Interoperability ClearingHouse

1. Interoperability ClearingHouse A SOA Governance Roadmap for Establishing a DoD/VA Virtual Lifetime Electronic Record Leveraging ICH’s Architecture Assurance Method in Healthcare Informatics John Weiler, john@ICHnet.org Executive Director, Interoperability Clearinghouse Vice Chair, IT-Acquisition Advisory Council 703 768 0400 www.ICHnet.org

2. Briefing agenda • Introduction of Interoperability Clearinghouse (ICH) Public/Private Partnership • DoD/VA Health Record Interoperability Challenge and CSFs • Overview of Three Stage Architecture Assurance Method (AAM) • How the AAM enables compliance, governance and source selection • How DoD/VA achieve its interoperability objectives and time lines • Backup Slides: SOA Acquisition Supply Chain • Backup Slides: AAM Case Studies and Past Performance

3. ICH Charter A public/private non-profit research institute to advance standardized architecture methods that assure successful acquisition of interoperable information solutionsaligned with business outcomes in a timely, inclusive, and conflict free environment Joint Chiefs of Staff, Gen Cartwright:"It takes longer to charter a new (IT program) start than the lifecycle of the s/w package.  We have a mind set that some how whatever we field has to be perfect so we spend a life of an applications utility testing it to make sure its invulnerable....  Looking for the perfect solutions is a recipe for irrelevance an we are proving that over and over and over again.”

4. ICH’s Public Service Value PropositionAssuring IT Acquisition Lifecycle Decision Making Trusted Advisor:IT-Acquisition Advisory Council (IT-AAC) provides government and industry with an elastic, conflict free, research coop and knowledge exchange that empowers sound decision making by leveraging the collective knowledge and expertise of many communities of practice, innovators, standards bodies and academia. Decision Analytics: Architecture Assurance Method (AAM) provides a repeatable, measurable, Services Oriented Assessment framework that transparently aligns and validates critical business processes with interoperable IT solutions. Solution Assessment:Solution Architecture Integration Lab (SAIL) provides a “virtual lab” that repurposed existing implementation and testing results into canonical form. Based on real world implementations/testing derived from enterprise users, suppliers and innovators. Mitre Assessment of ICH:“... 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.”

5. Six CSFs for DoD/VA Process TransformWeapons Systems Style Processes doesn’t work for IT or SOA To establish an interoperable electronic healthcare record “that spans full life of Service Members and Veterans”, DoD/VA leadership must address six critical success factors; Establish common requirements and capability development methods that remove ambiguity and over specification. Consider adoption of BTA Capability Assessment Method refinement. Revamp current Architecture Governance and Solution Engineering processes that drive a technology neutral SOA paradigm in automating Business Process and Infrastructure Capabilities. This requires access to commercial expertise and best practices. Adopt SOA enabled methods that drive Reusable & Standardized Solution Architectures, Performance Metrics and Assessment Results. Reuse can significantly reduce cost, risk and cycle times. Adopt a standardized data interoperability framework the establishes a common vocabulary and standards of practice established within a true public/private partnership. Leverage public/private partnership structure and Solution Architecture Working Group approach that will establish standards of practice for community adoption and criteria for assessing the business fit of COTS, GOTS and Open Source Solutions. Establish collaborative mechanisms by which practitioners, non-traditional suppliers, innovators, standards bodies and communities of practice can participate. Albert Einstein: “Insanity is defined as continuing the same process over and over again and expecting different results…. You can’t solve today’s problems with the same kind of thinking that got you their in the first place." 4

6. Policy & Business drivers for DoD/VA SOA Policy Drivers: OMB A119, must leverage, fund, use commercial standards NTTAA, requires govt to leverage standards and leverage labs, universities, non-profits. Encouraged to commercialize govt innovations in processes and technology. CCA, govt must maximize the use of COTS solutions and standards over custom development FAR OCI, contractor’s who develop program architecture or engineering specs may not receive award for any part of the implementation (sub/prime). E-Gov Act and OMB directives require agencies work together on common infrastructure and business apps. Obama Memorandum to agencies to increase collaboration with non-profits, innovative companies, communities of practice Business Drivers: Ability to discern the critical services out of requirements Common DoD/VA Acquisition and Architecture Approach Actionable technology performance metrics and SLAs. Mechanisms for establishing a services view of emerging technology & standards that define “realm of the possible” and “risk” Means of finding/validating real world commercial SOA best practices and lessons learned. No more bumper stickers Clearinghouse mechanisms for sharing solution architecture artifacts that are enabled by COTS, Open Source and GOTS solutions Evidenced based, fast pathed approach for quickly assessing fit, finish and interoperability of IT Service Components Exert 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.”

