Records Administration (NARA) maintains public access to 

the GRS at http://www.archives.gov/records-mgmt/grs/ while SSA-specific schedules may be 

found at http://www.archives.gov/records-mgmt/rcs/schedules/index.html?dir=3D/independentagencies/rg-0047. In FY09, SSA submitted all required records schedules that met the 

requirements in NARA Bulletin 2006-2. SSA obtained approval for three of the four master files 

systems (Master Earnings File, Master Beneficiary Records, Supplemental Security Income 

Record, and Enumeration System). SSA’s request for approval of the Enumeration System 
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remains pending at NARA. However, SSA anticipates final approval by the U.S. Archivist in 

FY12.

Implementation of Electronic Signatures for Interoperability 

The Social Security Administration has developed an Identity, Credentialing, and Access 

Management Program that includes plans to move paper-based signature processes to workflows 

with digital signatures. All of SSA’s workstations have the capability to produce documents and 

email with digital signatures (secure cryptographic signatures) and SSA email users currently 

have the ability to digitally sign email messages using their HSPD-12 Personal Identity 

Verification (PIV) credentials. Additionally, SSA uses PIV cards to digitally sign documents 

submitted to the Federal Register.

Within the scope of SSA’s applications, it implemented use of “electronic signatures” in the 

Internet Claim (iClaim) and the Internet Disability Reports (IDRs) applications. This 

implementation consists of a user checking a box affirming his/her identity under penalty of 

law. Several other SSA web-based interactive applications utilize checkboxes or buttons for 

users to attest to the validity of the data they are providing, as well as their understanding of the 

appropriate use of the applications. SSA has no implementation of “digital signatures” in its 

existing web-based interactive applications. However, SSA offers electronic services allowing, 

“Click to Sign.” This is an assertion from an Internet client that they concur with the message on 

the screen and are agreeable to it.

Electronic Means of Enhancing Public Participation in Government 

The agency’s Open Government portal, http://www.socialsecurity.gov/open, provides 

information for the public and links to various activities in which the public can provide ideas 

and feedback on SSA programs and other initiatives. Additionally, SSA uses social media sites 

to notify the public of hearings and other activities where the agency is seeking input.

SSA has expanded on its initiative to provide additional datasets and there are currently 35 

datasets and new visualizations available on Data.gov and its Open Government portal 

(http://www.socialsecurity.gov/open/data).

SSA is a partner agency in the E-Rulemaking initiative known as the Federal Document 

Management System (FDMS), which is publicly accessible at http://www.regulations.gov. SSA

actively serves on several committees that continue to develop and modify applications in 

FDMS. These modifications ensure easier public access.

Executive Order 13563 on Improving Regulation and Regulatory Review. Earlier this year, 

President Obama outlined his plan to create a 21st-century regulatory system that is simpler and 

smarter and that protects the health and safety of the American people in a pragmatic and costeffective way. As a key part of that plan, he called for an unprecedented Government-wide 

review of rules already on the books in order to remove those that are out-of-date, unnecessary, 

excessively burdensome, or in conflict with other rules.

On January 25, 2011, SSA issued a press release and posted information on its Open 

Government website requesting public comment about which of its regulations SSA should 

review to ensure they are not outmoded, ineffective, insufficient, or excessively 
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burdensome. After receiving public input, SSA developed a preliminary plan for a retrospective 

review of its rules that focuses on its process for updating the Listing of Impairments that SSA 

uses to evaluate disability claims under titles II and XVI of the Social Security Act. The listings 

are examples of impairments that SSA considers severe enough to qualify the individual for 

monthly Social Security or Supplemental Security disability benefits.

To promote public participation and transparency, SSA took several important steps, starting on 

May 26, 2011. First, SSA posted the preliminary plan on its Open Government 

website. Second, SSA published a notice in the Federal Register on June 02, 2011, inviting 

members of the public to comment on the plan. Finally, to ensure that critical stakeholders had 

an opportunity to weigh in, SSA reached out to professional associations, advocacy groups, and 

medical organizations to seek their input. Specifically, SSA looked for comments on its 

preliminary plan for updating the medical listings.

