Enterprise Architecture An Evolving Art and Science to

Enterprise Architecture: An Evolving Art and Science to Bridge Business and IT Vision and Reality Minder Chen, Ph. D.

Information Life Cycle Information Decision Data • Intelligence • Design • Choice Action © Minder Chen, 1995 -2007 EA and IT Governance - 2

Even the Caveman Needs Knowledge to Survive The information-knowledge-wisdom hierarchy. The caveman has lots of information; he selects and organizes useful information into knowledge, but he does not achieve wisdom until he has integrated his knowledge into a whole that is more than useful than the sum of its parts. Source: Harlan © Minder Chen, 1995 -2007 Cleveland, "Information as a Resource, " The Futu EA and IT Governance - 3

Information Hierarchy Wisdom Knowledge Learning: Integration into strategic policy through experience Information Analysis: Application to decision making Data Observation: Description of events Event © Minder Chen, 1995 -2007 EA and IT Governance - 4

Man, Market, Money, Method, Machine, Material, Message Business environments • Market demands • Technology development • Social trends • Locations/Localization Message: Information Man: Human Resource, Employees Market: Customers People Processes Method: Technique, Process, Project, Task © Minder Chen, 1995 -2007 Things $$$ Money: Accounting, Finance, Investment Machine: Property, Facility, Technology Material: Raw material, Product EA and IT Governance - 5

Use EA as a roadmap to supports good IT planning, investment decisions Data rich and information poor Mount surprise Contingency Drive Uncertainty Gap Regulatory Mountain Business Applications Migration path Successful Program and project management Service building blocks Current Resources / Systems Technical architecture Source: http: //emi-web. inel. gov/roadmap/factsheet. pdf © Minder Chen, 1995 -2007 EA and IT Governance - 6

Evolution of EA • BSP: Business Systems Planning • ISF: Zachman Information Systems Framework • ISP: Information Systems Planning • EAP: Enterprise Architecture Planning • EA: Enterprise Architecture • Federal Enterprise Architecture © Minder Chen, 1995 -2007 EA and IT Governance - 7

BSP: Business Systems Planning © Minder Chen, 1995 -2007 EA and IT Governance - 8

IBM's Business Systems Planning Methodology Business Objectives Business Organization Business Process Application Business Data Bases Information Architecture Top-down planning & analysis © Minder Chen, 1995 -2007 Source: IBM, Business Systems Planning, GE 20 -0527 -04, 1984. Bottom-up design & implementation EA and IT Governance - 9

Zackman Framework © Minder Chen, 1995 -2007 Source: EA and IT Governance - 10

Information Strategy Planning Tasks Information Architecture Definition Project Planning Ÿ Activity Model (AHD & ADD) Ÿ Data Model (ERD) Ÿ Entity Type/Function (CRUD) Matrix Initial Assessment Ÿ Organization Model Ÿ Business Objectives Ÿ Information Needs Current Environment Assessment ISP Project Completion Business System Architecture Definition Ÿ Cluster CRUD Matrix Ÿ Business Area List Ÿ Ranked BAA Projects Technical Architecture Definition Ÿ Current Systems & Data Ÿ Current Information Architecture Coverage Ÿ IS Organization Using RAEW Matrix Ÿ Current Technical Environment © Minder Chen, 1995 -2007 Ÿ BAA Distribution Analysis Ÿ Technical Requirements Ÿ Technical Direction EA and IT Governance - 11

Levels of Enterprise Architecture Planning Getting started Planning Initiation Existing Business Model Data Architecture Current Systems & Technology Applications Architecture Where we are today Technology Architecture Implementation and Migration Plans The vision of where we want to be How we plan to get there Source: Steven H. Spewak, Enterprise Architecture Planning: Developing a Blueprint for Data, Applications and Technology, John Wiley & Sons, Inc. , 1992, p. 16. © Minder Chen, 1995 -2007 EA and IT Governance - 12

Overall FEA Schema Source: http: //www. actgov. org/actiac/documents/ sigs/easig/EAMaturity. WP 013105. pdf © Minder Chen, 1995 -2007 EA and IT Governance - 13

