September 2003 Mark Nelson Mark@ICHnet ICHnet/sail.htm 703 768 0400

1. A “Collaboratory” where Solutions Architectures are derived from industry best practices and lessons learned An emerging public/private partnership where PMs can get their programs to green in a conflict-free environment and risks of failure are mitigated September 2003 Mark Nelson Mark@ICHnet.org www.ICHnet.org/sail.htm 703 768 0400 DHS & e-Gov Solutions This document is confidential and is intended solely for the use and information of the client to whom it is addressed.

2. Recommended Actions • Review SAIL value proposition with Govt IT management team • Review challenges, inspect Approach, listed to agency advocates • Review past performance work leading to this initiative (OSD HA, DARPA, Discovery) • Conduct Analysis of Alternatives; how does this compare with current approaches. • Identify current problem area for pilot. Solicit industry/agency participation • Initiate to low cost, low risk prototype with like minded agencies/industry partners

3. Table Of Contents The Need, Concept and Vision Value Chain Participants Outcomes SAIL Concept of Operations Value Proposition “... the concept of the Interoperability Clearinghouse is sound and vital. Its developing role as an honest broker of all interoperability technologies, no matter what the source, is especially needed. Such efforts should be supported by any organization that wants to stop putting all of its money into maintaining archaic software and obtuse data formats, and instead start focusing on bottom-line issues of productivity and cost-effective use of information technology.” Assessment byLeading FFRDC, 2000

4. Our mission to advance collaborative architecture mechanismsthat assure the successful modeling of enterprise technical solutions aligned with business drivers in an open, and conflict free, market place

5. The Challenge: New IT Initiatives (eGov, Web Services, DHS) lack access to the right set of resources and industry best practices necessary to cycle through the pre-acquisition planning and architecture process Lack of reliable and timely solution architecture data leads to implementation failure! • Research indicates that 34% of current IT failures (72%) is due to problems in aligning optimal technology with business needs (Dec 98 Information Week Feature Article on why IT Fails) • Fast paced IT market, combined with high failures rates, dictate a change in current technology adoption process (Clinger/Cohen Act) • Both business requirements and technology change before most agencies can get through traditional COTS evaluation process; research, testing, prototyping. (AF SAB Report, April 2000) • Security and Interoperability considerations rarely addressed, yet critical when implementing commercial solution (White House Draft Cyber Security Strategy). • Stake holders need a common criteria and standardized vetting process by which they can communicate business needs to emerging technical solutions (IAC EA SIG)

6. Critical Success Factors (CSF) for making architectures actionable for major IT programs CIOs, PMs and Government Leaders need; • Business context of emerging standards and commercial offerings • More timely and cost effective mechanisms for accessing market capabilities in a conflict free environment • Clear and unambiguous architecture views that enable clear Stake Holder agreements (Value Chains, CBA) where business needs can be aligned with proven solutions • Means of linking architecture and acquisition processes while reducing risk of program delay and failure • Partnership with community of interests (agencies business lines, CIOs, Vendors, Integrators) to share best practices and implementation lessons learned. What assures success? IF THESE RESONATE WITH YOU, then SAIL is the vehicle for getting there

7. What are the proposed “products” of SAIL • A public/private partnership where agencies, vendors, integrators, and standards groups collaborate development and certification of Solution Architectures, Business Cases and AoA. • An Architecture Resource Center that bootstrap agencies understanding and application of emerging technologies in an architecture context • A virtual government/industry solution architecture certification lab that leverages the existing market capabilities and implementation experiences of industry • A non-profit advisory service that puts OMB reference models in the hands of PMs, Architectures, Business Lines and Integrators • A shared knowledge exchange where re-useable solution architecture templates are continuously updated by a large community of interests and stake holders • A new e-Gov and DHS initiativethat provides agencies with the means of accessing critical expertise necessary to get from architectures to implementation reality.

8. Table Of Contents The Need, Concept and Vision Value Chain Participants Outcomes SAIL Concept of Operations Value Proposition Excerpt from EDS Business Case Analysis: “The leveraging of our efforts with other parties through the formulation of a non-profit consortium is the most cost effective and efficient way of achieving the goal of interoperability assurance among heterogeneous systems. This ICH capability will augment our capability and provide us much more information about products, standards, and viable enterprise solution sets than we could ever realize through our own internal efforts.”