SSA has reviewed the comments it received and has developed the final plan accordingly.

Executive Order 13563 calls not for a single exercise, but for “periodic review of existing 

significant regulations,” with close reference to empirical evidence. It explicitly states, 

“Retrospective analyses, including supporting data, should be released online wherever 

possible.” Consistent with the commitment to periodic review and to public participation, SSA

will continue to assess its existing significant regulations in accordance with the requirements of 

Executive Order 13563.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

SSA’s Performance and Accountability Report provides detailed information and historical data 

regarding its improved performance as it relates to supporting its mission, strategic goals, and 

objectives. Current and previous reports are at, http://www.socialsecurity.gov/finance/. You may 

find additional performance-related data at,

http://www.socialsecurity.gov/pgm/links_governance.htm. 

In addition, the interagency portal http://www.Performance.gov, is available to all Executive 

Branch agencies. Performance.gov provides a window for Congress, and other key stakeholders 

into how the Government uses performance information to achieve results.

Our country faces extraordinary challenges, and SSA must transform our Government to operate 

more effectively and efficiently. In support of the President's Government-wide initiative to 

build a high performance government capable of addressing the challenges of the 21st century, 

SSA identified four Priority Goals, which have a high direct value to its key stakeholders and 

link to its strategic goals. SSA’s Priority Goals and some of the agency-wide IT initiatives that 

support them are:

1. Increase the Number of Online Applications To meet the growing demand for easy-to-use 

online services, SSA adopted a goal of increasing its online retirement filing rate to 44 percent in 

FY11 from 32 percent in FY09 and the online disability filing rate to 34 percent in FY11 from 21 

percent in FY09.
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SSA monitors the number of online retirement and disability applications filed to track its

progress in meeting its priority goal. For FY11, 40.7 percent of retirement applicants who could 

file online did so, up from 36.8 percent last year. Additionally, 32.9 percent of disability 

applicants who could file online did so, up from 26.8 percent last year.

To support achievement of SSA’s goal, it launched a new national “Boldly Go” publicity 

campaign featuring Patty Duke and George Takei, who volunteered their time to help SSA 

produce these low-cost public service ads. While previous publicity campaigns focused on a 

specific online service, this new campaign highlights SSA’s entire suite of online 

services. Additionally, SSA continues to promote its online applications through public outreach 

activities at the national, regional, and local levels. While public outreach efforts about the 

benefits of the online applications can influence public behavior to some degree, the ultimate 

decision on which service channel (i.e., in-person, telephone, and internet) to use is up to each 

person.

2. Issue More Decisions for People Who File for Disability: SSA continues efforts to lower the 

disability backlog and accurately complete claims. SSA also ensures that people with severely 

disabling conditions receive an initial claims decision within 20 days of filing an 

application. Finally, SSA continues efforts to reduce the time it takes a person to receive a 

hearing decision to an average of 270 days by the end of September 2013. The combination of 

the economic downturn and baby boomers entering their most disability-prone years has resulted 

in a significant growth in SSA’s disability workloads and an increase in the number of days it 

takes to complete disability claims. By completing claims more accurately and efficiently, SSA 

expects to provide more claimants with decisions earlier in the process.

SSA’s two fast-track disability processes, Quick Disability Determinations (QDD) and 

Compassionate Allowances (CAL), use technology to identify claimants with the most severe 

disabilities and to allow SSA to speed its decisions on those cases. These expedited processes 

enable SSA to provide benefits quickly to people whose medical conditions clearly meet the 

Agency’s disability standards. From October 2010 through June 2011, SSA fast-tracked over 

108,000 initial disability cases, 4.6 percent of all disability claims filed, through the QDD or 

CAL processes. SSA continues to refine the QDD predictive model and CAL selection software 

to maximize its capacity to identify these cases accurately. SSA added 12 new CAL conditions 

and adjusted the QDD predictive model in July 2011.

