FEA Consolidated
Reference Model Document
Version 2.3
October 2007
Consolidated Reference Model Version 2.3
October 2007 2
Table of Contents
1 FEDERAL ENTERPRISE ARCHITECTURE PROGRAM .......................................4
2 REFERENCE MODEL OVERVIEW.........................................................................5
2.1 Performance Reference Model (PRM)..........................................................................................5
2.2 Business Reference Model (BRM)................................................................................................6
2.3 Service Component Reference Model (SRM)..............................................................................6
2.4 Technical Reference Model (TRM) ...............................................................................................7
2.5 Data Reference Model (DRM)........................................................................................................7
3 PERFORMANCE REFERENCE MODEL.............................................................. 10
3.1 Measurement Areas.....................................................................................................................11
3.2 Measurement Indicators..............................................................................................................14
4 BUSINESS REFERENCE MODEL........................................................................ 26
4.1 Services for Citizens and Mode of Delivery Business Areas..................................................27
4.2 Support Delivery of Services Business Area............................................................................39
4.3 Management of Government Resources Business Area.........................................................42
5 SERVICE COMPONENT REFERENCE MODEL ..................................................47
5.1 Customer Services Domain ........................................................................................................48
5.2 Process Automation Services Domain......................................................................................50
5.3 Business Management Services Domain..................................................................................51
5.4 Digital Asset Services Domain ...................................................................................................53
5.5 Business Analytical Services Domain.......................................................................................55
5.6 Back Office Services Domain .....................................................................................................57
5.7 Support Services Domain ...........................................................................................................61
6 TECHNICAL REFERENCE MODEL .....................................................................65
6.1 Service Access and Delivery ......................................................................................................66
6.2 Service Platform and Infrastructure...........................................................................................71
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6.3 Component Framework...............................................................................................................78
6.4 Service Interface and Integration ...............................................................................................84
7 DATA REFERENCE MODEL................................................................................89
8 CONTACT INFORMATION ................................................................................... 90
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1 Federal Enterprise Architecture Program
The Office of Management and Budget’s (OMB) Office of E-Government (E-Gov) and
Information Technology (IT), with the support of the General Services Administration (GSA) and
the Federal Chief Information Officers (CIO) Council, established the Federal Enterprise
Architecture (FEA) Program which builds a comprehensive business-driven blueprint of the
entire Federal government. The FEA Program Management Office (PMO), located within
OMB’s Office of E-Gov and IT, equips OMB and federal agencies with a common language and
framework to describe and analyze IT investments, enhance collaboration and ultimately
transform the Federal government.
The FEA Practice adopted three core principles to guide its strategic direction. They are:
• Business-driven: The FEA is most useful when it is closely aligned with government
strategic plans and executive level direction. Agency mission statements, presidential
management directives and agency business owners give direction to each agency’s
enterprise architecture (EA) and to the FEA.
• Proactive and collaborative across the Federal government: Adoption of the FEA is
achieved through active participation by the EA community in its development and use.
The FEA community is responsible for the development, evolution and adoption of the
FEA.
• Architecture improves the effectiveness and efficiency of government information
resources: Architecture development is an integral part of the capital investment
process. No IT investment should be made without a business-approved architecture.
For more information about the FEA Practice, refer to www.egov.gov.
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2 Reference Model Overview
The FEA consists of a set of interrelated “reference models” designed to facilitate cross-agency
analysis and the identification of duplicative investments, gaps and opportunities for
collaboration within and across agencies. Collectively, the reference models comprise a
framework for describing important elements of the FEA in a common and consistent way.
Through the use of this common framework and vocabulary, IT portfolios can be better
managed and leveraged across the federal government. This chapter introduces the purposes
and structures of the five FEA reference models:
• Performance Reference Model (PRM)
• Business Reference Model (BRM)
• Service Component Reference Model (SRM)
• Technical Reference Model (TRM)
• Data Reference Model (DRM)
2.1 Performance Reference Model (PRM)
The PRM is a framework for performance measurement providing common output
measurements throughout the federal government. It allows agencies to better manage the
business of government at a strategic level, by providing a means for using an agency’s EA to
measure the success of IT investments and their impact on strategic outcomes. The PRM
accomplishes these goals by establishing a common language by which agency EAs can
describe the outputs and measures used to achieve program and business objectives. The
model articulates the linkage between internal business components and the achievement of
business and customer-centric outputs. Most importantly, it facilitates resource-allocation
decisions based on comparative determinations of which programs and organizations are more
efficient and effective. The PRM focuses on three main objectives:
• Help produce enhanced performance information to improve strategic and daily decision-
making
• Improve the alignment and better articulate the contribution of inputs to outputs, thereby
creating a clear “line of sight” to desired results
• Identify performance improvement opportunities that span traditional organizational
structures and boundaries
The PRM structure is designed to clearly express the cause–and-effect relationship between
inputs and outputs. This “line of sight” is articulated through the use of the Measurement Area,
Category, Grouping, and Indicator hierarchy. Refer to Figure 1 for the PRM structure.
Figure 1: PRM Structure
Measurement
Area
Measurement
Category
Measurement
Grouping
Measurement
Area
Measurement
Category
Measurement
Indicator
Measurement
Area
Measurement
Category
Measurement
Grouping
Measurement
Area
Measurement
Category
Measurement
Indicator
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2.2 Business Reference Model (BRM)
The BRM provides a framework facilitating a functional (rather than organizational) view of the
federal government’s lines of business (LoBs), including its internal operations and its services
for citizens, independent of the agencies, bureaus and offices performing them. The BRM
describes the federal government around common business areas instead of through a stove-
piped, agency-by-agency view. It thus promotes agency collaboration and serves as the
underlying foundation for the FEA and E-Gov strategies.
While the BRM does provide an improved way of thinking about government operations, its true
utility as a model can only be realized when agencies effectively use it. The functional approach
promoted by the BRM will do little to help accomplish the E-Gov strategic goals if it is not
incorporated into business-focused enterprise architectures and the management processes of
federal agencies and OMB.
The BRM is structured into a tiered hierarchy representing the business functions of the federal
government. Refer to Figure 2 for the BRM tiered hierarchy.
Figure 2: BRM Structure
Business
Area
Line of
Business
Sub-function
Business
Area
Line of
Business
Sub-function
2.3 Service Component Reference Model (SRM)
The SRM is a business-driven, functional framework classifying Service Components according
to how they support business and performance objectives. It serves to identify and classify
horizontal and vertical Service Components supporting federal agencies and their IT
investments and assets. The model aids in recommending service capabilities to support the
reuse of business components and services across the federal government. IT investments can
be service providers or consumers. Service providers allow consumers to reuse their business
and technical capabilities.
The SRM is organized across horizontal service areas, independent of the business functions,
providing a leverage-able foundation for reuse of applications, application capabilities,
components, and business services. It is structured hierarchically as depicted in Figure 3.
Figure 3: SRM Structure
Service
Domain
Service Type
Component
Service
Domain
Service Type
Component
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2.4 Technical Reference Model (TRM)
The TRM is a component-driven, technical framework categorizing the standards and
technologies to support and enable the delivery of Service Components and capabilities. It also
unifies existing agency TRMs and E-Gov guidance by providing a foundation to advance the
reuse and standardization of technology and Service Components from a government-wide
perspective.
Aligning agency capital investments to the TRM leverages a common, standardized vocabulary,
allowing interagency discovery, collaboration, and interoperability. Agencies and the federal
government will benefit from economies of scale by identifying and reusing the best solutions
and technologies to support their business functions, mission, and target architecture. The TRM
structure is depicted in Figure 4.
Figure 4: TRM Structure
2.5 Data Reference Model (DRM)
The DRM is a flexible and standards-based framework to enable information sharing and reuse
across the federal government via the standard description and discovery of common data and
the promotion of uniform data management practices.
The DRM provides a standard means by which data may be described, categorized, and
shared. These are reflected within each of the DRM’s three standardization areas:
• Data Description: Provides a means to uniformly describe data, thereby supporting its
discovery and sharing.
• Data Context: Facilitates discovery of data through an approach to the categorization of
data according to taxonomies. Additionally, enables the definition of authoritative data
assets within a CommCOI.
• Data Sharing: Supports the access and exchange of data where access consists of ad-
hoc requests (such as a query of a data asset), and exchange consists of fixed, re-
occurring transactions between parties. Enabled by capabilities provided by both the
Data Context and Data Description standardization areas.
Due to the size and scope of the DRM, only an excerpt of the DRM is included in this
Consolidated Reference Model document. The current version of the complete DRM (Version
2.0) is located on the www.egov.gov
website using the following link:
http://whitehouse.gov/omb/egov/documents/DRM_2_0_Final.pdf
.
The DRM provides a frame of reference to:
• Facilitate COIs (which may be aligned with the LoBs delineated in the FEA Business
Reference Model) in establishing common language.
Service
Area
Service
Category
Service
Standard
Service
Area
Service
Category
Service
Standard
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• Enable needed conversations to reach credible cross-agency agreements around:
governance, data architecture and an information sharing architecture and an
information sharing architecture.
The DRM provides guidance to enterprise architects and data architects for implementing
repeatable processes to enable data sharing in accordance with federal government-wide
agreements, including agreements encompassing state, local, tribal governments, as well as
other public and private non-governmental institutions. The intent is to mature, advance and
sustain there data agreements in and iterative manner.
The DRM can provide value for agency data architecture initiatives by:
• Providing a means to consistently describe data architectures: The DRM’s approach to
Data Description, Data Context, and Data Sharing enables data architecture initiatives to
uniformly describe their data artifacts, resulting in increased opportunities for cross-
agency and cross-COI interactions.
Figure 5: DRM Structure
• Bridging data architectures: The DRM provides a “Rosetta Stone” to facilitate
communications between enterprise and data architects about data and data
architecture in their efforts to support the business/mission needs of the COIs that they
support.
• Facilitating compliance with requirements for data architectures: The DRM’s
standardization areas provide a foundation for agency data architecture initiatives to put
forth requirements that can result in increased compatibility between agency data
architectures.
As a reference model, the DRM is presented as an abstract framework from which concrete
implementations may be derived. The DRM’s abstract nature will enable agencies to use
multiple implementation approaches, methodologies and technologies while remaining
consistent with the foundational principles of the DRM.
For example, the DRM abstract model can be implemented using different combinations of
technical standards. As one example, the Exchange Package concept in the Data Sharing
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standardization area may be represented via different messaging standards (e.g. eXtensible
Markup Language (XML) schema, Electronic Data Interchange (EDI) transaction set) in a
concrete system architecture for purposes of information sharing. Other ways to implement
DRM capabilities may be put forward by other agencies or stakeholders. By associating
elements of concrete architectures with the DRM abstract model, those elements may therefore
be associated with each other, helping to promote interoperability between cross-agency
architectures/implementations. Thus the abstract nature of the DRM as a reference model
provides tremendous implementation flexibility.
The complete DRM can be located at:
http://www.whitehouse.gov/omb/egov/documents/DRM_2_0_Final.pdf
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3 Performance Reference Model
The PRM framework (Figure 6) is designed to clearly articulate the cause-and-effect relationship
between inputs, outputs, and outcomes. The framework builds from the value chain and
program logic models. This “line of sight” is critical for IT project managers, program managers,
and key decision-makers to understand how, and to the extent, key inputs are enabling
progress toward outputs and outcomes. The PRM captures this “line of sight” to reflect how
value is created as inputs (such as Technology) and used to create outputs (through Processes
and Activities), which in turn, impact outcomes (such as, Mission, Business and Customer
Results). Guiding the entire PRM are “Strategic Outcomes,” representing broad, policy priorities
driving the direction of government (such as, to Secure the Homeland).
Figure 6: PRM Framework
Strategic Outcomes
Value
Customer Results
Processes and Activities
Technology
Other Fixed Assets
Human Capital
Mission and Business
Results
• Services for Citizens
• Support Delivery of
Services
• Management of
Government Resources
OUTCOMES: Mission and business-critical
results aligned with Levels 1 and 3 of the
BRM. Results measured from a customer
perspective.
OUTPUTS: The direct effects of day-to-
day activities and broader processes
measured as driven by desired
outcomes. Aligned with Level 2 of the
BRM
INPUTS: Key enablers
measured through their
contribution to outputs and, by
their extension, outcomes.
• Customer Benefit
• Service Coverage
• Timeliness and
Responsiveness
• Service Quality
• Service Accessibility
• Financial
• Productivity
• Cycle Time and Timeliness
•Quality
• Security and Privacy
• Management and
Innovation
• Technology Costs
• Quality Assurance
• Efficiency
• Information and Data
• Reliability and Availability
• Effectiveness
Strategic Outcomes
Value
Customer Results
Processes and Activities
Technology
Other Fixed Assets
Human Capital
Mission and Business
Results
• Services for Citizens
• Support Delivery of
Services
• Management of
Government Resources
OUTCOMES: Mission and business-critical
results aligned with Levels 1 and 3 of the
BRM. Results measured from a customer
perspective.
OUTPUTS: The direct effects of day-to-
day activities and broader processes
measured as driven by desired
outcomes. Aligned with Level 2 of the
BRM
INPUTS: Key enablers
measured through their
contribution to outputs and, by
their extension, outcomes.
• Customer Benefit
• Service Coverage
• Timeliness and
Responsiveness
• Service Quality
• Service Accessibility
• Financial
• Productivity
• Cycle Time and Timeliness
•Quality
• Security and Privacy
• Management and
Innovation
• Technology Costs
• Quality Assurance
• Efficiency
• Information and Data
• Reliability and Availability
• Effectiveness
The PRM is structured around Measurement Areas, Measurement Categories, Measurement
Groupings, and Measurement Indicators.
• Measurement Areas – The high-level organizing framework of the PRM capturing
aspects of performance at the output levels. This layer is directly linked to the
performance objectives established at the agency and program levels. The PRM includes
six measurement areas: Mission and Business Results, Customer Results, Processes
and Activities, Human Capital, Technology, and Other Fixed Assets.
• Measurement Categories – Collections within each measurement area describing the
attribute or characteristic to be measured. For example, the Mission and Business
Results Measurement Area include three Measurement Categories: Services for Citizens,
Support Delivery of Services, and Management of Government Resources,
corresponding to the Lines of Business in the BRM.
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• Measurement Groupings – Further refinement of categories into specific types of
measurement indicators. For the Mission and Business Results Measurement Area,
these groupings align to the Sub-functions of the BRM.
• Measurement Indicators – The specific measures, e.g., number and/or percentage of
customers satisfied, tailored for a specific BRM Line of Business or Sub-function, agency,
program, or IT initiative.
The PRM structure is designed to provide a standardized measurement hierarchy and
framework to be uniquely tailored by decision-makers for a specific environment. An agency’s
strategic planning process establishes specific programs and objectives to meet the needs of its
citizen stakeholders. These programs are implemented to deliver citizen services enabling
agencies to achieve desired performance objectives. An agency’s EA is the management tool
program managers can utilize to create views of their IT investments to be integrated into the
performance and strategic planning management processes. Critical to the successful use of
the PRM and the EA, performance management ensures an agency’s IT investments can be
directly linked to the agency’s performance objectives.
3.1 Measurement Areas
3.1.1 Mission and Business Results Measurement Area
The Mission and Business Results Measurement Area of the PRM captures the outputs
agencies seek to achieve. These outputs are usually developed during the agency budget and
strategic planning process prescribed under GPRA. To identify the Mission and Business
Results associated with an IT initiative, an agency will need to refer to its agency performance
objectives.
To ensure the agency identified outputs are appropriately aligned to what agencies actually do,
the Mission and Business Results Measurement Area is driven by the Business Reference
Model (BRM). More specifically, the PRM’s Measurement Categories are the same as the
BRM’s Business Areas and LoBs. The Measurement Groupings of the PRM are the same as
the Sub-functions of the BRM. These areas of the BRM seek to identify the purpose of the
government activity. By extension, the Mission and Business Results Measurement Area of the
PRM identifies the extent to which those purposes are being achieved.
The Mission and Business Results Measurement Area is comprised of the following
Measurement Categories:
• The LoBs in Services for Citizens
• The LoBs in Support Delivery of Services
• The LoBs in Management of Government Resources
3.1.2 Customer Results Measurement Area
The Customer Results Measurement Area of the PRM captures how well an agency or specific
process within an agency is serving its customers—and ultimately citizens. The Customer
Results Measurement Indicator captured in this Measurement Area will be associated with the
most external customer of the process or activity the IT initiative supports (e.g. citizens,
businesses, or other governments). Not all Customer Results are meaningful or even distinct for
every IT initiative. For example, for IT initiatives supporting processes with federal employees as
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their customers, “customer” satisfaction and “IT user” satisfaction may, in fact, be the same.
Whatever the specific circumstances, the purpose of the Customer Results Measurement Area
is to identify the customer relationship and articulate how it can be measured over time.
The Customer Results Measurement Area is comprised of the following Measurement
Categories:
• Customer Benefit - Customer satisfaction levels and tangible impacts to customers as a
result of the products or services provided
• Service Coverage - The extent to which the desired customer population is being served
and customers are using products and services
• Timeliness and Responsiveness - Time to respond to customer inquiries and requests
and time to deliver products or services
• Service Quality - Quality from the customer’s perspective and accuracy of responses to
customer inquiries
• Service Accessibility - Availability of products and services to customers and the extent
of self-service options and automation
The PRM’s true value comes not from each Measurement Area, but when an investment can be
shown to directly impact an agency’s ability to achieve its performance objectives. To effectively
categorize the performance alignment for a given investment, agencies will use the outputs of
their EA to identify multiple Measurement Areas so the impact an investment contributes can be
seen. The effective use of the PRM requires identification of a critical few Measurement
Indicators in each of the relevant Measurement Areas to draw the “line of sight” from the IT
initiative to the processes and activities it supports (and, by extension, the customer results and
mission and business results it enables). Though the PRM includes many indicators, its value is
not in the sheer number of indicators it includes. Rather, its value is realized when it is used to
identify a critical few indicators that can provide information for decision-making.
3.1.3 Processes and Activities Measurement Area
The Processes and Activities Measurement Area captures the outputs directly resulting from the
process an IT initiative supports. This Measurement Area also captures key aspects of
processes or activities required to be monitored and/or improved.
Nearly all IT initiatives are designed to support or improve a single process or set of processes
and activities. This is generally where an IT initiative’s contribution to improved performance can
be most accurately measured. Nevertheless, there are still many factors beyond the IT
initiative’s control determining the level of process performance. These factors include:
efficiency of the overall business process; staff managing or executing the process; statutory
requirements; or inputs to the process, such as benefits applications or information from other
processes.
The desired output for a process or activity should strongly influence: (1) whether technology is
needed to improve or support the process, and (2) if so, what technology is needed to help the
processes or activities achieve the desired outputs.
As with Mission and Business Results, use of the Processes and Activities Measurement Area
should begin with the BRM. The BRM includes a Mode of Delivery Business Area designed to
identify, at a very high level, the process being used to achieve an intended purpose. The
Measurement Indicator(s) selected should be an extension of the Mode of Delivery aligned with
the IT initiative. For example, if an IT initiative aligns with the Federal Financial Assistance Mode
of Delivery in the BRM, the PRM can be used to determine the quality of how that financial
assistance is delivered.
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The Processes and Activity Measurement Area is comprised of the following Measurement
Categories:
• Financial - Achieving financial measures, direct and indirect total and per unit costs of
producing products and services, and costs saved or avoided
• Productivity – The amount of work accomplished per relevant units of time and
resources applied
• Cycle Time and Timeliness - The time required to produce products or services
• Quality - Error rates and complaints related to products or services
• Security and Privacy - The extent to which security is improved and privacy addressed
• Management and Innovation - Management policies and procedures, compliance with
applicable requirements, capabilities in risk mitigation, knowledge management, and
continuous improvement
3.1.4 Technology Measurement Area
The Technology Measurement Area captures key elements of performance directly relating to
the IT initiative. An IT initiative can include applications, infrastructure, or services provided in
support of a process or program. While these IT-specific aspects of performance (e.g. percent
system availability) are important, they alone do not truly assess the value of an IT initiative to
overall performance. The Technology Measurement Area attains far more relevance only when
used with other Measurement Areas to get a full and accurate picture of overall performance.
As with all other Measurement Areas, the Technology Measurement Categories and Groupings
do not represent exhaustive lists. Agencies may, and should, have additional Technology
measures used as part of their IT Capital Planning and Investment Control (CPIC) and Systems
Development Lifecycle processes.
The Technology Measurement Area is comprised of the following Measurement Categories:
• Technology Costs - Technology-related costs and costs avoided through reducing or
eliminating IT redundancies
• Quality Assurance – The extent to which technology satisfies functionality or capability
requirements or best practices, and complies with standards
• Efficiency - System or application performance in terms of response time,
interoperability, user accessibility, and improvement in technical capabilities or
characteristics
• Information and Data - Data or information sharing, standardization, reliability and
quality, and storage capacity
• Reliability and Availability - System or application capacity, availability to users, and
system or application failures
• Effectiveness – Extent to which users are satisfied with the relevant application or
system, whether it meets user requirements, and its impact on the performance of the
process(es) it enables and the customer or mission results to which it contributes
3.1.5 Human Capital Measurement Area
A review of legislative requirements and best practices shows it is imperative to capture the
human capital aspects of performance. As a result, this version includes a “placeholder” for
Human Capital. The Human Capital Measurement Area is not used at the present time and the
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PRM does not include specific Measurement Categories. The FEA PMO will engage
organizations such as the Office of Personnel Management and the Chief Human Capital
Officers Council to work collaboratively to identify the key human capital requirements and a set
of practical and usable Measurement Indicators in the Human Capital Measurement Area.
3.1.6 Other Fixed Assets Measurement Area
As with Human Capital, a review of legislative requirements and best practices indicates it is
also critical to capture the performance of other fixed assets (e.g. vehicle fleets, facilities, other
equipment). Consequently, this version also includes a “placeholder” for Other Fixed Assets.
The Other Fixed Assets Measurement Area is not used at the present time and the PRM does
not include specific Measurement Categories. The FEA PMO will engage officials
knowledgeable about the management of other fixed assets as it begins to expand the PRM.
3.2 Measurement Indicators
3.2.1 Mission and Business Results Measurement Indicators
This section provides the Measurement Categories, Groupings, and Indicators for the Customer
Mission and Business Results Measurement Area of the PRM.
Services for Citizens
This Measurement Category captures the extent results are achieved by services the federal
government provides both to, and on behalf of, the American citizen. The following
measurement groupings are provided to assist agencies in determining measurement
indicators. Agencies will use the measurement area, category, and grouping to align their
measurement indicators.
Note the placeholder for Measurement Indicators. Agencies’ use of the PRM from this point
forward will create the actual inventory of Measurement Indicators.
Measurement Category
Measurement
Grouping
1
Measurement
Indicator
2
Homeownership
Promotion
Community and
Regional
Development
Social Services
COMMUNITY AND SOCIAL SERVICES - Community
and Social Services includes all activities aimed at
creating, expanding, or improving community and
social development, social relationships, and social
services in the United States. This includes all
activities aimed at locality-specific or nationwide social
development and general social services. This
category includes general community development
and social services programs, as well as earned and
unearned benefit programs that promote these
objectives.
Postal Services
Strategic National
and Theater Defense
DEFENSE AND NATIONAL SECURITY - Protect and
advance U.S. interests and, if deterrence fails,
decisively defeat threats to those interests.
Operational Defense
1
These measurement groupings correspond to the Sub-functions in the Services to Citizens Business Area of the Business
Reference Model. The associated codes can be found in the BRM section of this document.
2
As agencies use the PRM for their specific IT initiatives, they will create the inventory of measurement indicators.
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Measurement Category
Measurement
Grouping
1
Measurement
Indicator
2
Tactical Defense
Disaster Monitoring
and Prediction
Disaster
Preparedness and
Planning
Disaster Repair and
Restore
DISASTER MANAGEMENT- Disaster Management
involves the activities required to prepare for, mitigate,
respond to, and repair the effects of all disasters,
whether natural or man-made.