9. Value Chain Eco Systems - Inputs/Contributions GovernmentAgencies (State & Federal) Technology Vendors & VARs • Enterprise Requirements • As-Is Architecture Models • Regulatory Requirements/Constraints • Implementation Best Practices • Best of Breed Offerings • Compliance Assertions • Customer References SAIL Contract Systems Integrators OMB Reference Model Templates Conflict Management Govt wide Contract Vehicle COTS Component Directory Best Practices Repository Industry Outreach Standards & Industry Groups • Architecture/Planning Services • Integration Best Practices • Domain Knowledge • Integration References • Emerging Standards • Architecture Methods (MDA, RM-ODP, ICH AAM) • Certification Services • Industry Out reach

10. Value Chain Eco-System - Outputs/Benefits GovernmentAgencies (State & Federal) Technology Vendors & VARS • Stake Holder Agreements • Documented Business Case • Industry accepted Solution Architecture • Analysis of Alternatives • Working Prototype • Compliance (GPRA, A130, A119, FEAPMO, DoD 5000 series) • Acquisition Roadmap • Industry Best Practices • Managed Conflicts of Interests • Vetted Business Case for Products • Re-usable Case studies • Contract Vehicle for prototype efforts • Certified Solution Templates • Managed Conflicts of Interests SAIL Contract Education & Mentoring EA Certification Solution Templates Risk Mitigation EA Mentoring/Training EA Resource Directory Systems Integrators Standards & Industry Groups • Govt wide contract vehicle for planning/architecture offerings • Low cost Market Research Data • Managed Conflict of Interests • Certification of Integration Capabilities • Re-usable solution frameworks • Domain Solution Frameworks • Validated Standards Profiles • Business Case for Standard adoption

11. Technology Vendors (ISVs) Define offerings in context to a broader solution by domain Provide level playing field for communicating product fit to customer needs Independent validation of case studies/success stories Expose products to enterprise buyers exactly when they’re looking for them Capture implementation/testing results Standards Community Obtain business needs for specification enhancements Map standards to business needs Define inter-relationships with other standards Map commercial products features and interfaces to standards specs Validate Architecture Soundness Establish common architecture nomenclature Value Chain View-points

12. System Integrators/Management Consultants Advise agency leadership and PM in conflict fee zone Certify integration capabilities, domain knowledge, technology expertise Align business needs with critical integration expertise Certify competency of EA methods and tools Strengthen role in IT value chain Leverage existing solutions partnerships Enterprise Users Ability to align business needs with critical standards, products, and integration services Improved mapping of business needs to IT investment Bootstrap application of FEA guidance to major programs Reduce time and cost of pre-acquisition process Reduced Solution Development Life-Cycle risk Access to best practices in re-usable form Value Chain View-points

13. Table Of Contents The Need, Concept and Vision Value Chain Participants Outcomes SAIL Concept of Operations Value Proposition “The ICH repository data and analysis methodologies was very helpful in supporting a quick turn around for [Information Assurance] section of COTS security products. Highly detailed ICH technology domain and product evaluation data comprised over 60% of this urgently needed [architecture] report”.GCPR, Program Manager, Northrop Grumman/PRC

14. ICH is ushering in a new Value Chain Assessment approach to model, align, and validate complex business strategies into viable solutions ITERATIVE/VALUE-BASED METHODOLOGY (weeks to months) Strategy Profiling and Architecture Alignment • Iterative refinement and validation of business strategy and I/T solutions • Significantly shorter delivery timescales • Avoidance of “big-bang” approaches • Focused stakeholders and expectations • Successful target realization • Develop product / service strategy with citizen/customer • Identify linkages and alignment to Federal and Agency Enterprise Architectures • Define short-term targets to help momentum and assist change Business Modeling and Validation • Develop proof-of-concept and pilot prototype applications • Measure value of short-term targets • Advance / refine as necessary Domain Experience/SME Shared/Evolving Vision Value Proposition Iterative Prototyping • Iteratively evaluate / refine prototypes • Capture and integrate citizen/customer feedback • Constant review and update supporting technologies Value is captured and measured in iterative implementations Business strategy evolves based on lessons learned and customer feedback

15. Cost/time Delta S.A.I.L. Market Place Redundant Research and Testing SAIL best practices collaboratory Value Prop: Information Sharing and collaboration significantly reduces time, cost and risk transitioning from architectures to implementation reality High Acceptable Risk Level Risk Delta Project A Confidence Level Project B Project C Low Strategy Discover Architecture Validation Acquisition Implementation Validation Resources (cost & time line) Pressure to field solutions without vetted solution architectures is #1 cause of failure!

