EPLC Project Security Catagorization.xls
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- FDA-SOL-11-1085941
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EPLC Project Security Catagorization
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Identification
| Information System Name: |
| Business & Mission Supported: |
| What General Support System does this system rely on? |
&C&12&A &C&12Page &P
InformationTypes
| Information Category | Information Type | Selected | Confidentiality | Integrity | Availability | Adjusted? | Justification for Adjustment | Description |
| Administrative Management | Facilities, Fleet, and Equip Mgt | No | Low | Low | Low | No | Facilities, Fleet, and Equipment management involves the maintenance, administration, certification, and operation of office buildings, fleets, machinery, and other capital assets considered as possessions of the Federal government. Impacts to some information and information systems associated with facilities, fleet, and equipment management may affect the security of some key national assets (e.g., nuclear power plants, dams, and other government facilities). | |
| Administrative Management | Help Desk Services | No | Low | Low | Low | No | Help Desk Services involves the management of a service center to respond to government employees' technical and administrative questions. | |
| Administrative Management | Security Management | No | Mod | Mod | Low | No | Security Management involves the physical protection of an organization’s personnel, assets, and facilities (including security clearance management). Impacts to some information and information systems associated with security management may affect the security of some critical infrastructure elements and key national assets (e.g., nuclear power plants, dams, and other government facilities). Impact levels associated with security information directly relate to the potential threat to human life associated with the asset(s) being protected (e.g., consequences to the public of terrorist access to dams or nuclear power plants). | |
| Administrative Management | Travel | No | Low | Low | Low | No | Travel involves the activities associated with planning, preparing, and monitoring of business related travel for an organization’s employees. | |
| Administrative Management | Workplace Policy Development and Mgt | No | Low | Low | Low | No | Workplace policy development and management includes all activities required to develop and disseminate workplace policies such as dress codes, time reporting requirements, telecommuting, etc. | |
| Community and Social Services | Community and Regional Development | No | Low | Low | Low | No | The Community and Regional Development mission 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. | |
| Community and Social Services | Homeownership Promotion | No | Low | Low | Low | No | 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 covered under the Housing Assistance mission. | |
| Community and Social Services | Postal Services | No | Low | Mod | Mod | No | 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 nation-wide 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” mission in the “Economic Development mission area.” The international commercial function of mail is more closely aligned with the “Global Trade” mission in the “International Affairs” mission area). | |
| Community and Social Services | Social Services | No | Low | Low | Low | No | 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 mission does not include services that are primarily for income support (Income Security) or are an integral part of some other mission area (e.g., Health, Workforce Management, etc.). | |
| Controls and Oversight | Corrective Action (Policy/Regulation) | No | Low | Low | Low | No | Corrective Action involves the enforcement functions necessary to remedy programs that have been found non-compliant with a given law, regulation, or policy. | |
| Controls and Oversight | Program Evaluation | No | Low | Low | Low | No | Program Evaluation involves the analysis of internal and external program effectiveness and the determination of corrective actions as appropriate. The impact levels should be commensurate with the impact levels of the program that is being evaluated. For example, if the program contains very sensitive financial data with moderate impact levels for confidentiality and integrity, the program evaluation impact levels for confidentiality and integrity should also be moderate. | |
| Controls and Oversight | Program Monitoring | No | Low | Low | Low | No | 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. The impact levels should be commensurate with the impact levels of the programs that are being monitored. For example, if a program contains very sensitive financial data with moderate impact levels for confidentiality and integrity, the program monitoring impact levels for confidentiality and integrity should also be moderate. | |
| Credits and Insurance | Direct Loans | No | Low | Low | Low | No | 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. | |
| Credits and Insurance | General Insurance | No | Low | Low | Low | No | 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. | |
| Credits and Insurance | Loan Guarantees | No | Low | Low | Low | No | 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 withdrawable accounts in financial institutions. | |
| Disaster Management | Disaster Monitoring and Prediction | No | Low | High | High | No | 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. [Some disaster management information occurs in humanitarian aid systems under the International Affairs and Commerce line of business (e.g., State Department disaster preparedness and planning).] | |
| Disaster Management | Disaster Preparedness and Planning | No | Low | Low | Low | No | Disaster preparedness and planning involves the development of response programs to be used in case of a disaster. This involves the development of emergency management programs and activities as well as staffing and equipping regional response centers. | |
