E-Services Planning and Enterprise Architecture Primer

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Basic guidance on doing e-services planning and enterprise architecture to align the value of information and communications technology to the strategic intent and performance goals of the …

Basic guidance on doing e-services planning and enterprise architecture to align the value of information and communications technology to the strategic intent and performance goals of the organization

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  • 1. ENTERPRISE ARCHITECTURE AND E-SERVICES PLANNING Primer on Framework, Methodology and Tools to Draw Performance, Processes, Information & Technology to Effectively and Efficiently Align E-Services to Enterprise Transformation
  • 2. INTRODUCTION Enterprise Architecture is globally recognized management practice to maximize the value of agency resources, technology investment and system development to the achievement of performance goals. Agencies of government need to have an Enterprise Architecture to guide the organization in defining and communicating clearly the relationship between agency strategic goals, investment requirements, business methodologies, interconnectedness, technology solutions and performance scorecard. 1 Enterprise Architecture defines the components that compose the enterprise system, their interrelationship, and the principles and guidance governing the design and evolution. 2 It provides the thinking tool to understand, validate and verify the relevance, usability and continual improvement of strategy, systems and technology of the enterprise. The practice of enterprise architecture creates the living documents that capture and integrate the view of the organization from different perspectives that compose the performance model, business model, information model and technology model. It provides the critical input in the e-services structured planning that clearly elaborates the enterprise component baseline, reference standards, maturity model, technology configuration, changes requirements and solution roadmap. Enterprise Architecture connects the service and business mission strategies, and processes of the government agency to the information and communication technology strategy. The established key components of Enterprise Architecture bring accurate representation of the business context, strategies and critical success factor; comprehensive documentation of functions and processes from the business units; views of the systems and data that supports the input-process-output of managed information and communication; and the technology standards that define what technological platforms and products are agreed to be used within the agency or organization, complemented by prescriptive enterprise-wide guidelines on how to best apply these technology standards in creating business application. 3 The competencies on Enterprise Architecture make the agency baseline, document, draw, analyze and change the business, information and technology requirements for improving the performance scorecard. It provides the blueprint on how to view the alignment of information and communications technology projects to the agency’s transformation goals. Enterprise Architecture enables the agency to construct the integrative and standardized view the enables reliability, security, connectedness and interoperability in the different processes, data, application and infrastructure in both vertical and horizontal levels of agency performance. The holistic view offered by enterprise architecture brings better reference to successfully meet strategic goals, respond to changing mission needs, and serve citizen’s expectation, as compared to limiting the organization to technology or budget driven model. With Enterprise architecture, the agency is able to do alignment, integration, change and reduce the time to market. 4 Enterprise architecture (EA) is a strategic planning process that integrates business strategy and IT strategy to improve the performance scorecard, and to grow the level of effectivity and efficiency in the process, information and technology of services. 1 Source: FEA (Federal Enterprise Architecture) Practice Guidance 2 Source: TOGAF – The Open Group Architecture Framework. 3 Source: Clinger Cohen Competencies for Enterprise Architecture 4 Source: Zachman Enterprise Architecture Framework
  • 3. OBJECTIVES The primer presents the essential knowledge to appreciate and do enterprise architecture and planning of e-services. It covers fundamental concepts on governance model, logical framework, open methodology and re-usable tools to systematically articulate, compose, agree and communicate the strategic directives, performance metrics, functional views, process improvement, data design, application model, security management and technology configuration. It demonstrates how to use Enterprise Architecture as a management tool to plan the continual improvement of the organization through e-services. The offered template identifies the information requirement and decision checkpoints to enable value creation in the use of information and communication technology in service delivery and support. The primer on Enterprise Architecture and E-Services planning enable the following capabilities 1. Lead the formulation, implementation and continual improvement of enterprise architecture that align people, process, information, technology and culture in the achievement of organizational performance goals 2. Create a case for enterprise architecture as a tool to enable alignment and fitness of strategy, plan, and capabilities in the use of information and communications technologies to effect change in the performance scorecard of the organization. 3. Connect the silos of information system to the bigger picture of information management that enables interoperability and optimization of information as enterprise asset. 4. Perform proper elicitation, elaboration, analysis, and design of the performance, business, information and infrastructure requirements that are strategized, designed, planned, transitioned and supported to improve the performance scorecard of the agency. 5. Manage the proper documentation and communication of reference models and standards intended to guide business process improvement, information and communication systems development, evaluation and monitoring, and performance planning. 6. Formulate the e-service strategic plan that provides the “bigger picture” of connectedness and interoperability in the process, systems, data, and skills of the organization that optimize the value of information and communications technology to strategically transform the maturity level of service delivery and support in the agency.
