Understanding Enterprise Architecture in Federal Agencies

1. Enterprise Architecture - How EPA has adopted the Federal Enterprise Architecture May 9, 2005

2. Purpose of this Presentation • Discuss Enterprise Architecture (EA) • What is it? • Why do we need it? • What’s its value? • What are the legislative drivers? • Describe the Federal Enterprise Architecture • Describe the basics of EPA’s adoption of Enterprise Architecture

3. What is Enterprise Architecture (EA)? • Management process and tool to: • Facilitate and enable enterprise-wide thinking and informed decisions making about an Agency’s information assets and business processes to better support its mission. • Document existing business processes, data sets, applications and technology and plan the future state. • Facilitate effective partnerships across the federal government, with states and other organizations to enable standards-based data-sharing • Enhance an Agency’s ability to accomplish its mission through improvements in business processes, and availability of information and analytic tools • Identify opportunities to achieve economies of scale by reuse of common functions, services, data, applications and technology that can benefit the entire agency • Support informed agency investment decisions. • Ensure consistency with the architecture of the Federal government.

4. Layers of the Architecture Major EPA/EA Elements

5. Using the architecture to describe how the US EPA mission is delivered

6. What is the value of EA? • Facilitates and enables enterprise-wide thinking and informed decisions about EPA’s business processes andinvestmentsto better support EPA’s mission. • Identifies opportunities to eliminate redundancy of processes, data, applications and technology • Prevents investment dollars from being expended on duplicate data, processes, applications or technology • Identifies business functions and investments not aligned with EPA’s mission goals and objectives and introduces discipline to both prevent and mitigate discrepancies

7. What is driving the need for EA? • The Federal government can no longer afford to continue to develop unique processes, systems and data sets for common business functions. (e.g. grants management, time and attendance, payroll management, acquisition management, rulemaking) • Departments and Agencies can no longer afford to develop or operate stovepipeprocesses and systems. It is costly and inhibits cross-media analysis and information sharing/acquisition. • Improvements require a mind-shift toward Federal-wide and Agency-wide approaches to accomplishing mission goals.

8. Legislative and Administrative Drivers • Section 5125 of the Clinger-Cohen Act of 1996 states, “The Chief Information Officer of an executive agency shall be responsible for…developing, maintaining, and facilitating the implementation of a sound and integrated information technology architecture for the executive agency…” • President’s Management Agenda (PMA): An aggressive strategy for improving the management and performance of the Federal Government; includes five government-wide initiatives: • Strategic Management of Human Capital • Competitive Sourcing • Improved Financial Performance • Expanded Electronic Government (E-Gov) • Budget and Performance Integration • Federal Enterprise Architecture

9. Establishing a Federal Enterprise Architecture for The United States Government.

10. Expanding E-Government: Moving from Agency-Centered to Citizen-Centered • The Vision: An order of magnitude improvement in the federal government’s value to the citizen; with decisions in minutes or hours, not weeks or months. • E-Government Definition: The use of digital technologies to transform government operations in order to improve effectiveness, efficiency, and service delivery. • The Principles: • Citizen-centered, results-oriented, market-based • Integral component of President’s Management Agenda • Simplify and unify “Government likes to begin things - to declare grand new programs and causes. But good beginnings are not the measure of success. What matters in the end is completion. Performance. Results. Not just making promises, but making good on promises.” President George W. Bush

11. A Significant Finding from the President’sE-Government Strategy: Compelling Need for an FEA The goals of the Federal Enterprise Architecture are to: • Enable the Federal Government to identify opportunities to leverage technology and alleviate redundancy, or to highlight where agency overlap limits the value of information technology (IT) investments • Facilitate horizontal (cross-Federal) and vertical (Federal, State and Local) integration of IT resources • Establish the “line of sight” contribution of IT to mission and program performance • Support a more citizen-centered, customer-focused government that maximizes IT investments to better achieve mission outcomes

12. Federal Enterprise Architecture: The Basics FEA is based on a series of “reference models” designed to facilitate cross-agency analysis and to identify duplicative investments, gaps, and opportunities for collaboration • Business Reference Model describes government’s “lines of business”Provides foundation for: • Budget Allocation • Hor & Vert Info Sharing • Performance Measurement • Budget/Perf. Integration • Cross-agency collaboration • E-Government • Component-based architectures Use of Reference Models provides a powerful tool for understanding what an agency does, and how it does it.