| Disaster Management | Disaster Repair and Restoration | No | Low | Low | Low | No | Disaster repair and restoration involves the cleanup and restoration activities that take place after a disaster. This involves the cleanup and rebuilding of any homes, buildings, roads, environmental resources, or infrastructure that may be damaged due to a disaster. | |
| Disaster Management | Emergency Response | No | Low | High | High | No | Emergency Response involves the immediate actions taken to respond to a disaster (e.g., wildfire management). These actions include providing mobile telecommunications, operational support, power generation, search and rescue, and medical life saving actions. Impacts to emergency response information and the information systems that process and store emergency response information could result in negative impacts on cross-jurisdictional coordination within the critical emergency services infrastructure and the general effectiveness of organizations tasked with emergency response missions. | |
| Economic Development | Business and Industry Development | No | Low | Low | Low | No | 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. | |
| Economic Development | Financial Sector Oversight | No | Mod | Low | Low | No | 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. | |
| Economic Development | Industry Sector Income Stabilization | No | Mod | Low | Low | No | 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. | |
| Economic Development | Intellectual Property Protection | No | Low | Low | Low | No | Intellectual property protection involves law enforcement activities involving the enforcement of intellectual property including inventions, literary and artistic works, and symbols, names, images, and designs used in commerce. Note that intellectual property protection is an exception to the often-close relationship between impacts to law enforcement information and information systems and the security of critical infrastructures and key national assets. | |
| Education | Cultural & Historic Exhibition | No | Low | Low | Low | No | 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. | |
| Education | Cultural & Historic Preservation | No | Low | Low | Low | No | 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. | |
| Education | Elementary, Secondary, and Vocational Education | No | Low | Low | Low | No | 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. | |
| Education | Higher Education | No | Low | Low | Low | No | Higher Education refers to education beyond the secondary level; specifically, education provided by a college or university. It includes external higher educational activities performed by the government (e.g., Military Academies, ROTC, and USDA Graduate School). | |
| Energy | Energy Conservation and Preparedness | No | Low | Low | Low | No | 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 mission also includes measures taken to ensure the provision of energy in the event of an emergency. | |
| Energy | Energy Production | No | Low | Low | Low | No | Energy production involves the transformation of raw energy resources into useable, deliverable energy. Impacts to some information and information systems associated with energy production may affect the security of the critical energy infrastructure. | |
| Energy | Energy Resource Management | No | Mod | Low | Low | No | Energy resource management involves the management of energy producing resources including facilities, land, and offshore resources. | |
| Energy | Energy Supply | No | Low | Mod | Mod | No | Energy Supply involves all activities devoted to ensuring the availability of an adequate supply of energy for the United States and its citizens. Energy Supply includes the sale and transportation of commodity fuels such as coal, oil, natural gas, and radioactive materials. This function also includes distributing and transferring power, electric generation, and/or storage located near the point of use. Impacts to some information and information systems associated with energy supply may affect the security of critical infrastructures, particularly in the areas of energy transmission and transport. | |
| Environmental Management | Environmental Monitoring/Forecasting | No | Low | Mod | Low | No | Environmental Monitoring and Forecasting involves the observation and prediction of environmental conditions. This includes b 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. | |
| Environmental Management | Environmental Remediation | No | Mod | Low | Low | No | Environmental remediation supports the immediate and long-term activities associated with the correcting and offsetting of environmental deficiencies or imbalances, including restoration activities. | |
| Environmental Management | Pollution Prevention and Control | No | Low | Low | Low | No | Pollution prevention and control includes activities associated with the establishment of environmental standards to control the levels of harmful substances emitted into the soil, water and atmosphere. | |
| Federal Correctional Activities | Criminal Incarceration | No | Low | Mod | Low | No | Criminal incarceration includes activities associated with the housing, custody and general care of criminals sentenced to serve time in penitentiaries. | |
| Federal Correctional Activities | Criminal Rehabilitation | No | Low | Low | Low | No | 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. | |
| Federal Financial Assistance | Direct Transfers to Individuals | No | Low | Low | Low | No | 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. | |
| Federal Financial Assistance | Federal Grants (Non-State) | No | Low | Low | Low | No | Federal Grants involve 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. | |
| Federal Financial Assistance | Subsidies | No | Low | Low | Low | No | Subsidies involve Federal Government financial transfers that reduce costs and/or increase revenues of producers. Subsidies include the payment of funds from the government to affect the production or prices of various goods to benefit the public. | |
| Federal Financial Assistance | Tax Credits | No | Mod | Low | Low | No | 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. | |
| Financial Management | Accounting | No | Low | Mod | Low | No | 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.). | |