SSA has not wavered from its top priority- the moral imperative to eliminate the hearings 

backlog. SSA’s plan to reduce the hearings backlog includes improving hearing office 

procedures, increasing its ability to hear and decide cases, increasing efficiency through 

automation and improving business processes, and accelerating its review of cases that are likely 

to result in a favorable decision. SSA has cut the wait for a hearing decision from an all-time

high of nearly 18 months in August 2008 to under a year in FY11.

In partnership with the Department of Health and Human Services on the use of Health 

Information Technology, SSA is working to drive down costs and speed up determination 

processes by making it possible to more quickly evaluate healthcare records of individuals with 

disabilities and distribute benefits more efficiently. SSA conducted two pilots with health care 

providers to test how it can use Health Information Technology to make its disability process 
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more timely, efficient, and accurate. In the first pilot, SSA formed a partnership with Beth Israel 

Deaconess Medical Center in Boston.

In February of 2009, the SSA and MedVirginia, Virginia’s Regional Health Information 

Organization began exchanging health information to help determine Social Security disability 

benefits. In FY10, SSA used Recovery Act funding from the American Recovery and 

Reinvestment Act of 2009 in awarding $13.3M in competitive contracts to fund technological 

support to 12 healthcare organizations that will provide the Agency with medical records through 

the Nationwide Health Information Network (NwHIN). Already, SSA is in production with 

eight of the 12 contractors and expects to receive electronic medical evidence from the remaining 

healthcare providers by the end of December 2011. Health IT at SSA has already demonstrated 

operational improvements, including an 18 percent (or 17 day) reduction in initial case 

processing time for health IT disability cases.

Additionally, SSA, in partnership with Veterans Affairs (VA) and the Department of Defense 

(DOD), developed a Joint Plan of Action with a goal of improving Communications, 

Collaborations, and Medical Information Sharing. The plan promotes rapid exchange of medical 

information from VA and DD, which improved service for Wounded Warriors and 

Veterans. The joint plan also includes a Centralize Pilot testing the efficiency of requesting 

medical information from a single DOD enterprise location. DOD provides responses to the 

DDSs in the five pilot sites (Colorado, North Carolina, Oregon, Virginia and Washington) 

utilizing the electronic processes to gather, package and send (via ERE) electronic medical 

records from all facilities in one response. Under the previous process, examiners sent request to 

more than 60 treatment facilities. The long-term plan is to use partnerships and Health IT to 

make SSA’s disability process more timely, efficient, and accurate.

3. Improve SSA’s Customers’ Service Experience on the Telephone, in its Field Offices, and 

Online: SSA continues to adapt its operations to keep pace with the public’s 

demand. Historically, persons primarily conducted their business with SSA in local field 

offices. Over the years, SSA has added 800 Number services and online services. Most 

recently, SSA have begun using video technology to connect the public with its representatives.

SSA tracks and reports on three performance indicators that measure SSA’s success in 

improving its customers’ experience no matter how they choose to do business with SSA. SSA’s 

telephone service remains a primary option for providing effective and efficient service to the 

public. Callers can speak to a telephone agent or use SSA’s automated services that are available 

24 hours a day, seven days a week. In FY11, SSA answered calls in an average of 180 seconds 

with an average busy rate of 2.6 percent. SSA encountered obstacles in achieving its goal to raise 

its overall customer satisfaction rate from 81 percent in FY09 to 83.5 percent in FY11. In recent 

years, SSA’s most problematic area is customer satisfaction on its National 800 Number. SSA’s 

annual survey results indicated that the ability to get through the menu prompts and reach a 

representative was the aspect of its 800 Number services that consistently received the lowest 

ratings and had the strongest effect on overall satisfaction.

To address this issue, SSA redesigned its menu and prompts to reduce the time it takes callers to 

navigate the menu and select either an agent or their desired automated service. SSA 

implemented this new redesigned menu and call flow in May 2011.
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SSA also engaged the services of a vendor to develop a new National 800 Number customer 

satisfaction survey. SSA will conduct this new survey on an ongoing basis throughout the 

year. This change will enable SSA to obtain real-time actionable data so it can immediately 

assess customer satisfaction with the new redesigned menu and call flow. SSA began using the 

new survey methodology in July 2011.