16. SAIL Mechanisms:Accelerate the transition from architectures to implementation reality. • To bootstrap Agency’s application of FEAPMO Reference Models in architecting complex solutions • To mentor development of e-Gov/DHS solution architectures that are business driven,actionable and compliant • To establish a set of normalized, re-usable solution frameworks to accelerate the architecting, development and implementation of Cross-Agency e-Gov initiatives • To enable transforming of common e-business requirements into interoperable COTS solution suites that provide immediate ROI • To provide a formal process to enable adoption Component-Based Architectures; • To eliminate redundancy and reduce cost by providing agencies with a common, cross agency solution architecture and research lab. • To provide an joint government/industry clearinghouse of re-usable and normalized architecture “blueprints” in a common form (ie. OMG MDA, ebXML).

17. Table Of Contents The Need, Concept and Vision Value Chain Participants Outcomes SAIL Concept of Operations Value Proposition “The ICH repository data and analysis methodologies was very helpful in supporting a quick turn around for [Information Assurance] section of COTS security products. Highly detailed ICH technology domain and product evaluation data comprised over 60% of this urgently needed [architecture] report”.GCPR, Program Manager, Northrop Grumman/PRC

18. To assist agencies in the rapid assembly and realization of their eGov and DHS integration initiatives, a solution validation center is needed Solution Architecture Center Objectives: • Act as an honest broker to balance strategic vision and reality • Capture business requirements in OMB Reference Model terms (BRM, PRM, SCRM, DRM, TRM - A130) • Enable greater stake holder participation and oversight (congress, CIO, CFO, COO, users, suppliers, industry partners) • Streamline business case to solution architecture process (S803) • Provide industry outreach - leverage standards, COTS and commercial best practices (OMG A119 compliance) • Create a “mock-up” of the solution that validate stakeholder needs prior to acquisition • Enable multiple agencies/states to collaborate on a common solution architecture. • Share lessons learned and solution architecture templates for reduced risk, and faster time to market • Protect stake holders from Conflict of Interests concerns during the planning and architecture process! Step 1 Identify Solution Architecture to begin strategy realization Step 2 Select components/ build solution components Step 3 Rollout to stakeholders for validation of strategy Step 4 Define production requirements, release for production build Note – The Prototyping/Solution Center does NOT build the Production Version

19. SAIL Steps • Agency given SAIL lab business requirements, existing TRM, limitations • SAIL Industry partners help normalize into BRM format, identify related best practices • SAIL helps develop and reuse normalized SRM templates that align with business needs • Agency confirms SRM components. Creates balanced scorecard and common criteria. • ICH helps agency issue RFI to industry using SRM templates. SAIL helps with outreach via standards partners and other outreach vehicles. • Prospective offers participate in SAIL down select process. Offerers fund own vetting process and provide normalized product profiles based on SRM templates. • SAIL partners performs down select process based on vendor submission and analysis of alternatives • SAIL partners who make down select participate in funded prototype development resulting in at least two approaches • Based on success of efforts, govt. issues RFP for major deployment.

20. (SELECT) Project Initialization How SAIL supports existing EA ProcessUsing re-usable solution templates Reusable Best Practices Templates SAIL Assessment Framework Aligned per IT Strategy Business Requirements Normalize BRM Language (SELECT) Proposed Concept 1 Develop Assess Business Alignment Case Business Case BRM Templates Proposal Assess Acceptable Enterprise Technology 2 Compliance Design Compliance 3 Patterns Industry Self Vetting Process TRM Standards Reusable SRM Templates SAIL Solution Templates Report Compliance Assessment Evaluate Unacceptable Architecture 4 Disapproved Compliance Compliance Unacceptable Conformance 5 Reusable SRM Templates Architecture Roles Assess Waiver/ Exception Request Validation Points Audit Reports

21. Accelerated version of ICH’s EA IV&V Process Agency PMs Industry Best Practices & Standards Business Strategy Validation Value Chain Analysis Normalize BRM Business Requirements, Policy, & Guidance Certified Solution Architects Best Practices Models Business Models Business Patterns Best Practices Alignment Solution Exist? COTS & Integration Capabilities Reusable COTS Component Architecture Templates Yes Align and Validate Solution Bill of Materials Solution Architecture Templates no MDA Service Components Model New Solution Solution Validation MDA Service Components OMB Approved (300b) Normalized Solution Frameworks Pre-Validated Reference Models BRM PRM SRM TRM DRM AoA Complete? Solution Architecture Validation and Demonstrations no Yes