| Financial Management | Asset and Liability Management | No | Low | Low | Low | No | Assets and Liability Management provide accounting support for the management of assets and liabilities of the Federal government. Assets and liability management activities measure the total cost and revenue of Federal programs, and their various elements, activities and outputs. Assets and liability management is essential for providing accurate program measurement information, performance measures, and financial statements with verifiable reporting of the cost of activities. | |
| Financial Management | Collections and Receivables | No | Low | Mod | Low | No | Collections and Receivables include deposits, fund transfers, and receipts for sales or service. Receivable management supports activities associated with recognizing and recording debts due to the Government, performing follow-up actions to collect on these debts, and recording cash receipts. | |
| Financial Management | Cost Accounting/Performance Measurement | No | Low | Mod | Low | No | 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. | |
| Financial Management | Funds Control | No | Mod | Mod | Low | No | 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. Funds control management includes the establishment of a system for ensuring an organization does not obligate or disburse funds in excess of those appropriated or authorized. | |
| Financial Management | Payments | No | Low | Mod | Low | No | Payments include 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. Payment management provides appropriate control over all payments made by or on behalf of an organization, including but not limited to payments made to: vendors in accordance with contracts, purchase orders and other obligating documents; state governments under a variety of programs; employees for salaries and expense reimbursements; other Federal agencies for reimbursable work performed; individual citizens receiving Federal benefits; and recipients of Federal loans. | |
| Financial Management | Reporting and Information | No | Low | Mod | Low | No | Reporting and Information includes providing financial information, reporting and analysis of financial transactions. Financial reporting includes the activities necessary to support: management’s fiduciary role; budget formulation and execution functions; fiscal management of program delivery and program decision making; and internal and external reporting requirements. | |
| General Government | Central Fiscal Operations | No | Mod | Low | Low | No | Central Fiscal Operations includes the fiscal operations that the Department of Treasury performs on behalf of the Government.14 [Note: Tax-related functions are associated with the Taxation Management information type.] Impacts to some information and information systems associated with central fiscal operations may affect the security of the critical banking and finance infrastructure. In most cases, the effect on public welfare of a loss of central fiscal operations functionality can be expected to be delayed rather than immediate. The potential for consequent loss of human life or of major national assets is low. | |
| General Government | Central Personnel Management | No | Low | Low | Low | No | Central Personnel Management involves most of the operating activities of the Office of Personnel Management and related agencies. | |
| General Government | Central Property Management | No | Low | Low | Low | No | Central Property Management involves most of the operations of the General Services Administration. | |
| General Government | Central Records and Statistics Mgt | No | Mod | Low | Low | No | Central Records and Statistics Management involves the operations surrounding the management of official documents, statistics, and records for the entire Federal Government. This information type is intended to include information and information systems associated with 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 the service support, management, or mission area associated with that business function. The central records and statistics management information type is intended for functions performed on behalf of the entire Federal government. | |
| General Government | Entitlement Event Information | No | Mod | Mod | Mod | No | Entitlement event information includes information about events such as death and date of occurrence, date of a disabling event and the relating data that can reasonably prove the severity of such disability, proof of age for retirement benefits, birth and relationship of spouse and/or children who may be entitled to benefits only as auxiliaries of the primary beneficiary, and other related information needed to process a claim for benefits. This also includes means-related information required to administer all the means related benefits associated with the Title XVI (Supplementary Security Income Program) and the new drug provisions of the recently revised Medicare Program. | |
| General Government | Executive Functions | No | Low | Low | Low | No | Premature public release of formative policies and guidance before internal coordination and review can result in unnecessary damage to public confidence in the executive office. | |
| General Government | General Information | No | Low | Low | Low | No | An additional management and support sub-function information type has been defined to address General Information as a catch-all information type that may not be defined by the FEA BRM. As such, agencies may find it necessary to identify additional information types not defined in the BRM and assign impact levels to those types. Agency personnel may uniquely identify information types using a FIPS 199 process to identify information not contained neatly in the FEA BRM. Not all of these information types are likely to have the same impact levels. The impacts to some information types will jeopardize system functionality and the agency mission more than other information types. General Information impact levels must be assessed in the context of the agencies mission. | |