Emergency
Response
Business and
Industry
Development
Industry Sector
Income Stabilization
Intellectual Property
Protection
ECONOMIC DEVELOPMENT- Economic
Development includes the activities required to
promote commercial/industrial development and to
regulate the American financial industry to protect
investors. It also includes the management and control
of the domestic economy and the money supply, and
the protection of intellectual property and innovation.
Financial Sector
Oversight
Elementary,
Secondary, and
Vocational Education
Higher Education
Cultural and Historic
Preservation
EDUCATION - Education refers to those activities that
impart knowledge or understanding of a particular
subject to the public. Education can take place at a
formal school, college, university or other training
program. This category includes all government
programs that promote the education of the public,
including both earned and unearned benefit programs.
Cultural and Historic
Exhibition
Energy Supply
Energy Conservation
and Preparedness
Energy Resource
Management
ENERGY - Energy refers to all actions performed by
the government to ensure the procurement and
management of energy resources, including the
production, sale and distribution of energy, as well as
the management of spent fuel resources. Energy
management includes all types of mass-produced
energy (e.g., hydroelectric, nuclear, wind, solar, or
fossil fuels). Also included in this category is the
oversight of private industry.
Energy Production
Environmental
Monitoring and
Forecasting
Environmental
Remediation
ENVIRONMENTAL MANAGEMENT - Environmental
Management includes all functions required to monitor
the environment and weather, determine proper
environmental standards and ensure their compliance,
and address environmental hazards and
contamination.
Pollution Prevention
and Control
Criminal
Apprehension
LAW ENFORCEMENT - Law Enforcement involves
activities to protect people, places, and things from
criminal activity resulting from non-compliance with
Criminal
Investigation and
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Measurement Category
Measurement
Grouping
1
Measurement
Indicator
2
Surveillance
Citizen Protection
Crime Prevention
Leadership
Protection
Property Protection
U.S. laws. This includes patrols, undercover
operations, response to emergency calls, as well as
arrests, raids, and seizures of property.
Substance Control
Judicial Hearings
Legal Defense
Legal Investigation
Legal Prosecution
and Litigation
LITIGATION AND JUDICIAL ACTIVITIES- Litigation
and Judicial Activities refer to those activities relating
to the administration of justice.
Resolution
Facilitation
Criminal
Incarceration
CORRECTIONAL ACTIVITIES- Correctional Activities
involves all federal activities that ensure the effective
incarceration and rehabilitation of convicted criminals.
Criminal
Rehabilitation
Access to Care
Population Health
Management and
Consumer Safety
Health Care Delivery
Services
Health Care
Administration
HEALTH - Health involves federal programs and
activities to ensure and provide for the health and well
being of the public. This includes the direct provision of
health care services and immunizations as well as the
monitoring and tracking of public health indicators for
the detection of trends and identification of widespread
illnesses/diseases. It also includes both earned and
unearned health care benefit programs.
Health Care
Research and
Practitioner
Education
Border and
Transportation
Security
Key Asset and
Critical Infrastructure
Protection
HOMELAND SECURITY- Homeland Security involves
protecting the nation against terrorist attacks. This
includes analyzing threats and intelligence, guarding
borders and airports, protecting critical infrastructure,
and coordinating responses to emergencies.
Catastrophic
Defense
General Retirement
and Disability
INCOME SECURITY – Income Security includes
activities designed to ensure that members of the
public are provided with the necessary means – both
Unemployment
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Measurement Category
Measurement
Grouping
1
Measurement
Indicator
2
Compensation
Housing Assistance
Food and Nutrition
Assistance
financial and otherwise – to sustain an adequate level
of existence. This includes all benefit programs, both
earned and unearned, that promote the goals for
members of the public.
Survivor
Compensation
Intelligence Planning
Intelligence
Collection
Intelligence
Processing
Intelligence Analysis
and Production
INTELLIGENCE OPERATIONS- Intelligence
Operations involves collecting and analyzing
information and taking action to meet the national
security challenges of the U.S. and its allies, when
appropriate, by processing foreign and domestic
intelligence; disseminating intelligence products to
policymakers, military commanders, warfighters and
other consumers; and performing activities in support
of U.S. policy objectives.
Intelligence
Dissemination
Foreign Affairs
International
Development and
Humanitarian Aid
INTERNATIONAL AFFAIRS AND COMMERCE-
International Affairs and Commerce involves the non-
military activities that promote U.S. policies and
interests beyond our national borders, including the
negotiation of conflict resolution, treaties, and
agreements. In addition, this category includes: foreign
economic development and social/political
development; diplomatic relations with other nations;
humanitarian, technical and other developmental
assistance to key nations; and global trade.
Global Trade
Water Resource
Management
Conservation,
Marine and Land
Management
Recreational
Resource
Management and
Tourism
NATURAL RESOURCES - Natural Resources
includes all activities involved in conservation planning,
land management, and national park/monument
tourism that affect the nation's natural and recreational
resources, both private and federal. Note: Energy-
related natural resources are covered in the Energy
Management Line of Business.
Agricultural
Innovation and
Services
Air Transportation
Ground
Transportation
Water Transportation
TRANSPORTATION - Transportation involves all
federally supported activities related to the safe
passage, conveyance, or transportation of goods
and/or people.
Space Operations
Consolidated Reference Model Version 2.3
October 2007 18
Measurement Category
Measurement
Grouping
1
Measurement
Indicator
2
Training and
Employment
Labor Rights
Management
WORKFORCE MANAGEMENT – Workforce
Management includes those activities that promote the
welfare of the nation’s workforce by improving their
working conditions, advancing opportunities for
profitable employment, and strengthening free
collective bargaining.
Worker Safety
Scientific and
Technological
Research and
Innovation
GENERAL SCIENCE AND INNOVATION - General
Science and Innovation includes all federal activities to
meet the national need to advance knowledge in this
area. This includes general research and technology
programs, space exploration activities, and other
research and technology programs that have diverse
goals and cannot be readily classified into another Line
of Business or Sub-function.
Space Exploration
and Innovation
Support Delivery of Services
This Measurement Category captures the extent intermediate outputs are achieved related to
the support delivery of services.
Measurement Category
Measurement
Grouping
3
Measurement
Indicators
4
Corrective Action
Program Evaluation
CONTROLS AND OVERSIGHT - Controls and
Oversight ensures that the operations and programs of
the federal government and its external business
partners comply with applicable laws and regulations
and prevent waste, fraud, and abuse.
Program Monitoring
Contingency
Planning
Continuity Of
Operations
INTERNAL RISK MANAGEMENT AND MITIGATION -
Internal Risk Management and Mitigation involves all
activities relating to the processes of analyzing
exposure to risk and determining appropriate
countermeasures.
Service Recovery
Legislation Tracking
Legislation
Testimony
Proposal
Development
LEGISLATIVE RELATIONS - Legislative Relations
involves activities aimed at the development, tracking,
and amendment of public laws through the legislative
branch of the federal government.
Congressional
Liaison Operations
Policy and Guidance
Development
REGULATORY DEVELOPMENT - Regulatory
Development involves activities associated with
developing regulations, policies, and guidance to
Public Comment
Tracking
3
These measurement groupings correspond to the Sub-functions in the Support Delivery of Services Business Area of the
Business Reference Model. The associated codes can be found in the BRM section of this document.
4
As agencies use the PRM for their specific IT initiatives they will create the inventory of measurement indicators.
Consolidated Reference Model Version 2.3
October 2007 19
Measurement Category
Measurement
Grouping
3
Measurement
Indicators
4
Regulatory Creation
implement laws.
Rule Publication
Budget Formulation
Capital Planning
Enterprise
Architecture
Strategic Planning
Budget Execution
Workforce Planning
Management
Improvement
Budget and
Performance
Integration
PLANNING AND BUDGETING - Planning and
Budgeting involves the activities of determining
strategic direction, identifying and establishing
programs and processes, and allocating resources
(capital and labor) among those programs and
processes.
Tax and Fiscal
Policy
Customer Services
Official Information
Dissemination
Product Outreach
PUBLIC AFFAIRS - Public Affairs involves the
exchange of information and communication between
the federal government, citizens and stakeholders in
direct support of citizen services, public policy, and/or
national interest.
Public Relations
Debt Collection
User Fee Collection
REVENUE COLLECTION - Revenue Collection
includes the collection of Government income from all
sources. Note: Tax collection is accounted for in the
Taxation Management Sub-function in the General
Government Line of Business.
Federal Asset Sales
Central Fiscal
Operations
Legislative Functions
Executive Functions
Central Property
Management
Central Personnel
Management
Taxation
Management
GENERAL GOVERNMENT - General Government
involves the general overhead costs of the federal
government, including legislative and executive
activities; provision of central fiscal, personnel, and
property activities; and the provision of services that
cannot reasonably be classified in any other Line of
Business. As a normal rule, all activities reasonably or
closely associated with other LoBs or Sub-functions
shall be included in those LoBs or Sub-functions rather
than listed as a part of general government. This Line
of Business is reserved for central government
management operations; agency-specific management
activities would not be included here.
Central Records and
Statistics
Management
Consolidated Reference Model Version 2.3
October 2007 20
Management of Government Resources
This Measurement Category captures the extent intermediate outputs are achieved related to
support enabling the government to operate efficiently.
Measurement Category
Measurement
Grouping
5
Measurement
Indicators
6
Facilities, Fleet, and
Equipment
Management
Help Desk Services
Security
Management
Travel
ADMINISTRATIVE MANAGEMENT - Administrative
Management involves the day-to-day management
and maintenance of the internal infrastructure.
Workplace Policy
Development and
Management
Accounting
Funds Control
Payments
Collections and
Receivables
Asset and Liability
Management
Reporting and
Information
FINANCIAL MANAGEMENT – The use of financial
information to measure, operate and predict the
effectiveness and efficiency of an entity’s activities in
relation to its objectives. The ability to obtain and use
such information is usually characterized by having in
place policies, standards, and a system of controls that
reliably capture and report activity in a consistent
manner.
Cost Accounting /
Performance
Measurement
HR Strategy
Staff Acquisition
Organization and
Position
Management
Compensation
Management
Benefits
Management
HUMAN RESOURCE MANAGEMENT - Human
Resource Management involves all activities
associated with the recruitment and management of
personnel.
Employee
Performance
5
These measurement groupings correspond to the Sub-functions in the Management of Government Resources Business Area of
the Business Reference Model. The associated codes can be found in the BRM section of this document.
6
As agencies use the PRM for their specific IT initiatives, they will create the inventory of measurement indicators.
Consolidated Reference Model Version 2.3
October 2007 21
Measurement Category
Measurement
Grouping
5
Measurement
Indicators
6
Management
Employee Relations
Labor Relations
Separation
Management
Human Resources
Development
Lifecycle/Change
Management
System
Development
System Maintenance
IT Infrastructure
Maintenance
Information Security
Record Retention
Information
Management
Information Sharing
INFORMATION AND TECHNOLOGY MANAGEMENT
– Information and Technology Management involves
the coordination of information and technology
resources and systems required to support or provide
a service.
System and Network
Monitoring
Goods Acquisition
Inventory Control
Logistics
Management
SUPPLY CHAIN MANAGEMENT - Supply Chain
Management involves the purchasing, tracking, and
overall management of goods and services.
Services Acquisition
3.2.2 Customer Results, Processes and Activities, and Technology Measurement
Areas
This section provides the Measurement Categories, Groupings, and Indicators for the Customer
Results, Processes and Activities, and Technology Measurement Areas of the PRM.
Customer Results
The Customer Results Measurement Area of the PRM captures how well an agency or specific
process within an agency is serving its customers.
Consolidated Reference Model Version 2.3
October 2007 22
Figure 7: Customer Results Measurement Area
Customer Results
Customer Benefit
420: Customer Satisfaction
421: Customer Retention
Timeliness and
Responsiveness
Service Coverage
425: New Customers and
427: Service Efficiency
428: Response Time
429: Delivery Time
Service Accessibility
431: Access
432: Service Availability
Service Quality
430: Accuracy of Service or
426: Frequency and Depth
422: Customer Complaints
423: Customer Impact or
Market Penetration
424: Customer Training
Burden
Product Delivered
433: Automation
434: Integration
Customer Results
Customer Benefit
420: Customer Satisfaction
421: Customer Retention
Timeliness and
Responsiveness
Service Coverage
425: New Customers and
427: Service Efficiency
428: Response Time
429: Delivery Time
Service Accessibility
431: Access
432: Service Availability
Service Quality
430: Accuracy of Service or
426: Frequency and Depth
422: Customer Complaints
423: Customer Impact or
Market Penetration
424: Customer Training
Burden
Product Delivered
433: Automation
434: Integration
Measurement Category
Measurement
Grouping
Measurement
Indicators
7
Customer
Satisfaction
Customer Retention
Customer
Complaints
Customer Impact or
Burden
Customer Benefit - Customer satisfaction levels and
tangible impacts to customers as a result of the
products or services provided.
Customer Training
New Customers and
Market Penetration
Frequency and
Depth
Service Coverage - The extent to which the desired
customer population is being served and customers
are using products and services.
Service Efficiency
Response Time
Timeliness and Responsiveness - Time to respond to
customer inquiries and requests and time to deliver
products or services.
Delivery Time
Service Quality - Quality from the customer’s
perspective and accuracy of responses to customer
inquiries.
Accuracy of Service
or Product Delivered
Access
Service Accessibility - Availability of products and
services to customers and the extent of self-service
Service Availability
7
As agencies use the PRM for their specific IT initiatives, they will create the inventory of measurement indicators.
Consolidated Reference Model Version 2.3
October 2007 23
Measurement Category
Measurement
Grouping
Measurement
Indicators
7
Automation
options and automation.
Integration
Processes and Activities
The Processes and Activities Measurement Area captures the outputs resulting from the
process an IT initiative supports. These outputs are much more under the control of
federal programs and generally contribute to or influence outcomes that are Mission and
Business Results and Customer Results. This Measurement Area also captures key
aspects of processes or activities that need to be monitored and/or improved.
Figure 8: Processes and Activities Measurement Area
Processes and
Activities
Financial
435: Financial Management
436: Costs
437: Planning
Productivity
Quality
443: Errors
444: Complaints
Cycle Time and
Timeliness
438: Savings and Cost
439: Productivity
440: Efficiency
Avoidance
441: Cycle Time
442: Timeliness
Security and Privacy
445: Security
446: Privacy
Management and
Innovation
449: Compliance
447: Participation
448: Policies
451: Knowledge Management
450: Risk
452: Innovation and Improvement
Processes and
Activities
Financial
435: Financial Management
436: Costs
437: Planning
Productivity
Quality
443: Errors
444: Complaints
Cycle Time and
Timeliness
438: Savings and Cost
439: Productivity
440: Efficiency
Avoidance
441: Cycle Time
442: Timeliness
Security and Privacy
445: Security
446: Privacy
Management and
Innovation
449: Compliance
447: Participation
448: Policies
451: Knowledge Management
450: Risk
452: Innovation and Improvement
Measurement Category
Measurement
Grouping
Measurement
Indicators
8
Financial
Management
Costs
Planning
Financial - Achieving financial measures, direct and
indirect total and per unit costs of producing products
and services, and costs saved or avoided.
Savings and Cost
Avoidance
Productivity
Productivity - The amount of work accomplished per
relevant units of time and resources applied.
Efficiency
8
As agencies use the PRM for their specific IT initiatives, they will create the inventory of measurement indicators.
Consolidated Reference Model Version 2.3
October 2007 24
Measurement Category
Measurement
Grouping
Measurement
Indicators
8
Cycle Time
Cycle Time and Timeliness - The time required to
produce products or services.
Timeliness
Errors
Quality - Error rates and complaints related to products
or services.
Complaints
Security
Security and Privacy - The extent to which security is
improved and privacy addressed.
Privacy
Participation
Policies
Compliance
Risk
Knowledge
Management
Management and Innovation - Management policies
and procedures, compliance with applicable
requirements, capabilities in risk mitigation, knowledge
management, and continuous improvement.
Innovation and
Improvement
Technology
The Technology Measurement Area captures key elements of performance that directly relate to
the IT initiative. An IT initiative generally can include applications, infrastructure, or services
provided in support of a process or program.
Figure 9: Technology Measurement Area
Technology
Technology Costs
453: Overall Costs
454: Licensing Costs
455: Support Costs
Quality Assurance
Information and Data
466: External Data Sharing
467: Data Standardization
Efficiency
456: Operations and
458: Functionality
459: IT Composition
Maintenance Costs
461: System Response Time
462: Interoperability
Reliability and Availability
471: Availability
472: Reliability
Effectiveness
475: IT Contribution to Process,
473: User Satisfaction
474: User Requirements
457: Training and User Costs
460: Standards Compliance
and Deviations
463: Accessibility
464: Load Levels
465: Technology Improvement
Quality
468: Internal Data Sharing
469: Data Reliability and
470: Data Storage
Customer, or Mission
Technology
Technology Costs
453: Overall Costs
454: Licensing Costs
455: Support Costs
Quality Assurance
Information and Data
466: External Data Sharing
467: Data Standardization
Efficiency
456: Operations and
458: Functionality
459: IT Composition
Maintenance Costs
461: System Response Time
462: Interoperability
Reliability and Availability
471: Availability
472: Reliability
Effectiveness
475: IT Contribution to Process,
473: User Satisfaction
474: User Requirements
457: Training and User Costs
460: Standards Compliance
and Deviations
463: Accessibility
464: Load Levels
465: Technology Improvement
Quality
468: Internal Data Sharing
469: Data Reliability and
470: Data Storage
Customer, or Mission
Consolidated Reference Model Version 2.3
October 2007 25
Measurement Category
Measurement
Grouping
9
Measurement
Indicators
10
Overall Costs
Licensing Costs
Support Costs
Operations and
Maintenance Costs
Technology Costs - Technology-related costs and
costs avoided through reducing or eliminating IT
redundancies.
Training and User
Costs
Functionality
IT Composition
Quality Assurance - The extent to which technology
satisfies functionality or capability requirements or best
practices, and complies with standards.
Standards
Compliance and
Deviations
System Response
Time
Interoperability
Accessibility
Load Levels
Efficiency - System or application performance in
terms of response time, interoperability, user
accessibility, and improvement in technical capabilities
or characteristics.
Technology
Improvement
External Data
Sharing
Data Standardization
or Tagging
Internal Data
Sharing
Data Reliability and
Quality
Information and Data - Data or information sharing,
standardization, reliability and quality, and storage
capacity.
Data Storage
Availability
Reliability and Availability - System or application
capacity, availability to users, and system or
application failures.
Reliability
User Satisfaction
User Requirements
Effectiveness - Extent to which users are satisfied with
the relevant application or system, whether it meets
user requirements, and its impact on the performance
of the process(es) it enables and the customer or
mission results to which it contributes.
IT Contribution to
Process, Customer,
or Mission
9
Certain Measurement Groupings related to IT management, specifically cost and schedule, are addressed in other areas of the
Exhibit 300 and consequently not included in the PRM. Specific Technology indicators for IT security are also addressed in other
areas of the Exhibit 300 and not included in the PRM.
10
As agencies use the PRM for their specific IT initiatives, they will create the inventory of measurement indicators.
Consolidated Reference Model Version 2.3
October 2007 26
4 Business Reference Model
The Business Reference Model provides a framework facilitating a functional (as opposed to
organizational) view of the federal government’s LoBs, including its internal operations and its
services for the citizens, independent of the agencies, bureaus and offices performing them.
By describing the federal government around common business areas instead of by a stove-
piped, agency-by-agency view, the BRM promotes agency collaboration and serves as the
underlying foundation for the FEA and E-Gov strategies.
While the BRM does provide an improved way of thinking about government operations, it is
only a model; its true utility can only be realized when it is effectively used. The functional
approach promoted by the BRM will do little to help accomplish the goals of E-Government if it
is not incorporated into EA business architectures and the management processes of all
Federal agencies and OMB.
The BRM is structured into a tiered hierarchy representing the business functions of the federal
government. Business Areas are at the highest level followed by LoBs, then the corresponding
business Sub-functions related to each LoB. The Business Areas separate government
operations into high-level categories relating to the purpose of government (Services for
Citizens), the mechanisms the government uses to achieve its purpose (Mode of Delivery), the
support functions necessary to conduct government operations (Support Delivery of Services),
and the resource management functions that support all areas of the government’s business
(Management of Government Resources). The Business Areas of the BRM break down further
into LoBs, and each LoB is comprised of a collection of Sub-functions representing the lowest
level of granularity in the BRM. Figure 10 provides an overview of the BRM.
Figure 10: BRM Overview
Mode of
Delivery
of Services
Management of
Government Resources
Government Service Delivery
Direct Services for Citizens
Knowledge Creation and Mgmt
Public Goods Creation and Mgmt
Regulatory Compliance and Enforcement
Financial Vehicles
Federal Financial Assistance
Credit and Insurance
Local
Financial Management
Human Resource Management
Supply Chain Management Administrative Management
Information and Technology
Management
Education
Energy
Services for
Citizens
Support Delivery
of Services
Management of
Government Resources
Legislative Relations
Public Affairs
Regulatory Development
Planning and Budgeting
Direct Services for Citizens
Knowledge Creation and Mgmt
Public Goods Creation and Mgmt
Regulatory Compliance and Enforcement
Federal Financial Assistance
Credit and Insurance
Transfers to States and Local
Governments
Local
Financial Management
Human Resource Management
Supply Chain Management
Administrative Management
Information and Technology
Management
International Affairs and Commerce
Defense and National Security
Homeland Security
Intelligence Operations
Law Enforcement
Litigation and Judicial Activities
Correctional Activities
Education
Energy
Health
Transportation
Income Security
Controls and Oversight
Revenue Collection
Internal Risk Mgmt and Mitigation
General Government
The Business Reference Model (BRM)
Purpose of
Government
Mechanisms
Used to
Achieve
Purpose
Government
Operations
Support
Functions
Natural Resources
Community and Social Services
Economic Development
Workforce Management
General Science and Innovation
Environmental Management
Disaster Management
Resource
Management
Functions
Mode of
Delivery
Mode of
Delivery
of Services
Management of
Government Resources
Government Service Delivery
Direct Services for Citizens
Knowledge Creation and Mgmt
Public Goods Creation and Mgmt
Regulatory Compliance and Enforcement
Financial Vehicles
Federal Financial Assistance
Credit and Insurance
Local
Financial Management
Human Resource Management
Supply Chain Management Administrative Management
Information and Technology
Management
Education
Energy
Services for
Citizens
Services for
Citizens
Support Delivery
of Services
Support Delivery
of Services
Management of
Government Resources
Management of
Government Resources
Legislative Relations
Public Affairs
Regulatory Development
Planning and Budgeting
Legislative Relations
Public Affairs
Regulatory Development
Planning and Budgeting
Direct Services for Citizens
Knowledge Creation and Mgmt
Public Goods Creation and Mgmt
Regulatory Compliance and Enforcement
Federal Financial Assistance
Credit and Insurance
Transfers to States and Local
Governments
Federal Financial Assistance
Credit and Insurance
Transfers to States and Local
Governments
Local
Financial Management
Human Resource Management
Supply Chain Management
Administrative Management
Information and Technology
Management
International Affairs and Commerce
Defense and National Security
Homeland Security
Intelligence Operations
Law Enforcement
Litigation and Judicial Activities
Correctional Activities
International Affairs and Commerce
Defense and National Security
Homeland Security
Intelligence Operations
Law Enforcement
Litigation and Judicial Activities
Correctional Activities
Education
Energy
Health
Transportation
Income Security
Education
Energy
Health
Transportation
Income Security
Controls and Oversight
Revenue Collection
Internal Risk Mgmt and Mitigation
General Government
Controls and Oversight
Revenue Collection
Internal Risk Mgmt and Mitigation
General Government
The Business Reference Model (BRM)
Purpose of
Government
Mechanisms
Used to
Achieve
Purpose
Government
Operations
Support
Functions
Natural Resources
Community and Social Services
Economic Development
Workforce Management
General Science and Innovation
Environmental Management
Disaster Management
Natural Resources
Community and Social Services
Economic Development
Workforce Management
General Science and Innovation
Environmental Management
Disaster Management
Resource
Management
Functions
Consolidated Reference Model Version 2.3
October 2007 27
The following sections define the LoBs and Sub-functions that comprise the BRM.