Federal Enterprise Architecture The FEA was established by OMB, with support from GSA and the Federal CIO Council © Minder Chen, 1995 -2007 EA and IT Governance - 14

PRM Articulates Line of Sight © Minder Chen, 1995 -2007 EA and IT Governance - 15

The Business Reference Model © Minder Chen, 1995 -2007 EA and IT Governance - 16

Service Component Reference Model • The SRM is structured across horizontal and vertical service domains that, independent of the business functions, can provide a leverage-able foundation to support the reuse of applications, application capabilities, components, and business services. © Minder Chen, 1995 -2007 EA and IT Governance - 17

Technical Architecture © Minder Chen, 1995 -2007 EA and IT Governance - 18

U. S. Customs Technical Reference Model © Minder Chen, 1995 -2007 EA and IT Governance - 19

Customer Relationship Management (CRM) The measures an organization takes to – – – identify, select, acquire, work with, and retain its customers © Minder Chen, 1995 -2007 EA and IT Governance - 20

Process Analysis: CRM Architecture © Minder Chen, 1995 -2007 EA and IT Governance - 21

Think from the Customer/Citizen Back The Customer Define Outcomes Redesign Outputs Activities/Tasks Functions/Processes Organization Determine Activities Define Job Responsibilities Management * Adapted from The Price Waterhouse Change Integration Team, Better Change, Irwin, 1995, p. 163. © Minder Chen, 1995 -2007 Develop Organization Structure EA and IT Governance - 22

End-to-End Processes Customer Account Receivable Marketing/ Sales Shipping Manufacturing © Minder Chen, 1995 -2007 Inventory Mgmt. EA and IT Governance - 23

MOT Analysis Example • Prio to MOT – Recognition – Information gathering – Comparison • MOT – – – – Applying for Credit Card Receiving Credit Card Using Credit Card Providing Information Changing and Upgrading Gifts giving Emergency Assisting • After MOT – No usage follow-up – Stop membership follow-up © Minder Chen, 1995 -2007 EA and IT Governance - 24

Technical Architecture © Minder Chen, 1995 -2007 EA and IT Governance - 25

Business Reference Model (BRM) Citizen-Centered, Results Driven Government © Minder Chen, 1995 -2007 26 EA and IT Governance - 26

Citizen-Centered Services The Future Approach … The Historical Approach … IT & Services EPA HHS DOI IT & Services IT & Services DOD Treasury IT & Services IT & Services IT & Services USDA State IT & Services HUD IT & Services IT & Services Service for Citizens HHS EPA Service for Citizens IT & Services IT & Serv DOD IT & Services Service for Citizens Mortgage Insurance VA Treasury IT & Services Commercial Provider Health Services DOI IT & Services VA DOJ IT & Servic State IT & Services HUD IT & Services USDA IT & Services Commercial Provider = Service for Citizens = Common Service = Agency-specific Service IT & Services Commercial Provider Citizen-Centered, Results Driven Government © Minder Chen, 1995 -2007 = Commercial Provider 27 EA and IT Governance - 27

Architecture Principles • The federal government focuses on citizens • The federal government is a single, unified enterprise • Federal agencies collaborate with other governments and people • The federal architecture is mission-driven • Security, privacy and protecting information are core government needs • Information is a national asset • The federal architecture simplifies government operations Citizen-Centered, Results Driven Government © Minder Chen, 1995 -2007 28 EA and IT Governance - 28

Lines of Business The Lines of Business (Lo. Bs) take an architecturebased approach to identifying, developing, and providing common solutions and components across the government. . 2004 – 2005 Lo. Bs § Human Resources Management § Financial Management § Grants Management § Case Management § Federal Health Architecture § Information Systems Security Citizen-Centered, Results Driven Government © Minder Chen, 1995 -2007 2006 Lo. Bs § IT Infrastructure Optimization § Geospatial § Budgeting EA and IT Governance - 29

CONOPS: Concept of Operations • Develop and maintain enterprise architecture • Review, reconcile and approve segment architectures for the agency’s core lines of business and common IT services • Select IT initiatives to define the agency’s IT investment portfolio • Control IT investments • Evaluate IT investments • Develop and maintain segment architectures • Develop IT program management plan • Execute IT projects Transition Strategy IMPLEMENT Investment Portfolio INVEST Architectural Portfolio ARCHITECT END-TO-END GOVERNANCE Citizen-Centered, Results Driven Government © Minder Chen, 1995 -2007 30 EA and IT Governance - 30