| General Government | Income Information | No | Mod | Mod | Mod | No | Income information includes all the wages, self-employment earnings, savings data and other financial resources information that is needed to help determine the amount of Retirement, Survivor, or Disability benefits that individuals may be entitled to receive or not receive from the Supplementary Security Income or RSDI Title II Programs. In most cases, the impact levels are based on the effects of unauthorized disclosure, modification, or loss of availability of income information on the ability of the Federal government to identify citizen entitlements and obligations and to protect individuals against identity theft and the Federal government against fraud. | |
| General Government | Legislative Functions | No | Low | Low | Low | No | Legislative functions include the service support activities associated with costs of the Legislative Branch other than the Tax Court, the Library of Congress, and the Government Printing Office revolving fund. | |
| General Government | Personal Identity and Authentication | No | Mod | Mod | Mod | No | Personal identity and authentication information includes that information necessary to ensure that all persons who are potentially entitled to receive any federal benefit are enumerated and identified so that Federal agencies can have reasonable assurance that they are paying or communicating with the right individuals. This information include individual citizen’s Social Security Numbers, names, dates of birth, places of birth, parents’ names, etc. | |
| General Government | Representative Payee Information | No | Mod | Mod | Mod | No | Representative payee information includes the information required to determine the need for representative payees and the data that is gathered to make the determination of who should serve as the representative payee for all beneficiaries of federal benefits who are unable to manage their own funds. This also includes accountability information required to provide reasonable assurance that the funds are being used appropriately for the well being of entitled individuals. | |
| General Government | Taxation Management | No | Mod | Low | Low | No | Taxation Management includes activities associated with the implementation of the Internal Revenue Code and the collection of taxes in the United States and abroad. | |
| General Science and Innovation | Scientific and Technological Research and Innovation | No | Low | Mod | Low | No | 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 mission areas or information types identified in the BRM. Most sensitive information is developed under research and development programs that directly support another of the mission areas described in this Appendix and are not included here. Some information associated with scientific and technical research and innovation is national security information and is outside the scope of this guideline. | |
| General Science and Innovation | Space Exploration and Innovation | No | Low | Mod | Low | No | 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. While some space exploration and innovation is national security information, most sensitive information is developed under research and development programs that directly support another of the mission areas described in this Appendix and are not included here. | |
| Health | Access to Care | No | Low | Mod | Low | No | 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. | |
| Health | Health Care Administration | No | Low | Mod | Low | No | Health Care Administration assures that federal health care resources are expended effectively to ensure quality, safety, and efficiency. | |
| Health | Health Care Delivery Services | No | Low | High | Low | No | 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 | Health Care Research and Practitioner Education | No | Low | Mod | Low | No | 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. | |
| Health | Population Health Management and Consumer Safety | No | Low | Mod | Low | No | 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. It 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. | |
| Homeland Security | Border Control and Transportation Security | No | Mod | Mod | Mod | No | Border and Transportation Security includes 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. Border control involves enforcing the laws regulating the admission of foreign-born persons (i.e., aliens) to the United States. This includes patrolling and monitoring borders and deportation of illegal aliens. Some border control information is also associated with other mission information types (e.g., criminal apprehension, and criminal investigation and surveillance information). In such cases, the impact levels of the associated mission information may determine impact levels associated with border control information. Some aspects of ensuring security of transportation and infrastructure networks, facilities, vehicles, and personnel within the United States are also covered under the information types associated with the transportation mission. In some cases the border control information may be classified. Any classified information is treated under separate rules established for national security information. | |
| Homeland Security | Catastrophic Defense | No | High | High | High | No | 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. Under the provisions of Executive Order 13292, some anti-terrorism information is subject to security classification. National security information is outside the scope of this guideline. | |
| Homeland Security | Executive Functions of EOP | No | High | Mod | High | No | Executive Functions involve the Executive Office of the President (EOP). | |
| Homeland Security | Key Asset and Critical Infrastructure Protection (HSPD-7) | No | High | High | High | No | 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. The Critical Infrastructure Information Protection Act of 2002 (6 U.S.C. 131-134) places specific controls on the dissemination of critical infrastructure information (see Volume I, 3.5.2.3). Under the provisions of Executive Order 13292, some anti-terrorism information is subject to security classification. National security information is outside the scope of this guideline. | |
| Human Resource Management | Benefits Management | No | Low | Low | Low | No | 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. | |