Citizen Access Routing Enterprise (CARE) through 2020 is the SSA service contract that will 

provide the public with continued access to automation and agent services on its national toll free 

number. The public, to make inquiries on their social security claims and benefits, utilizes the 

national toll free number. The CARE through 2020 service contract replaces two expiring 

contracts (Call Center Network Solution and the FTS2001 contract National 800 Number 

Network) with a single General Service Administration (GSA) Networx Universal contract.

CARE through 2020 directly supports the Agency Strategic Plan’s objective by positioning SSA 

to handle expected increases in call volume and potentially support future enhancements that 

would provide the public with additional options for communicating with SSA, such as enabling 

website visitors to interact with a telephone agent to help conduct their business while 

online. CARE through 2020 will continue to achieve target rates for the Average Speed of 

Answer and Agent Busy Rate in the National 800 Number performance goals. Furthermore, 

CARE through 2020 will continue to work at meeting its Annual Service Satisfaction targets as 

outlined in SSA's Annual Performance Plan.

This platform also provides SSA the ability to improve SSA's telephone services and support 

SSA's website visitors by supporting future initiatives such as Web Callback, Click to 

Communicate, Web Collaboration, and Web Chat through the CARE through 2020 investment.

4. Ensure Effective Stewardship of SSA’s Programs by Increasing Program Integrity Efforts: 

SSA is committed to sound management practices, which begin by maintaining policies and 

processes to ensure it pays benefits accurately and administers its programs efficiently and 

effectively. As SSA continues to address a surge in claims caused by the aging of the baby 

boomers and the economic downturn, SSA has also increased its activities to ensure the integrity 

of its programs.

To improve SSA’s Supplemental Security Income (SSI) payment accuracy further, SSA 

completed its nationwide expansion of its Access to Financial Institutions (AFI) program in 

FY11. Unreported bank accounts are one of the leading causes of SSI

overpayments. Historically, money above the resource limit held by an SSI recipient is a leading 

cause of payment error. This program has enabled SSA to identify previously undisclosed bank 

accounts. By checking applicants’ reported bank accounts automatically and selectively 

searching for unreported accounts with financial institutions in a given area, SSA has reduced 

overpayments in areas where it is using AFI.

Non-home real property is buildings or land that are not the principal residence for a SSI 

recipient or his deemors. Undisclosed ownership of real property is a significant cause of SSI 

improper payments. Agency policy does not currently require routine searches for non-home 

real property.
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SSA began a pilot that employs the use of two non-government websites to identify a more 

efficient process to locate undisclosed non-home real property. The pilot involves reviewing 

approximately 1,100 stewardship cases selected for August 2011 through October 2011. The 

objectives are to determine the effectiveness of using commercial websites to verify property 

ownership and to determine the associated task times, costs, and data accuracy. SSA published a 

Request for Information in the Federal Register to explore the availability of companies that can 

provide property data for the continental U.S., Puerto Rico, the Northern Mariana Islands, and 

internationally. Based on the pilot outcomes, SSA may explore the feasibility of integrating 

external property data with agency case processing systems. SSA is also determining if there are 

any legal impediments in using this type of online data, such as Privacy Act concerns. Based on 

pilot results SSA may recommend changes to policy and business processes related to 

identifying non-home real property, as well as the acceptance of the use of non-governmental 

websites to aid in the prevention of improper payments.

Reducing Errors through Electronic Submissions 

SSA’s Internet transaction applications have reduced errors through use of extensive surface and 

relationship edits that parallel edits in SSA’s target programmatic systems. This ensures the 

correct collection of mandatory information at the point of input from its clients and this 

eliminates the need for field office re-contacts. Additionally, SSA’s applications contain 

extensive online help features and data requirements, as well as the SSA business process 

requirements.