4.1 Services for Citizens and Mode of Delivery Business Areas
The Services for Citizens Business Area describes the mission and purpose of the federal
government in terms of the services it provides both to and on behalf of the American citizen. It
includes the delivery of citizen-focused, public, and collective goods and/or benefits as a service
and/or obligation of the federal government to the benefit and protection of the nation's general
population. The Mode of Delivery Business Area is tightly coupled with the Services for Citizens
Business Area, and it describes the mechanisms the government uses to achieve the purpose
of government. In other words, the Mode of Delivery represents the vehicle by which the federal
government delivers its Services to Citizens.
Thus, agency investments which support a Services for Citizens (i.e., external) function require
a Mode of Delivery (i.e., internal delivery mechanism) to provide that service to the citizen. For
this reason, an additional mapping associated with the appropriate LoB within the Mode of
Delivery Business Area is required. To clarify this relationship, the definitions and graphical
representation of these two business areas have been combined. Figure 11 and Figure 11
provide a graphical representation of these two Business Areas, and it also includes the BRM
codes associated with each Business Area, LoB, and Sub-function.
Figure 11: Service for Citizens Business Area
210: Strategic National and
Theater Defense
211: Operational Defense
212: Tactical Defense
(103) Defense and
National Security
033: Border and
Transportation Security
034: Key Asset and Critical
Infrastructure Protection
035: Catastrophic Defense
(111) Homeland Security
213: Intelligence Planning
214: Intelligence Collection
215: Intelligence Analysis and
Production
216: Intelligence Dissemination
(113) Intelligence
Operations
007: Disaster Monitoring
and Prediction
008: Disaster Preparedness
and Planning
009: Disaster Repair
and Restore
010: Emergency Response
(104) Disaster
Management
041: Foreign Affairs
042: International Development
and Humanitarian Aid
043: Global Trade
(114) International Affairs
and Commerce
056: Water Resource
Management
057: Conservation, Marine
and Land Management
058: Recreational Resource
Management and Tourism
059: Agricultural Innovation
and Services
(117) Natural Resources
019: Energy Supply
020: Energy Conservation and
Preparedness
021: Energy Resource
Management
022: Energy Production
(107) Energy
023: Environmental Monitoring
and Forecasting
024: Environmental Remediation
025: Pollution Prevention
and Control
(108) Environmental
Management
011: Business Industry
Development
012: Intellectual Property Protection
013: Financial Sector Oversight
014: Industry Sector Income
Stabilization
(105) Economic
Development
001: Homeownership Promotion
002: Community and
Regional Development
003: Social Services
004: Postal Services
(101)Community and
Social Services
060: Air Transportation
061: Ground Transportation
062: Water Transportation
063: Space Operations
(118)Transportation
015: Elementary, Secondary,
and Vocational Education
016: Higher Education
017: Cultural and Historic
Preservation
018: Cultural and Historic
Exhibition
(106) Education
064: Training and Employment
065: Labor Rights Management
066: Worker Safety
(119) Workforce
Management
217: Access to Care
246: Population Health Mgmt.
and Consumer Safety
247: Health Care Administration
248: Health Care Delivery Services
249: Health Care Research and
Practitioner Education
(110) Health
036: General Retirement
and Disability
037: Unemployment Compensation
038: Housing Assistance
039: Food and Nutrition Assistance
040: Survivor Compensation
(112)Income Security
044: Criminal Apprehension
045: Criminal Investigation
and Surveillance
046: Citizen Protection
047: Crime Prevention
048: Leadership Protection
049: Property Protection
050: Substance Control
(115)Law Enforcement
051: Judicial Hearings
052: Legal Defense
053: Legal Investigation
054: Legal Prosecution and
Litigation
055: Resolution Facilitation
(116)Litigation and
Judicial Activities
005: Criminal Incarceration
006: Criminal Rehabilitation
(102)Correctional
Activities
026: Scientific and Technological
Research and Innovation
027: Space Exploration
and Innovation
(109) General Science
and Innovation
(1) Services for
Citizens **
** Investments mapping to Lines of
Business within the “Services for
Citizens” business area should also
require an additional mapping to the
“Mode of Delivery” business area.
264: Intelligence Processing
210: Strategic National and
Theater Defense
211: Operational Defense
212: Tactical Defense
(103) Defense and
National Security
033: Border and
Transportation Security
034: Key Asset and Critical
Infrastructure Protection
035: Catastrophic Defense
(111) Homeland Security
213: Intelligence Planning
214: Intelligence Collection
215: Intelligence Analysis and
Production
216: Intelligence Dissemination
(113) Intelligence
Operations
007: Disaster Monitoring
and Prediction
008: Disaster Preparedness
and Planning
009: Disaster Repair
and Restore
010: Emergency Response
(104) Disaster
Management
041: Foreign Affairs
042: International Development
and Humanitarian Aid
043: Global Trade
(114) International Affairs
and Commerce
056: Water Resource
Management
057: Conservation, Marine
and Land Management
058: Recreational Resource
Management and Tourism
059: Agricultural Innovation
and Services
(117) Natural Resources
019: Energy Supply
020: Energy Conservation and
Preparedness
021: Energy Resource
Management
022: Energy Production
(107) Energy
023: Environmental Monitoring
and Forecasting
024: Environmental Remediation
025: Pollution Prevention
and Control
(108) Environmental
Management
011: Business Industry
Development
012: Intellectual Property Protection
013: Financial Sector Oversight
014: Industry Sector Income
Stabilization
(105) Economic
Development
001: Homeownership Promotion
002: Community and
Regional Development
003: Social Services
004: Postal Services
(101)Community and
Social Services
060: Air Transportation
061: Ground Transportation
062: Water Transportation
063: Space Operations
(118)Transportation
015: Elementary, Secondary,
and Vocational Education
016: Higher Education
017: Cultural and Historic
Preservation
018: Cultural and Historic
Exhibition
(106) Education
064: Training and Employment
065: Labor Rights Management
066: Worker Safety
(119) Workforce
Management
217: Access to Care
246: Population Health Mgmt.
and Consumer Safety
247: Health Care Administration
248: Health Care Delivery Services
249: Health Care Research and
Practitioner Education
(110) Health
036: General Retirement
and Disability
037: Unemployment Compensation
038: Housing Assistance
039: Food and Nutrition Assistance
040: Survivor Compensation
(112)Income Security
044: Criminal Apprehension
045: Criminal Investigation
and Surveillance
046: Citizen Protection
047: Crime Prevention
048: Leadership Protection
049: Property Protection
050: Substance Control
(115)Law Enforcement
051: Judicial Hearings
052: Legal Defense
053: Legal Investigation
054: Legal Prosecution and
Litigation
055: Resolution Facilitation
(116)Litigation and
Judicial Activities
005: Criminal Incarceration
006: Criminal Rehabilitation
(102)Correctional
Activities
026: Scientific and Technological
Research and Innovation
027: Space Exploration
and Innovation
(109) General Science
and Innovation
(1) Services for
Citizens **
** Investments mapping to Lines of
Business within the “Services for
Citizens” business area should also
require an additional mapping to the
“Mode of Delivery” business area.
264: Intelligence Processing
Consolidated Reference Model Version 2.3
October 2007 28
4.1.1 Services for Citizens Business Area
Community and Social Services
Community and Social Services includes all activities aimed at creating, expanding, or
improving community and social development, social relationships, and social services in the
United States. This includes all activities aimed at locality-specific or nationwide social
development and general social services. This Line of Business includes general community
development and social services programs, as well as earned and unearned benefit programs
that promote these objectives.
• Homeownership Promotion includes activities devoted to assisting citizens interested in
buying homes and educating the public as to the benefits of homeownership. NOTE:
Activities devoted to the provision of housing to low-income members of the public are
located in the Housing Assistance Sub-Function.
• Community and Regional Development involves activities designed to assist
communities in preventing and eliminating blight and deterioration, assist economically
distressed communities, and encourage and foster economic development through
improved public facilities and resources.
• Social Services are designed to provide meaningful opportunities for social and
economic growth of the disadvantaged sector of the population in order to develop
individuals into productive and self-reliant citizens and promote social equity. Included in
this category are social welfare services extended to children and adults with special
needs, such as the orphaned, neglected, abandoned, disabled, etc. Such services
include family life education and counseling, adoption, guardianship, foster family care,
rehabilitation services, etc. Note: This Sub-function does not include services that are
primarily for income support (Income Security) or are an integral part of some other Line
of Business (e.g., Health, Workforce Management, etc.). For mapping purposes, this
category should only include IT systems that support programs mapped to the “Social
Services” budget functional classification.
• Postal Services provide for the timely and consistent exchange and delivery of mail and
packages between businesses, organizations, and residents of the United States or
between businesses, organizations, and residents of the United States and the rest of the
world. It also includes the nationwide retail infrastructure required to make Postal
Services easily accessible to customers. (Note: The commercial function of mail is more
closely aligned with the “Business and Industry Development” Sub-function in the
“Economic Development Line of Business.” The international commercial function of mail
is more closely aligned with the “Global Trade” Sub-function in the “International Affairs”
Line of Business).
Defense and National Security
Protect and advance U.S. national interests and, if deterrence fails, decisively defeat threats to
those interests.
• Strategic National and Theater Defense involves establishing national and
multinational military objectives; sequencing initiatives; defining limits and assess risks for
the use of military and other instruments of national power; developing global plans or
theater war plans to achieve these objectives; and providing military forces and other
capabilities in accordance with strategic plans.
• Operational Defense involves linking tactics and strategy by establishing operational
objectives needed to accomplish the strategic objectives, sequencing events to achieve
Consolidated Reference Model Version 2.3
October 2007 29
the operational objectives, initiating actions, and applying resources to bring about and
sustain these events.
• Tactical Defense involves focusing on the ordered arrangement and maneuver of
combat elements in relation to each other and to the enemy to achieve combat
objectives.
Disaster Management
Disaster Management – involves the activities required to prepare for, mitigate, respond to, and
repair the effects of all disasters, whether natural or manmade.
• Disaster Monitoring and Prediction involves the actions taken to predict when and
where a disaster may take place and communicate that information to affected parties.
Note: Weather forecasting, while central to Disaster Monitoring and Prediction, is more
closely aligned with the “Environmental Monitoring and Forecasting” sub-function in the
Environmental Management Line of Business.
• Disaster Preparedness and Planning involves the development of response programs
to be used in case of a disaster as well as pre-disaster mitigation efforts to minimize the
potential for loss of life and property. This involves the development of emergency
management programs and activities as well as staffing and equipping regional response
centers, and mitigation focused construction and preparation.
• Disaster Repair and Restore involves the cleanup and restoration activities that take
place after a disaster. This involves the cleanup and rebuilding of homes, buildings,
roads, environmental resources, or infrastructure that may be damaged due to a disaster.
• Emergency Response involves the immediate actions taken to respond to a disaster.
These actions include, but are not limited to, providing mobile telecommunications,
operational support, power generation, search and rescue, and medical life-saving
actions.
Economic Development
Economic Development includes the activities required to promote commercial/industrial
development and to regulate the American financial industry to protect investors. It also includes
the management and control of the domestic economy and the money supply, and the
protection of intellectual property and innovation.
• Business and Industry Development supports activities related to the creation of
economic and business opportunities and stimulus, and the promotion of financial and
economic stability for corporations and citizens involved in different types of business.
• Industry Sector Income Stabilization involves all programs and activities devoted to
assisting adversely impacted industrial sectors (farming, commercial transportation, etc.)
to ensure the continued availability of their services for the American public and the long-
term economic stability of these sectors.
• Intellectual Property Protection involves all activities to protect and promote the
ownership of ideas and control over the tangible or virtual representation of those ideas,
including inventions and discoveries; literary and artistic works; and symbols, names,
images, and designs used in commerce.
• Financial Sector Oversight involves the regulation of private sector firms and markets
(stock exchanges, corporations, etc.) to protect investors from fraud, monopolies, and
illegal behavior. This also includes deposit protection.
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October 2007 30
Education
Education refers to those activities that impart knowledge or understanding of a particular
subject to the public. Education can take place at a formal school, college, university or other
training program. This Line of Business includes all government programs that promote the
education of the public, including both earned and unearned benefit programs.
• Elementary, Secondary, and Vocational Education refers to the provision of education
in elementary subjects (reading and writing and arithmetic); education provided by a high
school or college preparatory school; and vocational and technical education and
training.
• Higher Education refers to education beyond the secondary level; specifically, education
provided by a college or university.
• Cultural and Historic Preservation involves all activities performed by the federal
government to collect and preserve information and artifacts important to the culture and
history of the United States and its citizenry and the education of U.S. citizens and the
world.
• Cultural and Historic Exhibition includes all activities undertaken by the U.S.
government to promote education through the exhibition of cultural, historical, and other
information, archives, art, etc.
Energy
Energy refers to all actions performed by the government to ensure the procurement and
management of energy resources, including the production, sale and distribution of energy, as
well as the management of spent fuel resources. Energy management includes all types of
mass-produced energy (e.g., hydroelectric, nuclear, wind, solar, or fossil fuels). Also included in
this Line of Business is the oversight of private industry.
• Energy Supply involves all activities devoted to ensuring the availability of an adequate
supply of energy for the United States and its citizens.
• Energy Conservation and Preparedness involves protection of energy resources from
over consumption to ensure the continued availability of fuel resources and to promote
environmental protection. This Line of Business also includes measures taken to ensure
the provision of energy in the event of an emergency.
• Energy Resource Management involves the management and oversight of energy
producing resources including facilities, dams, land, and offshore resources.
• Energy Production involves the transformation of raw energy resources into useable,
deliverable energy.
Environmental Management
Environmental Management includes all functions required to monitor the environment and
weather, determine proper environmental standards and ensure their compliance, and address
environmental hazards and contamination.
• Environmental Monitoring and Forecasting involves the observation and prediction of
environmental conditions. This includes but is not limited to the monitoring and
forecasting of water quality, water levels, ice sheets, air quality, regulated and non-
regulated emissions, as well as the observation and prediction of weather patterns and
conditions.
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October 2007 31
• Environmental Remediation supports the immediate and long-term activities associated
with the correcting and offsetting of environmental deficiencies or imbalances, including
restoration activities.
• Pollution Prevention and Control includes activities associated with identifying
appropriate pollution standards and controlling levels of harmful substances emitted into
the soil, water and atmosphere from manmade sources. Environmental mitigation
projects are also included in this business line.
Law Enforcement
Law Enforcement involves activities to protect people, places, and things from criminal activity
resulting from non-compliance with U.S. laws. This includes patrols, undercover operations,
response to emergency calls, as well as arrests, raids, and seizures of property.
• Criminal Apprehension involves activities associated with the tracking, arrest,
detention, and transportation of groups or individuals believed to be responsible for
committing federal crimes.
• Criminal Investigation and Surveillance includes collecting evidence required to
determine responsibility for a crime and monitoring and questioning affected parties.
• Citizen Protection involves all activities performed to protect the general population of
the United States from criminal activity.
• Crime Prevention entails all efforts designed to create safer communities through the
control and reduction of crime by addressing the causes of crime and reducing
opportunities for crimes to occur.
• Leadership Protection involves all activities performed to protect the health and well
being of the president, vice-president, their families, foreign leaders and dignitaries, and
other high-level government officials.
• Property Protection entails all activities performed to ensure the security of civilian and
government property as well as foreign diplomatic missions.
• Substance Control supports activities associated with the enforcement of laws
regarding legal substances (i.e., alcohol and tobacco) and illegal narcotics including
trafficking, possession, sale, distribution, and other related activities.
Litigation and Judicial Activities
Litigation and Judicial Activities refers to those activities relating to the administration of justice.
• Judicial Hearings includes activities associated with proceedings (usually by a court of
law) where evidence is taken for the purpose of determining an issue of fact and reaching
a decision based on that evidence.
• Legal Defense includes those activities associated with the representation of a
defendant in a criminal or civil proceeding.
• Legal Investigation includes activities associated with gathering information about a
given party (government agency, citizen or corporation) that would be admissible in a
court of law in an attempt to determine a legal question or matter.
• Legal Prosecution and Litigation includes all activities involved with presenting a case
in a legal proceeding both in a criminal or civil court of law in an attempt to prove
guilt/responsibility.
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October 2007 32
• Resolution Facilitation refers to those activities outside a court of law, such as
mediation and arbitration, which may be used in an attempt to settle a dispute between
two or more parties (government agency, citizen, or corporation).
Correctional Activities
Correctional Activities involves all federal activities that ensure the effective incarceration and
rehabilitation of convicted criminals.
• Criminal Incarceration includes activities associated with the housing, custody and
general care of criminals serving time in penitentiaries.
• Criminal Rehabilitation includes all government activities devoted to providing convicted
criminals with the educational resources and life skills necessary to rejoin society as
responsible and contributing members.
Health
Health involves federal programs and activities to ensure and provide for the health and well-
being of the public. This includes the direct provision of health care services and immunizations
as well as the monitoring and tracking of public health indicators for the detection of trends and
identification of widespread illnesses/diseases. It also includes both earned and unearned
health care benefit programs.
• Access to Care focuses on the access to appropriate care. This includes streamlining
efforts to receive care; ensuring care is appropriate in terms of type, care, intensity,
location and availability; providing seamless access to health knowledge, enrolling
providers; performing eligibility determination, and managing patient movement.
• Population Health Management and Consumer Safety assesses health indicators and
consumer products as a means to protect and promote the health of the general
population. This includes monitoring of health, health planning, and health management
of humans, animals, animal products, and plants, as well as tracking the spread of
diseases and pests. Also includes evaluation of consumer products, drug, and foods to
assess the potential risks and dangers; education of the consumer and the general
population; and facilitation of health promotion and disease and injury prevention.
• Health Care Administration assures that federal health care resources are expended
effectively to ensure quality, safety, and efficiency. This includes managing health care
quality, cost, workload, utilization, and fraud/abuse efforts.
• Health Care Delivery Services provides and supports the delivery of health care to its
beneficiaries. This includes assessing health status; planning health services; ensuring
quality of services and continuity of care; and managing clinical information and
documentation.
• Health Care Research and Practitioner Education fosters advancement in health
discovery and knowledge. This includes developing new strategies to handle diseases;
promoting health knowledge advancement; identifying new means for delivery of
services, methods, decision models and practices; making strides in quality improvement;
managing clinical trials and research quality; and providing for practitioner education.
Homeland Security
Homeland Security involves protecting the nation against terrorist attacks. This includes
analyzing threats and intelligence, guarding borders and airports, protecting critical
infrastructure, and coordinating responses to emergencies.
Consolidated Reference Model Version 2.3
October 2007 33
• Border and Transportation Security includes appropriately facilitating or deterring entry
and exit of people, goods, and conveyances at and between U.S. ports of entry, as well
as ensuring the security of transportation and infrastructure networks, facilities, vehicles,
and personnel within the United States.
• Key Asset and Critical Infrastructure Protection involves assessing key asset and
critical infrastructure vulnerabilities and taking direct action to mitigate vulnerabilities,
enhance security, and ensure continuity and necessary redundancy in government
operations and personnel.
• Catastrophic Defense involves the development of technological countermeasures
(chemical, biological, radiological and nuclear [CBRN]) to terrorist threats, conducting
laboratory testing on new and promising devices, and conducting basic and applied
science that can lead to the development of countermeasures.
Income Security
Income Security includes activities designed to ensure that members of the public are provided
with the necessary means – both financial and otherwise – to sustain an adequate level of
existence. This includes all benefit programs, both earned and unearned, that promote these
goals for members of the public.
• General Retirement and Disability involves the development and management of
retirement benefits, pensions, and income security for those who are retired or disabled.
• Unemployment Compensation provides income security to those who are no longer
employed, while they seek new employment.
• Housing Assistance involves the development and management programs that provide
housing to those who are unable to provide housing for themselves including the rental of
single-family or multifamily properties, and the management and operation of federally
supported housing properties.
• Food and Nutrition Assistance involves the development and management of
programs that provide food and nutrition assistance to those members of the public who
are unable to provide for these needs themselves.
• Survivor Compensation provides compensation to the survivors of individuals currently
receiving or eligible to receive benefits from the federal government. This includes, but is
not limited to, survivors such as spouses or children of veterans or wage earners eligible
for social security payments.
Intelligence Operations
Intelligence Operations involves collecting and analyzing information and taking action to meet
the national security challenges of the U.S. and its allies, when appropriate, by processing
foreign and domestic intelligence; disseminating intelligence products to policymakers, military
commanders, warfighters and other consumers; and performing activities in support of U.S.
policy objectives.
• Intelligence Planning – involves developing strategies focused on intelligence
requirements, prioritizing these requirements, and managing these requirements (adding,
deleting and modifying).
• Intelligence Collection involves acquiring raw data and provisioning the data to
processing elements.
• Intelligence Processing involves converting collected raw data into forms suitable for
analysis.
Consolidated Reference Model Version 2.3
October 2007 34
• Intelligence Analysis and Production consists of integrating, evaluating, and/or
interpreting information from single or multiple sources into intelligence satisfying
consumer needs and preparing intelligence products in support of known or anticipated
consumers.
• Intelligence Dissemination consists of delivering intelligence products to consumers.
International Affairs and Commerce
International Affairs and Commerce involves the non-military activities that promote U.S.
policies and interests beyond our national borders, including the negotiation of conflict
resolution, treaties, and agreements. In addition, this function includes: foreign economic
development and social/political development; diplomatic relations with other nations;
humanitarian, technical and other developmental assistance to key nations; and global trade.
• Foreign Affairs refers to those activities associated with the implementation of foreign
policy and diplomatic relations, including the operation of embassies, consulates, and
other posts; ongoing membership in international organizations; the development of
cooperative frameworks to improve relations with other nations; and the development of
treaties and agreements.
• International Development and Humanitarian Aid refers to those activities related to
the implementation of development and humanitarian assistance programs to developing
and transitioning countries throughout the world. Development and aid may include
technical assistance (the transfer of knowledge and expertise), and the delivery of
equipment, commodities and urgent humanitarian assistance including food aid.
• Global Trade refers to those activities the federal government undertakes to advance
worldwide economic prosperity by increasing trade through the opening of overseas
markets and freeing the flow of goods, services, and capital.
Natural Resources
Natural Resources includes all activities involved in conservation planning, land management,
and national park/monument tourism that affect the nation's natural and recreational resources,
both private and federal. Note: Energy-related natural resources are covered in the Energy
Management Line of Business.
• Water Resource Management includes all activities that promote the effective use and
management of the nation’s water resources. Notes: Environmental protection of water
resources is included in the Environmental Management Line of Business. Hydroelectric
energy production is included in the Energy Production Sub-Function.
• Conservation, Marine and Land Management involves the responsibilities of
surveying, maintaining, and operating public lands and monuments, as well as activities
devoted to ensuring the preservation of land, water, wildlife, and natural resources, both
domestically and internationally. It also includes the sustainable stewardship of natural
resources on federally owned/controlled lands for commercial use (mineral mining,
grazing, forestry, fishing, etc.).
• Recreational Resource Management and Tourism involves the management of
national parks, monuments, and tourist attractions as well as visitor centers, campsites,
and park service facilities.
• Agricultural Innovation and Services involves the creation and dissemination of better
methods for farming and forestry, including the development of improved and healthier
agricultural and forestry products.
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October 2007 35
Transportation
Transportation involves all federally supported activities related to the safe passage,
conveyance, or transportation of goods and/or people.
• Air Transportation involves the activities related to the safe passage of passengers or
goods through the air. It also includes command and control activities related to the safe
movement of aircraft through all phases of flight for commercial and military operations.
Note: The protection of air transportation from deliberate attack is included in the
Transportation Security Sub-function in the Homeland Security Line of Business.
• Ground Transportation involves the activities related to ensuring the availability of
transit and the safe passage of passengers and goods over land. Note: The protection of
ground transportation from deliberate attack is included in the Transportation Security
Sub-Function in the Homeland Security Line of Business.
• Water Transportation involves the activities related to ensuring the availability of transit
and the safe passage of passengers and goods over sea and water. Note: The protection
of maritime transportation from deliberate attack is included in the Transportation Security
Sub-function in the Homeland Security Line of Business.