| Human Resource Management | Compensation Management | No | Low | Low | Low | No | 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. | |
| Human Resource Management | Employee Performance Management | No | Low | Low | Low | No | 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. | |
| Human Resource Management | Employee Relations | No | Low | Low | Low | No | 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. | |
| Human Resource Management | HR Strategy | No | Low | Low | Low | No | 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. | |
| Human Resource Management | Human Resources Development | No | Low | Low | Low | No | 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 development programs; administering and delivering employee development programs; and evaluating the overall effectiveness of the agency’s employee development approach. | |
| Human Resource Management | Labor Relations | No | Low | Low | Low | No | 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. | |
| Human Resource Management | Organization and Position Management | No | Low | Low | Low | No | 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. | |
| Human Resource Management | Separation Management | No | Low | Low | Low | No | 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 Resource Management | Staff Acquisition | No | Low | Low | Low | No | 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. | |
| Income Security | Food and Nutrition Assistance | No | Low | Low | Low | No | 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. | |
| Income Security | General Retirement and Disability | No | Mod | Mod | Mod | No | General Retirement and Disability involves the development and management of retirement benefits, pensions, and income security for those who are retired or disabled. | |
| Income Security | Housing Assistance | No | Low | Low | Low | No | 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. | |
| Income Security | Survivor Compensation | No | Low | Low | Low | No | Survivor Compensation provides compensation to the survivors of individuals currently receiving or eligible to receive benefits from the Federal Government. This includes survivors such as spouses or children of veterans or wage earners eligible for social security payments. | |
| Income Security | Unemployment Compensation | No | Low | Low | Low | No | Unemployment Compensation provides income security to those who are no longer employed, while they seek new employment. | |
| Information & Technology Management | Information Management | No | Low | Mod | Low | No | 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 & Technology Management | Information System Security | No | Low | Mod | Low | No | IT Security involves all functions pertaining to the securing of Federal data and systems through the creation and definition of security policies, procedures and controls covering such services as identification, authentication, and non-repudiation. | |
| Information & Technology Management | IT Infrastructure Maintenance | No | Low | Low | Low | No | IT infrastructure maintenance involves the planning, design, implementation, and maintenance of an IT Infrastructure to effectively support automated needs (i.e. operating systems, applications software, platforms, networks, servers, printers, etc.). IT infrastructure maintenance also includes information systems configuration and security policy enforcement information. This information includes password files, network access rules and implementing files and/or switch setting, hardware and software configuration settings, and documentation that may affect access to the information system’s data, programs, and/or processes. The impact levels associated with IT infrastructure maintenance information are primarily a function of the information processed in and through that infrastructure. The IT Maintenance Information type represents a complex set of data elements that are used to secure the design, implementation, and maintenance of systems and networks. The security of each of these data elements is dependent on the security of the other data elements. Security compromise of one data element type will propagate to others. | |
| Information & Technology Management | Lifecycle/Change Management | No | Low | Mod | Low | No | 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. | |
| Information & Technology Management | Record Retention | No | Low | Low | Low | No | Records Retention involves the operations surrounding the management of the official documents and records for an agency. | |
| Information & Technology Management | System and Network Monitoring | No | Mod | Mod | Low | No | System and Network Monitoring supports all activities related to the real-time monitoring of systems and networks for optimal performance. System and network monitoring describes the use of tools and observation to determine the performance and status of information systems and is closely tied to other Information and Technology Management sub-functions. System and network monitoring information type should be considered broadly to include an agency’s network [performance, health, and status] and security operations [intrusion monitoring, auditing, etc.] support. | |
| Information & Technology Management | System Development | No | Low | Mod | Low | No | System Development supports all activities associated with the in-house design and development of software applications. | |
| Information & Technology Management | System Maintenance | No | Low | Mod | Low | No | System Maintenance supports all activities associated with the maintenance of in-house designed software applications. | |
| Intelligence Operations | Intelligence Operations | No | High | High | High | No | Intelligence operations involve the development and management of accurate, comprehensive, and timely foreign intelligence on national security topics. Information systems, the function, operation, or use of, which involve intelligence activities or are critical to the direct fulfillment of intelligence missions32 are defined under Public Law33 as national security systems. National security information and national security systems are outside the scope of this guideline. Security objectives and impact levels associated with national security systems are determined by the head of each agency exercising control of the system | |