7. ICH Method: 3 Phase Approach for Acquiring • Phase 1 – Map Requirements into Business Processes and Outcomes EXPECTED OUTCOME: Business Reference Model This focuses on applying Michael Porters Value Stream Analysis to tease out critical business need, processes and performance measures. Maps directly into OMB FEA-PMO and DODAF Operational Views. • Phase 2 – Align Business Outcomes with SOA Capabilities EXPECTED OUTCOME: Analysis of Alternatives, Service Component Reference Model and SLA Define both application and infrastructure service components. The IOC assessment would answer the question: Is there sufficient existing services in terms of Open Source, COTS/GOTS offerings to meet the core service capabilities DOD/VA desires in EHR? ICH would use it Capability Prioritization Product to focus on achieving mission essentials and would appropriately update the Service Level Agreements. • Phase 3 – Market Assessment EXPECTED OUTCOME: Evaluation of Alternatives, Business Case Analysis A Source Selection Assessment. This assessment follows the business case analysis that applies value to the products as they’ve scored against one another using a weighted analysis methodology and how they measure up against risk. In the end the selection assessment, ensures the solution enables the most capabilities desired with the least risk. Key step for supporting acquisition of Software as a Service (SaaS) “As one of the leading advocates of open systems and interoperability, the OMG believes that the Interoperability Clearinghouse initiative will help users realize the benefits from our combined efforts”. OMGPresident, Bill Hoffman

8. Integrating and Assuring the Acquisition LifecycleRepeatable, Measurable, Sustainable • ICH/AAM Tools: • How To Manuals • Stake Holder Training • Solution Architecture Working Groups • Mentoring and Outreach • Domain Expertise Analytical Decision Support Consumer Report Like Results – CAPABILITIES, AOAs, TCO

9. AAM Models: A SOA enabled Decision FrameworkValidates and aligns business drivers with proven interoperable IT Services Knowledge Exchange Stake Holders Business Requirements, Policy, & Guidance • Phase 1: • Business Process: • Determination • Prioritization • Validation SDOs/Labs/ Universities Value Coalition Analysis Integrators Vendors/ISVs Govt CxOs Prioritized Business Requirements Normalized Business Models Solution Exist? • Phase 2: • Service Component • Feasibility • Architecture • SLAs Solution Patterns Y Align Proven Capabilities w/ business needs N Knowledge Exchange Service Oriented Specs and SLAs Model New Solution Normalized Service Components Solution Set Evidenced-Based Assessment • Phase 3: • Technology Assessment: • Selection • Certification • Interop • Openness Validated Past Performance Validated Blue Prints & Build of Materials Vetted Solution Architecture Analysis of Alternatives Solution Architecture Validation and Demonstrations COTS Comparative Analysis, Evidence Y N

10. ICH’s Architecture Assurance MethodA services oriented approach for architecture alignment Reference Models Associated Metrics BRM Business Process & Data Models Requirements & Capability Gaps Performance Metrics Core Business Mission Objectives Business Processes & Infrastructure Security Profiles Services Component Specifications Service Component Models & SLAs BRM Efficiency Appl Service Components Layer 1 Business Driven Top Down Infrastructure Service Components Layer N Common Evaluation Criteria SAIL Solution Frameworks Aligns with business needs Technology & Standards Profiles BRM Technical Reference Model & Metrics Interoperability, Fit, Finish Application Layer 2 Common Infrastructure Layer M Secure Solutions

11. AAM Process – Compliant with Reg’s & StatutesA step by step approach for assuring implementation success

12. AAM Informs and Assures “Common Services & EHR”Enabling Governance Model and Actionable Architecture • Requirement Justification - Collaborative • Jointly Define Other Common Services Needed • Define Common Services with Other Agencies • Determine Next Set of Common Services for Development • Solution Architecture Working-groups • Governance Readiness Assessment • Prioritization Analysis • Requirements Agreement • Statues and Reg’s Compliance • Planning for IOC for Governance Implementation • Standards • Information Exchanges • Technologies • Cross-oganizational • Industry Benchmarks • Business Process Models • Evidence of working subsets • Requirements Validation • SOA Implementation Approach defined with SLAs & KPP