• Space Operations involves the activities related to the safe launches/missions of
passengers or goods into aerospace and includes commercial, scientific, and military
operations.
Workforce Management
Workforce Management includes those activities that promote the welfare of the nation’s
workforce by improving their working conditions, advancing opportunities for profitable
employment, and strengthening free collective bargaining.
• Training and Employment includes programs of job or skill training, employment
services and placement, and programs to promote the hiring of marginal, unemployed, or
low-income workers.
• Labor Rights Management refers to those activities undertaken to ensure that
employees and employers are aware of and comply with all statutes and regulations
concerning labor rights, including those pertaining to wages, benefits, safety and health,
whistleblower, and non-discrimination policies.
• Worker Safety refers to those activities undertaken to save lives, prevent injuries, and
protect the health of America's workers.
General Science and Innovation
General Science and Innovation includes all federal activities to meet the national need to
advance knowledge in this area. This includes general research and technology programs,
space exploration activities, and other research and technology programs that have diverse
goals and cannot be readily classified into another Line of Business or Sub-function.
• Scientific and Technological Research and Innovation includes all federal activities
whose goal is the creation of new scientific and/or technological knowledge as a goal in
itself, without a specific link to the other LoBs or Sub-functions of the BRM.
NOTE: Research and development programs that directly support another Service for
Citizen should not be included here.
• Space Exploration and Innovation includes all activities devoted to innovations directed
at human and robotic space flight and the development and operation of space launch
and transportation systems, and the general research and exploration of outer space
Consolidated Reference Model Version 2.3
October 2007 36
Figure 12: Mode of Delivery Business Area
069: Research and
Development
070: General Purpose Data
and Statistics
071: Advising and Consulting
072: Knowledge Dissemination
(202) Knowledge
Creation and Mgmt
073: Manufacturing
074: Construction
075: Public Resources, Facility
and Infrastructure Mgmt
076: Information Infrastructure
Management
(203) Public Goods
Creation and Mgmt
077: Inspections and Auditing
078: Standard Setting / Reporting
Guideline Development
079: Permits and Licensing
(204) Regulatory Compliance
and Enforcement
067: Military Operations
068: Civilian Operations
(201) Direct Services
For Citizens
080: Federal Grants
(Non-State)
081: Direct Transfers to
Individuals
082: Subsidies
083: Tax Credits
(205) Federal Financial
Assistance
084: Direct Loans
085: Loan Guarantees
086: General Insurance
(206) Credit and
Insurance
087: Formula Grants
088: Project/Competitive Grants
089: Earmarked Grants
090: State Loans
(207) Transfers to States
and Local Gov'ts
(2) Mode of Delivery
069: Research and
Development
070: General Purpose Data
and Statistics
071: Advising and Consulting
072: Knowledge Dissemination
(202) Knowledge
Creation and Mgmt
073: Manufacturing
074: Construction
075: Public Resources, Facility
and Infrastructure Mgmt
076: Information Infrastructure
Management
(203) Public Goods
Creation and Mgmt
077: Inspections and Auditing
078: Standard Setting / Reporting
Guideline Development
079: Permits and Licensing
(204) Regulatory Compliance
and Enforcement
067: Military Operations
068: Civilian Operations
(201) Direct Services
For Citizens
080: Federal Grants
(Non-State)
081: Direct Transfers to
Individuals
082: Subsidies
083: Tax Credits
(205) Federal Financial
Assistance
084: Direct Loans
085: Loan Guarantees
086: General Insurance
(206) Credit and
Insurance
087: Formula Grants
088: Project/Competitive Grants
089: Earmarked Grants
090: State Loans
(207) Transfers to States
and Local Gov'ts
(2) Mode of Delivery
4.1.2 Mode of Delivery Business Area
Knowledge Creation and Management
Knowledge Creation and Management involves the programs and activities in which the federal
government creates or develops a body or set of knowledge, the manipulation and analysis of
which can provide inherent benefits for both the federal and private sector.
• Research and Development involves the gathering and analysis of data, dissemination
of results, and development of new products, methodologies, and ideas.
• General Purpose Data and Statistics includes activities performed in providing
empirical, numerical, and related data and information pertaining to the current state of
the nation in areas such as the economy, labor, weather, international trade, etc.
• Advising and Consulting involves the guidance and consultative services provided by
the federal government to support the implementation of a specific Service for Citizen.
• Knowledge Dissemination addresses those instances where the primary method used
in delivering a service is through the publishing or broadcasting of information, such as
the Voice of America or web-based museums maintained by the Smithsonian. It is not
intended to address circumstances where the publication of information is a byproduct of
the actual Mode of Delivery. For example, an agency might perform research (the Mode
of Delivery) addressing a particular service for citizen (for example environmental
management) and as a result publish a report on the findings. In this instance, the
research would be the mode of delivery and publishing the report would be a Support
Delivery of Service.
Public Goods Creation and Management
The construction, manufacturing, administration, and/or management of goods, structures,
facilities, common resources, etc. used for the general well being of the American public or
society at large.
• Manufacturing involves all programs and activities in which the federal government
produces both marketable and non-marketable goods.
• Construction involves all programs and activities in which the federal government builds
or constructs facilities, roads, dams, etc.
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October 2007 37
• Public Resources, Facilities, and Infrastructure Management involves the
management and maintenance of government owned capital goods and resources
(natural or otherwise) on behalf of the public, usually with benefits to the community at
large as well as to the direct user. Examples of facilities and infrastructure include
schools, roads, bridges, dams, harbors, and public buildings. Examples of resources
include parks, cultural artifacts and art, endangered species, oil reserves, etc.
• Information Infrastructure Management involves the management and stewardship of
a type of information by the federal government and/or the creation of physical
communication infrastructures on behalf of the public in order to facilitate communication.
This includes the management of large amounts of information (e.g., environmental and
weather data, criminal records, etc.), the creation of information and data standards
relating to a specific type of information (patient records), and the creation and
management of physical communication infrastructures (networks) on behalf of the
public. Note: Information infrastructures for government use are not included here.
Regulatory Compliance and Enforcement
Regulatory Compliance and Enforcement involves the direct monitoring and oversight of a
specific individual, group, industry, or community participating in a regulated activity via market
mechanisms, command and control features, or other means to control or govern conduct or
behavior.
• Inspections and Auditing involves the methodical examination and review of regulated
activities to ensure compliance with standards for regulated activity.
• Standard Setting / Reporting Guideline Development involves the establishment of
allowable limits associated with a regulated activity and the development of reporting
requirements necessary to monitor and control compliance with allowable limits. This
includes the development of requirements for product sampling and testing, emissions
monitoring and control, incident reporting, financial filings, etc.
• Permits and Licensing involves activities associated with granting, revoking, and the
overall management of the documented authority necessary to perform a regulated task
or function.
Direct Services for Citizens
Direct Services for Citizens refers to the delivery of a good or service to (or on behalf of) the
citizenry by the federal government with no other intervening persons, conditions, or
organizations.
• Military Operations - TBD
• Civilian Operations describes the direct provision of a non-military service for the citizen
by government employees.
Federal Financial Assistance
Federal Financial Assistance refers to the provision of earned and unearned financial or
monetary-like benefits to individuals, groups, or corporations
• Federal Grants involves the disbursement of funds by the federal government to a non-
federal entity to help fund projects or activities. This includes the processes associated
with grant administration, including the publication of funds availability notices,
development of the grant application guidance, determination of grantee eligibility,
coordination of the peer review/evaluation process for competitive grants, the transfer of
funds, and the monitoring/oversight as appropriate.
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October 2007 38
• Direct Transfers to Individuals involves the disbursement of funds from the federal
government directly to beneficiaries (individuals or organizations) who satisfy federal
eligibility requirements with no restrictions imposed on the recipient as to how the money
is spent. Direct Transfers include both earned and unearned federal entitlement
programs such as Medicare, Social Security, unemployment benefits, etc.
• Subsidies involve federal government financial transfers that reduce costs and/or
increase revenues of producers.
• Tax Credits allow a special exclusion, exemption, or deduction from gross income or
which provide a special credit, a preferential rate of tax, or a deferral of tax liability
designed to encourage certain kinds of activities or to aid taxpayers in special
circumstances.
Transfers to States and Local Governments
Transfers to States and Local Governments involve the transfer of funds or financial assistance
from the Federal government to state and local governments and Indian tribes.
• Formula Grants involves the allocation of money to states or their subdivisions in
accordance with distribution formulas prescribed by law or administrative regulation, for
activities of a continuing nature.
• Project/Competitive Grants involves the funding, for fixed or known periods, of projects.
Project/Competitive grants can include fellowships, scholarships, research grants,
training grants, traineeships, experimental and demonstration grants, evaluation grants,
planning grants, technical assistance grants, survey grants, and construction grants.
• Earmarked Grants involves the distribution of money to state and local governments for
a named purpose or service usually specifically noted by Congress in appropriations
language, or other program authorizing language.
• State Loans involve all disbursement of funds by the government to a state or local
government (or Indian Tribe) entity under a contract that requires the repayment of such
funds with or without interest.
Credit and Insurance
Credit and Insurance involves the use of government funds to cover the subsidy cost of a direct
loan or loan guarantee or to protect/indemnify members of the public from financial losses.
• General Insurance involves providing protection to individuals or entities against
specified risks. The specified protection generally involves risks that private sector
entities are unable or unwilling to assume or subsidize and where the provision of
insurance is necessary to achieve social objectives.
• Loan Guarantees involve any guarantee, insurance, or other pledge with respect to the
payment of all or a part of the principal or interest on any debt obligation of a non-federal
borrower to a non-federal lender, but does not include the insurance of deposits, shares,
or other withdraw able accounts in financial institutions.
• Direct Loans involve a disbursement of funds by the government to a non-federal
borrower under a contract that requires the repayment of such funds with or without
interest.
Consolidated Reference Model Version 2.3
October 2007 39
4.2 Support Delivery of Services Business Area
As shown in Figure 13, Support Delivery of Services provides the critical policy, programmatic
and managerial foundation to support federal government operations. Figure 13 also includes
the BRM codes for the LoBs and Sub-functions in this Business Area.
Figure 13: Service for Citizens Business Area
091: Corrective Action
092: Program Evaluation
093: Program Monitoring
112: Policy and Guidance Development
113: Public Comment Tracking
114: Regulatory Creation
115: Rule Publication
094: Contingency Planning
095: Continuity of Operations
096: Service Recovery
108: Customer Services
109: Official Information Dissemination
110: Product Outreach
111: Public Relations
101: Budget Formulation
102: Capital Planning
103: Enterprise Architecture
104: Strategic Planning
105: Budget Execution
106: Workforce Planning
107: Management Improvement
097: Legislation Tracking
098: Legislation Testimony
099: Proposal Development
100: Congressional Liaison
Operations
116: Debt Collection
117: User Fee Collection
118: Federal Asset Sales
(3)
Support Delivery
of Services
175: Central Fiscal Operations
176: Legislative Functions
177: Executive Functions
178: Central Property Management
179: Central Personnel Management
180: Taxation Management
181: Central Records and Statistics
Management
(307) Revenue Collection
(302) Internal Risk Management
and Mitigation
(305) Public Affairs
(304) Planning and Budgeting
(303) Legislative Relations
(301) Controls and Oversight (306) Regulatory Development
(315) General Government
259: Budget and Performance
Integration
260: Tax and Fiscal Policy
091: Corrective Action
092: Program Evaluation
093: Program Monitoring
112: Policy and Guidance Development
113: Public Comment Tracking
114: Regulatory Creation
115: Rule Publication
094: Contingency Planning
095: Continuity of Operations
096: Service Recovery
108: Customer Services
109: Official Information Dissemination
110: Product Outreach
111: Public Relations
101: Budget Formulation
102: Capital Planning
103: Enterprise Architecture
104: Strategic Planning
105: Budget Execution
106: Workforce Planning
107: Management Improvement
097: Legislation Tracking
098: Legislation Testimony
099: Proposal Development
100: Congressional Liaison
Operations
116: Debt Collection
117: User Fee Collection
118: Federal Asset Sales
(3)
Support Delivery
of Services
175: Central Fiscal Operations
176: Legislative Functions
177: Executive Functions
178: Central Property Management
179: Central Personnel Management
180: Taxation Management
181: Central Records and Statistics
Management
(307) Revenue Collection
(302) Internal Risk Management
and Mitigation
(305) Public Affairs
(304) Planning and Budgeting
(303) Legislative Relations
(301) Controls and Oversight (306) Regulatory Development
(315) General Government
259: Budget and Performance
Integration
260: Tax and Fiscal Policy
Controls and Oversight
Controls and Oversight ensures that the operations and programs of the federal government
and its external business partners comply with applicable laws and regulations and prevent
waste, fraud, and abuse.
• Corrective Action involves the enforcement of activities to remedy internal or external
programs that have been found noncompliant with a given law, regulation, or policy.
• Program Evaluation involves the analysis of internal and external program effectiveness
and the determination of corrective actions as appropriate.
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October 2007 40
• Program Monitoring involves the data gathering activities required to determine the
effectiveness of internal and external programs and the extent to which they comply with
related laws, regulations, and policies.
Internal Risk Management and Mitigation
Internal Risk Management and Mitigation involves all activities relating to the processes of
analyzing exposure to risk and determining appropriate countermeasures.
• Contingency Planning involves the actions required to plan for, respond to, and mitigate
damaging events.
• Continuity of Operations involves the activities associated with the identification of
critical systems and processes, and the planning and preparation required to ensure that
these systems and processes will be available in the event of a catastrophic event.
• Service Recovery involves the internal actions necessary to develop a plan for resuming
operations after a catastrophic event occurs.
Legislative Relations
Legislative Relations involves activities aimed at the development, tracking, and amendment of
public laws through the legislative branch of the federal government.
• Legislation Tracking involves monitoring legislation from introduction to enactment.
• Legislation Testimony involves activities associated with providing testimony/evidence
in support of, or opposition to, legislation.
• Proposal Development involves drafting proposed legislation that creates or amends
laws subject to Congressional action.
• Congressional Liaison Operations involves all activities associated with supporting the
formal relationship between a federal agency and the U.S. Congress.
Regulatory Development
Regulatory Development involves activities associated with developing regulations, policies, and
guidance to implement laws.
• Policy and Guidance Development – involves the creation and dissemination of
guidelines to assist in the interpretation and implementation of regulations.
• Public Comment Tracking involves the activities of soliciting, maintaining, and
responding to public comments regarding proposed regulations.
• Regulatory Creation involves the activities of researching and drafting proposed and
final regulations.
• Rule Publication includes all activities associated with the publication of a proposed or
final rule in the Federal Register and Code of Federal Regulations.
Planning and Budgeting
Planning and Budgeting involves the activities of determining strategic direction, identifying and
establishing programs and processes, and allocating resources (capital and labor) among those
programs and processes.
• Budget Formulation involves all activities undertaken to determine priorities for future
spending and to develop an itemized forecast of future funding and expenditures during a
targeted period of time. This includes the collection and use of performance information
to assess the effectiveness of programs and develop budget priorities.
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October 2007 41
• Capital Planning involves the processes for ensuring that appropriate investments are
selected for capital expenditures.
• Enterprise Architecture is an established process for describing the current state and
defining the target state and transition strategy for an organization’s people, processes,
and technology.
• Strategic Planning entails the determination of annual and long-term goals and the
identification of the best approach for achieving those goals.
• Budget Execution involves the legal (apportionment) and managerial (allotment and
sub-allotment) distribution of budget authority to achieve results consistent with the
formulated budget.
• Workforce Planning involves the processes for identifying the workforce competencies
required to meet the agency’s strategic goals and for developing the strategies to meet
these requirements.
• Management Improvement includes all efforts to gauge the ongoing efficiency of
business processes and identify opportunities for reengineering or restructuring.
• Budget and Performance Integration involves activities that align Federal resources
allocated through budget formulation, execution, and management actions with
examinations of program objectives, performance, and demonstrated results such as
Program Performance Assessments, Government Performance Results Act (GPRA)
plans and reports, performance-based agency budget submissions, and Financial
Management Cost Accounting and Performance Measurement data.
• Tax and Fiscal Policy encompasses analysis of the implications for economic growth
and stability in the United States and the world of Federal tax and spending policies. This
includes assessing the sustainability of current programs and policies, the best means for
raising revenues, the distribution of tax liabilities, and the appropriate limits on debt.
Public Affairs
Public Affairs involve the exchange of information and communication between the federal
government, citizens and stakeholders in direct support of citizen services, public policy, and/or
national interest.
• Customer Services supports activities associated with providing an agency’s customers
with information regarding the agency’s service offerings and managing the interactions
and relationships with those customers.
• Official Information Dissemination includes all efforts to provide official government
information to external stakeholders through the use of various types of media, such as
video, paper, web, etc.
• Product Outreach relates to the marketing of government services products, and
programs to the general public in an attempt to promote awareness and increase the
number of customers/beneficiaries of those services and programs.
• Public Relations involves the efforts to promote an organization’s image through the
effective handling of citizen concerns.
Revenue Collection
Revenue Collection includes the collection of government income from all sources. Note: Tax
collection is accounted for in Taxation Management Sub-function in the General Government
Line of Business.
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October 2007 42
• Debt Collection supports activities associated with the collection of money owed to the
U.S. government from both foreign and domestic sources.
• User Fee Collection involves the collection of fees assessed on individuals or
organizations for the provision of Government services and for the use of Government
goods or resources (i.e. National Parks).
• Federal Asset Sales encompasses the activities associated with the acquisition,
oversight, tracking, and sale of non-internal assets managed by the federal government
with a commercial value and sold to the private sector.
General Government
General Government involves the general overhead costs of the federal government, including
legislative and executive activities; provision of central fiscal, personnel, and property activities;
and the provision of services that cannot reasonably be classified in any other Line of Business.
As a normal rule, all activities reasonably or closely associated with other LoBs or Sub-functions
shall be included in those LoBs or Sub-functions rather than listed as a part of general
government. This Line of Business is reserved for central government management operations;
agency-specific management activities would not be included here.
• Central Fiscal Operations includes the fiscal operations that the Department of
Treasury performs on behalf of the government. Note: Tax-related functions are included
within the Taxation Management Sub-function.
• Legislative Functions include the costs of the Legislative Branch except for the Tax
Court, the Library of Congress, and the Government Printing Office revolving fund.
• Executive Functions involve the Executive Office of the President.
• Central Property Management involves most of the operations of the General Services
Administration.
• Central Personnel Management involves most of the operating costs of the Office of
Personnel Management and related agencies.
• Taxation Management includes activities associated with the implementation of the
Internal Revenue Code and the collection of taxes in the United States and abroad.
• Central Records and Statistics Management involves the operations surrounding the
management of official documents, statistics, and records for the entire federal
government. This Sub-function is intended to include the management of records and
statistics for the federal government as a whole, such as the records management
performed by NARA or the statistics and data collection performed by the Bureau of the
Census. Note: Many agencies perform records and statistics management for a particular
business function and as such should be mapped to that line of business. The Central
Records and Statistics Management is intended for functions performed on behalf of the
entire Federal government.
4.3 Management of Government Resources Business Area
Management of Government Resources refers to the support activities that enable the
government to operate efficiently. Figure 14 provides a graphical representation of this
Business Area and includes the BRM codes associated with each LoB and Sub-function.
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October 2007 43
Figure 14: Management of Government Resources Business Area
250: HR Strategy
251: Staff Acquisition
252: Organization and Position
Management
253: Compensation Management
254: Benefits Management
255: Employee Performance
Management
256: Employee Relations
228: Labor Relations
257: Separation Management
119: Facilities, Fleet and
Equipment Management
120: Help Desk Services
121: Security Management
122: Travel
123: Workplace Policy Development
and Management
(401) Administrative Management
143: Goods Acquisition
144: Inventory Control
145: Logistics Management
146: Services Acquisition
(405) Supply Chain Management
124: Accounting
125: Funds Control
126: Payments
127: Collections and Receivables
128: Asset and Liability
Management
129: Reporting and Information
(402) Financial Management
136: System Development
137: Lifecycle/Change Management
138: System Maintenance
139: IT Infrastructure Maintenance
140: Information Security
141: Record Retention
142: Information Management
(404) Information and Technology
Management
(4) Management of
Government Resources
(403) Human Resource Management
258: Human Resources
Development
261: Cost Accounting /
Performance Measurement
262: Information Sharing
263: System and Network Monitoring
250: HR Strategy
251: Staff Acquisition
252: Organization and Position
Management
253: Compensation Management
254: Benefits Management
255: Employee Performance
Management
256: Employee Relations
228: Labor Relations
257: Separation Management
119: Facilities, Fleet and
Equipment Management
120: Help Desk Services
121: Security Management
122: Travel
123: Workplace Policy Development
and Management
(401) Administrative Management
143: Goods Acquisition
144: Inventory Control
145: Logistics Management
146: Services Acquisition
(405) Supply Chain Management
124: Accounting
125: Funds Control
126: Payments
127: Collections and Receivables
128: Asset and Liability
Management
129: Reporting and Information
(402) Financial Management
136: System Development
137: Lifecycle/Change Management
138: System Maintenance
139: IT Infrastructure Maintenance
140: Information Security
141: Record Retention
142: Information Management
(404) Information and Technology
Management
(4) Management of
Government Resources
(403) Human Resource Management
258: Human Resources
Development
261: Cost Accounting /
Performance Measurement
262: Information Sharing
263: System and Network Monitoring
Administrative Management
Administrative Management involves the day-to-day management and maintenance of the
internal infrastructure.
• Facilities, Fleet, and Equipment Management involves the maintenance,
administration, certification, and operation of office buildings, fleets, machinery, and other
capital assets that are possessions of the federal government.
• Help Desk Services involves the management of a service center to respond to
government and contract employees' technical and administrative questions.
• Security Management involves the physical protection of an organization’s personnel,
assets, and facilities (including security clearance management). Note: Activities related
to securing data and information systems are addressed under the “Information Systems
Security” Sub-function.
• Travel involves the activities associated with planning, preparing, and monitoring of
business related travel for an organization’s employees.
• Workplace Policy Development and Management includes all activities required to
develop and disseminate workplace policies such as dress codes, time reporting
requirements, telecommuting, etc.
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October 2007 44
Financial Management
The use of financial information to measure, operate and predict the effectiveness and efficiency
of an entity's activities in relation to its objectives. The ability to obtain and use such information
is usually characterized by having in place policies, practices, standards, and a system of
controls that reliably capture and report activity in a consistent manner.
• Accounting entails accounting for assets, liabilities, fund balances, revenues and
expenses associated with the maintenance of federal funds and expenditure of federal
appropriations (Salaries and Expenses, Operation and Maintenance, Procurement,
Working Capital, Trust Funds, etc.), in accordance with applicable federal standards
(FASAB, Treasury, OMB, GAO, etc.).
• Funds Control includes the management of the federal budget process including the
development of plans and programs, budgets, and performance outputs as well as
financing federal programs and operations through appropriation and apportionment of
direct and reimbursable spending authority, fund transfers, investments and other
financing mechanisms.
• Payments includes disbursements of federal funds, via a variety of mechanisms, to
federal and private individuals, federal agencies, state, local and international
governments, and the private sector, to effect payment for goods and services, or
distribute entitlements, benefits, grants, subsidies, loans, or claims.
• Collections and Receivables includes deposits, fund transfers, and receipts for sales or
service.
• Asset and Liability Management provides accounting support for the management of
assets and liabilities of the Federal government.
• Reporting and Information includes providing financial information, reporting and
analysis of financial transactions.
• Cost Accounting / Performance Measurement is the process of accumulating,
measuring, analyzing, interpreting, and reporting cost information useful to both internal
and external groups concerned with the way in which an organization uses, accounts for,
safeguards, and controls its resources to meet its objectives. Cost accounting
information is necessary in establishing strategic goals, measuring service efforts and
accomplishments, and relating efforts to accomplishments. Also, cost accounting,
financial accounting, and budgetary accounting all draw information from common data
sources.
Human Resource Management
Human Resource Management involves all activities associated with the recruitment and
management of personnel.
