Federal Enterprise Architecture FEA Opportunity for Better Automation

Federal Enterprise Architecture (FEA): Opportunity for Better Automation Opportunity for Better Ways of Doing Business Presentation to the MD CFUG June 10, 2003 Dorothy Firsching Ursa Major Consulting, LLC Dorothy@Firsching. com (703) 425 -6236

Agenda Why We need a Federal Enterprise Architecture The President’s Agenda and Vision The Federal Enterprise Architecture (FEA) and its Components Our Current Project, the Enterprise Architecture for the JWOD Program Where the FEA is taking us – Future Potential Note: the FEA part of the presentation draws from numerous FEA briefings over the past several months, mostly by Bob Haycock, FEA Program Manager, OMB 10/20/2021 2

Architecture Stories: “User Requirements” Are Not Enough, or Why We Need a Federal Enterprise Architecture Unnamed Govt. Agencies n n n n “Our department is different” “Our department has the correct data” “Our people already know this database” “Buy the equipment and software quickly with End of FY $$, we’ll use them anyway” “What do you mean, Access won’t scale? ” “We can get Perl scripts for free” “Why is the system so slow? ” “Who designed this, anyway? ” 10/20/2021 3

Results Working systems that meet specific requirements, but are not optimal for the overall organization Clumsy systems for the ultimate user Automating the Wrong Thing Re-inventing the Wheel “Stovepipes” Personal Systems, Spreadsheets Duplicated, inconsistent data Litigation But the Developers met the stated User Requirements at the time! 10/20/2021 4

Extensive duplication, overlap and gaps in critical Government functions* 50 agencies implement Federal drug control strategies 29 agencies administer 541 clean air, water, and waste programs 23 agencies administer 200 programs that provide assistance to countries formerly part of the Soviet Union 13 agencies administer 342 Federal economic development-related programs 12 agencies administer more than 35 food safety laws Page 5 10/20/2021 * Urgent Business for America: Revitalizing the Federal Government for the 21 st Century. 5 The Report of the National Commission on the Public Service, January 2003.

Extensive duplication, overlap and gaps in critical Government functions (continued) 11 agencies administer 90 early childhood programs 9 agencies administer 86 teacher training programs 9 agencies administer 27 teen pregnancy programs 8 agencies administer 50 different programs to aid the homeless 7 agencies administer 40 different job training programs 10/20/2021 6

This is not a technical problem! (or is it? ) Systems are specified without an enterprise-level understanding of the: n n How they support the Mission Objectives Business processes (e. g. , supply chain) Existing technical architecture New technology initiatives In the Federal Government, there is no good way today to gain cross-agency, cross-organization insight. n n … and the supply chain today goes BEYOND the Federal Government Post-911 coordination between Office of Homeland Security, other Federal agencies, State, and Local law enforcement, Fire departments, etc. 10/20/2021 7

The President’s Management Agenda Strategic Management of Human Capital n n Restructure agencies to be citizen-centered Adopt IT to capture employees’ knowledge and skills Competitive Sourcing Improved Financial Performance Expanded Electronic Government n n n Simplify and unify around citizen needs Support projects that offer performance gains across agency boundaries Maximize interoperability and minimize redundancy Budget and Performance Integration n n Use performance information to make budget decisions Link performance and cost in a performance budget 10/20/2021 8

E-Government: Unification and simplification around citizen needs For individuals n Easy to find, one-stop shops for citizens – creating single points of easy entry to access high-quality governmental services For businesses n Reduce the burden on businesses through the use of Internet protocols, simplifying interactions, and consolidating redundant reporting requirements For government agencies n Make it easier for states and localities to meet reporting requirements, while enabling better performance measurement and results (e. g. , grants) Internal efficiency and effectiveness n Page 9 Reduce costs for Federal Government administration by using best practices in areas such as supply chain management, financial management, and knowledge management 10/20/2021 9

The Vision: Order of magnitude improvement in the federal government’s value to the citizen; with decisions in minutes or hours, not weeks or months 10/20/2021 10

How? Unify Infrastructure n n Unify access to data stores Collect the data once (requires agreement on data definitions) Integrate customer interface Monitor and measure (define success and measure) Simplify Processes n Define and build integrated delivery channels The Teeth n n If you don’t play, you don’t get funded The FEA is a framework for making IT investment decisions for FY 2005 Budget (Form 300 s) 10/20/2021 11

The Federal Enterprise Architecture

The Federal Enterprise Architecture (FEA) is: A Business-Focused Framework for Cross-Agency, Governmentwide Improvement A new way of describing, analyzing, and improving the Federal Government and its ability to serve the citizen The FEA will provide the ability, for the first time, to look across the Federal Government and identify opportunities to collaborate, consolidate, and leverage IT investments 10/20/2021 13