13. How the FEA Reference Models Come Together Performance Reference Model (PRM) Outcomes, Measurements, Metrics Business Reference Model ( BRM ) Service Component Reference Model ( SRM ) Technical Reference Model ( TRM ) Rule Publication Support Delivery of Services Technologies Platforms J2EE .NET Windows NT Knowledge Mgmt CRM Content Mgmt Collaboration Search Portal Personalization Regulatory Management Policy and Guidance Devel. Public Comment Tracking Regulatory Development Rule Publication Data Mgmt ODBC JDBC Business Logic Business lines and functions Supporting technology and standards Enabling capabilities, components, and services Data and Information Reference Model (DRM) Classification, Categorization, XML, Sharing Component-Based Architecture Service Components Service Types Service Layers

14. LEVEL 2 …the process used (how does the government accomplish these goals) LEVEL 3 …the management and support functions necessary to run the government and its programs The FEA Business Reference Model FEA Business Reference Model Version 2.0 LEVEL 1 …the purpose of government (what are the performance goals)

15. BRM Version 2.0: Services for Citizens Business Area **While this Line of Business does not represent a service for the citizen, it represents the “purpose” of the government’s central management organizations; and can therefore be grouped within this business area of the BRM.

16. The Performance Reference Model (PRM), Version 1.0 Measurement Area ----Measurement Category --------Measurement Indicator

17. Performance Reference Model (PRM): The PRM can help: • Produce enhanced performance information to improve strategic and daily decision-making • Improve the alignment and contribution of inputs (technology) through outputs (processes and activities) to outcomes (business and customer results) • Identify collaboration and performance improvement opportunities across traditional agency boundaries

18. The SRM: Snapshot of Service Domainsand Service Types SERVICE COMPONENT REFERENCE MODEL Process Automation Services Business Management Services Digital Asset Services Business Analytical Services Back Office Services Customer Services Support Services • Security management • Collaboration • Search • Communication • Systems management • Tracking & workflow • Routing & scheduling • Data management • Human resources • Financial management • Assets / materials management • Integration • Human capital / workforce management • Customer relationship management • Customer preferences • Customer initiated assistance • Content management • Document management • Knowledge management • Records management • Analysis & statistics • Visualization • Business Intelligence • Reporting • Management of process • Organizational management • Investment management • Supply chain management The SRM is structured across horizontal service areas that can provide a leverageable foundation for reuse of applications, application capabilities, components, and business services.

19. The DRM: Supporting Investment and E-Gov Planning DRM provides framework for agencies to leverage existing data components across the Government Goals and Objectives: • Promote horizontal and vertical information sharing between business lines • Business-focused data standardization that can be categorized for re-use • Re-use and integration of data as opposed to duplication • Enabler to support cross-agency collaboration • Facilitate cross-agency information exchanges • Consistent means to categorize and classify data Integrated Enterprise Agency 1 Agency 2 FEA-DRM State Local Agency 3 Agency 4 Bureau Bureau Bureau

20. Technical Reference Model (TRM): External Environment (Outside Agency Boundaries) Demilitarized Zone (DMZ) (Service Component Access) Internal Environment (Within Agency Boundaries) Service Platform Component Framework (n-Tier Architecture) Security Layer Back Office / Legacy Assets Infrastructure Service Integration Service Interface Infrastructure Service Interface Delivery Channels Access Channels Presentation / Interface Layer Service Requirements Service Transport Business Logic Layer Data Interchange Data Management Infrastructure Component Framework Service Access and Delivery Service Interface and Integration Service Platforms & Infrastructure