• HR Strategy develops effective human capital management strategies to ensure federal
organizations are able to recruit, select, develop, train, and manage a high-quality,
productive workforce in accordance with merit system principles. This sub-function
includes: conducting both internal and external environmental scans; developing human
resources and human capital strategies and plans; establishing human resources policy
and practices; managing current and future workforce competencies; developing
workforce plans; developing succession plans; managing the human resources budget;
providing human resources and human capital consultative support; and measuring and
improving human resources performance.
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October 2007 45
• Staff Acquisition establishes procedures for recruiting and selecting high-quality,
productive employees with the right skills and competencies, in accordance with merit
system principles. This sub-function includes: developing a staffing strategy and plan;
establishing an applicant evaluation approach; announcing the vacancy, sourcing and
evaluating candidates against the competency requirements for the position; initiating
pre-employment activities; and hiring employees.
• Organization and Position Management designs, develops, and implements
organizational and position structures that create a high-performance, competency-driven
framework that both advances the agency mission and serves agency human capital
needs.
• Compensation Management designs, develops, and implements compensation
programs that attract, retain and fairly compensate agency employees. In addition,
designs, develops, and implements pay for performance compensation programs to
recognize and reward high performance, with both base pay increases and performance
bonus payments. This sub-function includes: developing and implementing
compensation programs; administering bonus and monetary awards programs;
administering pay changes; managing time, attendance, leave and pay; and managing
payroll.
• Benefits Management designs, develops, and implements benefit programs that attract,
retain and support current and former agency employees. This sub-function includes:
establishing and communicating benefits programs; processing benefits actions; and
interacting as necessary with third party benefits providers.
• Employee Performance Management designs, develops, and implements a
comprehensive performance management approach to ensure agency employees are
demonstrating competencies required of their work assignments. Design, develop and
implement a comprehensive performance management strategy that enables managers
to make distinctions in performance and links individual performance to agency goal and
mission accomplishment. This sub-function also includes managing employee
performance at the individual level and evaluating the overall effectiveness of the
agency’s employee development approach.
• Employee Relations designs, develops, and implements programs that strive to
maintain an effective employer-employee relationship that balance the agency’s needs
against its employees’ rights. This sub-function includes: addressing employee
misconduct; addressing employee performance problems; managing administrative
grievances; providing employee accommodation; administering employees assistance
programs; participating in administrative third party proceedings; and determining
candidate and applicant suitability.
• Labor Relations manages the relationship between the agency and its unions and
bargaining units. This includes negotiating and administering labor contracts and
collective bargaining agreements; managing negotiated grievances; and participating in
negotiated third party proceedings.
• Separation Management conducts efficient and effective employee separation programs
that assist employees in transitioning to non-Federal employment; facilitates the removal
of unproductive, non-performing employees; and assists employees in transitioning to
retirement.
• Human Resources Development designs, develops, and implements a comprehensive
employee development approach to ensure that agency employees have the right
competencies and skills for current and future work assignments. This sub-function
includes conducting employee development needs assessments; designing employee
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October 2007 46
development programs; administering and delivering employee development programs;
and evaluating the overall effectiveness of the agency’s employee development
approach.
Information and Technology Management
Information and Technology Management involves the coordination of information and
technology resources and systems required to support or provide a service.
• Lifecycle/Change Management involves the processes that facilitate a smooth
evolution, composition, and workforce transition of the design and implementation of
changes to agency resources such as assets, methodologies, systems, or procedures.
• System Development supports all activities associated with the in-house design and
development of software applications.
• System Maintenance supports all activities associated with the maintenance of in-house
designed software applications.
• IT Infrastructure Maintenance involves the planning, design, and maintenance of an IT
Infrastructure to effectively support automated needs (i.e. platforms, networks, servers,
printers, etc.).
• Information Security involves all functions pertaining to the protection of federal
information and information systems from unauthorized access, use, disclosure,
disruptions, modification, or destruction, as well as the creation and implementation of
security policies, procedures and controls.
• Record Retention involves the operations surrounding the management of the official
documents and records for an agency.
• Information Management involves the coordination of information collection, storage,
and dissemination, and destruction as well as managing the policies, guidelines, and
standards regarding information management.
• Information Sharing relates to any method or function, for a given business area,
facilitating: data being received in a usable medium by one or more departments or
agencies as provided by a separate department or agency or other entity; and data being
provided, disseminated or otherwise made available or accessible by one department or
agency for use by one or more separate departments or agencies, or other entities, as
appropriate.
• System and Network Monitoring supports all activities related to the real-time
monitoring of systems and networks for optimal performance.
Supply Chain Management
Supply Chain Management involves the purchasing, tracking, and overall management of goods
and services.
• Goods Acquisition involves the procurement of physical goods, products, and capital
assets to be used by the federal government.
• Inventory Control refers to the tracking of information related to procured assets and
resources with regard to quantity, quality, and location.
• Logistics Management involves the planning and tracking of personnel and their
resources in relation to their availability and location.
• Services Acquisition involves the oversight and/or management of contractors and
service providers from the private sector.
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October 2007 47
5 Service Component Reference Model
The SRM is a business-driven, functional framework classifying Service Components with
respect to how they support business and performance objectives. It serves to identify and
classify Service Components that support federal agencies and their IT investments and assets.
The model aids in recommending service capabilities to support the reuse of business
components and services across the federal government.
The SRM, constructed hierarchically, is structured across horizontal service areas that,
independent of the business functions, can provide a leverage-able foundation for reuse of
applications, application capabilities, Components, and business services. The SRM is
structured around Service Domains, Types, and Components. The SRM Service Domains
provide a high-level view of the services and capabilities that support enterprise and
organizational processes and applications. They are differentiated by their business-oriented
capability, and include:
• Customer Services
• Process Automation
• Business Management Services
• Digital Asset Services
• Business Analytical Services
• Back Office Services
• Support Services
Service Domains are comprised of Service Types that further categorize and define the
capabilities of each Domain. As illustrated below in Figure 15: SRM Overview
, each Service Domain is classified into one or more Service Types that group similar
capabilities in support of the domain. Service Types provide an additional layer of categorization
that defines the context of a specific capability component within a given domain. Finally, each
Service Type includes one or more Services or Components that provide the “building blocks’ to
deliver the information management capability to the business. Services define a set of
capabilities and Components implement Services. A Component is defined as "a self contained
business process or service with predetermined functionality that may be exposed through a
business or technology interface."
Consolidated Reference Model Version 2.3
October 2007 48
Figure 15: SRM Overview
Service Domains Service Types
Customer Services
Process Automation
Services
Business Management
Services
Digital Asset Services
Business Analytical
Services
Back Office Services
Support Services
• Customer Relationship Management
• Customer Preferences
• Customer Initiated Assistance
• Tracking and Workflow
• Routing and Scheduling
• Management of Process
• Organizational Management
• Investment Management
• Supply Chain Management
• Content Management
• Document Management
• Knowledge Management
• Records Management
• Analysis and Statistics
• Visualization
• Knowledge Discovery
• Business Intelligence
• Data Management
•Human Resources
• Financial Management
• Asset / Materials Management
• Security Management
• Collaboration
•Search
• Communication
• Reporting
• Development and Integration
• Human Capital / Workforce
Management
• Systems Management
• Forms Management
Service Domains Service Types
Customer Services
Process Automation
Services
Business Management
Services
Digital Asset Services
Business Analytical
Services
Back Office Services
Support Services
• Customer Relationship Management
• Customer Preferences
• Customer Initiated Assistance
• Tracking and Workflow
• Routing and Scheduling
• Management of Process
• Organizational Management
• Investment Management
• Supply Chain Management
• Content Management
• Document Management
• Knowledge Management
• Records Management
• Analysis and Statistics
• Visualization
• Knowledge Discovery
• Business Intelligence
• Data Management
•Human Resources
• Financial Management
• Asset / Materials Management
• Security Management
• Collaboration
•Search
• Communication
• Reporting
• Development and Integration
• Human Capital / Workforce
Management
• Systems Management
• Forms Management
5.1 Customer Services Domain
The Customer Services Domain defines the set of capabilities directly related to an internal or
external customer, the business’s interaction with the customer, and the customer-driven
activities or functions. The Customer Services Domain represents those capabilities and
services at the front end of a business and interface at varying levels with the customer.
Figure 16: Customer Services Domain
Customer Services
(701) Customer
Relationship Management
510: Call Center Management
511: Customer Analytics
512: Sales and Marketing
513: Product Management
514: Brand Management
515: Customer / Account
516: Contact and Profile
518: Customer Feedback
519: Surveys
517: Partner Relationship
(702) Customer
Preferences
520: Personalization
521: Subscriptions
522: Alerts and Notifications
(703) Customer Initiated
Assistance
523: Online Help
524: Online Tutorials
525: Self-Service
526: Reservations / Registration
527: Multi-Lingual Support
528: Assistance Request
529: Scheduling
Management
Management
Management
Customer Services
(701) Customer
Relationship Management
510: Call Center Management
511: Customer Analytics
512: Sales and Marketing
513: Product Management
514: Brand Management
515: Customer / Account
516: Contact and Profile
518: Customer Feedback
519: Surveys
517: Partner Relationship
(702) Customer
Preferences
520: Personalization
521: Subscriptions
522: Alerts and Notifications
(703) Customer Initiated
Assistance
523: Online Help
524: Online Tutorials
525: Self-Service
526: Reservations / Registration
527: Multi-Lingual Support
528: Assistance Request
529: Scheduling
Management
Management
Management
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October 2007 49
Customer Relationship Management
Capabilities within this Service Type are used to plan, schedule, and control the activities
between the customer and the enterprise, both before and after a product or service is offered.
Service Component Defines the set of capabilities to
Call Center Management Handle telephone sales and/or service to the end customer
Customer Analytics Allow for the analysis of an organization's customers, as well
as the scoring of third-party information as it relates to an
organization’s customers
Sales and Marketing Facilitate the promotion of a product or service and capture of
new business
Product Management Facilitate the creation and maintenance of products and
services
Brand Management Support the application of a trade name to a product or service
as well as developing an awareness for the name
Customer / Account
Management
Support the retention and delivery of a service or product to an
organization's clients
Contact and Profile
Management
Provide a comprehensive view of all customer interactions,
including calls, email, correspondence and meetings; also
provides for the maintenance of a customer’s account,
business and personal information
Partner Relationship
Management
Provide a framework to promote the effective collaboration
between an organization and its business partners, particularly
members of the distribution chain (e.g., channel and alliance
partners, resellers, agents, brokers, and dealers) and other
third parties that support operations and service delivery to an
organization’s customers; includes performance evaluation of
partners, if necessary
Customer Feedback Collect, analyze and handle comments and feedback from an
organization's customers
Surveys Collect useful information from an organization's customers
Customer Preferences
Capabilities within this Service Type allow an organization's customers to change a user
interface and the way data is displayed.
Service Component Defines the set of capabilities to
Personalization Change a user interface and how data is displayed
Subscriptions Allow a customer to join a forum, listserv, or mailing list
Alerts and Notifications Allow a customer to be contacted in relation to a subscription
or service of interest
Customer Initiated Assistance
Capabilities within this Service Type allow customers to proactively seek assistance and service
from an organization.
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October 2007 50
Service Component Defines the set of capabilities to
Online Help Provide an electronic interface to customer assistance
Online Tutorials Provide an electronic interface to educate and assist
customers
Self-Service Allow an organization's customers to sign up for a particular
service at their own initiative
Reservations / Registration Allow electronic enrollment and confirmations for services
Multi-Lingual Support Allow access to data and information in multiple languages
Assistance Request Support the solicitation of support from a customer
Scheduling Define the set of capabilities that support the plan for
performing work or service to meet the needs of an
organization’s customers
5.2 Process Automation Services Domain
The Process Automation Services Domain defines the set of capabilities supporting the
automation of process and management activities to assist in effectively managing the
business. The Process Automation Services domain represents those services and capabilities
serving to automate and facilitate the processes associated with tracking, monitoring, and
maintaining liaison throughout the business cycle of an organization.
Figure 17: Process Automation Services Domain
Process Automation
Services
(711) Tracking and Workflow
530: Process Tracking
531: Case Management
532: Conflict Resolution
(712) Routing and Scheduling
533: Inbound Correspondence
534: Outbound Correspondence
Management
Management
Process Automation
Services
(711) Tracking and Workflow
530: Process Tracking
531: Case Management
532: Conflict Resolution
(712) Routing and Scheduling
533: Inbound Correspondence
534: Outbound Correspondence
Management
Management
Tracking and Workflow
Capabilities within this Service Type are provide automatic monitoring and routing of documents
to the users responsible for working on them to support each step of the business cycle.
Service Component Defines the set of capabilities to
Process Tracking Allow the monitoring of activities within the business cycle
Case Management Manage the life cycle of a particular claim or investigation
within an organization to include creating, routing, tracing,
assignment and closing of a case as well as collaboration
among case handlers
Conflict Resolution Support the conclusion of contention or differences within the
business cycle
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Routing and Scheduling
Capabilities within this Service Type provide automatic directing, assignment, or allocation of
time for a particular action or event.
Service Component Defines the set of capabilities to
Inbound Correspondence
Management
Manage externally initiated communication between an
organization and its stakeholders
Outbound Correspondence
Management
Manage internally initiated communication between an
organization and its stakeholders
5.3 Business Management Services Domain
The Business Management Services Domain defines the set of capabilities supporting the
management of business functions and organizational activities to maintain continuity across
the business and value-chain participants. The Business Management Services Domain
represents those capabilities and services necessary for projects, programs and planning within
a business operation to be successfully managed.
Figure 18: Business Management Services Domain
Business Management
Services
(721) Management of
Process
535: Change Management
536: Configuration Management
537: Requirements Management
538: Program / Project
539: Governance / Policy
540: Quality Management
541: Business Rule
542: Risk Management
(722) Organizational
Management
543: Workgroup / Groupware
544: Network Management
(724) Supply Chain
Management
548: Procurement
549: Sourcing Management
550: Inventory Management
551: Catalog Management
552: Ordering / Purchasing
553: Invoice / Requisition
554: Storefront / Shopping
Management
Management
Management
(723) Investment
Management
545: Strategic Planning and
546: Portfolio Management
547: Performance Management
Management
555: Warehouse
556: Returns Management
557: Logistics and
Cart
Management
Transportation
Tracking and Approval
Business Management
Services
(721) Management of
Process
535: Change Management
536: Configuration Management
537: Requirements Management
538: Program / Project
539: Governance / Policy
540: Quality Management
541: Business Rule
542: Risk Management
(722) Organizational
Management
543: Workgroup / Groupware
544: Network Management
(724) Supply Chain
Management
548: Procurement
549: Sourcing Management
550: Inventory Management
551: Catalog Management
552: Ordering / Purchasing
553: Invoice / Requisition
554: Storefront / Shopping
Management
Management
Management
(723) Investment
Management
545: Strategic Planning and
546: Portfolio Management
547: Performance Management
Management
555: Warehouse
556: Returns Management
557: Logistics and
Cart
Management
Transportation
Tracking and Approval
Management of Process
Capabilities within this Service Type regulate the activities surrounding the business cycle of an
organization.
Service Component Defines the set of capabilities to
Change Management Control the process for updates or modifications to the existing
documents, software or business processes of an organization
Configuration Management Control the hardware and software environments, as well as
documents of an organization
Requirements Management Gather, analyze and fulfill the needs and prerequisites of an
organization's efforts
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Service Component Defines the set of capabilities to
Program / Project
Management
Manage and control a particular effort of an organization
Governance / Policy
Management
Influence and determine decisions, actions, business rules and
other matters within an organization
Quality Management Help determine the level that a product or service satisfies
certain requirements
Business Rule Management Manage the enterprise processes that support an organization
and its policies
Risk Management Support the identification and probabilities or chances of
hazards as they relate to a task, decision or long-term goal;
includes risk assessment and risk mitigation
Organizational Management
Capabilities within this Service Type support both collaboration and communication within an
organization.
Service Component Defines the set of capabilities to
Workgroup / Groupware Support multiple users working on related tasks
Network Management Monitor and maintain a communications network in order to
diagnose problems, gather statistics and provide general
usage
Investment Management
Capabilities within this Service Type manage the financial assets and capital of an organization.
Service Component Defines the set of capabilities to
Strategic Planning and
Mgmt
Support the determination of long-term goals and the
identification of the best approach for achieving those goals
Portfolio Management Support the administration of a group of investments held by
an organization
Performance Management Measure the effectiveness of an organization's financial assets
and capital
Supply Chain Management
Capabilities within this Service Type plan, schedule and control a supply chain and the
sequence of organizations and functions to mine, make or assemble materials and products
from manufacturer to wholesaler to retailer to consumer.
Service Component Defines the set of capabilities to
Procurement Support the ordering and purchasing of products and services
Sourcing Management Support the supply of goods or services as well as the tracking
and analysis of costs for these goods
Inventory management Provide for the balancing of customer service levels with
inventory investment
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Service Component Defines the set of capabilities to
Catalog Management Support the listing of available products or services that an
organization offers
Ordering / Purchasing Allow the placement of request for a product
Invoice / Requisition
Tracking and Approval
Support the identification of where a shipment or delivery is
within the business cycle
Storefront / Shopping Cart Support the online equivalent of the supermarket cart, where
orders and merchandise are placed
Warehouse management Provide for the storage and movement of materials within a
warehouse, including these processes: material receipt, order
picking, packaging, labeling and shipping
Returns Management Collect, analyze and resolve product returns or service
cancellations
Logistics and Transportation Provide for efficient freight and traffic management
5.4 Digital Asset Services Domain
The Digital Asset Services Domain defines the set of capabilities to support the generation,
management, and distribution of intellectual capital and electronic media across the business
and extended enterprise.
Figure 19: Digital Asset Services Domain
Digital Asset
Services
(731) Content
Management
558: Content Authoring
559: Content Review and
560: Tagging and Aggregation
561: Content Publishing and
562: Syndication
(732) Document
Management
(733) Knowledge
Management
571: Information Retrieval
572: Information Mapping /
573: Information Sharing
574: Categorization
575: Knowledge Engineering
576: Knowledge Capture
577: Knowledge Distribution
Delivery
Management
(734) Records
Management
579: Record Linking / Association
580: Document Classification
581: Document Retirement
578: Smart Documents
Approval
563: Document Imaging
564: Document Referencing
565: Document Revisions
566: Library / Storage
567: Document Review and
568: Document Conversion
569: Indexing
570: Classification
and OCR
Approval
582: Digital Rights Management
Taxonomy
and Delivery
Digital Asset
Services
(731) Content
Management
558: Content Authoring
559: Content Review and
560: Tagging and Aggregation
561: Content Publishing and
562: Syndication
(732) Document
Management
(733) Knowledge
Management
571: Information Retrieval
572: Information Mapping /
573: Information Sharing
574: Categorization
575: Knowledge Engineering
576: Knowledge Capture
577: Knowledge Distribution
Delivery
Management
(734) Records
Management
579: Record Linking / Association
580: Document Classification
581: Document Retirement
578: Smart Documents
Approval
563: Document Imaging
564: Document Referencing
565: Document Revisions
566: Library / Storage
567: Document Review and
568: Document Conversion
569: Indexing
570: Classification
and OCR
Approval
582: Digital Rights Management
Taxonomy
and Delivery
Content Management
Capabilities within this Service Type manage the storage, maintenance and retrieval of
documents and information of a system or website.
Service Component Defines the set of capabilities to
Content Authoring Allow for the creation of tutorials, CBT courseware, web sites,
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Service Component Defines the set of capabilities to
CD-ROMs and other interactive programs
Content Review and
Approval
Allow for the approval of interactive programs
Tagging and Aggregation Support the identification of specific content within a larger set
of content for collection and summarization
Content Publishing and
Delivery
Allow for the propagation of interactive programs
Syndication Management Control and regulate an organization's brand
Document Management
Capabilities within this Service Type control the capture and maintenance of an organization's
documents and files.
Service Component Defines the set of capabilities to
Document Imaging and
OCR
Support the scanning of documents
Document Referencing Support the redirection to other documents and information for
related content
Document Revisions Support the versioning and editing of content and documents
Library / Storage Support document and data warehousing and archiving
Document Review and
Approval
Support the editing and commendation of documents before
releasing them
Document Conversion Support the changing of files from one type of format to
another
Indexing Support the rapid retrieval of documents through a structured
numbering construct
Classification Support the categorization of documents
Knowledge Management
Capabilities within this Service Type identify, gather and transform documents, reports and
other sources into meaningful information.
Service Component Defines the set of capabilities to
Information Retrieval Allow access to data and information for use by an
organization and its stakeholders
Information Mapping /
Taxonomy
Support the creation and maintenance of relationships
between data entities, naming standards and categorization
Information Sharing Support the use of documents and data in a multi-user
environment for use by an organization and its stakeholders
Categorization Allow classification of data and information into specific layers
or types to support an organization
Knowledge Engineering Support the translation of knowledge from an expert into the
knowledge base of an expert system
Knowledge Capture Facilitate collection of data and information
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Service Component Defines the set of capabilities to
Knowledge Distribution and
Delivery
Support the transfer of knowledge to the end customer.
Smart Documents Support the interaction of information and process (business
logic) rules between users of the document. (i.e. the logic and
use of the document is embedded within the document itself
and is managed within the document parameters)
Records Management
Capabilities within this Service Type store, protect, archive, classify and retire documents and
information.
Service Component Defines the set of capabilities to
Record Linking /
Association
Support the correlation between logical data and information
sets
Document Classification Support the categorization of documents and artifacts, both
electronic and physical
Document Retirement Support the termination or cancellation of documents and
artifacts used by an organization and its stakeholders
Digital Rights Management Support the claim and ownership of intellectual capital and
artifacts belonging to an organization
5.5 Business Analytical Services Domain
The Business Analytical Services Domain defines the set of capabilities supporting the
extraction, aggregation, and presentation of information to facilitate decision analysis and
business evaluation.
Figure 20: Business Analytical Services Domain
Business Analytical
Services
(741) Analysis and
Statistics
583: Mathematical
584: Structural / Thermal
585: Radiological
586: Forensics
(742) Visualization
(744) Business
Intelligence
595: Demand Forecasting /
596: Balanced Scorecard
597: Decision Support and
587: Graphic / Charting
588: Imagery
589: Multimedia
590: Mapping / Geospatial
591: CAD
(743) Knowledge
Discovery
592: Data Mining
593: Modeling
594: Simulation
(745) Reporting
598: Ad hoc
599: Standardized / Canned
600: OLAP
/ Elevation / GPS
Management
Planning
Business Analytical
Services
(741) Analysis and
Statistics
583: Mathematical
584: Structural / Thermal
585: Radiological
586: Forensics
(742) Visualization
(744) Business
Intelligence
595: Demand Forecasting /
596: Balanced Scorecard
597: Decision Support and
587: Graphic / Charting
588: Imagery
589: Multimedia
590: Mapping / Geospatial
591: CAD
(743) Knowledge
Discovery
592: Data Mining
593: Modeling
594: Simulation
(745) Reporting
598: Ad hoc
599: Standardized / Canned
600: OLAP
/ Elevation / GPS
Management
Planning
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Analysis and Statistics
Capabilities within this Service Type examine business issues, problems and their solutions.
Service Component Defines the set of capabilities to
Mathematical Support the formulation and mathematical analysis of
probabilistic models for random phenomena and the
development and investigation of methods and principles for
statistical inference
Structural / Thermal Support the use of data flow and data modeling diagrams for
applying systematic analysis of data
Radiological Support the use of radiation and x-ray technologies for analysis
and scientific examination
Forensics Support the analysis of physical elements using science and
technology for investigative and legal purposes
Visualization
Capabilities within this Service Type convert data into graphical or picture form.
Service Component Defines the set of capabilities to
Graphing / Charting Support the presentation of information in the form of diagrams
or tables
Imagery Support the creation of film or electronic images from pictures
or paper forms
Multimedia Support the representation of information in more than one
form to include text, audio, graphics, animated graphics and
full motion video
Mapping / Geospatial /
Elevation / GPS
Provide for the representation of position information through
the use of attributes such as elevation, latitude, and longitude
coordinates
CAD Support the design of products with computers
Knowledge Discovery
Capabilities within this Service Type facilitate the identification of useful information from data.