Within the Electronic Wage Reporting (EWR) suite of applications, there are numerous checks 

and edits implemented to reduce the likelihood of accepting errant wage files. Users are strongly 

encouraged to download and utilize the Accuwage tool to check their wage files for errors before 

submitting them through the EWR Wage File Upload application. Accuwage analyzes the file 

that the user has prepared for commonly made errors. In addition, the EWR W-2 and W-2c 

Online applications allow filers to enter their wage data directly into a facsimile of the forms to 

create their wage files for submission to SSA. These forms contain numerous edits that check 

for errors within the data. Employers are also encouraged to use the Social Security Number 

Verification System (SSNVS) to ensure that the employee names and SSNs, for which they are 

providing wage data, match SSA’s records.

As an example, wage reports (Form W2/W3) filed electronically by employers and third-party 

preparers with the Social Security Administration, contain fewer errors than those reported on 

paper. Currently SSA receives 86 percent of all wage reports electronically and process these 

reports much faster than paper reports.

The use of Electronic Death Reporting (EDR) by participating states has provided for accurate 

and timely receipt of death information provided to SSA.

The use of Enumeration at Entry for applications for original and replacement Social Security 

cards ensures the data for requests by legal permanent resident aliens received from the 

Department of State (State) via a data transfer from the Department of Homeland Security is 

accurate. The data received from the State both agrees with the data on State documents and 

helps to ensure the integrity of the data on SSA’s files.
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Enumeration at Birth allows parents to request an original Social Security Number and card for 

their child at the same time that they provide birth certificate information to the state. Because 

the state then provides the information to SSA, the data on the SSN application will match the 

data on the birth certificate. This helps to ensure the integrity of the data on SSA’s files.

Efforts to Comply with Section 508 Regarding Information Management 

User Experience Framework The User Experience Framework (UEF) is a new tool and 

associated methodology used to implement user interface standards for SSA’s Internet 

applications. The UEF is a design and implementation approach employed to deliver user 

interfaces (e.g. screens) for internal and external SSA applications. The UEF consists of a 

collection of technologies and methods working together to design and build usable, accessible 

and reliable user interfaces. This framework takes the guesswork out of Section 508 compliance 

by including accessibility best practices in the framework.

Improving Testing Tools During FY11, SSA developed and refined a standards based testing 

methodology including manual code inspection, automated testing, and usability testing with 

assistive technologies and individuals with disabilities for Section 508 compliance. The testing 

methodology is available to all internal staff and reinforced through in-person training and oneon-one consulting support. SSA also purchased an enterprise automated web testing software 

tool to improve Section 508 compliance of agency web pages and support the tracking of 

agency-wide compliance metrics.

Expanded Technical Guidance and Support: During FY11, SSA drafted new technical guidance 

for web and web-based applications, accessible electronic documents, Global Information 

Systems (GIS), and mobile applications to accommodate new technologies, software 

development techniques, HTML standards, and emerging platforms like mobile phones and 

tablets. SSA also published its accessibility Best Practices Library on SSA.GOV to assist the 

agency’s third party vendors and contractors with interpreting and applying the Section 508 

standards.

Quantifying Cost Savings Achieved through Implementation of IT Programs

Individuals filing for retirement benefits can apply via the Internet, telephone, or by visiting their 

local Social Security office. 

It takes less time for employees to process online Internet claims than those filed via traditional 

methods of telephone or in-office. There is about 12 minutes in reduced handling for an Internet 

retirement application compared to telephone and in-office applications. In FY10, SSA 

processed nearly 41 percent of retirement claims via the Internet with estimated savings of 

$16M.

Combined with the significant increase in projected retirement applications and SSA’s marketing 

campaigns promoting the use of the online application iClaim, SSA expects to see continuing 

increases in the percentage of retirement applications submitted online by 2012. Considering 

these factors, SSA estimates projections for additional savings between FY11 and FY19 at nearly 

$100M. These savings will allow SSA to process more of its work in a timely manner.
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U.S. Agency for International Development

Information Technology Strategic Plan and Enterprise Architecture Transition Plan

Information Resources Management (IRM) Strategic Plan: The United States Agency of 

International Development (USAID) Information Technology Strategic Plan was recently 

updated and is available online at: http://www.usaid.gov/policy/coordination/.