22. SAIL “exchange” uses SRM to enable partners to model and align business needs to technical solutions Reference Models Associated Metrics BRM Business Drivers & Metrics Performance Metrics Core Business Mission Objectives Business Processes & Infrastructure Effectiveness/Efficiency Service Elements & Metrics (SRM) BRM Appl Service Components Layer 1 Solution Repository Contribution to Fulfillment Functional Traceability Infrastructure Service Components Layer N Technical Solution & Metrics BRM Interoperability/Security Application Layer 1 Common Infrastructure Layer M

23. Table Of Contents The Need, Concept and Vision Value Chain Participants Outcomes SAIL Concept of Operations Value Proposition OFFICE OF THE SECRETARY OF DEFENSE, DEPUTY CIO: "Since the value of the ICH to our programs increases rapidly through results sharing, we encourage the defense community and IT industry to participate directly in the public service initiative in terms of sponsorship and lessons learned"

24. Conclusion Operationalizing the FEA Reference Models can be accelerated by a partnership between government and industry SAIL increases the number of vested (and educated) stake holders in Solution Architecture definition process SAIL increases likelihood of making architectures an actionable business tool that enables true transformation SAIL enables sharing of existing testing and implementation results to better assure implementation success SAIL provides a high integrity registry of market capabilities in a business value context

25. Case Studies: Early adopters demonstrate benefits

26. Case Study: World Largest Healthcare Project; $4.1 Billion Govt Wide e-Healthcare program Challenge: develop enterprise architecture for patient record integration • Applied ICH Architecture Immersion Program • Developed architecture validation criteria to GCPR Program Office • Developed product selection guidelines for Prime Contractor • Applied ICH Architecture Assurance Method • Outcomes • Enabled award based on unambiguous design specs • Augmented UML/MDA to address legacy and COTS capabilities • Ensured viability of chosen technologies • Met HIPPA requirements • Met security requirements • Provided integration framework for web infrastructure • Assured implementation success

27. Case Study: World Largest Media Company; Discovery Channel Challenge: Select enterprise web infrastructure to integrate stovepipe applications • Applied ICH Solutions Validation Program • Performed architecture baseline assessment • Provided guidance and selection support for Web-app server, VPN, portal, last-mile wireless connectivity • Outcomes • Validated requirements against marketplace offerings • Improved confidence in technology decisions • Delayed VPN implementation • Purchased Web application server, database, and media products • Deployed system without a hitch • Significantly reduced time/cost to implementation

28. Case Study: World Largest Intelligence Agency Challenge: means of integrating diverse communities via the web • Applied Architecture Validation Program • Developed common criteria for emerging portal market • Evaluated selection of Enterprise Portal for pilot project • Developed impact analysis on enterprise architecture • Maintained view of evolving marketplace • Outcomes • Enhanced and normalized portal selection criteria • Identified key features/functional areas for testing • Applied commercial best practices for successful production rollout • Improved understanding and alignment of technology to problem domain

29. Case Study: GSA Financial Systems Enterprise Architecture Challenge: making EA actionable, eliminate redundant Financial Mgt. Systems • Applied Value Chain Analysis • Developed metrics for FMS implementation success • Evaluated current EA products • Developed Value Chain assessment model • Moved EA effort into CFO office • Outcomes • Enhanced and normalized existing EA products • Identified key business processes required for implementation • Enabled senior management to interact with EA process for the first time. • Helped GSA go from “red” to “green” based on Value Chain effort • Identified over $100 M in potential savings via ICH Value Chain Approach

30. Backup Slides

31. Value Chain Benefit: Agency Leadership, Congress, GAO & OMB • Provides view into planning process • Establishes metrics for mission fulfillment • Aligns IT Capital investment with Agency Mission • Leverages industry best practices/lessons learned • Creates Understandable & Actionable Project Transition Plans • Catalyst for implementing President’s Management Agenda Policies Compliance Congress, Agency Leadership: COO’s, CFO’s Auditors

32. Value Chain Benefit: CIO, CTO, Chief Architects, Chief Security Officer IT Management: CIO/CTO/CAO: IT Program Plans • Identifies viable COTS solution frameworks Quickly • Models Architectures and Inferences to Identify Linkages with Strong and Weak “Track Records”. • Saves and Shares Models using common architecture terms (MDA) • Provides “What If” Modeling and Analysis • Provides In-Context, Real-Time, Just-In-Time Research Data • Use of SAIL Feeds Data Back to Knowledge Base AoA, Resolved COI Congress, Agency Leadership: COO’s, CFO’s Auditors