Service Component Defines the set of capabilities to
Data Mining Provide for the efficient discovery of non-obvious, valuable
patterns and relationships within a large collection of data
Modeling Develop descriptions to adequately explain relevant data for
the purpose of prediction, pattern detection, exploration or
general organization of data
Simulation Utilize models to mimic real-world processes
Business Intelligence
Capabilities within this Service Type provide information pertaining to the history, current status
or future projections of an organization.
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Service Component Defines the set of capabilities to
Demand Forecasting /
Mgmt
Facilitate the prediction of sufficient production to meet an
organization's sales of a product or service
Balanced Scorecard Support the listing and analyzing of both positive and negative
impacts associated with a decision
Decision Support and
Planning
Support the analysis of information and predict the impact of
decisions before they are made
Reporting
Capabilities within this Service Type organize data into useful information.
Service Component Defines the set of capabilities to
Ad Hoc Support the use of dynamic reports on an as needed basis
Standardized / Canned Support the use of pre-conceived or pre-written reports
OLAP Support the analysis of information that has been summarized
into multidimensional views and hierarchies
5.6 Back Office Services Domain
The Back Office Services Domain defines the set of capabilities supporting the management of
enterprise planning and transactional-based functions.
Figure 21: Back Office Services Domain
Back Office Services
(751) Data Management
601: Data Exchange
602: Data Mart
603: Data Warehouse
604: Meta Data Management
(752) Human Resources
(754) Asset / Materials
Management
634: Asset Transfer, Allocation,
632: Property / Asset Management
633: Asset Cataloging /
(753) Financial
Management
and Maintenance
605: Data Cleansing
606: Extraction and
607: Loading and Archiving
608: Data Recovery
609: Data Classification
610: Recruiting
611: Resume Management
612: Career Development and
613: Time Reporting
614: Awards Management
615: Benefit Management
616: Retirement Management
617: Personnel Administration
618: Education / Training
Transformation
619: Health and Safety
620: Travel Management
Retention
621: Billing and Accounting
622: Credit / Charge
623: Expense Management
624: Payroll
625: Payment / Settlement
626: Debt Collection
627: Revenue Management
628: Internal Controls
629: Auditing
630: Activity-Based Management
631: Currency Translation
636: Computers / Automation
635: Facilities Management
Identification
Management
(755) Development and
Integration
639: Data Integration
637: Legacy Integration
638: Enterprise Application
641: Software Development
640: Instrumentation and Testing
Integration
(756) Human Capital /
Workforce Management
644: Workforce Directory / Locator
642: Resource Planning and
643: Skills Management
646: Contingent Workforce
645: Team / Org. Management
Allocation
647: Workforce Acquisition /
Management
Optimization
Back Office Services
(751) Data Management
601: Data Exchange
602: Data Mart
603: Data Warehouse
604: Meta Data Management
(752) Human Resources
(754) Asset / Materials
Management
634: Asset Transfer, Allocation,
632: Property / Asset Management
633: Asset Cataloging /
(753) Financial
Management
and Maintenance
605: Data Cleansing
606: Extraction and
607: Loading and Archiving
608: Data Recovery
609: Data Classification
610: Recruiting
611: Resume Management
612: Career Development and
613: Time Reporting
614: Awards Management
615: Benefit Management
616: Retirement Management
617: Personnel Administration
618: Education / Training
Transformation
619: Health and Safety
620: Travel Management
Retention
621: Billing and Accounting
622: Credit / Charge
623: Expense Management
624: Payroll
625: Payment / Settlement
626: Debt Collection
627: Revenue Management
628: Internal Controls
629: Auditing
630: Activity-Based Management
631: Currency Translation
636: Computers / Automation
635: Facilities Management
Identification
Management
(755) Development and
Integration
639: Data Integration
637: Legacy Integration
638: Enterprise Application
641: Software Development
640: Instrumentation and Testing
Integration
(756) Human Capital /
Workforce Management
644: Workforce Directory / Locator
642: Resource Planning and
643: Skills Management
646: Contingent Workforce
645: Team / Org. Management
Allocation
647: Workforce Acquisition /
Management
Optimization
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Data Management
Capabilities within this Service Type provide for the usage, processing and general
administration of unstructured information.
Service Component Defines the set of capabilities to
Data Exchange Support the interchange of information between multiple
systems or applications; includes verification that transmitted
data was received unaltered
Data Mart Support a subset of a data warehouse for a single department
or function within an organization
Data Warehouse Support the archiving and storage of large volumes of data
Meta Data Management Support the maintenance and administration of data that
describes data
Data Cleansing Support the removal of incorrect or unnecessary characters
and data from a data source
Extraction and
Transformation
Support the manipulation and change of data
Loading and Archiving Support the population of a data source with external data
Data Recovery Support the restoration and stabilization of data sets to a
consistent, desired state
Data Classification Allow the classification of data
Human Resources
Capabilities within this Service Type provide for the recruitment and management of personnel.
Service Component Defines the set of capabilities to
Recruiting Support the identification and hiring of employees for an
organization
Resume Management Support the maintenance and administration of one's
professional or work experience and qualifications
Career Development and
Retention
Support the monitoring of performance as well as the
professional growth, advancement, and retention of an
organization's employees
Time Reporting Support the submission, approval and adjustment of an
employee's hours
Awards Management Support the recognition of achievement among employees of
an organization
Benefit Management Support the enrollment and participation in an organization's
compensation and benefits programs
Retirement Management Support the payment of benefits to retirees
Personnel Administration Support the matching between an organization’s employees
and potential opportunities as well as the modification, addition
and general upkeep of an organization’s employee-specific
information
Education / Training Support the active building of employee competencies, to
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Service Component Defines the set of capabilities to
include the range of training from professional development to
general awareness training
Health and Safety Support the security and physical well-being of an
organization's employees
Travel Management Support the transit and mobility of an organization's employees
for business purposes
Financial Management
Capabilities within this Service Type provide the accounting practices and procedures to allow
for the handling of revenues, funding and expenditures.
Service Component Defines the set of capabilities to
Billing and Accounting Support the charging, collection and reporting of an
organization's accounts
Credit / Charge Support the use of credit cards or electronic funds transfers for
payment and collection of products or services
Expense Management Support the management and reimbursement of costs paid by
employees or an organization
Payroll Involve the administration and determination of employees
compensation
Payment / Settlement Support the process of accounts payable
Debt Collection Support the process of accounts receivable
Revenue Management Support the allocation and re-investment of earned net credit
or capital within an organization
Internal Controls Support the methods and procedures used by the organization
to safeguard its assets, produce accurate accounting data and
reports, contribute to efficient operations, and encourage staff
to adhere to management policies and mission requirements
Auditing Support the examination and verification of records for
accuracy
Activity-Based Management Support a defined, specific set of finance-related tasks for a
given objective
Currency Translation Support the calculations and difference between multiple
mediums of exchange
Assets / Materials Management
Capabilities within this Service Type support the acquisition, oversight and tracking of an
organization's assets.
Service Component Defines the set of capabilities to
Property / Asset
Management
Support the identification, planning and allocation of an
organization's physical capital and resources
Asset Cataloging /
Identification
Support the listing and specification of available assets
Asset Transfer, Allocation, Support the movement, assignment, and replacement of
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Service Component Defines the set of capabilities to
and Maintenance assets
Facilities Management Support the construction, management and maintenance of
facilities for an organization
Computers / Automation
Management
Support the identification, upgrade, allocation and replacement
of physical devices, including servers and desktops, used to
facilitate production and process-driven activities
Development and Integration
Capabilities within this Service Type provide communication between hardware/software
applications and the activities associated with deployment of software applications.
Service Component Defines the set of capabilities to
Legacy Integration Support the communication between newer generation
hardware/software applications and the previous, major
generation of hardware/software applications
Enterprise Application
Integration
Support the redesigning of disparate information systems into
one system that uses a common set of data structures and
rules
Data Integration Support the organization of data from separate data sources
into a single source using middleware or application integration
as well as the modification of system data models to capture
new information within a single system
Instrumentation and Testing Support the validation of application or system capabilities and
requirements
Software Development Support the creation of both graphical and process application
or system software
Human Capital / Workforce Management
Capabilities within this Service Type provide for the planning and supervision of an
organization’s personnel.
Service Component Defines the set of capabilities to
Resource Planning and
Allocation
Support the determination of strategic direction, the
identification and establishment of programs and processes,
and the allocation of resources (capital and labor) among those
programs and processes
Skills Management Support the proficiency of employees in the delivery of an
organization's products or services
Workforce Directory /
Locator
Support the listing of employees and their whereabouts
Team / Org Management Support the hierarchy structure and identification of employees
within the various sub-groups of an organization
Contingent Workforce
Management
Support the continuity of operations for an organization's
business through the identification of alternative organization
personnel
Workforce Acquisition / Support the hiring and re-structuring of employees and their
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Service Component Defines the set of capabilities to
Optimization roles within an organization
5.7 Support Services Domain
The Support Services Domain defines the set of cross-functional capabilities able to be
leveraged independent of Service Domain objective and/or mission.
Figure 22: Support Services Domain
Support Services
(762) Collaboration
(766) Forms Management
681: Forms Creation
682: Forms Modification
(763) Search
659: Email
660: Threaded Discussions
661: Document Library
662: Shared Calendaring
663: Task Management
664: Query
665: Precision / Recall Ranking
666: Classification
667: Pattern Matching
(765) Systems
Management
678: System Resource
676: License Management
677: Remote Systems Control
Monitoring
680: Issue Tracking
679: Software Distribution
(761) Security
Management
648: Identification and
649: Access Control
650: Cryptography
651: Digital Signature
652: Intrusion Prevention
653: Intrusion Detection
654: Incident Response
655: Audit Trail and Capture
656: Certification and
657: FISMA Management
658: Virus Protection
Authentication
Management
Analysis
Accreditation
and Reporting
(764) Communication
668: Real Time / Chat
669: Instant Messaging
670: Audio Conferencing
671: Video Conferencing
672: Event / News
673: Community
674: Computer / Telephony
675: Voice Communications
Integration
Management
Management
Support Services
(762) Collaboration
(766) Forms Management
681: Forms Creation
682: Forms Modification
(763) Search
659: Email
660: Threaded Discussions
661: Document Library
662: Shared Calendaring
663: Task Management
664: Query
665: Precision / Recall Ranking
666: Classification
667: Pattern Matching
(765) Systems
Management
678: System Resource
676: License Management
677: Remote Systems Control
Monitoring
680: Issue Tracking
679: Software Distribution
(761) Security
Management
648: Identification and
649: Access Control
650: Cryptography
651: Digital Signature
652: Intrusion Prevention
653: Intrusion Detection
654: Incident Response
655: Audit Trail and Capture
656: Certification and
657: FISMA Management
658: Virus Protection
Authentication
Management
Analysis
Accreditation
and Reporting
(764) Communication
668: Real Time / Chat
669: Instant Messaging
670: Audio Conferencing
671: Video Conferencing
672: Event / News
673: Community
674: Computer / Telephony
675: Voice Communications
Integration
Management
Management
Security Management
Capabilities within this Service Type protect an organization's information and information
systems.
Service Component Defines the set of capabilities to
Identification and
Authentication
Support obtaining information about those parties attempting to
log on to a system or application for security purposes and the
validation of those users
Access Control Support the management of permissions for logging onto a
computer, application, service, or network; includes user
management and role/privilege management
Cryptography Support the use and management of ciphers, including
encryption and decryption processes, to ensure confidentiality
and integrity of data
Digital Signature Use and management of electronic signatures to support
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Service Component Defines the set of capabilities to
Management authentication and data integrity; includes public key
infrastructure (PKI)
Intrusion Prevention Perform penetration testing and other measures to prevent
unauthorized access to a government information system
Intrusion Detection Support the detection of unauthorized access to a government
information system
Incident Response Provide active response and remediation to a security incident
that has allowed unauthorized access to a government
information system
Audit Trail Capture and
Analysis
Support the identification and monitoring of activities within an
application, system, or network
Certification and
Accreditation
Support the certification and accreditation (C&A) of federal
information systems, as described in NIST SP800-37.
FISMA Management and
Reporting
Support management and reporting of compliance with the
Federal Information Security Management Act of 2002
Virus Protection Provide anti-virus service to prevent, detect, and remediate
infection of government computing assets
Collaboration
Capabilities within this Service Type allow for the concurrent, simultaneous communication and
sharing of content, schedules, messages and ideas within an organization.
Service Component Defines the set of capabilities to
Email Support the transmission of memos and messages over a
network
Threaded Discussions Support the running log of remarks and opinions about a given
topic or subject
Document Library Support the grouping and archiving of files and records on a
server
Shared Calendaring Allow an entire team as well as individuals to view, add and
modify each other’s schedules, meetings and activities
Task Management Support a specific undertaking or function assigned to an
employee
Search
Capabilities within this Service Type provide for the probing and lookup of specific data from a
data source.
Service Component Defines the set of capabilities to
Query Support retrieval of records that satisfy specific query selection
criteria
Precision / Recall Ranking Support selection and retrieval of records ranked to optimize
precision against recall
Classification Support selection and retrieval of records organized by shared
characteristics in content or context
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Service Component Defines the set of capabilities to
Pattern Matching Support retrieval of records generated from a data source by
imputing characteristics based on patterns in the content or
context
Communication
Capabilities within this Service Type transmit data, messages and information in multiple
formats and protocols.
Service Component Defines the set of capabilities to
Real Time / Chat Support the conferencing capability between two or more users
on a local area network or the internet
Instant Messaging Support keyboard conferencing over a Local Area Network or
the internet between two or more people
Audio Conferencing Support audio communications sessions among people who
are geographically dispersed
Video Conferencing Support video communications sessions among people who
are geographically dispersed
Event / News Management Monitor servers, workstations and network devices for routine
and non-routine events
Community Management Support the administration of online groups that share common
interests
Computer / Telephony
Integration
Support the connectivity between server hardware, software
and telecommunications equipment into a single logical system
Voice Communications Provide telephony or other voice communications
Systems Management
Capabilities within this Service Type support the administration and upkeep of an organization’s
technology assets, including the hardware, software, infrastructure, licenses, and components
that comprise those assets.
Service Component Defines the set of capabilities to
License Management Support the purchase, upgrade and tracking of legal usage
contracts for system software and applications
Remote Systems Control Support the monitoring, administration and usage of
applications and enterprise systems from locations outside of
the immediate system environment
System Resource
Monitoring
Support the balance and allocation of memory, usage, disk
space and performance on computers and their applications
Software Distribution Support the propagation, installation and upgrade of written
computer programs, applications and components
Issue Tracking Receive and track user-reported issues and problems in using
IT systems, including help desk calls
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Forms Management
Capabilities within this Service Type support the creation, modification, and usage of physical or
electronic documents used to capture information within the business cycle.
Service Component Defines the set of capabilities to
Forms Creation Support the design and generation of electronic or physical
forms and templates for use within the business cycle by an
organization and its stakeholders
Forms Modification Support the maintenance of electronic or physical forms,
templates and their respective elements and fields
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6 Technical Reference Model
The TRM is a component-driven, technical framework categorizing the standards and
technologies to support and enable the delivery of Service Components and capabilities. It also
unifies existing agency TRMs and E-Gov guidance by providing a foundation to advance the
reuse and standardization of technology and Service Components from a government-wide
perspective.
Aligning agency capital investments to the TRM leverages a common, standardized vocabulary,
allowing interagency discovery, collaboration, and interoperability. Agencies and the federal
government will benefit from economies of scale by identifying and reusing the best solutions
and technologies to support their business functions, mission, and target architecture.
Organized in a hierarchy, the TRM categorizes the standards and technologies that collectively
support the secure delivery, exchange, and construction of business and application Service
Components that may be used and leveraged in a component-based or service-oriented
architecture (CBA or SOA, used synonymously from here forward). The TRM consists of:
• Service Areas represent a technical tier supporting the secure construction, exchange,
and delivery of Service Components. Each Service Area aggregates the standards and
technologies into lower-level functional areas. Each Service Area consists of multiple
Service Categories and Service Standards. This hierarchy provides the framework to
group standards and technologies that directly support the Service Area.
• Service Categories classify lower levels of technologies and standards with respect to
the business or technology function they serve. In turn, each Service Category is
comprised of one or more Service Standards.
• Service Standards define the standards and technologies that support a Service
Category. To support agency mapping into the TRM, many of the Service Standards
provide illustrative specifications or technologies as examples.
Figure 23 provides a high-level depiction of the TRM.
Figure 23: TRM Overview
Service Access and Delivery
Access Channels Delivery Channels Service Requirements Service Transport
Web Browser Internet Legislative / Compliance Supporting Network Services
Wireless / PDA Intranet Authentication / Single Sign-on Service Transport
Collaboration / Communications Extranet Hosting
Other Electronic Channels Peer to Peer (P2P)
Virtual Private Network (VPN)
Service Platform and Infrastructure
Support Platforms Delivery Servers Hardware / Infrastructure
Wireless / Mobile Web Servers Servers / Computers
Platform Independent Media Servers Embedded Technology Devices
Platform Dependent Application Servers Peripherals
Software Engineering
Portal Servers Wide Area Network (WAN)
Integrated Dev.Environment
Database / Storage
Local Area Network (LAN)
Software Configuration Mgmt Database Network Devices / Standards
Test Management Storage Video Conferencing
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Modeling
Component Framework
Security Presentation / Interface Business Logic Data Management
Certificates / Digital Signature Static Display Platform Independent Database Connectivity
Supporting Security Services Dynamic Server-Side Display Platform Dependent Reporting and Analysis
Content Rendering
Data Interchange
Wireless / Mobile / Voice Data Exchange
Service Interface and Integration
Integration Interoperability Interface
Middleware Data Format / Classification Service Discovery
Enterprise Application Integration Data Types / Validation Service Description / Interface
Data Transformation
6.1 Service Access and Delivery Service Area
The Service Access and Delivery Service Area, illustrated in Figure 24, defines the collection of
Access and Delivery Channels used to leverage the Service Component, and the legislative
requirements governing its use and interaction.
Figure 24: Service Access and Delivery Service Area
Service Access
and Delivery
Access Channels
850: Web Browser
851: Wireless / PDA
852: Collaboration /
Delivery Channels
854: Internet
856: Extranet
857: Peer to Peer (P2P)
858: Virtual Private
Hardware /
Infrastructure
862: Supporting Network
863: Service Transport
Service Requirements
859: Legislative /
861: Hosting
Network (VPN)
Services
Communications
853: Other Electronic
Channels
855: Intranet
Compliance
860: Authentication /
Single Sign-on
Service Access
and Delivery
Access Channels
850: Web Browser
851: Wireless / PDA
852: Collaboration /
Delivery Channels
854: Internet
856: Extranet
857: Peer to Peer (P2P)
858: Virtual Private
Hardware /
Infrastructure
862: Supporting Network
863: Service Transport
Service Requirements
859: Legislative /
861: Hosting
Network (VPN)
Services
Communications
853: Other Electronic
Channels
855: Intranet
Compliance
860: Authentication /
Single Sign-on
The Service Access and Delivery Service Categories and Standards are defined below:
Access Channels
Access Channels define the interface between an application and its users, whether it is a
browser, personal digital assistant or other medium.
Web Browser – Defines the program serving as the front end to the World Wide Web on the
Internet. In order to view a site, you type its address (URL) into the browser's location field.
Examples of Web Browsers include:
• Internet Explorer – Microsoft Internet Explorer (MSIE) is the most widely used World
Wide Web browser.
• Netscape Communicator – Netscape is the second most widely used World Wide Web
browser.
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Wireless / PDA – Defines the technologies transmitting via the airwaves. Personal Digital
Assistant (PDA) is a handheld computer serving as an organizer for personal information. It
generally includes, at a minimum, a name and address database, to-do list and note taker.
Examples of Wireless / PDA technology include:
• Palm Operating System – Palm is the leading Personal Digital Assistant (PDA). Version
5 of Palm OS provides multitasking and other capabilities that will provide an improved
platform for E-Gov solutions.
• Blackberry – The leading email-enabled wireless device with wide use in several
agencies.
• Pocket PC Phone Edition – Microsoft’s environment for Internet-capable cellular
phones.
• Pocket PC 2000 – Microsoft’s environment for PDA level devices.
• Symbian Epoc – A leading environment for web capable cellular phones.
Collaboration / Communications – Defines the forms of electronic exchange of messages,
documents, or other information. Electronic communication provides efficiency through
expedited time of delivery.
Examples of Collaboration / Communications include:
• Electronic Mail (Email) – Email (Electronic mail) is the exchange of computer generated
and stored messages by telecommunication. An email can be created manually via
messaging applications or dynamically/programmatically such as automated response
systems.
• Facsimile (Fax) – A fax is the digitized image of text and/or pictures, represented as a
series of dots (bit map). Faxes are sent and received through telecommunication
channels such as telephone or Internet.
• Kiosk – A kiosk is a small physical structure (often including a computer and a display
screen) that displays information for people walking by. Kiosks are common in public
buildings. Kiosks are also used at trade shows and professional conferences.
Other Electronic Channels – Defines the other various mediums of information exchange and
interface between a user and an application.
Examples of Other Electronic Channels include:
• System to System – System to System involves at least two computers that exchange
data or interact with each other independent of human intervention or participation.
• Web Service – Web services (sometimes called application services) are services
(usually including some combination of programming and data, but possibly including
human resources as well) that are made available from a business's web server for web
users or other web-connected programs.
• Uniform Resource Locator (URL) – URL is the global address of documents and other
resources on the World Wide Web. The first part of the address indicates what protocol to
use (i.e. “http://”), and the second part specifies the IP address or the domain name
where the resource is located (i.e. “www.firstgov.gov”).
Delivery Channels
Delivery Channels define the level of access to applications and systems based upon the type
of network used to deliver them.
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Internet – The Internet is a worldwide system of computer networks for users at any one
computer, if they have permission, to get information from any other computer.
Intranet – An Intranet is a private network contained within an enterprise. It may consist of
many interlinked local area networks and is used to share company information and resources
among employees.
Extranet – An Extranet is a private network using the Internet protocol and the public
telecommunication system to securely share part of a business's information or operations with
suppliers, vendors, partners, customers, or other businesses. An extranet can be viewed as part
of a company's intranet extended to users outside the company.
Peer to Peer (P2P) – Peer to Peer is a class of applications operating outside the DNS system,
having significant or total autonomy from central servers, and taking advantage of resources
available on the Internet.
Virtual Private Network (VPN) – A private data network making use of the public
telecommunication infrastructure, maintaining privacy through the use of a tunneling protocol
and security procedures.
Service Requirements
Service Requirements define the necessary aspects of an application, system or service to
include legislative, performance, and hosting.
Legislative / Compliance – Defines the prerequisites an application, system or service must
have mandated by congress or governing bodies.
Examples of Legislative / Compliance technology include:
• Section 508 – Section 508 requires that federal agencies' electronic and information
technology is accessible to people with disabilities, including employees and members of
the public.
• Web Content Accessibility – Refers to hardware and software that helps people who
are physically or visually impaired.
• Security – Policy and procedures that protect data against unauthorized access, use,
disclosure, disruption, modification or destruction.
• Privacy: Platform for Privacy Preferences (P3P) – A specification allowing users' web
browsers to automatically understand web sites' privacy practices. Privacy policies will be
embedded in the code of a web site. Browsers will read the policy, and then,
automatically provide certain information to specific sites based on the preferences set by
the users. For instance, if the site is an e-commerce site, the browser will automatically
provide shipping info. If the site is requesting demographic info, then the browser will
know to provide it anonymously. The P3P specification was developed by the W3C P3P
Syntax, Harmonization, and Protocol Working Groups, including W3C Member
organizations and experts in the field of web privacy. P3P is based on W3C specifications
that have already been established, including HTTP, XML and Resource Description
Framework (RDF). Privacy is policy that deals with the degree to which an individual can
determine which personal information is to be shared with whom and for what purpose.
