Segment Approach to Transformation at DOT
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  • 1. Segment Approach to Transformation at DOT Department of Transportation Office of the Chief Information Officer Enterprise Architecture and Business Transformation Office Segment Approach to Transformation at DOT Last updated: January 2009 January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 1
  • 2. Segment Approach to Transformation at DOT Presentation Overview • Provides an overview about segment architecture • Reviews the segment approach used at DOT • Discusses the Federal Segment Architecture Methodology (FSAM) • Reviews planned next steps for the DOT Enterprise Architecture & Business Transformation Office (EABTO) January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 2
  • 3. Segment Approach to Transformation at DOT Mission: Facilitate agency use of structured tools and well-defined processes that optimize decision-making and management of government resources DOT Office of the CIO, Enterprise Architecture and Business Transformation Office (EABTO) functions under the DOT OCIO, Office of IT Policy Oversight (S-81) January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 3
  • 4. Segment Approach to Transformation at DOT DOT prioritized business questions with agency input 1. What drivers does each system support? 2. What investments support specific strategic goals? 3. What initiatives support specific strategic goals? 4. What performance measures does each system support? 5. What funding sources support each system? 6. Which databases contain authoritative data? 7. What applications support similar business functions? 8. What business processes support which strategic goals? 9. For a given business process, what applications/systems support it and which organizations take part in it? 10. What business functions/systems/databases/organizations (stakeholders) are affected by spawning a new initiative? 11. What is the security impact rating for each system? 12. Which systems do not have a current certification & accreditation (C&A)? 13. Which systems are duplicative (i.e., perform the same business function)? 14. For systems that perform a duplicative function, has a decision been made to accept the duplication or sunset all but one system? 15. Which investments/systems utilize obsolete technologies? 16. What technology standards are approved for use by the organization? 17. What technologies are used by each system? 18. When is a technology standard scheduled to be retired or sunsetted? January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 4
  • 5. Segment Approach to Transformation at DOT Contents • Segment Architecture Overview • Governance • Segment Methodology and Prioritization • Transportation EA Management System (TEAMS) • Path Forward January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 5
  • 6. Segment Approach to Transformation at DOT • Segment Architecture Overview • Governance • Segment Methodology and Prioritization • Transportation EA Management System (TEAMS) • Path Forward January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 6
  • 7. Segment Approach to Transformation at DOT Background 1996 1999 2002 2006 2008 Clinger-Cohen Act FEAF E-Gov Act FEA FSAM Components Complete 1996: Clinger-Cohen Act – Mandated that all federal agencies improve effectiveness of IT investments via the integration between capital planning, enterprise architecture (EA), acquisition, etc. 1999: Federal EA Framework (FEAF) – The Federal CIO Council developed the FEAF to provide architecture guidance for federal cross-agency or "segment" architectures. Segments were defined to represent business areas requiring cross-agency collaboration for coordinating activities or sharing resources. 2002: Electronic Government (E-Gov) Act – Required OMB to implement results-oriented controls measuring how technology would “improve the performance and reduce costs of federal government acquisitions”. 2006: The complete FEA Components – Provided a Consolidated Reference Model (CRM) designed to facilitate cross-agency analysis and the identification of duplicative investments, gaps, and opportunities for collaboration within and across Federal Agencies 2008: Federal Segment Architecture Methodology (FSAM) – A step-by-step process for developing and using segment architecture January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 7
  • 8. Segment Approach to Transformation at DOT Segment architecture is a results-oriented architecture and transition strategy • In 2006, the Office of Management and Budget (OMB) requested that all Federal agencies break down agency business lines or “segments” using an enterprise architecture approach called segment architecture • Segment architecture is a business-driven, results-oriented representation of the strategy, process, and data for a specific portion or “segment” of an enterprise What Are Segments? What Are Segments? What Do Segments Provide? What Do Segments Provide? ••Common functions of the Common functions of the ••Business-driven orientation for defining Business-driven orientation for defining enterprise describing core enterprise describing core organizational processes organizational processes mission areas, common or mission areas, common or ••Identification of opportunities for investment Identification of opportunities for investment shared business services, and shared business services, and management, data sharing, collaboration, reuse, management, data sharing, collaboration, reuse, enterprise IT services enterprise IT services and informed decision making and informed decision making January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 8