33. Value Chain Benefit: Solution Integrator & Consultants IT Management: CIO/CTO/CAO: Integrators Re-usable BluePrints Integration Skills • Provides Solid Evidence for making COTS decisions • Shares Integration Success Record with Potential New Customers (Who are Looking!) • Finds Potential COTS Component Matches Based on Prior Similar Context Successes • Provides “What If” Modeling and Analysis for component composition • Provides Design Differentiation to Enhance Quality Marketing • Use of Tool Feeds Data Back to Knowledge Base Congress, Agency Leadership: COO’s, CFO’s Auditors

34. Value Chain Benefit: Standards Bodies and Industry Groups IT Management: CIO/CTO/CAO: Standards & Industry Groups Standards Templates Integrators • Captures Use-Cases that Support and Justify Standards • Models Correct Use of Standards in selection COTS products • Links Pertinent Standards to Products Features/functions • Provides Dynamic, but Solid Compliance Record (A119) • Enable collaboration between disparate industry groups Adoption Congress, Agency Leadership: COO’s, CFO’s Auditors

35. Value Chain Benefit: COTS vendors, Component Builders, Small Businesses IT Management: CIO/CTO/CAO: Standards Development Organizations Integrators • Provide Buyers with the Exact Product Information they Need When They Need It • Certifies Vendor Claims Based on 3rd-Party Validation/History Data • Increased Buyer’s Chances for Successful Use of Vendor Product --> Happy Customers! • Generates normalized COTS solution blue prints Specifications & References Technology Adoption COTS Vendors/ Component Builders Small Businesses Congress, Agency Leadership: COO’s, CFO’s Auditors

36. SAIL Program Roll out: Steps to Success • Validated Need through; AF SAB, ECCWG, OMB SAWG and IAC EA SIG recommendations • Established COTS selection criteria (common criteria) to align with business needs • Developed Component Architecture Templates, load into ICH Solution • RepositoryEstablished EA IV&V GSA Schedule 70 for Agency Wide Usage • Supposed IT Reform objectives; FEA-PMO, PMA, S803 Objectives (e-Gov Act) • Established Educational Program to enable transformation; SecurE-Biz .net • Secured advocacy from leading standards and industry groups (PSC, OMG, ICH, CCIA, CEG, INCOSE) • Secured support from leading agencies (GSA, Homeland Security, FAA, SBA, Interior, OMB, GAO, NSA, Army) • Securing industry Agreements & Commitments with prospective partners (35%) • Establish a Pilot program. Secure Matching Funds from e-Gov Fund, States and Industry • Secure agency agreements/support. Develop task orders via new GSA FED SIM Contract Vehicle • Stand up virtual SAIL facilities and e-Solution Portal

37. S.A.I.L. Life Cycle Toolkit RecommendationIntegrating proven methods and tools in a collaborative environment SAIL Tool Proposed Operationalized Methods/Tools • EA Planning; NASCIO EA Toolkit, ICH Architecture Assurance Method • Enterprise View; IEEE-1471, OSI-Reference Model for Open Distributed Processing • DoD Business Modeling: DoD Architecture Framework (C4ISR), OMB BRM • Civil Agency Business Modeling: ICH Value Chain Analysis, CSC Catalyst, • Model Linkage; OMB SRM, ICH Business Alignment Method • Application Modeling; OMG Model Driven Architecture (MDA), OMB TRM • Component Modeling: ICH DCAM & SEI Component Architecture Guidance • FEA Repository; FEAMS, METIS, ICH COTS Component Repository • EA Maturity GAO EA Maturity Model • Information Modeling OMB DRM, Entity Relationship Diagram • EA Shared Best Practices SecurE-Biz Solution Architecture Training Program

38. Example: Vendor supported onLine directory enables discovery

39. Example: Shared research reduces life-cycle times and risk

40. Example: Aligning technical needs with Business Drivers

41. Example 2: Creating a balance score card for COTS selection

42. Open Source Architectures: Building on ICH’s COTS Component Repository

43. S.A.I.L. Public/Private PartnershipGetting agencies to “green” in a conflict-free zone • A collaborative, public service initiative where agencies can share insights into emerging technologies and testing data in a conflict free zone • Means of facilitating development of business cases, OMB Reference Models, and analysis of alternatives (product/standards choices) • A public/private partnership to establish directory of proven and interoperable solution templates (and necessary integration capabilities) • Industry supported initiative that puts commercial offerings (both products and services) in contextual architecture terms simply and quickly based on implementation/testing best practices data • Clearinghouse of re-usable (and normalized) architecture frameworks for both government and industry use • A consortium of standards bodies, vendors, and users working together to advance President’s Management Agenda; FEA-PMO, e-Gov, A119, A130, DoD 5000 series