• Privacy: Liberty Alliance – The Liberty Alliance Project is an alliance formed to deliver
and support a federated network identity solution for the Internet that enables single sign-
on for consumers as well as business users in an open, federated way. A federated
network identity model will enable every business or user to manage their own data, and
ensure that the use of critical personal information is managed and distributed by the
appropriate parties, rather than a central authority. Privacy is policy that deals with the
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degree to which an individual can determine which personal information is to be shared
with whom and for what purpose.
Authentication / Single Sign-on – Refers a method providing users with the ability to login one
time, getting authenticated access to all their applications and resources.
Hosting – Refers to the service provider who manages and provides availability to a web site or
application, often bound to a Service Level Agreement (SLA). The Hosting entity generally
maintains a server farm with network support, power backup, fault tolerance, load balancing,
and storage backup.
Examples of Hosting technology include:
• Internal (within agency) – The hosting of a web site or application within an agency.
The agency is responsible for the maintenance, support and availability of the web site or
application.
• External (ISP/ASP/FirstGov) – The outsourcing of a web site or application with a
managed service provider. An Internet Service Provider (ISP) provides
telecommunications circuits, server collocation, and web site and application hosting. An
Application Service Provider (ASP) offers software-based services for high end business
applications and specific needs applications such as payroll, sales force automation, and
human resources. FirstGov is the official managed service provider for the federal
government.
Service Transport
Service Transport defines the end to end management of the communications session to
include the access and delivery protocols.
Supporting Network Services – These consist of the protocols defining the format and
structure of data and information either accessed from a directory or exchanged through
communications.
Examples of Support Network Services technology include:
• Internet Message Access Protocol / Post Office Protocol (IMAP / POP3) – IMAP
allows a client to access and manipulate electronic mail messages on a server. IMAP
permits manipulation of remote message folders, called "mailboxes", in a way that is
functionally equivalent to local mailboxes. IMAP also provides the capability for an offline
client to resynchronize with the server. POP3 is the most commonly used protocol for
retrieving email from a mail host.
• Multipurpose Internet Mail Extensions (MIME) – MIME extends the format of Internet
mail to allow non-U.S. American Standard Code for Information Interchange (ASCII)
textual messages, non textual messages, multipart message bodies, and non USASCII
information in message headers. MIME support allows compliant email clients and
servers to accurately communicate embedded information to internal and external users.
• Simple Mail Transfer Protocol (SMTP) – SMTP facilitates transfer of electronic mail
messages. It specifies how two systems are to interact, and the messages format used to
control the transfer of electronic mail.
• Extended Simple Mail Transfer Protocol (ESMTP) – ESMTP allows new service
extensions to SMTP to be defined and registered with Internet Assigned Numbers
Authority (IANA).
• T.120 – T.120, an International Telecommunications Union (ITU) standard, contains a
series of communication and application protocols and services that provide support for
real-time, multipoint data communications. These multipoint facilities are important
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building blocks for collaborative applications, including desktop data conferencing, and
multi-user applications.
• H.323 – H.323, an International Telecommunications Union (ITU) standard, addresses
Video (Audiovisual) communication on Local Area Networks, including Corporate
Intranets and packet switched networks generally.
• Simple Network Management Protocol (SNMP) – SNMP eliminates several of the
security vulnerabilities in earlier version.
• Lightweight Directory Access Protocol (LDAP) – LDAP is a subset of X.500 designed
to run directly over the TCP/IP stack. LDAP is, like X.500, both an information model and
a protocol for querying and manipulating it. LDAPv3 is an update developed in the IETF
(Internet Engineering Task Force), which address the limitations found during deployment
of the previous version of LDAP.
• Directory Services (X.500) – This is a network service that discovers and identifies
resources on a network and makes them accessible to users and applications. The
resources include users, email addresses, computers, mapped drives, shared folders,
and peripherals such as printers and PDA docking stations. Users and computers access
these resources without the needing to know how or where the resources are connected.
• Dynamic Host Configuration Protocol (DHCP) – A protocol for assigning dynamic IP
addresses to devices on a network. A device can receive a different IP address for every
connection. Dynamic addressing provides reduced network administration over deploying
and connecting user and peripheral devices.
• Domain Name System (DNS) – A protocol used for translating domain names (i.e.
www.feapmo.gov) to their respective IP addresses. DNS is collectively a network of
devices which store query results. As one DNS server or device cannot provide the
translated IP address, it queries other DNS devices. This process is invisible to the user.
• Border Gateway Protocol (BGP) – Refers to a routing protocol used to exchange
routing information between routers on a network, enabling more efficient routing of data.
BGP is part of RFC 1771.
• X.400 – An ISO and ITU standard for email message addressing and transporting. X.400
supports Ethernet, X.25, TCP/IP and dialup transport methods.
Service Transport – These consist of the protocols defining the format and structure of data
and information either accessed from a directory or exchanged through communications.
Examples of Service Transport technologies include:
• Transport Control Protocol (TCP) – TCP provides transport functions, which ensures
that the total amount of bytes sent is received correctly at the destination.
• Internet Protocol (IP) – This is the protocol of the Internet and has become the global
standard for communications. IP accepts packets from TCP, adds its own header and
delivers a "datagram" to the data link layer protocol. It may also break the packet into
fragments to support the maximum transmission unit (MTU) of the network.
• Hyper Text Transfer Protocol (HTTP) – The communications protocol used to connect
to servers on the World Wide Web. Its primary function is to establish a connection with a
web server and transmit HTML pages to the client browser.
• Hyper Text Transfer Protocol Secure (HTTPS) – The protocol for accessing a secure
web server. Using HTTPS in the URL instead of HTTP directs the message to a secure
port number rather than the default web port number of 80. The session is then managed
by a security protocol.
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• Wireless Application Protocol (WAP) – The Wireless Application Protocol (WAP) is an
open, global specification that empowers users of digital mobile phones, pagers, personal
digital assistants and other wireless devices to securely access and interact with
Internet/intranet/extranet content, applications, and services.
• File Transfer Protocol (FTP) – A protocol used to transfer files over a TCP/IP network
(Internet, UNIX, etc.). For example, after developing the HTML pages for a Web site on a
local machine, they are typically uploaded to the Web server using FTP.
• IP Security (IPSEC) – A set of protocols used to secure IP packet exchange. Tunnel and
Transport are the two (2) modes supported by IPSEC. IPSEC uses certificates and Public
Keys to authenticate and validate the sender and receiver.
6.2 Service Platform and Infrastructure Service Area
The Service Platform and Infrastructure Service Area, illustrated in Figure 25, define the
collection of platforms, hardware and infrastructure standards enabling Component Based
Architectures and Service Component reuse.
Figure 25: Service Platform and Infrastructure Service Area
Service Platform and
Infrastructure
Support Platforms
864: Wireless / Mobile
865: Independent Platform
866: Dependent Platform
Software Engineering
Delivery Servers
871: Web Servers
873: Application Servers
874: Portal Servers
867: Integrated Development
868: Software Configuration
869: Test Management
870: Modeling
Hardware / Infrastructure
877: Servers / Computers
878: Embedded Technology
879: Peripherals
Database / Storage
875: Database
876: Storage
Environment (IDE)
872: Media Servers
Management
Devices
880: Wide Area Network (WAN)
882: Network Devices /
881: Local Area Network (LAN)
883: Video Conferencing
Standards
Service Platform and
Infrastructure
Support Platforms
864: Wireless / Mobile
865: Independent Platform
866: Dependent Platform
Software Engineering
Delivery Servers
871: Web Servers
873: Application Servers
874: Portal Servers
867: Integrated Development
868: Software Configuration
869: Test Management
870: Modeling
Hardware / Infrastructure
877: Servers / Computers
878: Embedded Technology
879: Peripherals
Database / Storage
875: Database
876: Storage
Environment (IDE)
872: Media Servers
Management
Devices
880: Wide Area Network (WAN)
882: Network Devices /
881: Local Area Network (LAN)
883: Video Conferencing
Standards
The Service Platform and Infrastructure Service Categories and Standards are defined below:
Support Platforms
Support platforms are hardware or software architectures. The term originally dealt with only
hardware, and it is still used to refer to a CPU model or computer family.
Wireless / Mobile – Radio transmission via the airwaves. Various communications techniques
are used to provide wireless transmission including infrared “line of sight,” cellular, microwave,
satellite, packet radio and spread spectrum.
An example of Wireless / Mobile technology includes:
• Java 2 Platform, Micro Edition (J2ME) – Sun’s Java environment for devices. It
promises a relatively portable environment for those using Java for other tiers of the
architecture.
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Independent Platform – Defines the operating systems and programming languages able to
execute and run on any platform or operating system. A platform is the underlying hardware and
software comprising a system.
Examples of Independent Platform technologies include:
• Java 2 Platform Enterprise Edition (J2EE) – Sun’s J2EE and Microsoft’s .Net are the
two dominant distributed computing architecture frameworks. J2EE provides portability of
a single language (Java) over multiple operating systems and hardware platforms.
• Linux – Linux is an open source operating system running on multiple hardware
platforms. With the ability to run on many platforms, including the PC and Macintosh,
Linux has become an alternative to proprietary systems.
Dependent Platform – Defines the operating systems and programming languages able to
execute and run on a specific platform or operating system. A platform is the underlying
hardware and software comprising a system.
Examples of Dependent Platform technologies include:
• Windows 2000 – Also known as "Win2K" and "W2K," it is a major upgrade to Windows
NT 4. Launched in February 2000, Windows 2000 comes in one client and three server
versions. Windows 2000 looks like Windows 95/98, but adds considerably more features,
dialogs and options.
• Windows.Net – Microsoft’s .Net and Sun’s J2EE are the two dominant distributed
computing architecture frameworks. .Net supports a wide range of languages but is
primarily tied to the Microsoft Windows operating system and Intel hardware.
• Mac OS X – Mac OS X is Apple's UNIX based operating system based on industry
standards. Launched in March 2001, OS X has advanced built-in security functions and
complete interoperability with both Internet standards and Microsoft products.
Delivery Servers
Delivery Servers are front-end platforms providing information to a requesting application. It
includes the hardware, operating system, server software, and networking protocols.
Web Servers – A web server is a computer that provides World Wide Web services on the
Internet. It includes the hardware, operating system, web server software, TCP/IP protocols and
the web site content (web pages). If a web server is used internally and not by the public it may
be known as an "intranet server."
Examples of Web Server technologies include:
• Apache – A widely used public domain, UNIX based web server from the Apache Group
(www.apache.org). It is based on, and is a plug-in replacement for, NCSA's HTTP server
Version 1.3. The name came from a body of existing code and many "patch files."
• Internet Information Server – Web server software from Microsoft that runs under
Windows NT, Windows 2000, and Microsoft.Net. It supports Netscape's SSL security
protocol and turns an NT based PC into a web site. Microsoft's Web browser, Internet
Explorer, is also included.
Media Servers – Provide optimized management of media based files such as audio and video
streams and digital images.
Examples of Media Servers include:
• Real Audio – streaming media server solution designed to supply desktop and mobile
content.
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• Windows Media Services – Part of Windows Server (2000 and .Net) optimized to
deliver streaming media and dynamic digital content over intranet and internet delivery
channels.
Application Servers – In a three tier environment, a separate computer (application server)
performs the business logic, although some part may still be handled by the user's machine.
After the web exploded in the mid 1990s, application servers became web-based.
Portal Servers – Portals represent focus points for interaction, providing integration and single
source corporate information.
Software Engineering
Software engineering covers the technology associated with building software systems as well
as technical solutions supporting management issues, such as testing, modeling and
versioning. The TRM is concerned with component technical architecture, not engineering
processes.
Integrated Development Environment (IDE) – This consists of the hardware, software and
technology facilitating the development of software applications and systems.
Examples of technologies supporting an Integrated Development Environment
include:
• Web Sphere Studio – Integrated Java (J2EE) environment for programmers building
Java, web, and web services applications – and the successor to IBM Visual Age.
• Visual Studio – A complete development system providing the tools for analyzing and
modeling all aspects of an application before a single component is built so that
developers can design efficient architectures and reduce time to market. Developers can
choose the programming language they know best and the language that is best suited to
the solution, including Microsoft Visual Basic, Visual C++, Visual J++, and Visual FoxPro.
Visual Studio is used to build scalable, data driven Web sites and applications.
• Visual Studio.Net – A comprehensive tool set for rapidly building and integrating XML
web services, Microsoft Windows–based applications, and web solutions. This is the
successor to Visual Studio.
Software Configuration Management – Technology applicable to all aspects of software
development from design to delivery specifically focused on the control of all work products and
artifacts generated during the development process. Several technical solutions on the market
provide the integration of the software configuration management functions.
Examples of functions supporting Software Configuration Management for which
technical solutions may be available include:
• Version Management – Refers to tracking and controlling versions of files. Version
Management includes capabilities such as labeling, branching, merging, version content
comparisons, and security and permission management across version controlled
projects.
• Defect Tracking – Refers to the identification, assignment, and management of
discovered defects within an application, product or solution. Defect tracking tools provide
searchable defect data to identify urgent and related defects or bugs. The architecture
should be built to facilitate the pushing of software patches across the enterprise.
• Issue Management – Refers to the management of business, technical, and
infrastructure issues throughout the entire lifecycle of a project.
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• Task Management – Requirements, testing, and issues assignments are transformed
into prioritized tasks. Task Management tools provide automation features for managing,
delivering, assigning, reminding, and collaborating task management and execution.
• Change Management – Refers to the management of application code and content
changes across the software development lifecycles.
• Deployment Management – Refers to the capability of software delivery to remote
networked desktops, servers, and mobile devices across an enterprise. Deployment
automation tools provide centralized and accelerated delivery of applications to users via
push technologies, eliminating the need for manual installation and configuration.
• Requirements Management and Traceability – Consists of information discovery,
capture, storage and dissemination. Requirements management reduces software
development costs and associated risks through documenting, measuring, and analyzing
deviations to project requirements. Traceability refers to tracking requirements artifacts to
their source, and changes in requirements to include the impact analysis of the change.
Requirements traceability is an integral component in quality software implementation
and the management of document succession.
Test Management – Technology supporting the consolidation of all testing activities and
results. Test Management activities include test planning, designing (test cases), execution,
reporting, code coverage, and heuristic and harness development.
Examples of functions supporting Test Management for which technical solutions
may be available include:
• Functional Testing – This type of test focuses on any requirements that can be traced
directly to use cases (or business functions), business rules, and design.
• Business Cycle Testing – Refers to the emulation of activities performed over a period
of time that is relevant to the application under test.
• Usability Testing (508 Testing) – Refers to a test to ensure that the application
navigation, functionality, and GUI allow a user to effectively and efficiently do their work in
a way that they are satisfied with the application.
• Performance Profiling – Refers to a performance test that measures and evaluates
response times and transaction rates.
• Load/Stress/Volume Testing – Refers to tests that measure and evaluate how a system
performs and functions under varying workloads, large amounts of data and/or resource
utilization.
• Security and Access Control Testing – Focuses on the technical, administrative and
physical security controls that have been designed into the system architecture in order
to provide confidentiality, integrity and availability.
• Reliability Testing – Refers to the verification that failover methods are invoked properly
and the system recovers properly.
• Configuration Testing – Refers to a test to ensure that the application or system can
handle all hardware and software variables and requirements that have been defined.
• Installation Testing – Refers to the verification that the software installation process
works properly in different environments and among varying conditions.
Modeling – Technology supporting the process of representing entities, data, business logic,
and capabilities for aiding in software engineering.
Examples of Modeling technology include:
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• Unified Modeling Language (UML) – A general-purpose notational language for
specifying and visualizing complex software, especially large, object-oriented projects.
• Case Management – Computer Aided Software Engineering (CASE) software that
provides a development environment for programming teams. CASE systems offer tools
to automate, manage and simplify the development process.
Database / Storage
Database / Storage refers to a collection of programs enabling storage, modification, and
extraction of information from a database, and various techniques and devices for storing large
amounts of data.
Database – Refers to a collection of information organized in such a way a computer program
can quickly select desired pieces of data. A database management system (DBMS) is a
software application providing management, administration, performance, and analysis tools for
databases.
Examples of Database technologies include:
• Database 2 (DB2) – DB2 is a family of relational database products offered by IBM. DB2
provides an open database environment that runs on a wide variety of computing
platforms.
• Oracle – Relational database product; the first to support the SQL language.
• SQL Server – Data management server product developed by Microsoft.
• Sybase – Data management and synchronization server products developed by Sybase.
Storage – Storage devices are designed to provide shared storage access across a network.
These devices provide extended storage capabilities to the network with reduced costs
compared to traditional file servers.
Examples of Storage technologies include:
• Network Attached Storage (NAS) – A NAS device is a server that is dedicated to
nothing more than file sharing.
• Storage Area Network (SAN) – A SAN is a high-speed sub network of shared storage
devices. A storage device is a machine that contains nothing but a disk or disks for
storing data.
Hardware / Infrastructure
Defines the physical devices, facilities and standards providing the computing and networking
within and between enterprises.
Servers / Computers – This refers to the various types of programmable machines capable of
responding to sets of instructions and executing programs.
Examples of Servers / Computers technologies include:
• Enterprise Server – A computer or device on a network that manages network
resources and shared applications for multiple users.
• Mainframe – A very large computer capable of supporting hundreds, or even thousands,
of users simultaneously. Mainframes support simultaneous programs.
Embedded Technology Devices – This refers to the various devices and parts making up a
Server or Computer as well as devices performing specific functionality outside of a Server or
Computer.
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Examples of Embedded Technology Devices include:
• Random Access Memory (RAM) – A type of computer memory that can be accessed
randomly; that is, any byte of memory can be accessed without touching the preceding
bytes. RAM is the most common type of memory found in computers and other devices,
such as printers.
• Hard Disk Drive – Refers to the area of a computer that where data is stored.
• Microprocessor – A silicon chip that contains a CPU. In the world of personal
computers, the terms microprocessor and CPU are used interchangeably. At the heart of
all personal computers and most workstations sits a microprocessor.
• Redundant Array of Independent Disks (RAID) – An assembly of disk drives that
employ two or more drives in combination for fault tolerance and performance. RAID disk
drives are used frequently on servers but aren't generally necessary for personal
computers. RAID is generally configured as mirrored or striped. Mirrored RAID (Level 1)
provides a failover drive. Striped RAID (Levels 0, 3, and 5) write data across multiple disk
drives so that a single disk failure can be recovered from the data on the remaining
drives. There are three (3) types of RAID systems: failure resistant disk systems (that
protect against data loss due to disk failure), failure tolerant disk systems (that protect
against loss of data access due to failure of any single component), and disaster tolerant
disk systems (that consist of two or more independent zones, either of which provides
access to stored data).
Peripherals – Computer devices not part of the essential computer (i.e. the memory and
microprocessor). Peripheral devices can be external and internal.
Examples of Peripherals include:
• Printer – Devices that print text or illustrations on paper. There are many different types
of printers.
• Scanner – Device that can read text or illustrations printed on paper and translate the
information into a form the computer can use. A scanner works by digitizing an image
dividing it into a grid of boxes and representing each box with either a zero or a one,
depending on whether the box is filled in.
Wide Area Network (WAN) – A data network typically extending a LAN outside a building or
beyond a campus is known as a WAN. This is typically created by using bridges or routers to
connect geographically separated LANs. WANs include commercial or educational dialup
networks such as CompuServe, InterNet and BITNET.
Examples of WAN technologies include:
• Frame Relay – A packet switching protocol for connecting devices on a Wide Area
Network (WAN). Frame Relay networks in the U.S. support data transfer rates at T1
(1.544 Mbps) and T3 (45 Mbps) speeds.
• Asynchronous Transfer Mode (ATM) – A high bandwidth, high speed, controlled delay,
fixed size packet switching and transmission system integrating multiple data types
(voice, video, and data). Uses fixed size packets also known as "cells" (ATM is often
referred to as "cell relay").
Local Area Network (LAN) – A network interconnecting devices over a geographically small
area, typically in one building or a part of a building. The most popular LAN type is Ethernet.
LANs allow the sharing of resources and the exchange of both video and data.
Examples of Local Area Network technologies include:
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• Ethernet – Local Area Network (LAN) architecture that uses a bus or star topology and
supports data transfer rates of 10 Mbps, 100 Mbps (Fast Ethernet) or 1 Gbps (gigabit
Ethernet). The Ethernet specification served as the basis for the IEEE 802.3 standard,
which specifies the physical and lower software layers. Ethernet uses the CSMA/CD
access method to handle simultaneous demands. It is one of the most widely
implemented LAN standards.
• Token Ring – A type of computer network in which all the computers are arranged
(schematically) in a circle. A token, which is a special bit pattern, travels around the
circle. To send a message, a computer catches the token, attaches a message to it, and
then lets it continue to travel around the network.
• Virtual LAN (VLAN) – Short for virtual LAN, a network of computers that behave as if
they are connected to the same wire even though they may actually be physically located
on different segments of a LAN. VLANs are configured through software rather than
hardware, which make them extremely flexible. One of the biggest advantages of VLANs
is that when a computer is physically moved to another location, it can stay on the same
VLAN without any hardware reconfiguration.
Network Devices / Standards – A group of stations (computers, telephones, or other devices)
connected by communications facilities for exchanging information. Connection can be
permanent, via cable, or temporary, through telephone or other communications links. The
transmission medium can be physical (i.e. fiber optic cable) or wireless (i.e. satellite).
Examples of Network Devices / Standards include:
• Hub – A common connection point for devices in a network. Hubs are commonly used to
connect segments of a LAN. A hub contains multiple ports. When a packet arrives at one
port, it is copied to the other ports so that all segments of the LAN can see all packets.
• Switch – In networks, a device that filters and forwards packets between LAN segments.
Switches operate at the data link layer (layer 2) and sometimes the network layer (layer
3) of the OSI Reference Model and therefore support any packet protocol. LANs that use
switches to join segments are called switched LANs or, in the case of Ethernet networks,
switched Ethernet LANs.
• Router – A device or setup that finds the best route between any two networks, even if
there are several networks to traverse. Like bridges, remote sites can be connected using
routers over dedicated or switched lines to create WANs.
• Network Interface Card (NIC) – Often abbreviated as NIC, an expansion board you
insert into a computer so the computer can be connected to a network. Most NICs are
designed for a particular type of network, protocol, and media, although some can serve
multiple networks.
• Transceivers – Short for transmitter receiver, a device that both transmits and receives
analog or digital signals. The term is used most frequently to describe the Component in
local area networks (LANs) that actually applies signals onto the network wire and
detects signals passing through the wire. For many LANs, the transceiver is built into the
network interface card (NIC). Some types of networks, however, require an external
transceiver.
• Gateway – Gateways are points of entrance to and exit from a communications network.
Viewed as a physical entity, a gateway is that node that translates between two otherwise
incompatible networks or network segments.
• Integrated Services Digital Network (ISDN) – ISDN is a system of digital phone
connections which has been available for over a decade. This system allows data to be
transmitted simultaneously across the world using end to end digital connectivity.
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• T1/T3 – T1 service delivers 1.544 Mbps. Typically channel into 24 DS0s, each capable of
carrying a single voice conversation or data stream. The European T1 or E1 transmission
rate is 2.048 Mbps. A T3 circuit communicates at 45 Mbps, or 28 T1 lines.
• Digital Subscriber Line (DSL) – Refers collectively to all types of digital subscriber lines,
the two main categories being ADSL and SDSL. Two other types of DSL technologies
are High data rate DSL (HDSL) and Very high DSL (VDSL).
• Firewall – This refers to the network device that is designed to prevent unauthorized
access to or from a private network. Firewalls can be implemented in both hardware and
software, or a combination of both. Firewalls are frequently used to prevent unauthorized
Internet users from accessing private networks connected to the Internet, especially
intranets. There are several types of firewall techniques and firewalls may implement one
or more simultaneously. Packet filtering inspects inbound and outbound packets,
validating against defined business rules. Application gateways apply security rules
against applications. Circuit level gateways apply security rules against physical
connection attempts to and from the network. Proxy servers mask the internal requestor
by inspecting and augmenting the packet header. Four common architectures of firewalls
include the packet filtering router, the screened host firewall system, the dual homed host
firewall, and the screened subnet firewall (with a DMZ), which is one of the most secure
implementations.