  • 4. CONTENT The primer on Enterprise Architecture and E-Services Strategic Planning is composed of four parts. Each introduces the body of knowledge to build the concept, terminology, definition, process, methodology and software in composing and managing the enterprise architecture of the agency. The content is not prescriptive but descriptive of understanding and skills that form the essential competency in doing enterprise architecture. It utilizes commonly accepted practices and standards for easily reference of the participants as they pursue the continual learning on Enterprise Architecture. Enterprise Architecture Competencies Enterprise architecture competencies provide the benchmark frameworks that outline and elaborate the competencies required to do enterprise architecture in an organization and government agencies. It provides guidance in organizing and implementing enterprise architecture. It identifies and describes the body of knowledge that serves as basis for the discipline called enterprise architecture. The reference frameworks on enterprise architectures provides baseline on common terminologies, process definition, benchmark for good practices, and conditions of usability Enterprise Architecture Reference Model Enterprise architecture reference model establishes the requirements that compose an enterprise and the perspective on which they are elicited, elaborated and applied. It identifies the matrix of enterprise components to draw, define, communicate and agree in order to compose the blueprint of enterprise architecture. It presents the process and artifacts in composing the core reference models of the enterprise architecture that documents and guide performance, integration, process, data, application, technology and security. Enterprise Architecture Modeling Tools The enterprise architecture modeling tools provides the methodology and software to compose, decompose and recompose the drawing of the organization, process, data, application, infrastructure and performance. It identifies the commonly accepted methodology and software to compose performance mind map, process mapping, use case model, data flow diagram, entity relationship diagrams, and infrastructure diagram. The drawings are the key to articulate the concepts and expectation of Enterprise Architecture. The drawn objects serve as re-usable artifacts to appreciate requirements of continual improvement of process, data, application and infrastructure of the agency. E-Services Strategic Planning E-services strategic planning provides the methodology and thinking tools to elicit, elaborate, document, and approve the requirements and content of the e-services strategic plan that is aligned to the enterprise architecture.
  • 5. TABLE OF CONTENTS Introduction...................................................................................................................................................................2 Objectives ......................................................................................................................................................................3 Content..........................................................................................................................................................................4 Part 1: Enterprise Architecture Competencies and Frameworks ..................................................................................8 Enterprise Architecture Definitions...........................................................................................................................9 Basic Definition of Important Concepts...................................................................................................................11 Enterprise Architecture Status ................................................................................................................................12 Importance of Enterprise Architecture....................................................................................................................14 Enterprise Architect Responsibilities.......................................................................................................................15 Enterprise Architecture Governance.......................................................................................................................18 Enterprise Architecture Framework ........................................................................................................................20 The Open Group Architecture Framework – Guidance Content .........................................................................21 Zachman Architecture Interrogatives..................................................................................................................22 Business Case for Enterprise Architecture...............................................................................................................23 Part 2: Enterprise Architecture Reference Model Requirements...............................................................................24 Scope of Enterprise Architecture Development......................................................................................................25 Architecture Development Method Cycle...............................................................................................................26 Identification and Definition of Enterprise Architecture Component and Requirements ......................................28 Architecture Components Elaboration....................................................................................................................29 Performance Modeling............................................................................................................................................31 Balance Scorecard ...................................................................................................................................................32 Business Analysis Body of Knowledge .....................................................................................................................34 Process Maturity Model ..........................................................................................................................................35 Record Management Standard................................................................................................................................37 Data Reference Model.............................................................................................................................................38 Interoperability Framework.....................................................................................................................................39 Information Security Framework.............................................................................................................................40 Technology Reference Model..................................................................................................................................41 Part 3: Process, Data, Application and Technology Modeling Tools ...........................................................................42 Business Transformation Readiness Assessment ....................................................................................................43 Performance Scorecards..........................................................................................................................................44 Process Mapping .................................................................................................................................................45 BUSINESS DEFINITION MATRIX............................................................................................................................45
  • 6. INFORMATION REQUIREMENT MAPPING ...........................................................................................................45 PROCESS MAPPING: SWIM LANE.........................................................................................................................46 DATA AND Application Design.................................................................................................................................48 Data Dictionary....................................................................................................................................................48 Application Design...............................................................................................................................................49 Use Case Identification Elements ........................................................................................................................50 Information Security Risk Assessment.....................................................................................................................52 INFORMATION SECURITY MODEL............................................................................................................................53 Technology Configuration........................................................................................................................................54 Part 4: E-Services Strategic Planning Methodology.....................................................................................................55 