The FEA is a set of inter-related “reference models” to facilitate collaboration and information sharing Federal Enterprise Architecture (FEA) Business-Driven Approach • Government-wide Performance Measures & Outcomes • Line of Business-Specific Performance Measures & Outcomes Business Reference Model (BRM) • Lines of Business • Agencies, Customers, Partners Service Component Reference Model (SRM) • Service Layers, Service Types • Components, Access and Delivery Channels Data Reference Model (DRM) • Business-focused data standardization • Cross-Agency Information exchanges Technical Reference Model (TRM) Component-Based Architecture Performance Reference Model (PRM) • Service Component Interfaces, Interoperability • Technologies, Standards Recommendations 10/20/2021 14

The FEA Business Reference Model (BRM) is a framework for describing the Lines of Business performed by the Federal Government independent of the Agencies that perform them Citizen to Government Access Channels Government Employee to Employee Access Channels Telephone -Voice -Interactive E-system Public/ Internet/ Fax Kiosk to System/ Private Portal Web Services Partnerships Services Citizens Services tofor Citizens Program Admin Public Asset. Management Marketable Asset Management Defense & Nat’l Security Ops Diplomacy & Foreign Relations Disaster Management Domestic Economy Education Energy Management Insurance Public Health Recreation & National Resources Social Services R&D & Science Web Services Telephone -Voice -Interactive E-system to System Compliance Regulated Activity Approval Consumer Safety Environmental Management Law Enforcement Legal Revenue Collection Trade (Import/Export) Transportation Workforce Management Public/Private Partnerships Fax Intranet/ Face to Portal Face Mail Support Delivery of Services Legislative Management Business Management of Information IT Management, Regulator Management Planning and Resource Allocation Inter-Agency Controls and Oversight Public Affairs Internal Risk Management and Mitigation Federal Financial Assistance Internal Operations / Infrastructure Human Resources, Financial Management Admin Supply Chain Management 10/20/2021 Face to Face Mail Human Resources, Financial Management Admin Supply Chain Management 15

Business Reference Model (BRM) Status Version 1. 0 published in July 2002 Used in the FY 2004 budget process Analysis of agencies’ FY 2004 budget submissions revealed multi-billion dollar consolidation opportunities across the Federal Government n n n n Financial Management Human Resources Data and Statistics Development Monetary Benefits Criminal Investigations Public Health Monitoring Need for Enterprise licensing Version 2. 0 is in Final Agency Review 10/20/2021 16

The Performance Reference Model (PRM) will help agencies identify the performance improvement opportunities that will drive Government transformation Strategic Outcomes Business Results Customer Results • • Mission Achievement Outcomes • / Outcomes • • Financial • • Customer Satisfaction • Satisfaction Service Coverage • • Service Timeliness & Coverage • Timeliness & Responsiveness • Responsiveness Service Quality • • Service Quality Accessibility • Service Accessibility OUTCOMES: Missioncritical results measured from a business, program, or customer perspective Processes and Activities • • Financial • Quality • • Productivity and & Efficiency • Security & Privacy • • Cycle and Resource Time • Mgmt. & Innovation People • Employee. Satisfaction & • Employee • Recruitment & Retention Quality of Worklife • Employee Development • Recruitment & Retention • Employee. Development Ratios • Employee Ratios 10/20/2021 Technology • Financial • Quality & Efficiency Technology • Information & Data • Security&&Privacy • Security • Reliability&&Availability • Reliability • User Satisfaction • ITManagement • IT Value Other Fixed Assets • Financial • Quality, Maintenance, & Efficiency • Security & Safety • Utilization OUTPUTS: Measurement of day-to-day activities agencies conduct, as driven by desired business and customer results INPUTS: People, technology, and other assets, measured by their contribution 17

The Service Component Reference Model (SRM) classifies capabilities (or service components) Performance Reference Model ( PRM ) Outcomes and Measures Business Reference Model ( BRM ) Service Component Reference Model ( SRM ) Support Delivery of Services Rule Publication Regulatory Management Policy and Guidance Devel. Public Comment Tracking Regulatory Development Rule Publication Business lines and functions Technical Reference Model ( TRM ) Technologies Platforms J 2 EE. NET Windows NT Data Mgmt ODBC JDBC Business Logic Knowledge Mgmt CRM Content Mgmt Collaboration Search Portal Personalization Enabling capabilities, components, and services Supporting technology and standards Data and Information Reference Model (DRM) Classification, Categorization, XML, Sharing 10/20/2021 Service Layers Component-Based Architecture Service Types Service Components 18