  • 9. Segment Approach to Transformation at DOT “Segment architecture development is a collaborative process forming a bridge between enterprise-level planning and the development and implementation of solution architecture.” Source: FEA Practice Guidance Nov 2007 January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 9
  • 10. Segment Approach to Transformation at DOT DOT’s Segments include Core Transportation, Enterprise Business, and Enterprise IT Services Core Transportation Services Enterprise Business Services Hazardous Materials Acquisition Human Resources Management Asset and Property Legal Traffic Control Management Budget Management Planning Transportation Infrastructure Emergency & Disaster Outreach and Public Planning & Response Information Transportation Safety Environmental and Weather Public Affairs Services Transportation Security Financial Management Rulemaking Transportation Training Grants Statistics & Research Enterprise Information Management Information Technology Infrastructure Version 3.0 Enterprise IT Services January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 10
  • 11. Segment Approach to Transformation at DOT DOT’s Segment Approach enhances decision making… Governance Business Value Business Value Dashboards Summaries Governing bodies and processes facilitate decision- making for increasing use of shared services and minimizing redundancy as well as complying with policy and standards Standard Methodology IT Portfolio Analysis Information The methodology provides a repeatable process for Percentage of Overall IT Portfolio Cost  Types: defining and capturing all aspects of business • Programs requirements for transformation in a well-defined 22% Core Transportation Services Segments • Projects blueprint that informs agency of potential impacts 8% Enterprise Business Services Segments • Investments Enterprise IT Services 70% Segments • Systems $4.50 $4.05 $4.00 $3.63 Repository (TEAMS) Total = $17.66M $3.50 $3.04 200 $3.00 T ota l C Y 2 0 08 F un din g ( $2.51 $2.54 Transportation EA Management System 180 $2.50 160 $2.00 140 TEAMS provides centralized access to and $1.50 149 $1.22 30 120 # o f Inv e s t m e n $1.00 management of DOT information on strategy, business Non-Major 100 $0.58 73 Major $0.50 1 80 $0.09 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 functions and processes, applications, data and $0.00 DOT FAA FHWA FMCSA FRA FTA MARAD NHTSA OIG OST PHMSA RITA SLSDC STB 60 30 28 5 1 40 technology 19 15 5 17 12 10 3 2 3 2 2 6 4 20 2 2 3 1 0 M A RA D N HTSA FM C S A PHMSA SLSD C FTA R IT A WCF O ST FH W A FR A O IG ST B DO T FA A January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 11
  • 12. Segment Approach to Transformation at DOT … as well as improves performance and reduces inefficiencies • Timely Access to DOT-wide Information/Knowledge – Facilitate aggregation and dissemination of DOT information to stakeholders on demand • Reusable Processes/Data/Technology – Identify opportunities for re-use and streamlining of process/data/technology • Data Standardization and Data Quality – Support data standardization and promote data quality providing foundation for data re-use • Data Sharing and Collaboration – Facilitate segment-focused data sharing and collaboration using franchise model • IT Investment Forecasting – Identify opportunities to coordinate IT investment planning for data associated w/ those investments • Strategic Planning Support – Support OAs in leadership and governance of segment and other cross-agency initiatives January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 12
  • 13. Segment Approach to Transformation at DOT Each role is critical to success in the segment approach Role Responsibilities DOT Enterprise • Facilitate overall segment development Architecture • Provide enterprise architecture strategic and tactical expertise and Business • Provide Department-level guidance and templates in completing segment architecture Transformation process steps Office (EABTO) • Share success stories and lessons learned across segments and organizations Segment • Champion the concept of transformation within the segment; promotes segment vision Executive and goals within the Department Sponsor • Provide visionary leadership and play an active role in shaping the direction of the (also called segment architecture Segment • Play a key role in decision making to determine direction and scope of the segment Owner) architecture findings and recommendations Segment • Identify segment requirements, gaps, and opportunities for improvement Program • Communicate segment scope and vision Manager • Set performance goals, develop project and sequencing plan • Coordinate with DOT CIO functional areas (CPIC, Security, etc.) Segment Core • Provide business focus area strategic and tactical expertise Team Members • Provide access and introduction to SMEs and stakeholders during blueprint development • Shape and develop the target state for the segment • Communicate regularly with segment stakeholders and the segment sponsor throughout the segment architecture development process January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 13
  • 14. Segment Approach to Transformation at DOT • Segment Architecture Overview • Governance • Segment Methodology and Prioritization • Transportation EA Management System (TEAMS) • Path Forward January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 14