CIO COUNCIL OMB A-94 Rehab Act, ADA, Section 508 GAO REPORTS OMB A-11 GPEA/e. Sign PRA ‘ 95 GPRA/CFO Act External Law & Guidance FARA/FASA PDD 66, e. FOIA FISMA, Computer Security Act Other IT Law & Guidance OMB A-130 e. Gov Act/FISMA Clinger-Cohen Act Non-IT Law & Guidance Intelligence Reform Act Feedback on Performance and Needs Program Management Office Strategic Planning • Mission/Goals • Performance Measures • Funding Portfolio Management (Strategy Implementation) • Leadership and/or Facilitation for Program or Annual Project Success Feedback Performance • Methods and Best Practices on Target Plans • Project Management Alignment Experts, Automated Tools, and Training Enterprise Architecture • Standard Strategies and Alignment/Planning Techniques: • Business / IT Alignment • Risk Management • Gap Analysis • Schedule Management • Transition Plan • Budget Management • Communications Transition Plan • Planning and Control (Portfolio Definition) • Issue Management • Scope Management Emerging Solutions • Quality Management Adjustments / • Organizational Change Priorities Management • Resource Management and Collaboration Selected Projects / • Technical Guidance and System Investments Subject Matter Experts Upgrades Maintenance Desired Capabilities Capability Analysis Functional Analysis & Allocation Modeling and Simulation Enterprise Architecture © Minder Chen, 1995 -2007 Performance and Results Measurement (e. g. Balanced Scorecard and FEA) Guidance / Results / Measures Measurements Select Evaluate Control Capital Planning & Investment Control (CPIC) Process Guidance / Results / Evaluation Needs IT Investment Management (ITIM) Process and Maturity Framework Capability Planning User Requirements Department Deliverables Agency Head Directives Department Budget Dept. Strategic Plan Dept. Annual Performance Plan Dept. IT Strategic Plan • e. Gov & e. Business Appendix Dept. IT Capital Plan (3 -5 years) • IT Capital Planning Guide OCIO Concept of Operations Manual Dept. SDLC Guide IT Program Management Guide • Baseline Report Performance Contracting Guide Dept. IT Security Plan • FISMA Report Dept. Enterprise Architecture • Technical Standards Dept. GPEA Implementation Plan • BPR Assessment Dept. IT Workforce Plan • IT Skills Assessment Investment Portfolio OCIO Reports OMB Exhibit 300 s/53 s Agency Deliverables Deficiencies Fo. SSE Fo. S Design Synthesis RESULTS: Performance Information / Better Success with Projects EA and IT Governance - 31 Recommended Integrated Solution Set

An Enterprise Architecture Framework The IDEA Team Derived from the Practical Guide to Federal Enterprise Architecture, September 2001 EA Program Planning • Program Plan • Roadmap • Strategic Visioning • Framework • Tools Current Architecture Assessment • Baseline EA Products • Link Relationships • Publish Baseline • Validate Baseline © Minder Chen, 1995 -2007 Target Architecture Definition • Business & Technology Drivers • Target EA Products • Map to Federal Reference Models Transition EA Process, Methods Planning & Tools • Gap • Governance Analysis • Capital Mgmt. • Transition • Communications Initiatives • Tool Integration • PMO • Metrics • Portfolio • Asset Mgmt. Management EA and IT Governance - 32

Role of EA to the Organization (its not just about IT) • Become the Proactive Participants in Strategic Business Planning • Bridge the “Gap” between Business & IT; with Continuous Focus on Business Imperatives • Raise Problems Early • Facilitate Horizontal (cross-federal) and Vertical (federal, state, and local) Information Sharing © Minder Chen, 1995 -2007 EA and IT Governance - 33

Things One Would Like to Avoid Trying to Boil an Ocean I’ve Got a Hammer and Every Problem Is a Nail Perfection, the Enemy of Good Enough © Minder Chen, 1995 -2007 EA and IT Governance - 34