13. Predictable Outcomes from AAM EngagementsConflict free Mechanisms for SOA Common Services & Solution Assessment A Standardized Architecture Method for: Aligning DODAF and FEA-PMO structure Capturing Business Process and Information Sharing Driving SOA Enabled IT Acquisition Lifecycle Assuring Services Integration and Contractor Mgt Capability Prioritization w/ SLAs and metrics Assessment Framework for: Vetted Business Processes and Requirements Assessing Vendor Service Components (COTS, GOTS, Open Source) Discerning Technology Feasibility/Risk Assessment. Verify market ability to perform Establishing Enforceable Service Level Agreements Access to Critical Expertise and Knowledge Sources: Architecture and Acquisition Processes that work Healthcare Informatics Domain Expertise Emerging technologies, innovations and open source markets Industry best practices in IT Infrastructure and SOA Stake Holder facilitation and outreach Biz Value to DoD/VA Mitigate deployment risk. AAM’s structure provide decision quality data earlier Concentrates on Capabilities and their Importance to Mission Formalizes the Prioritization Process Greater Access to Health Care Solutions Innovative approach for assuring an Interoperable Electronic Health Record

14. Policy Guidance for engaging a 501C6 • OMB A119 directs agencies to fund, adopt and promote standards bodies and their outputs • NTTAA directs agencies to license innovations of the market in terms of technologies and policies. • FAR 6-302 supports other than full and open competition when acquires services from a non-profit research institute and/or leverage innovative methods/technologies. • Clinger Cohen Act directs agencies to leverage industry best practices • Obama Policy Memorandum promotes greater utilization of non-profits over commercial interests to avoid potential conflicts of interest. • Reliance on Past Performance as an indicator of future success

15. Backup Slides:The value of ICH’s PublicPrivatePartnership Office of the Secretary of Defense, DCIO (2001)”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"

16. ICH Fellowshipcommunity of interest vs conflicts of interest (COI vs COI) John Weiler, ICH Founder and Chief Architect AAM, Major System, Health Care IT Robert Babiskin, ICH Chief Engineer AAM, Major System, Health Care IT Mike Mauro, ICH Research Fellow and Healthcare Domain Expert Major System, Health Care IT Kevin Carroll, Former PEO EIS, ICH Research Fellow Major System, Acquisition Harold Heard, Former Citi Group EVP/Chief Architect, Renown SOA Expert SOA, Major System Walter Kulbacki, ICH Research Fellow and Healthcare Domain Expert Major System, Health Care IT Robert Berger, ICH Research Fellow and Healthcare Domain Expert Major System, Health Care IT Test and Evaluation Plus a cast of thousands from ICH’s network of public/private partners representing academia, standards bodies, federal agencies and labs

17. Value Chain Benefit: Agency Leadership, Congress, GAO & OMB • Provides view into agency IT planning process • Establishes metrics for mission fulfillment • Aligns IT Capital investment with Agency Mission • Leverages industry best practices/lessons learned • Gain access to industry expertise outside of lobbying/marketing arena. • Catalyst for advancing President’s Management Agenda Policies Compliance Congress, Agency Leadership: COO’s, CFO’s Auditors

18. Value Chain Benefit: Enterprise Users (CIO, CTO, Architects, PMs) IT Management: CIO/CTO/CAO: Real World Requirements • Validate and Prioritize IT Services w/ business driven metrics • Identifies viable COTS/Open Source solutions, in a services oriented context • Establish Open Architectures and market readiness • Model/leverage relevant industry best practices, lessons learned • Assist in “what if” Modeling and Analysis of Alternatives • Provides In-Context, Just-In-Time Research Data via many communities of practice • Acquisition Strategies that have proven to deliver value and hold suppliers accountable Best Practices, Proven Solutions Congress, Agency Leadership: COO’s, CFO’s Auditors

19. Value Chain Benefit: Solution Integrator & ConsultantsVerifying past performance and ability to deliver Open Solutions IT Management: CIO/CTO/CAO: Integrators Re-usable BluePrints Integration Best Practices • Provides Solid Evidence for making COTS/OSS decisions • Shares Integration Success Record with Agency Planning process w/out OCI concerns • ID Potential Service Component Matches Based on Prior Similar Context Successes. ID small/innovative solution providers • Provides “What If” Modeling and Analysis for component composition • Provides Design Differentiation to Enhance Value Proposition to Customers • Outsource market research to conflict free entity Congress, Agency Leadership: COO’s, CFO’s Auditors