  • 15. Segment Approach to Transformation at DOT As part of the DOT IT Governance Structure, activities are managed through the EA Subcommittee January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 15
  • 16. Segment Approach to Transformation at DOT The EA Subcommittee collaborates and receives inputs from related areas Change TEAMS Control Working Boards Group Enterprise IRB Architecture Security Sub- Committee (EAS) CPIC S-DAG Integrating with operational and change management structures enhances IT management processes to ensure alignment across DOT January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 16
  • 17. Segment Approach to Transformation at DOT • Segment Architecture Overview • Governance • Segment Methodology and Prioritization • Transportation EA Management System (TEAMS) • Path Forward January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 17
  • 18. Segment Approach to Transformation at DOT DOT’s adopted segment methodology is based on federal best practices Federal Segment Architecture Methodology (FSAM) • A step-by-step process for developing and using segment architecture • Goal is to increase the value and use of segment architecture through consistent segment architecture processes and products • Created by chief architects within the federal community by reviewing over 200 federal “best practice” analytical techniques, templates, and examples • Focuses on key areas: – Primary change drivers impacting the segment – Current segment systems and resources – Deficiencies or inhibitors to success and improvement of information security within the segment – Vision and performance goals for the segment – Design alternatives for achieving performance goals – Project planning for achieving the target segment architecture January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 18
  • 19. Segment Approach to Transformation at DOT FSAM follows a five-step process to develop segment architectures for an agency’s lines of business… January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 19
  • 20. Segment Approach to Transformation at DOT … and supports the entire lifecycle from strategic planning to execution Strategic Execution Planning Architecture Strategic Architecture Planning Architecture CPIC Architecture Budget CPIC CPIC Execution January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 20
  • 21. Segment Approach to Transformation at DOT Step 1: Determine participants and launch project At-a-Glance Activities: Determine Develop purpose Solicit core Create core Establish executive statement for the team team charter communications sponsor segment members and project plan strategy Outputs/Artifacts: Outcomes: • Segment architecture development purpose • Establish the segment governance framework statement • Validate the business owner(s) • Core team charter • Formally appoint an executive sponsor and a • Project plan core team • Communications strategy • Establish the purpose statement to guide the architecture development • Establish project management foundation w/ project plan and communications strategy January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 21
  • 22. Segment Approach to Transformation at DOT Step 2: Develop the segment scope and strategic intent At-a-Glance Activities: Establish Identify and prioritize Define segment Validate and segment scope strategic improvement strategic intent communicate the scope and context opportunities and strategic intent Outputs/Artifacts: Outcomes: • Business drivers and mandates • Segment scope and prioritized strategic • Segment scope improvement opportunities based upon the • Performance gaps needs of the business • Strategic improvement opportunities • Establish the strategic intent, which consists of • Segment performance goals and objectives the target state vision, performance goals, and • Performance scorecard common / mission services target maturity levels January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 22
  • 23. Segment Approach to Transformation at DOT Step 3: Define business and information requirements At-a-Glance Activities: Determine current business Determine business Define target Validate and and information environment and information business and communicate target associated with strategic improvement information business and improvement opportunities opportunities architecture information architecture Outputs/Artifacts: Outcomes: • As-is business value chain • Understanding of the required adjustments to • As-is business function model the current business and information • As-is key information sources and qualitative environments to achieve the target performance assessment architecture • Target business function model • Target conceptual data model • Target data steward assignments • Target information sharing matrix January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 23
  • 24. Segment Approach to Transformation at DOT Step 4: Define the conceptual solution architecture At-a-Glance Activities: Assess systems and technology Define the target Identify and analyze Validate and environment for alignment with conceptual system and service communicate the performance, business, and solution transition conceptual solution information requirements architecture dependencies architecture Outputs/Artifacts: Outcomes: • As-is conceptual solution architecture • Conceptual solution architecture that supports • Target conceptual solution architecture the target performance, business and data • Target Service Component Architecture architectures developed in the preceding steps • Target Technical Architecture • Advantages and disadvantages of alternative • Reuse Summary strategies for transitioning from the as-is state to • Data Reuse the target state • Recommendation sequencing milestones January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 24