Video Conferencing – Communication across long distances with video and audio contact that
may also include graphics and data exchange. Digital video transmission systems typically
consist of camera, codec (coder decoder), network access equipment, network, and audio
system.
Examples of Video Conferencing technologies include:
• Bridge – a bridge connects three or more conference sites so that they can
simultaneously pass data, voice, or video. Video conferencing bridges are often called
MCUs (multipoint conferencing units).
• CODEC – a video codec converts analog video signals from a video camera to digital
signals for transmission over digital circuits, and then converts the digital signals back to
analog signals for display.
• Receiver – An electronic device which enables a particular videoconference signal to be
separated from all others being received by an earth station, and converts the signal
format into a format for video, voice or data.
6.3 Component Framework Service Area
The Component Framework Service Area, illustrated in Figure 26, defines the underlying
foundation and technical elements by which Service Components are built, integrated and
deployed across Component-Based and Distributed Architectures. The Component Framework
consists of the design of application or system software that incorporates interfaces for
interacting with other programs and for future flexibility and expandability. This includes, but is
not limited to, modules designed to interoperate with each other at runtime. Components can be
large or small, written by different programmers using different development environments and
may be platform independent. Components can be executed on standalone machines, a LAN,
Intranet or the Internet.
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Figure 26: Component Framework Service Area
Component
Framework
Security
884: Certificates / Digital
885: Supporting Security
Business Logic
User Presentation /
Interface
886: Static Display
888: Content Rendering
889: Wireless / Mobile / Voice
890: Platform Independent
891: Platform Dependent
Data Management
893: Database Connectivity
894: Reporting and Analysis
Data Interchange
892: Data Exchange
887: Dynamic Server-Side
Signatures
Services
Display
Technologies
Technologies
Component
Framework
Security
884: Certificates / Digital
885: Supporting Security
Business Logic
User Presentation /
Interface
886: Static Display
888: Content Rendering
889: Wireless / Mobile / Voice
890: Platform Independent
891: Platform Dependent
Data Management
893: Database Connectivity
894: Reporting and Analysis
Data Interchange
892: Data Exchange
887: Dynamic Server-Side
Signatures
Services
Display
Technologies
Technologies
The Component Framework Service Categories and Standards are defined below:
Security
Security defines the methods of protecting information and information systems from
unauthorized access, use, disclosure, disruption, modification, or destruction in order to provide
integrity, confidentiality and availability. Biometrics, two factor identification, encryption, and
technologies based on the NIST FIPS140 standards are evolving areas of focus. See:
http://csrc.nist.gov/cryptval/
Certificates / Digital Signature – Software used by a certification authority (CA) to issue digital
certificates and secure access to information. The evolution of Public Key Infrastructure (PKI) is
based on the verification and authentication of the parties involved in information exchange.
Examples of Certificates / Digital Signature technologies include:
• Digital Certificate Authentication – Authentication implementation for controlling
access to network and internet resources through managing user identification. An
electronic document, digital certificate, is issued and used to prove identity and public key
ownership over the network or internet.
• FIPS 186 – The Digital Signature Standard (DSS) specifies a digital signature algorithm
(DSA) appropriate for applications requiring a digital, rather than written, signature. The
DSA authenticates the integrity of the signed data and the identity of the signatory. The
DSA may also be used to prove that data was actually signed by the generator of the
signature. Additional references: Draft ANSI X9.30199x Part 1 and ISO/IEC
JTC1/SC27/WG2, Project 1.27.08 Digital Signature with Appendix.
• Secure Sockets Layer (SSL) – An open, nonproprietary protocol for securing data
communications across computer networks. SSL is sandwiched between the application
protocol (such as HTTP, Telnet, FTP, and NNTP) and the connection protocol (such as
TCP/IP, UDP). SSL provides server authentication, message integrity, data encryption,
and optional client authentication for TCP/IP connections.
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Supporting Security Services – These consist of the different protocols and components to be
used in addition to certificates and digital signatures.
Examples of Supporting Security Services technologies include:
• Secure Multipurpose Internet Mail Extensions (S/MIME) – Provides a consistent way
to send and receive secure MIME data. Based on the Internet MIME standard, S/MIME
provides cryptographic security services for electronic messaging applications:
authentication, message integrity and non repudiation of origin (using digital signatures)
and data confidentiality (using encryption). S/MIME is not restricted to mail; it can be
used with any transport mechanism that transports MIME data, such as HTTP.
• Transport Layer Security (TLS) – Standard for the next generation SSL. TLS provides
communications privacy over the Internet. The protocol allows client/server applications
to communicate in a way that is designed to prevent eavesdropping, tampering, or
message forgery.
• Web Services Security (WS Security) – Describes enhancements to SOAP messaging
to provide message integrity, message confidentiality, and single message
authentication. These mechanisms can be used to accommodate a wide variety of
security models and encryption technologies including X.509, Kerberos, and SAML.
• Security Assertion Markup Language (SAML) – An XML-based framework for
exchanging security information expressed in the form of assertions about subjects,
where a subject is an entity (either human or computer) that has an identity in some
security domain. SAML is expected to play a key role in the federal-wide E-Authentication
initiative, and is supported by both the Liberty Alliance and WS Security.
• Simple Key Management Protocol (SKIP) – A protocol developed by Sun
Microsystems to handle key management across IP networks and VPNs.
(http://www.networksorcery.com/enp/rfc/rfc2356.txt) Secure Shell (SSH) – A strong
method of performing client authentication. Because it supports authentication,
compression, confidentiality and integrity, SSH is used frequently on the Internet. SSH
has two important Components, RSA certificate exchange for authentication and Triple
DES for session encryption.
User Presentation / Interface
This defines the connection between the user and the software, consisting of the presentation
that is physically represented on the screen.
Static Display – This consists of the software protocols used to create a predefined,
unchanging graphical interface between the user and the software.
An example of Static Display technology includes:
• Hyper Text Markup Language (HTML) – The language used to create web documents
and a subset of Standard Generalized Markup Language (SGML)
• Portable Document Framework (PDF/A, /X) – An open standard file format for
representing two dimensional documents in a device independent and resolution
independent format.
Dynamic / Server Side Display – This consists of the software used to create graphical user
interfaces with the ability to change while the program is running.
Examples of Dynamic / Server Side Display technologies include:
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• Java Server Pages (JSP) – JSP is part of Sun’s J2EE architecture and provide template
capabilities for presenting dynamically generated web content. JSPs are text files written
in a combination of standard HTML tags, JSP tags, and Java code.
• Active Server Pages (ASP) – A web server technology from Microsoft that allows for the
creation of dynamic, interactive sessions with the user.
• Active Server Pages .Net (ASP.Net) – ASP.NET is a set of technologies in the Microsoft
.NET Framework for building web applications and XML web services. ASP.NET pages
execute on the server and generate markup such as HTML, WML or XML that is sent to a
desktop or mobile browser.
Content Rendering – This defines the software and protocols used for transforming data for
presentation in a graphical user interface.
Examples of Content Rendering technologies include:
• Dynamic HTML (DHTML) – A collective term for a combination of new Hypertext Markup
Language (HTML) tags and options, style sheets, and programming that will allow web
pages that are more animated and more responsive to user interaction than previous
versions of HTML.
• Extensible HTML (XHTML) – The W3C’s recommendation for the next generation of
• Cascading Style Sheets (CSS) – A style sheet format for HTML documents endorsed
by the World Wide Web Consortium. CSS1 (Version 1.0) provides hundreds of layout
settings that can be applied to all the subsequent HTML pages that are downloaded.
• Extensible 3D Graphics (X3D) - The ISO standard for real-time 3D computer graphics
which features the ability to encode a scene in an XML syntax.
Wireless / Mobile / Voice – This consists of the software and protocols used for wireless and
voice enabled presentation devices.
Examples of Wireless / Mobile / Voice technologies include:
• Wireless Markup Language (WML) – An XML-based protocol designed for Wireless
devices.
• XHTML Mobile Profile (XHTMLMP) – XHTMLMP is designed for resource-constrained
web clients that do not support the full set of XHTML features, such as mobile phones,
PDAs, pagers and set top boxes. It extends XHTML Basic with modules, elements and
attributes to provide a richer authoring language. XHTML replaces the Wireless Markup
Language (WML).
• Voice XML (VXML) – VXML is an XML vocabulary for specifying IVR (Integrated Voice
Response) Systems.
Business Logic
Defines the software, protocol or method in which business rules are enforced within
applications.
Platform Independent Technologies – Consists of all software languages able to execute and
run on any type of operating system or platform.
Examples of Platform Independent technologies include:
• Enterprise Java Beans (EJB) – a software component in Sun's J2EE platform, which
provides a pure Java environment for developing and running distributed applications.
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• C, C++ – C is a procedure programming language. C++ is an object-oriented version of C
that has been widely used to develop enterprise and commercial applications.
• JavaScript – A scripting language that runs within a web browser.
• Java Servlet (JSR 53) – Java Servlets provide reusable web components that can be
incorporated into portals.
• Java Portlet API (JSR 168) – Java Portlet API enables interoperability between Portlets
and Portals by defining APIs that address the areas of aggregation, personalization,
presentation and security.
• Web Services for Remote Portals (WSRP) – WSRP defines an XML and web services
standard that will allow the plug and play of visual, user facing web services with portals
or other intermediary web applications.
Platform Dependent Technologies – Consists of the programming languages and methods for
developing software on a specific operating system or platform.
Examples of Platform Dependent technologies include:
• Visual Basic – A version of the BASIC programming language from Microsoft
specialized for developing Windows applications.
• Visual Basic .Net (VB.Net) – A version of the BASIC programming language from
Microsoft specialized for developing Windows applications that is used within Microsoft’s
.NET environment.
• C-Sharp (C#) – An object-oriented programming language from Microsoft that is based
on C++ with elements from Visual Basic and Java.
• VB Script – A scripting language from Microsoft. A subset of Visual Basic, VBScript is
widely used on the web for both client processing within a web page and server side
processing in Active Server Pages (ASPs).
Data Interchange
Define the methods data is transferred and represented in and between software applications.
Data Exchange – Data Exchange is concerned with the sending of data over a communications
network and the definition of data communicated from one application to another. Data
Exchange provides the communications common denominator between disparate systems.
Examples of Data Exchange technologies include:
• XMI – Enables easy interchange of metadata between modeling tools (based on the
OMG UML) and metadata repositories (OMG MOF based) in distributed heterogeneous
environments. XMI integrates three key industry standards: XML, UML, and MOF. The
integration of these three standards into XMI marries the best of OMG and W3C
metadata and modeling technologies, allowing developers of distributed systems to share
object models and other metadata over the Internet.
• XQuery – A language used for processing and evaluating XML data. The XQuery
language provides results of expressions allowing the use of evaluations to the
implementation of XQuery.
• Simple Object Access Protocol (SOAP) – SOAP provides HTTP/XML based remote
procedure call capabilities for XML Web Services.
• Electronic Business using XML (be-XML) – A modular suite of specifications that
enables enterprises to conduct business over the Internet: exchanging business
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messages, conducting trading relationships, communicating data in common terms and
defining and registering business processes.
• Resource Description Framework (RDF) – RDF provides a lightweight ontology system
to support the exchange of knowledge on the web. It integrates a variety of web-based
metadata activities including sitemaps, content ratings, stream channel definitions,
search engine data collection (web crawling), digital library collections, and distributed
authoring, using XML as interchange syntax. RDF is the foundation for the Semantic Web
envisioned by Tim Berners-Lee – an extension of the current web in which information is
given well-defined meaning, to better enable computers and people to work in
cooperation.
• Web Services User Interface (WSUI) – WSUI uses a simple schema for describing a
WSUI "component" that can be used in a portal to call backend SOAP and XML services.
WSUI uses XSLT style sheets to construct user facing views to enable users to interact
with the services.
Data Management
Data management is the management of all data/information in an organization. It includes data
administration, the standards for defining data and the way people perceive and use it.
Database Connectivity – Defines the protocol or method an application connects to a data
store or data base.
Examples of Database Connectivity technologies include:
• Java Database Connectivity (JDBC) – JDBC provides access to virtually any tabular
data source from the Java programming language. It provides cross-DBMS connectivity
to a wide range of SQL databases, and other tabular data sources, such as spreadsheets
or flat files.
• Open Database Connectivity (ODBC) – A database programming interface from
Microsoft that provides a common language for Windows applications to access
databases on a network. ODBC is made up of the function calls programmers write into
their applications and the ODBC drivers themselves.
• Active Data Objects (ADO) – A programming interface from Microsoft that is designed
as "the" Microsoft standard for data access. First used with Internet Information Server,
ADO is a set of COM objects that provides an interface to OLE DB. The three primary
objects are Connection, Command and Record set.
• Active Data Objects .Net (ADO.Net) – ADO.Net is the data access component of the
Microsoft’s .NET Framework. It provides an extensive set of classes that facilitate
efficient access to data from a large variety of sources, enable sophisticated manipulation
and sorting of data.
• Object Linking and Embedding/Database (OLE/DB) – A Microsoft low-level API
designed to provide connections to different data sources. OLE/DB allowed connectivity
to ODBC-based SQL providers/sources as well as other formats such as text and comma
delimited.
• Data Access Objects (DAO) – DAO is the Microsoft library for accessing Microsoft Jet
engine data sources such as Microsoft Office based applications. DAO is replaced by
ADO and ADO.Net.
• DB2 Connector – An IBM connectivity API to access DB2 sources.
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Reporting and Analysis – Consists of the tools, languages and protocols used to extract data
from a data store and process it into useful information.
Examples of Reporting and Analysis technologies include:
• Extensible Business Reporting Language (XBRL) – Extensible Business Reporting
Language (XBRL is an open specification which uses XML-based data tags to describe
financial statements for both public and private companies.
• Java Online Analytical Processing (JOLAP) – JOLAP is a Java API for the J2EE
environment that supports the creation and maintenance of OLAP data and metadata, in
a vendor independent manner.
• Online Analytical Processing (OLAP) – Decision support software that allows the user
to quickly analyze information that has been summarized into multidimensional views and
hierarchies.
• XML for Analysis – XML for Analysis uses the Simple Object Access Protocol (SOAP) to
let Web browser based programs access backend data sources for data analysis. The
specification allows companies to build online analytical processing (OLAP) and data
mining applications that work over the web.
6.4 Service Interface and Integration
The Service Interface and Integration Service Area, illustrated in Figure 27, defines the
discovery, interaction and communication technologies joining disparate systems and
information providers. SOAs leverage and incorporate Service Interface and Integration
standards to provide interoperability and scalability.
Figure 27: Service Interface and Integration Service Area
Service Interface
and Integration
Integration
895: Middleware
896: Enterprise Application
Interoperability
897: Data Format / Classification
898: Data Types / Validation
899: Data Transformation
Interface
900: Service Discovery
901: Service Description /
Integration
Interface
Service Interface
and Integration
Integration
895: Middleware
896: Enterprise Application
Interoperability
897: Data Format / Classification
898: Data Types / Validation
899: Data Transformation
Interface
900: Service Discovery
901: Service Description /
Integration
Interface
The Service Interface and Integration Categories and Standards are defined below:
Integration
Integration defines the software services enabling elements of distributed business applications
to interoperate. These elements can share function, content, and communications across
heterogeneous computing environments. In particular, service integration offers a set of
architecture services such as platform and service location transparency, transaction
management, basic messaging between two points, and guaranteed message delivery.
Middleware – Middleware increases the flexibility, interoperability, and portability of existing
infrastructure by linking or “gluing” two otherwise separate applications.
Examples of Middleware technologies include:
• Remote Procedure Call (RPC) – RPC is a protocol allowing a program on a client
computer to invoke a program on a server computer.
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• Message Oriented Middleware (MOM): IBM WebSphere MQ – Software solution
providing APIs, queue management, message routing, automatic failover, and workload
balancing. Message Oriented Middleware (MOM) is software residing in both sides of the
client/server architecture providing support for asynchronous calls, or messages,
between applications. Message queues are used to track and store requests waiting for
execution by the source application. Messaging allows otherwise complex programming
and networking details to be abstracted from the developer.
• Message Oriented Middleware (MOM): Microsoft Message Queue (MSMQ) –Software
technology providing synchronous and asynchronous message queuing, routing, and
security. Message Oriented Middleware (MOM) is software residing in both sides of the
client/server architecture providing support for asynchronous calls, or messages,
between applications. Message queues are used to track and store requests waiting for
execution by the source application. Messaging allows otherwise complex programming
and networking details to be abstracted from the developer.
• Database Access: PL/SQL – Oracle's procedural extension to industry standard SQL.
Database Access provides access to and across multiple database technologies in a
distributed environment. Database Access is provided through the use of native database
Application Programming Interfaces (APIs), client side APIs, or server side database
gateways.
• Database Access: ISQL/w – Microsoft's implementation of ANSI SQL. Database Access
provides access to and across multiple database technologies in a distributed
environment. Database Access is provided through the use of native database
Application Programming Interfaces (APIs), client side APIs, or server side database
gateways.
• Database Access: OPEN ANSI SQL/92) – SQL is the information processing industry
standard language of relational database management systems (RDMS). ANSI
X3.1351992 (also referred to as SQL92 and ANSI SQL) is the industry standard for
Database Language SQL. This standard promotes the portability and interoperability of
database application programs and facilitates maintenance of database systems across
heterogeneous data processing environments. SQL92 provides a standardized way for
embedding SQL statements into application development languages. Database Access
provides access to and across multiple database technologies in a distributed
environment. Database Access is provided through the use of native database
Application Programming Interfaces (APIs), client side APIs, or server side database
gateways.
• Database Access: NET8 – NET8 (called SQL*NET prior to Oracle8) is Oracle's
client/server middleware product that offers transparent connection from client tools to
the database, or from one database to another. SQL*Net/ Net8 works across multiple
network protocols and operating systems. Previous versions referred to as SQL*Net.
Database Access provides access to and across multiple database technologies in a
distributed environment. Database Access is provided through the use of native database
APIs, client side APIs, or server side database gateways.
• Transaction Processing Monitor – Software providing synchronous messaging and
queuing along with other transaction management services designed to support the
efficient processing of high volumes of transactions. Core services include load
balancing, rollback/commit, and recovery. Transaction Processing provides cost-effective
scalability to applications and database systems by managing and throttling transactions
on behalf of the database system.
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• Object Request Broker (ORB): Common Object Request Broker Architecture
(CORBA) – An architecture that enables objects to communicate with one another
regardless of what programming language they were written in or what operating system
they're running on. Object Request Broker (ORB) is a technology enabling distributed
objects to communicate and exchange data with remote objects. ORB encapsulates the
locality and implementation of the objects, allowing users to develop applications that
leverage components by accessing the Components interface.
• Object Request Broker (ORB): Component Object Model (COM) – A software
architecture created by Microsoft to design and build component-based applications.
COM object capabilities are accessible from exposed interfaces. Object Request Broker
(ORB) is a technology enabling distributed objects to communicate and exchange data
with remote objects. ORB encapsulates the locality and implementation of the objects,
allowing users to develop applications that leverage Components by accessing the
Components interface.
• Object Request Broker (ORB): Distributed Component Object Model (DCOM) – An
extension of the Component Object Model (COM) that allows COM components to
communicate across network boundaries. Traditional COM components can only perform
inter-process communication across process boundaries on the same machine. Object
Request Broker (ORB) is a technology enabling distributed objects to communicate and
exchange data with remote objects. ORB encapsulates the locality and implementation of
the objects, allowing users to develop applications that leverage components by
accessing the components interface.
• Object Request Broker (ORB): Component Object Model + (COM+) – COM+ is an
extension of the COM that provides a runtime and services that are readily used from any
programming language or tool, and enables extensive interoperability between
Components regardless of how they were implemented. Object Request Broker (ORB) is
a technology enabling distributed objects to communicate and exchange data with
remote objects. ORB encapsulates the locality and implementation of the objects,
allowing users to develop applications that leverage components by accessing the
components interface.
Enterprise Application Integration – Refers to the processes and tools specializing in
updating and consolidating applications and data within an enterprise. EAI focuses on
leveraging existing legacy applications and data sources so that enterprises can add and
migrate to current technologies.
Examples of functions supporting Enterprise Application Integration for which
technologies might be available include:
• Business Process Management – This process is responsible for the definition and
management of cross application business processes across the enterprise and/or
between enterprises.
• Application Connectivity – This process provides reusable, noninvasive connectivity
with packaged software. This connectivity is provided by uni- or bidirectional adapters.
• Transformation and Formatting – This process is responsible for the conversion of
data, message content, information structure, and syntax to reconcile differences in data
amongst multiple systems and data sources.
Interoperability
Interoperability defines the capabilities of discovering and sharing data and services across
disparate systems and vendors.
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Data Format / Classification – Defines the structure of a file. There are hundreds of formats,
and every application has many different variations (database, word processing, graphics,
executable program, etc.). Each format defines its own layout of the data. The file format for text
is the simplest.
Examples of Data Format / Classification technologies include:
• Extensible Markup Language (XML) – XML has emerged as the standard format for
web data, and is beginning to be used as a common data format at all levels of the
architecture. Many specialized vocabularies of XML are being developed to support
specific Government and Industry functions.
• XML Linking Language (XLINK) – A language used to modify XML documents to
include links, similar to hyperlinks, between resources. XLINK provides richer XML
content through advanced linking integration with information resources.
• Namespaces – Namespaces are qualified references to URI (Uniform Resource
Identifier) resources within XML documents.
• Electronic Data Interchange (EDI) – Defines the structure for transferring data between
enterprises. EDI is used mainly used for purchase related information. ANSI X.12 refers
to the approved EDI standards.
Data Types / Validation – Refers to standards used in identifying and affirming common
structures and processing rules. This technique is referenced and abstracted from the content
document or source data.
Examples of Data Types / Validation technologies include:
• Document Type Definition (DTD) – DTD is used to restrict and maintain the
conformance of an XML, HTML, or SGML document. The DTD provides definitions for all
tags and attributes within the document and the rules for their usage. Alterations to the
document are validated with the referenced DTD.
• XML Schema – XML Schemas define the structure, content, rules and vocabulary of an
XML document. XML Schemas are useful in automation through embedding processing
rules.
Data Transformation – Data Transformation consists of the protocols and languages to change
the presentation of data within a graphical user interface or application.
Example of Data Transformation technologies include:
• Extensible Style sheet Language Transform (XSLT) – Transforms XML document
from one schema into another. Used for data transformation between systems using
different XML schema, or mapping XML to different output devices.
Interface
Interface defines the capabilities of communicating, transporting and exchanging information
through a common dialog or method. Delivery Channels provide the information to reach the
intended destination, whereas Interfaces allow the interaction to occur based on a
predetermined framework.
Service Discovery – Defines the method in which applications, systems or web services are
registered and discovered.
An example of Service Discovery technology includes:
• Universal Description Discovery and Integration (UDDI) – UDDI provides a
searchable registry of XML Web Services and their associated URLs and WSDL pages.
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Service Description / Interface – Defines the method for publishing the way in which web
services or applications can be used.
Examples of Service Description/Interface technologies include:
• Web Services Description Language (WSDL) – WSDL is an XML based Interface
Description Language for describing XML Web Services and how to use them.
• Application Program Interface (API) / Protocol – A language and message format
used by an application program to communicate with the operating system or some other
control program such as a database management system (DBMS) or communications
protocol. APIs are implemented by writing function calls in the program, which provide the
linkage to the required subroutine for execution. Thus, an API implies that some program
module is available in the computer to perform the operation or that it must be linked into
the existing program to perform the tasks.
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7 Data Reference Model
Due to the size and scope of the DRM, only an excerpt of the DRM is included in this
Consolidated Reference Model document. This excerpt can be found in Section 2.5. The
current version of the complete DRM (Version 2.0) is located on the www.egov.gov
website via
the following link:
http://www.whitehouse.gov/omb/egov/documents/DRM_2_0_Final.pdf
.
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8 Contact Information
The FEA reference models will be updated on an annual basis and released during the end of
the 4
th
quarter of each fiscal year. The FEA PMO has established a Reference Model
Maintenance Process to capture and vet all modified periodically as conditions evolve and
additional agency architecture information is provided. If there are any questions regarding the
FEA reference models or suggestions for future enhancements, send a detailed email to
.