20. Value Chain Benefit: Standards Bodies, Academia and Industry GroupsAligning the theory of standards w/ market realities IT Management: CIO/CTO/CAO: SDOs, Academia & Industry Groups Integrators Solution Metrics • Captures Use-Cases that Support and Justify Standards • Use of standards/Engineering Spec in vetting of COTS solutions • Links Pertinent Standards to Products Features/functions • Provides Dynamic, but Solid Compliance Record (A119) • Enable collaboration between disparate industry groups • Provide IP and resources for framing complex issues. Research Projects Congress, Agency Leadership: COO’s, CFO’s Auditors

21. Value Chain Benefit: VARs, COTS/Open Source suppliers, Component Builders, Innovative BusinessesDefining the realm of the possible IT Management: CIO/CTO/CAO: SDOs, Academia & Industry Groups Integrators • Provide Buyers with the Contextualized Product Information in terms of business fit, interoperability and security. • Certifies Vendor Past Performance Based on 3rd-Party Validation/History in an architecture context • Increased Buyer’s Chances for Successful Use of Vendor Product --> Successful implementation! • Generates normalized COTS solution blue prints Normalized Spec & Customer References Open Market Place Integration Partners Reduced cost of sale Congress, Agency Leadership: COO’s, CFO’s Auditors VARs, COTS Vendors, Component Builders Small Businesses

22. Backup Slides:ICH Applicable Past ExperienceTasks Costs “We have put to practice the AF Solution Assessment Process (ASAP) at the Air Force Communications Agency (AFCA) with some well documented success. It was developed with Interoperability Clearinghouse (ICH) and provides a structured and measurable IT assessment process with the agility to provide decision-quality assessments ranging from quick-looks to more in-depth capability-focused technology assessments and lightweight business case analysis.” General Mike Peterson, AF CIO

23. Patterns of implementation success: Repeatable, measurable, sustainable. • 2008 OSD BTA Capability Assessment Method development • 2007 OSD BTA Clinger Cohen Act guide for CIOs • 2007 Air Solution Assessment Process (ASAP) development and operational deployment. • 2006 Navy CANES PMO support, architecting one of DoD’s largest SOA implementations • 2005 ICH hosting of Multi-agency Institute for Information Sharing WG • 2005 USMC Combat Engineer Training Business architecture supporting Thin Client and Cross Domain Solutions • 2004 JFCOM Multinational Business Architecture for conducting Training Exercises • 2004 DISA/Navy Program Office Multinational Information Sharing program • 2003 Government Printing Office’s (GPO) Future Digital System program Capability Assessment. • 2003 Department of Homeland Security Enterprise Portal Consolidation Architecture Roadmap • 2002 Discovery Communications Global Multi-media Web Services Solution Architecture • 2002 CIA’s Web Service/Portal Solution Assessment • 2002 GSA FTS Enterprise Architecture • 2000 GSA’s Financial Management Systems Solution Architecture Roadmap • 2000 Commerce/NTIA, Spectrum Management Enterprise Architecture • 1999 OSD Health Affairs Government Wide Patient Record, E-Healthcare Architecture Roadmap • 1999 Dept of Commerce/Patent Trademark Office Mainframe to Web Services Migration Program, • 1998 Drug Enforcement Agency’s (DEA) Strategic Plan and Enterprise Architecture Roadmap

24. Case Study: World Largest Healthcare Agency OSD HA’sGovernment Wide e-Healthcare program Challenge: Define information sharing 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 architecture process to address legacy and COTS capabilities • Was able to cycle through market research and analysis in a fraction of the cost and time of traditional efforts. • Ensured viability of Solution Architecture in terms of; meeting HIPPA, security, and interoperability requirements “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 Past Performance

25. Case Study: Streamlining the IT Acquisition processSAF XC/AQ; AF Solution Assessment Process (ASAP) Challenge: Establish a common and repeatable AF Wide COTS assessment/acquisition process • Integrated ICH Architecture Assurance Method into all major AF IT components • Developed root cause of analysis of current weaknesses and deficiencies • Identified and integrated both AF and industry best practices into a common framework • Developed series of templates and input/exist criteria for each stage of the SDLC process • Outcomes • Provided a common, enterprise wide process designed for leveraging COTS • Augmented architecture process to address legacy and COTS capabilities • Reduce market research and analysis in a fraction of the cost and time by leveraging existing expertise and lessons learned of the market • Provided mechanisms for forcing adoption of 80% solution. “We have put to practice the AF Solution Assessment Process (ASAP) at the Air Force Communications Agency (AFCA) with some well documented success. It was developed with Interoperability Clearinghouse (ICH) and provides a structured and measurable IT assessment process with the agility to provide decision-quality assessments ranging from quick-looks to more in-depth capability-focused technology assessments and lightweight business case analysis.” General Mike Peterson, AF CIO Past Performance