  • 25. Segment Approach to Transformation at DOT Step 5: Author the modernization blueprint At-a-Glance Activities: Perform cost/value/risk Develop draft Review and Brief core team analysis to develop blueprint and finalize the and obtain implementation sequencing plan blueprint and approval recommendations sequencing plan Outputs/Artifacts: Outcomes: • Strategic systems migration/sequencing • Series of validated implementation overview recommendations described in a detailed, • Segment architecture blueprint document actionable segment architecture blueprint (including sequencing plan) supported by holistic analysis of segment • Segment mappings business, data, technology, and service • Transition plan milestones components • Review and approval of blueprint and sequencing plan by executive sponsor, business owner, and core team January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 25
  • 26. Segment Approach to Transformation at DOT More detailed information on FSAM description, templates, and artifacts can be found at the following link: http://www.cio.gov/index.cfm?function=specdoc&id=Federal%20Segment%20 Architecture%20Methodology&structure=Information%20Technology&categor y=Enterprise%20Architecture January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 26
  • 27. Segment Approach to Transformation at DOT Segment prioritization process identifies high priority segments for transformation/modernization • Purpose includes: – Identification of opportunities for cost savings, improvement of IT portfolio quality, and improvement of the quality, validity, and timeliness of mission performance and cost accounting metrics – To be used as a tool to support decision making for DOT CIO Council • Our segment prioritization methodology involved a questionnaire addressing multiple categories: – Financial – Performance – OMB Priorities – DOT priorities – Risk January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 27
  • 28. Segment Approach to Transformation at DOT Using this approach, our team identified high priority candidates from the survey findings Core Transportation Services Enterprise Business Services • Candidates for Potential Transformation Hazardous Materials Acquisition Human Resources Management Asset and Property Legal (across all segment areas) include: Traffic Control Transportation Infrastructure Management Budget Management Planning Emergency & Disaster Outreach and Public Planning & Response Information – Information Technology Infrastructure Transportation Safety Environmental and Weather Services Public Affairs Transportation Security Financial Management Rulemaking – Enterprise Information Management Transportation Training Grants Statistics & Research – Hazardous Materials Enterprise Information Management Information Technology Infrastructure Enterprise IT Services • Candidates for Potential Transformation Core Transportation Services Enterprise Business Services (excluding core transportation service Hazardous Materials Management Acquisition Asset and Property Management Human Resources Legal Traffic Control Budget Management Planning segments) include: Transportation Infrastructure Transportation Safety Emergency & Disaster Planning & Response Environmental and Weather Outreach and Public Information Public Affairs Services – Information Technology Infrastructure Transportation Security Transportation Training Financial Management Grants Rulemaking Statistics & Research – Enterprise Information Management Enterprise Information Management – Grants Information Technology Infrastructure – Statistics and Research Enterprise IT Services January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 28
  • 29. Segment Approach to Transformation at DOT Segment prioritization next steps • EABTO actions include: – Finalize governance processes for segment activities – Propose and determine segment sponsors/executive leads – Determine status of segment activities underway – Brief governance teams and obtain a record of decision for initiating new modernization studies – Identify sub-segments for high priority segments • Segment (business area) actions include: – Work with EABTO on segment transformation readiness – Facilitate validation of segment and investment alignments January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 29
  • 30. Segment Approach to Transformation at DOT • Segment Architecture Overview • Governance • Segment Methodology and Prioritization • Transportation EA Management System (TEAMS) • Path Forward January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 30
  • 31. Segment Approach to Transformation at DOT TEAMS • The agency’s repository for collecting and reporting agency strategic, business, application, information, data, and technology information – Provides centralized access to and management of DOT EA information – Uses Troux commercial-off-the-shelf (COTS) software technology • http://152.120.202.13 – User name and password required – Please e-mail List-DOT EABTO@dot.gov to request user name and password January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 31