21. Federal Lines of Business (LoBs) • The Federal Enterprise Architecture (FEA) identifies common services (i.e., Lines of Business) that the Federal government provides. • Most EPA’s Programs map to the Environmental Management LoB • Sub-functions are defined for each LoB; for example EPA’s Superfund Program performs the sub-functions: • Environmental Remediation • Land Monitoring and Cleanup • OMB has identified six LoBs for government-wide analysis • Financial Management • Human Resources Management • Grants Management • Federal Health Architecture • Case Management • Cyber-Security (New) • Efforts were initiated to determine common solutions and a target architecture with strategies for consolidation of business processes, integration of existing operations, and/or shared service provider arrangement.

22. Legislation Appropriations Legislative Branch Agencies (Executive Branch) HUD DoT DOI EPA Indian Community Development Block Grant Program CDFI Fund: Financial and Technical Assistance Indian 477 - Job Placement and Training Rural Water Supply Projects Water Resources Research Alaska Native Villages Community and Social Services LoB Natural Resources LoB IT Resources Programs and LoBs Lines of Business – Opportunities for Collaboration Programs Citizen-Centered, Results Driven Government

23. SBA SBA SBA Treasury Treasury Treasury Defense Defense Defense EPA Agencies EPA EPA Agencies Agencies Interior Interior Interior Justice Justice Justice DHS DHS DHS Energy Energy Energy HHS HHS HHS Education Education Community and Social Services Community and Social Services Economic Development Natural Resources Homeland Security Financial Management Human Resources Health Economic Development Natural Resources Homeland Security Financial Management Financial Management Human Resources Human Resources Health Mapping / Geospatial / Elevation / GPS Security Management Reusable Service Components Service Components Records Management Management of Government Resources Management of Government Resources Management of Government Resources Services to Citizens Services to Citizens LoBs and Services Lines of Business and Service Components across Government Citizen-Centered, Results Driven Government

24. Suite of Management Tools: Focus on Results PART Federal Enterprise Architecture PMA Scorecard EA Assessments and Transition Planning Citizen-Centered, Results Driven Government

25. FEA Mission, Vision and Goals Develop and use the Federal Enterprise Architecture to improve government efficiency and effectiveness The Federal Enterprise Architecture Practice is the cornerstone for the design, development and implementation of information resources government-wide 1. Improve utilization of government information resources to focus on core agency mission and service delivery to citizens by using the FEA. • Articulate FEA Value and Build Trust with EA Partners • Refine the FEA Value Proposition • Develop and Implement a Communications Strategy • Gather and Share EA Case Studies • Evolve the FEA to Drive Results • Establish and Implement a Governance Framework • Link the PRM to the PART Framework • Align Enterprise Architecture to Agency Strategic Planning • Complete the Development of the Data Reference Model (DRM) • Engineer the FEA to Standardize Linkages between Reference Models • Guide the Development of the Security and Privacy Profile • Launch a Records Management Profile • Create a Geospatial Profile • Develop an Enterprise Architecture Glossary of Terms • Develop and Evolve the Lines of Business and Other Collaborative Opportunities • Support the Identification of New Lines of Business • Support the IT Security Line of Business • Guide Agency Transition Planning Toward Common Solutions • Support the Integration of the E-Government and LoB Initiative Architectures • Enhance the Value and Business Benefits of Collaboration Tools • Measure EA Value with the EA Assessment Program 2. Enhance cost savings and cost avoidance through a mature FEA government-wide. 3. Increase cross-agency and inter-government collaboration.