| Internal Risk Management and Mitigation | Contingency Planning | No | Mod | Mod | Mod | No | Contingency planning involves the actions required to plan for, respond to, and mitigate damaging events. | |
| Internal Risk Management and Mitigation | Continuity of Operations | No | Mod | Mod | Mod | No | 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. | |
| Internal Risk Management and Mitigation | Service Recovery | No | Low | Low | Low | No | Service recovery involves the internal actions necessary to develop a plan for resuming operations after a catastrophe occurs, such as a fire or earthquake. | |
| International Affairs and Commerce | Foreign Affairs | No | High | High | Mod | No | 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. Conflict resolution involves the mitigation and prevention of disputes stemming from inter and intra-state disagreements. Some conflict resolution information is subject to security classification. This classified information is treated under separate rules established for national security information and is outside the scope of this guideline. Treaties and agreements involves the negotiation and implementation of accords with foreign governments and organizations in efforts related to arms reduction and regulation, trade matters, criminal investigations and extraditions, and other various types of foreign policy. When treaties and agreements information affects intelligence gathering and/or law enforcement cooperation, impacts to such information and the information systems that process and store the information could result in negative impacts on protection of a broad range of critical infrastructures and key national assets. Some information associated with treaties and agreements is subject to security classification. This classified information is treated under separate rules established for national security information. | |
| International Affairs and Commerce | Global Trade | No | High | High | High | No | 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. Trade encompasses all activities associated with the importing and exporting of goods to and from the United States. This includes goods declaration, fee payments, and delivery/shipment authorization. Export promotion involves the development of opportunities for the expansion of U.S. exports. Merchandise inspection includes the verification of goods and merchandise as well as the surveillance, interdiction, and investigation of imports/exports in violation of various Customs laws. Tariffs/quotas monitoring refers to the monitoring and modification of the schedules of items imported and exported to and from the United States. | |
| International Affairs and Commerce | International Development and Humanitarian Aid | No | Mod | Low | Low | No | 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 humanitarian assistance including food aid. In some cases, international development and humanitarian aid information is subject to security classification. This classified information is treated under separate rules established for national security information. | |
| Knowledge Creation and Management | Advising and Consulting | No | Low | Low | Low | No | Advising and Consulting activities involve the guidance and consultative services provided by the Federal Government to support the implementation of a specific service provided to citizens. | |
| Knowledge Creation and Management | General Purpose Data and Statistics | No | Low | Low | Low | No | 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. | |
| Knowledge Creation and Management | Knowledge Dissemination | No | Low | Low | Low | No | 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. Knowledge Dissemination is not intended to address circumstances where the publication of information is a by-product of a mission rather than the mission itself. | |
| Knowledge Creation and Management | Research and Development | No | Low | Mod | Low | No | Research and Development involves the gathering and analysis of data, dissemination of results, and development of new products, methodologies, and ideas. The sensitivity and criticality of most research and development information depends on the subject matter involved. | |
| Law Enforcement | Citizen Protection | No | Mod | Mod | Mod | No | Citizen protection involves all activities performed to protect the general population of the United States from criminal activity. | |
| Law Enforcement | Crime Prevention | No | Low | Low | Low | No | 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 the opportunities of crime. | |
| Law Enforcement | Criminal Apprehension | No | Low | Low | Mod | No | Criminal apprehension supports activities associated with the tracking and capture of groups or individuals believed to be responsible for committing Federal crimes. | |
| Law Enforcement | Criminal Investigation and Surveillance | No | Mod | Mod | Mod | No | Criminal investigation and surveillance includes the collection of evidence required to determine responsibility for a crime and the monitoring and questioning of affected parties. | |
| Law Enforcement | Leadership Protection | No | Mod | Low | Low | No | Leadership protection involves all activities performed to protect the health and well being of the president, vice-president, their families, and other high-level government officials. Some leadership protection information may be classified. All classified information is treated under separate rules established for national security information and is outside the scope of this guideline. | |
| Law Enforcement | Property Protection | No | Low | Low | Low | No | Property protection entails all activities performed to ensure the security of civilian and government property. | |
| Law Enforcement | Substance Control | No | Mod | Mod | Mod | No | Substance control supports activities associated with the enforcement of legal substances (i.e., alcohol and tobacco) and illegal narcotics laws including trafficking, possession, sale, distribution, and other related activities. |
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File details come from the government source that posted it. Updated .