26. Case Study: Validating SOA and Cross Domain SolutionsNavy PMW 160 CANES Program Establish an actionable solution architecture that leverages SOA & COTS implementation best practices Provide a standardized Solution Assessment Methodology to leverage best practices and mitigate deployment risk (compliment NESI). Establishes a Solution Architecture standard and public/private research partnership that maximizes use of commercial trends (COTS/Open Source solutions) via an actionable Open Architecture (OA) Enable Capability Based Acquisitions. Reveal Gaps in both requirement and industry offerings (define realm of the possible). Establish SOA performance metrics and SLAs that reflect real world limitations and hold suppliers accountable. Outcomes of ICH engagement; Proved out as a standardized IT Assessment & Solution Architecture process that will mitigate deployment risk. AAM assessment products used: Capability Determination and Metrics Service Component Prioritization and Alignment and Feasibility/Risk Assessment Demonstrated the feasibility and viability of using GOTS/COTS/Open Source products within the CANES Architecture Demonstrated a method and a plan to: Assess SOA Service Components for CANES Assess migration to Netcentric “need-to-share” systems Produced a large body of artifacts that are important for the architecture phase Challenge: Establish a enterprise ship board infrastructure for CANES Past Performance

27. Case Study: Most innovative Media Company Discovery Channel’s Enterprise Multi-media Web Services Project Challenge: Architect an enterprise web infrastructure to enable multi-media information sharing • 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 • Developed contextual evaluation metrics derived from best practices • Improved confidence in technology decisions via business driven assessment framework • Significantly reduced time/cost/risk of global implementation • Assured successful implementation of world wide, web based, multi-media solution by vetting interoperability issues prior to acquisition. Past Performance

28. Case Study: World’s Largest Research Agency DARPA’s Information Assurance Architecture Project Challenge: model and simulate information assurance and interoperability attributes • Develop a method for represent EA heuristics, and use AI tools to model solution • Developed common criteria to represent each major IT class (DB, OS, Middleware) • Create profiles and templates that can represent complexity of market • Apply Java Expert System Shells (JESS) to build rules based AI tool • Take existing system specifications from DII COE to make decisions • Outcomes • Developed approach for modeling complex solutions based on rules based engine • Developed means of representing security attributes into a solution architecture • Developed a tool that could do “what if analysis” on the fly based on partial and incomplete data. • Demonstrated how component-based architectures could be applied to improve the richness of our planning and EA processes as a means of managing risk “The unique work you’ve done to frame issues about Interoperability effects on IA of systems is particularly encouraging. I believe it can contribute to ongoing work in the field of IA metrics and composition ongoing at DARPA and other agencies.” “I was pleasantly surprised at the effective and efficient use of funding I was able to invest in this effort as well as your ability to leverage other funding sources. You guys came through!” DARPA PM regarding ICH Information Assurance Modeling Project Past Performance

29. Case Study: Managing Successful ERP GSA FMS Project 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 OMB Report on ICH Architecture Assurance Method: The Road Map contains information on a variety of interrelated topics including, but not limited to, software and vendor performance, best practices, and lessons learned. The Road Map provides a web-based library to directly support those implementing financial management systems. The modernized program must continue to provide information and communication using current technology trends and tools. Past Performance

30. Case Study: Digitizing the Worlds Largest Printer Government Printing Office Future Digital System Project Challenge: Structure requirements process to acquire a COTS based digital content mgt system • Applied ICH Architecture Assurance Method to GPO Future Digital System • Normalized and aligned requirements with market best practices • Provided strategy for cutting integration cost and managing risk • Leveraged industry best practices to avoid common failure patterns • Outcomes • Validated requirements against marketplace offerings • Developed contextual evaluation metrics derived from best practices • Improved confidence in technology decisions via business driven assessment framework • Significantly reduced time/cost/risk of acquisition process • Guided evolution of emerging Electronic Content Management Standards that drive interoperability (iECM Past Performance