Enterprise Architecture (EA) Plan: USAID developed an FY13 Target Architecture and 

Enterprise Transition Roadmap, both of which are available online at: 

http://www.usaid.gov/policy/coordination/. 

Information Dissemination Management to the Public

Final determinations, priorities, and schedules for each E-Gov initiative: USAID organizes and 

categorizes information intended for public access on the Agency website, located at: 

http://www.usaid.gov/policy/egov/inventory.html. 

Information dissemination product catalogs, directories, inventories, and any other management 

tools used to improve the dissemination of and access to agency information by the public: 

USAID organizes and categorizes information intended for public access on the Agency website, 

located at: http://www.usaid.gov/policy/egov/inventory.html. 

Freedom of Information Act (FOIA) Compliance

FOIA handbook: http://www.usaid.gov/about/foia/handbook.html.

Primary FOIA website: http://www.usaid.gov/about/foia.

Frequent requests for records are made available to the public at: 

http://www.usaid.gov/about/foia/webfreq.html.

Dissemination of Federal Research and Development (R&D) Funding to the Public

Public websites disseminating research and development (R&D) information to the public:

USAID does not fund Federal R&D activities. USAIDs mission focuses on international 

development, empowerment of nations, and promoting democracy and prosperity in the world. 

While USAID performs research towards those ends, it does not perform or fund R&D activities. 

Dissemination of Formal Agency Agreements with External Entities to the Public

Inventory of formal agency agreements with external entities: : USAID does not have formal 

agency agreements with external entities complementing the agency’s information dissemination 

program. However, in addition to disseminating information through its own website, USAID 

and its partners maintain many websites dedicated to disseminating USAID mission-related 

information to communities of practice, communities of interest, non-governmental 

organizations (NGOs), and the general public. The following is a link to a list of those websites: 

http://www.usaid.gov/policy/egov/usaid_portals_projects.pdf. 

National Archives and Records Administration (NARA) - Approved Records Schedules 

Inventory and Progress on NARA Bulletin 2006-02

The Disposition Schedule for E-records can be found at: 

http://www.usaid.gov/policy/ads/500/502maa.pdf. This policy is consistent with NARA General 
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Records Schedule 20, and includes USAID policy on the retention schedule for different kinds of 

electronic documents. The Disposition Schedule for paper records can be found at: 

http://www.usaid.gov/policy/ads/500/502mac/502mac_toc.html#2. This policy is consistent with 

NARA guidance, and includes USAID policy on the retention schedule for different kinds of 

paper documents. The following is a summary of USAIDs records status: * 155 Total E-Systems 

or Series * 124 Total Approved E-Systems or Series * 25 Total E-Systems or Series Submitted to 

NARA and Pending Approval * 13 Total Number of Unscheduled E-Systems or Series * 96 

percent of All E-Systems and Series Approved or Submitted 

Implementation of Electronic Signatures for Interoperability 

In accordance with Section 203 of The E-Government Act of 2002, USAID is continuing to 

research methods for implementing an electronic signature framework that not only ensures 

acceptability and compatibility with Office of Management and Budget (OMB) standards, but

also provides USAID with the potential for conducting more electronic transactions in a reliable, 

efficient, and cost-effective manner.

USAID has established the use of electronic signatures in some applications including the E2 

Travel system supported by General Services Administration (GSA), WebTA (for attendance 

and time reporting), USAID University (for on-line training), request and approval for 

teleworking, and for some use within acquisitions. USAID also uses electronic signatures for its 

voucher approval process in the Washington Office. This functionality allows USAID to 

efficiently and accurately forward vouchers electronically to the correct approving officials for 

their approval and signature. It also allows for the accurate electronic storage of these 

documents.