  • 32. Segment Approach to Transformation at DOT Repository (TEAMS) Business/Segment Transportation EA Management System Stakeholders - An Integrated View - Dashboards “At a Glance” Summaries OA Enterprise Architects Reports TEAMS Departmental Data DOT Common Framework Strategy Inform Cross Function & Systems Business ation Assur Analysis ance Information & Data & Percentage of Overall IT Portfolio Cost  Privac Forms & Applications y Core Transportation 22% Services Segments Templates Technology 8% Enterprise Business Services Segments Enterprise IT Services 70% Standards Segments Legacy EA Models FEA Alignment IT Portfolio Analysis Reports $4.50 FEA Reference Models $4.05 $4.00 $3.63 Total = $17.66M $3.50 $3.04 $3.00 T ota l C Y 2 0 08 F un din g ( $2.51 $2.54 Models $2.50 $2.00 $1.50 $1.22 $1.00 $0.58 $0.50 $0.09 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 DO T FAA FHWA FMCSA FRA FTA MARAD NHTSA OIG OST PHMSA RITA SLSDC STB January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 32
  • 33. Segment Approach to Transformation at DOT TEAMS – Integrated View Sources of Collection Enterprise Aggregate Knowledge Record Processes Data Data Stores Framework Store Segments EA Portal EA Acquisition Repositories Legal Budget Dashboards EA Collector Mgt. Planning Financial Mgt. Executive CPIC Traffic Control Grants Segment CPIC Collector Traffic Security Human Resources OA Security Security DOT Workbenches Collector Operating Administrations Operational Manager Data Store FAA MARAD Segment EVM Collector FHWA NHTSA EVM OA FMCSA OST Asset Collector FRA PHMSA Asset Reporting Mgt. FTA RITA Manager Other Collectors SLSDC Segment Other OA Support Systems TEAMS January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 33
  • 34. Segment Approach to Transformation at DOT • Segment Architecture Overview • Governance • Segment Methodology and Prioritization • Transportation EA Management System (TEAMS) • Path Forward January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 34
  • 35. Segment Approach to Transformation at DOT In summary, Key Programs/Initiatives within the EABTO include… • Develop and instantiate governance and standardized processes to facilitate practical, actionable business transformation ‒ Segment Approval Process What Are Segments? Common functions of the enterprise ‒ Business Needs Process describing core mission areas, common or shared business services, ‒ Segment Prioritization Process and enterprise IT services • Implement DOT Enterprise Architecture Assessment Framework (EAAF) for Performance Measurement ‒ Transparent OA performance results evaluated on a periodic basis ‒ Framework supports and guides individual OA business transformation and EA activities ‒ Assess OA EA Maturity using standardized framework • Implement Transportation EA Management System (TEAMS) Department-wide to inform decision-making ‒ DOT’s enterprise repository for collecting and reporting strategic, business, application, data, and technology information ‒ Centralized access to and management of DOT information on strategy, business functions and processes, applications, data, and technology January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 35
  • 36. Segment Approach to Transformation at DOT …Key Programs/Initiatives (cont’d) • Partner with DOT business stakeholders to facilitate segment development activities ‒ Support segment development via governance, standard methodology, and TEAMS ‒ Validate segment definitions and IT investment alignments with agency stakeholders ‒ Facilitate development/modernization of DOT segments Research and Statistics Segment Financial Management Segment IT Infrastructure Segment • Submit 2009 OMB Annual EA Assessment (due February 2009) ‒ Develop plan, identify stakeholders and target artifacts necessary to meet OMB requirements • Establish policy for related requirements ‒ Define and implement processes, policies, and guidance • Collaborate with external government agencies (e.g., Information Sharing Environment, eGrants, etc.) January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 36
  • 37. Segment Approach to Transformation at DOT Near Term FY09 EA/Business Transformation Priorities Governance 1. Implement OA EA Maturity Framework » Monitor EA maturity on quarterly basis 2. Establish processes and guidance for EA-related requirements » e.g., OA EA Maturity Framework, Segment Prioritization Methodology 1. Develop DOT Business Transformation/Enterprise Architecture Guide » High level overview of the enterprise, segment, and solution architecture process and standard artifacts 2. Provide DOT EA related information to public via external website (OMB M-09-02) 3. Develop EA Value Measurement Plan Repository (TEAMS) 1. Migration of TEAMS from NHTSA to DOT Environment (urgent) » Aggressive Transition strategy – 12/15/2008 » Requirements - Vendor Support: installation, configuration, testing $10,250 2. Incorporate Worklenz Information 3. Gather information from across the enterprise and populate into TEAMS, in accordance with segment prioritization results and TEAMS population strategy January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 37
  • 38. Segment Approach to Transformation at DOT Visit DOT’s EABTO website for the latest information http://one.dot.gov/ost/s80/S81/EA_Business_Transformation/default.aspx January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 38
  • 39. Segment Approach to Transformation at DOT For additional information, please contact the Enterprise Architecture and Business Transformation Office (EABTO) • Rhonda Joseph, DOT Chief Architect – Rhonda.Joseph@dot.gov • Brett Albro, Program Manager – Brett.Albro@dot.gov • Kimberly Scott, Communications Lead ‒ Kimberly.Scott@dot.gov • Richard Patterson, TEAMS Lead – Richard.S.Patterson@dot.gov • EABTO Team – List-DOT EABTO@dot.gov January 2009 Enterprise Architecture and Business Transformation Office (EABTO) 39