Examples of Service Components of a Business Function (Technology and Agency Independent) Customer Relationship Management Business Function: Regulatory Management Content Management BRM SRM (Service Components) Document Library Payment Collection (Pay. Gov) 10/20/2021 Problem Tracking, Case Management Personalization / Subscriptions Search Engine Access Control, User Management A Service Component is a functional capability which assists the business in accomplishing its mission 19

The FEA Technical Reference Model (TRM) is a component-driven, technical framework that identifies the standards and specifications that comprise a Service Component Performance Reference Model (PRM) Outcomes, Measurements, Metrics Business Reference Model ( BRM ) Service Component Reference Model ( SRM ) Rule Publication Support Delivery of Services Regulatory Management Policy and Guidance Devel. Public Comment Tracking Regulatory Development Rule Publication Business lines and functions Technical Reference Model ( TRM ) Technologies Platforms J 2 EE. NET Windows NT Data Mgmt ODBC JDBC Business Logic Knowledge Mgmt CRM Content Mgmt Collaboration Search Portal Personalization Enabling capabilities, components, and services Supporting technology and standards Data and Information Reference Model (DRM) Classification, Categorization, XML, Sharing 10/20/2021 Service Layers Component-Based Architecture Service Types Service Components 20

Each tier is comprised of multiple categories that describe the technologies, standards, and specifications that support the service component FEA Technical Reference Model (TRM) - Snapshot Service Access and Delivery Service Framework Access Channels Service Transport Delivery Channels Component-Based Architecture Service Platforms Supporting Platforms Web Servers Application Servers Service Requirements Security Presentation / Interface Business Logic Data Interchange Development Environment Database / Storage Hardware / Infrastructure Data Management Service Interface and Interoperability 10/20/2021 21

22 Collectively, the TRM technical tiers provide a robust and effective foundation to support the reuse and delivery of service components How to leverage and access Service Components Business Logic Presentation / Interface Security How to support and maintain Service Components Service Framework Component Architecture Service Requirements Data Interchange Delivery Channels Data Management Access Channels Service Platforms Service Interface / Interoperability – Technical Reference Model How to build, deploy, and exchange Service Components

As a foundation, the tiers within the FEA TRM reside across a typical network and application topology Demilitarized Zone (DMZ) Outside World Internal Network Leveraging or Using A Service Component (J 2 EE, . NET) Service Interface Service Platforms Domain Firewall (ACL, IP’s) Protocol Firewall (HTTP, Port 80) Service Transport Service Requirements Access Channels Delivery Channels Synchronous / Asynchronous Components Databases Directory Services Business Intelligence Building a Service Component or Application Security Presentation / Interface Business Logic Data Interchange Data Management 10/20/2021 23

The Federal Enterprise Architecture Management System (FEAMS) Personalization (My FEAMS), Content Aggregation Options to Personalize Content within each dialog box Aggregation and roll-ups of data to support rapid navigation Downloadable Reports and Guidance Visualization tools to graphically illustrate crossagency synergy possibilities 10/20/2021 24

The Federal Enterprise Architecture Framework (FEAF)

Engineering the Transitional Processes Current “As-Is” As-Is Perf Business Applications Engineer for Agency Architecture To-Be Perf Strategic Direction Business Service Comp. Data/Information Technology Target “To-Be” Map to FEA (Ultimately, Re-Use) Technology Architecture Standards 10/20/2021 26

The FEA and Agency Frameworks The FEA is the Enterprise Architecture for the ENTIRE Federal Government (Top-Down Categorization) Federal EA Frameworks n The Federal Enterprise Architecture Framework (FEAF), developed by the CIO Council w FEAF Version 1. 1, September 1999, is Current, Version 2 is Stalled w Nonrestrictive; Agencies Can Interpret n n n The DOD Architecture Framework (DODAF), based on the C 4 ISR (Command, Control, Communications, Computers, Intelligence, Surveillance and Reconnaissance) Framework The Treasury Enterprise Architecture Framework (TEAF) The EA Management Maturity Framework (GAO v. 1. 1 4/2003) 10/20/2021 27

The Teeth Agencies must develop and maintain an enterprise architecture n n n Mandated by Clinger-Cohen Act of 1996 Must be referenced in Budget Submissions By collaboration and re-use, can share costs FEA will help to identify areas for re-use FEAMS will be repository of Agency Architectures 10/20/2021 28

The FEAF – Peeling the Onion based on the Zachman Framework Perspective Data Architecture Application Architecture Technology Architecture Planner (Scope) List of Business Objects List of Business Processes List of Business Locations Owner (Enterprise) Semantic Model (Model of Enterprise Objects) Business Process Model Business Logistics Model (e. g. , types of facilities at locations) Designer (Information Systems) Logical Data Model Application Architecture System Geographic Deployment Architecture Builder (Technology) Physical Data Model Systems Design Technology Architecture Subcontractor (Detailed Specification) Data Definition Library Programs / Supporting System Components Network Architecture 10/20/2021 29