26. CONOPS The Charge for Departments/Agencies Architect – Invest - Implement Stakeholders Architecture Investment Implementation Develop and maintain enterprise architecture Manage IT investment portfolio Develop segment architecture/LOBs Review and approve segment architecture relative to enterprise architecture (EA) Select IT investments Prepare Program Management Plan(s) Control investments Execute project(s) Evaluate investments end-to-endgovernance Citizen-Centered, Results Driven Government From presentation given by Dick Burk (OMB Chief Architect) at ArchitecturePlus on April 28, 2005

27. The EPA Architecture: Built uponthree principal domains of EPA business • Composite architecture within holistic structure • Built on “domains” • more new terms - define! • Environment / Health • Research and Science • Administration

28. The initial EPA BRM extends the FEA BRM FEA Business Reference Model v.2.0 EPA Business Reference Model Services to Citizens Mode ofDelivery SupportDelivery ofServices Mgt of Gov. Resources

29. Proposed Changes to EPA BRM to better portray the Agency activities

30. EPA Data Architecture Components • Strategic Information Model based upon EPA’s Strategic Plan • Registry of XML Schemas – for sharing data externally with government partners • Created an Environmental Data Registry containing data element level definitions and standards • Reverse engineer data in current systems Out of these exercises, EPA: • Identified 6 major information groups to focus our data architecture on • Environmental management authority Legislation, regulation • Environmental concern Issue, hazard, risk • Environmental components Resource, population, place, stressor, substance • Environmental management Program, activity, incident, data, program management • Environmental management partners Sector, organization • Places Site, facility, geographic area

31. Data Architecture: Future Direction • The purpose of the data architecture is to: • Identify common data needs and develop appropriate schema for data storage • Inform the development of EPA’s Data Warehousing strategy • Goal: Integrated access to all EPA data • Metadata management is critical for success in data integration • Goal: Integrated active metadata management • EPA’s Applications Architecture is designed to meet warehousing and metadata management needs

32. EPA’s Application Architecture • Designed to integrate data • A long term commitment to rebuild key Agency applications • Built on shared common service components for • Data Collection • Data Processing • Data Storage • Data Access • Metadata Registries • Grounded in current, professional, data management concepts

33. EA Applications Architecture: EPA’s Modernization Blueprint of Enterprise Services A common structure of Enterprise Tools shared by all environmental programs

34. External Interoperability:Environmental Information Exchange Network • States – Data Stewards • EPA – Data User • Partnership & Collaboration between Governments An Internet and standards based method for exchanging environmental information between partners!

35. User Devices: Hardware, Operating & File Systems Office Automation, Groupware, Utilities User Environment Environmental, Business, Scientific & Integration Geospatial, Modeling, Collection, Analysis & Statistics Applications Common Infrastructure Hosting Communications Data Servers-Mainframe, HPC, UNIX & Windows Storage-Systems & Arrays Functions-Inter/Intra/Extra- Net, Application Services, Backup & Recovery Databases – Data and Metadata Integration, Migration & Interchange Data Quality, Data Marts Data, Audio & Video Transfer Protocols & Physical Plant External Facilities Systems Management Developer Support Mgmt User Support Management Data & Content Management Technology Management Data Encryption, Integrity & Protection Intrusion Detection & IPSEC Security Identity Management EPA Technology Reference Model

36. Putting it all together, EPA’s EA assists management know its investments support its goals. Investments TargetArchitecture Restore Land Superfund Program Environmental Remediation Superfund Document Management System Site Data Uses Central Data Exchange Services Documentum

37. Using Enterprise Architecture- maturing its value • OMB is directing Agencies to use the EA to support critical analysis and planning: • Redundancy and Gap Analysis: Perform redundancy and gap analysis on business processes, business rules, data, applications and technology, where practical; include results in target architecture and transition plan. • Strategic Planning Process: Align Agency’s strategic plan, acquisition plan and business operations. • Capital Investment: Use EA artifacts to prioritize investments as a key part of the Capital Investment Planning Control (CPIC) process. • Achievement of Performance Goals: Demonstrate an increase in performance and support for the Agency goals in target architecture and transition plan.

38. John Sullivan, Chief Architect CONTACT: sullivan.john@epa.gov (202) 566-0328