The Chief Information Officer (CIO) is actively pursuing funding and sponsorship for increasing 

the use of electronic signatures within USAID. At this point in time USAID has not collected 

data to support a claim that the use of electronic signatures results in a reduction in errors 

however it has reduced the amount of hard copy (paper) used in several processes.

Electronic Means of Enhancing Public Participation in Government 

The Development Experience Clearinghouse (DEC) is the largest online resource for USAIDfunded international development documentation. Through DEC, development experience 

documents are available to USAID offices and mission staff, Private Voluntary Organizations 

(PVOs), Non-Governmental Organizations (NGOs), universities and research institutions, 

developing countries, and the public worldwide.

The Economic Analysis and Data Services (EADS) provide USAID and the development 

community with access to statistical data on the development process, as well as to data analysis 

tools. Publicly available USAID statistical data resources include the Global Education 

Database, Latin American and Caribbean Economic and Social Data, and more.

Using IT to Link Performance Goals to Key Stakeholders, Private Sector, Other Agencies, 

and Internal Operations 

USAID intends to institutionalize, in the very near term, the use of multiple measures given the 

multi-dimensional nature of delivering information and services using IT. The parameters are 

intended to measure the precision and sensitivity of performance, which will lead to more 
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efficient and effective monitoring. USAID is in the process of moving from a limited use of 

Service Level Agreements (SLAs) to a fully defined program for monitoring the performance of 

information systems in serving the needs of the Agency.

At USAID, the tools of assessing, learning, and information sharing are interrelated through the 

concept of performance management, which represents the agency’s commitment to increase its 

accountability for delivering effective development outcomes. Performance management is 

directly related to and informs strategic planning, budget formulation, program design, and 

program implementation. USAID Missions and offices are responsible for establishing 

performance management plans and targets to measure progress toward the intended objectives 

of their programs. They are also responsible for collecting data and reporting progress on key 

indicators in their annual performance reports.

Reducing Errors through Electronic Submissions 

USAID does not currently have statistics regarding error rates using electronic submissions. The 

USAID CIO plans to include monitoring and addressing the level of errors that occur when using 

electronic submissions as part of a wider performance-monitoring program for Agency 

information systems.

Efforts to Comply with Section 508 Regarding Information Management 

 USAID’s Web Services reviews all new or updated content to ensure compliance with 

Section 508 regulations and requirements. USAID's Web Service's division has oversight 

of the vast majority of the Agency’s intranet and extranet content.

 The Agency leverages a software tool called AccVerify to validate the 508 compliance of 

intranet and extranet content.

 The Legislative and Public Affairs Bureau (LPA) reviews all publicly accessible Internet 

content for 508 compliance.

Quantifying Cost Savings Achieved through Implementation of IT Programs 

USAID has established Capital Planning and Investment Control (CPIC) process and requires all 

IT investments to follow a defined select, control and evaluate model as prescribed by the 

Clinger-Cohen Act and OMB Circular A-130. USAID requires all investment proposals to 

individually quantify their high-level projected cost savings as part of their cost-benefit analysis 

prior to consideration by the Information Technology Steering Subcommittee (ITSS). Because 

of this transformational process, the Agency has established and achieved measurable cost 

savings and/or cost avoidance for several initiatives. USAID expects to achieve significant cost 

savings from the following initiatives in the near future:

E-First Policy: The Agency had developed an E-First policy, which establishes a phased 

centralized management and authorization of IT solutions in order to increase USAID’s mobility 

and productivity.

Cloud Computing and Desktop Virtualization: USAID currently hosts its email infrastructure 

internally through roughly 115 desktop email servers and 40 mobile email servers worldwide. By 

moving to cloud-based email, USAID will eliminate physical assets and operating expenditures.
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Server Consolidation: USAID is migrating its telecommunications infrastructure services to the 

cloud. Currently, services are centrally managed through an on-site data center. This migration 

will simplify management and reduce operating costs through the consolidation of the number of 

physical assets required to maintain the telecommunication infrastructure.