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

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

3. 1
The FEA is...
• an IT planning methodology
• for the entire federal government
• to enable cross-agency analysis
• to identify redundancies, gaps, and
opportunities for collaboration between
agencies.

4. 2
The FEA is...
• business-driven,
• meaning that it is concerned with efficiency
and effectiveness,
• and organized around ‘Lines of Business’
(which are essentially business functions).

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

23. Cleanup FEA BRM Agency

24. Cleanup FEA BRM Agency

26. Agency Program

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

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

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

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

31. 050 Comprehensive Environmental Response, Compensation and Liability Information
System (CERCLIS)
...
a Electronic software program
b Input
c Electronic data
d Output and reports
e Supporting documentation
108-024-01 Site and Area Evaluation and Cleanup
010 Site Assessment
a Record copy - No further remedial action planned sites (NFRAPs)
b Record copy - sites placed on the NPL
c Record copy - sites warranting a removal action
d Record copy - sites not yet assigned to the NPL or NFRAP
e Record copy - Brownfields sites
018 Sampling and Analytical Data Files - Superfund Site-Specific
a Current files
b Purge files
c HQ and Sample Management Office (SMO) files
d EMSL/LV lab performance evaluation files
e Regional lab records which include in-house sampling
019 Administrative Records - Superfund Site-Specific
a Record copy
064 CLP Analytical Results Data Base (CARD)
a Electronic software programs
b Input
c Electronic data
d Output and reports
e Supporting documentation
065 Sample Tracking and Invoice Payment System (TIP)
a Electronic software programs
b Input
c Electronic data

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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