The JWOD EA/BPR Project

The Javits-Wagner-O-Day Program To create jobs for people with disabilities by providing goods and services to the Federal Government n n Implemented by an independent Federal Agency, The Committee For Purchase From People Who Are Blind or Severely Disabled Two Central Nonprofit Agencies w National Industries for the Blind w NISH, which supports people who have other severe disabilities n People with disabilities working at nonprofit agencies around the country 10/20/2021 31

JWOD Products and Services n Call centers, janitorial, ground maintenance, ship stocking, base supply centers, etc. Products n Skilcraft pens and other office supplies, military unique products (e. g. , uniforms), hardware, cleaning products, medical supplies (e. g. , latex gloves), etc. Distribution n Staples, Office Depot, GSA Advantage!, jwod. com, base supply centers, direct to Federal Agencies 10/20/2021 32

The JWOD EA/BPR Project, from Bottom up -Needs from an IT Perspective Needs from a Business Process Perspective w Improved business processes, across all organizations w Coordination and cooperation w Clarified Roles and Responsibilities Needs from a Program Perspective More Challenging w A new, Enterprise-wide IT System w Consistent, accessible information to all organizations w Overall Buy-in to Strategic Objectives and Performance Measures 10/20/2021 33

EA Supports the JWOD Modernization New IT must support Business Processes, which must support Mission Objectives n n Strategic Planning Documenting Current Architecture Facilitating Development of Improved Business Processes, Enhancing Cooperation Defining Target Architecture – Across Program w Business Processes, Performance Measures, w Service Components / Application Architecture w Technical / Infrastructure n Aligning to Federal Enterprise Architecture 10/20/2021 34

What makes it hard -No point in automating processes you don’t need to be doing – n Need new strategic plan! w How should program resources be managed? w Need organization-wide alignment Need integration of automation across multiple organizations w Including commercial organizations, nonprofits and government w Entire supply chain? w Not the whole Federal Government, TODAY… 10/20/2021 35

What makes it possible -Senior Leadership Buy-in n n The have an EA Champion New Presidential Appointees People Want to Have Impact Recognition of Benefit of Program-wide Integration OMB and Presidential Guidance n n Federal Enterprise Architecture E-Gov Focus Technology Enablers n n All players want to upgrade technology Time to get off that client/server Time to break down stovepipes and make services available over the Web XML and Web Services – for some transactions 10/20/2021 36

Where the FEA is Taking Us – Future Potential

Huge Future Potential for Improving Federal Automation over the Long Haul As Big of an Impact As The Web w The Web made Static / Dynamic Information Available to Users w Cataloged, Architected Web Services make Data and Processes Available to Developers in Other Agencies More Data / Code / Service Sharing w Cost Savings, Not Re-inventing the Wheel w More Flexible Boundaries – Federal Agencies, States, Local Government, Private Industry, … w Issues of Data Ownership, Data Quality, Data Privacy and Security w Ownership Issues – Who Maintains Services in Repositories if Multiple Agencies Use Them? Sensible IT Investment Decisions 10/20/2021 38

The point people miss…! Enterprise Architecture is NOT about building a massive inventory of information about IT systems. Enterprise Architecture is about ALIGNING systems to support processes that support the MISSION across agencies, and measuring the performance of the organization in achieving the mission. The TARGET Enterprise Architecture includes reorganizing SOME systems into accessible, reusable components. 10/20/2021 39

The Guidance is a Moving Target The Business Reference Model version 2. 0 is overdue, but soon! The Service Component Reference Model version 1. 0 is in Draft (out for agency review) The Technical Reference Model version 1. 0 is in Draft (out for agency review) The Data Reference Model is not out at all but is promised this summer The FEAMS is not ready yet The FEAF 2. 0 appears to be derailed 10/20/2021 40

Challenges in Software Engineering Increased Focus on Business Objectives and Business Process w Need to optimize process across the enterprise w If it is to be shared it has to be generic / common Engineer for Re-Use / Sharing w Need to Select Appropriate Level of Granularity w Code Re-Use is Downstream, Component Re-Use w Security, Repositories, Rules of Engagement Need to be Worked Out Engineering for Interoperability w Standards Gaps, Cross-Platform Issues Will Still Need Working Out 10/20/2021 41

References Federal Enterprise Architecture Program Management Office (FEAPMO) n http: //www. feapmo. gov Industry Advisory Council (IAC) Enterprise Architecture SIG n www. iaconline. org, http: //www. ichnet. org/IAC_EA. htm FEA Bibliography (evolving) n www. ursamajorconsulting. com 10/20/2021 42

Questions/ Discussion