Strategic Alignment Model......................................................................................................................................56 The Test of Effective Strategy..................................................................................................................................57 The Type of Organizational Goals............................................................................................................................58 Critical Phases:.........................................................................................................................................................59 ENTERPRISE ARCHITECTURE AND STRATEGIC PLANNING WORK PLAN ..................................................................60 STRATEGIC PLANNING INPUT AND THINKING TOOLS .............................................................................................61 Architecture Baseline...........................................................................................................................................61 Capability Scanning..............................................................................................................................................62 ICT Configuration Baseline...................................................................................................................................63 Strategic Goal Setting: .........................................................................................................................................64 To-Be Architecture:..............................................................................................................................................65 Strategic Actions:.................................................................................................................................................66 Strategic Investments:.........................................................................................................................................67 Strategic ICT Projects:..........................................................................................................................................68 Strategic ICT Configuration Requirements: .........................................................................................................69 Process Checklist and worksheets...........................................................................................................................70 Information Systems Strategic Planning Questions ................................................................................................71 Worksheet 1: Strategic Intent..............................................................................................................................72 Worksheet 2: Strategic Baseline ..........................................................................................................................73 Worksheet 3: Operation S.W.O.T.........................................................................................................................74 Worksheet 4: ICT Services Performance Status ..................................................................................................75 Worksheet 5: Environment Condition ................................................................................................................76 Worksheet 6: Strategic Goals...............................................................................................................................77 Worksheet 7: Strategic Program..........................................................................................................................78
  • 7. Worksheet 8: Strategic ICT Services ....................................................................................................................79 Worksheet 9: Strategic ICT Services Performance Metrics..................................................................................80 Worksheet 10: Strategic ICT Investment (New Requirements) ..........................................................................81 Worksheet 11: Financial Valuation of the Strategic Investments ........................................................................82 Worksheet 12: Strategic Plan Implementation Time line ....................................................................................83 Worksheet 13: Implementation Roles and Responsibilities ................................................................................84 Software for Enterprise Architect............................................................................................................................85
  • 8. PART 1: ENTERPRISE ARCHITECTURE COMPETENCIES AND FRAMEWORKS At the end of this presentation, the participant is expected: 1. To assess the status of enterprise architecture and establish the gaps and opportunities in doing enterprise architecture of the agency. 2. To define the motivation, organization, roles, responsibilities, knowledge and skills in order to lead, manage and implement enterprise architecture. 3. To review best practice references and open framework to establish the terminologies, organization, process, content and metrics of doing enterprise architecture in the agency. 4. To compose the suitable enterprise architecture framework and implementation plan to match the agency context and readiness.
  • 9. ENTERPRISE ARCHITECTURE DEFINITIONS Enterprise Architecture Description (from various references) 1.0.1 FEA definition: "The FEA (Federal Enterprise Architecture) consists of a set of interrelated "reference models" designed to facilitate cross-agency analysis and the identification of duplicative investments, gaps and opportunities for collaboration within and across agencies. Collectively, the reference models comprise a framework for describing important elements of the FEA in a common and consistent way. Through the use of this common framework and vocabulary, IT portfolios can be better managed and leveraged across the federal government." 1.0.2 CIO Definitions from SearchCIO.com, posted October, 2006: "Enterprise architecture (EA) is a conceptual blueprint that defines the structure and operation of an organization. The intent of enterprise architecture is to determine how an organization can most effectively achieve its current and future objectives. Purported advantages of having an enterprise architecture include improved decision making, improved adaptability to changing demands or market conditions, elimination of inefficient and redundant processes, optimization of the use of organizational assets, and minimization of employee turnover." 1.0.3 NASCIO Enterprise Architecture Development Toolkit v.3.0 “Enterprise architecture defines an enterprise-wide, integrated set of components that incorporates strategic business thinking, information assets, and the technical infrastructure of an enterprise to promote information sharing across agency and organizational boundaries. The Enterprise Architecture is supported by Architecture Governance and the allied architectures of, Business, Information, Technology and Solution Architectures.” "Enterprise" as any collection of organizations that has a common set of goals. For example, an enterprise could be a government agency, a whole corporation, a division of a corporation, a single department, or a chain of geographically distant organizations linked together by common ownership. 1.0.4 TOGAF version 9.0 The term "enterprise" in the context of "enterprise architecture" can be used to denote both an entire enterprise - encompassing all of its information and technology services, processes, and infrastructure - and a specific domain within the enterprise. In both cases, the architecture crosses multiple systems, and multiple functional groups within the enterprise.
  • 10. 1.0.5 CLINGER-COHEN Enterprise Architecture (EA) links the business mission, strategy, and processes of an organization to its IT strategy. It is documented using multiple architectural models or views that show how the current and future needs of an organization will be met. By focusing on strategic differentiators and working across the enterprise, there is a unique opportunity to create leverage and synergies and avoid duplication and inconsistencies across the enterprise. The key components of the EA are: Accurate representation of the business environment, strategy and critical success factors Comprehensive documentation of business units and key processes Views of the systems and data that support these processes A set of technology standards that define what technologies and products are approved to be used within an organization, complemented by prescriptive enterprise-wide guidelines on how to best apply these technology standards in creating business applications.
  • 11. BASIC DEFINITION OF IMPORTANT CONCEPTS Terminology Definition Source Architecture The specification that identifies components and their associated functionalities. It describes connectivity of components and the mapping of functionality into components. Architectures can be of different types and cover hardware, software, systems, and can be domain specific to describe business, data, application, technology, network, security, etc. Software Engineering Institute Architecture View It is a representation of the set of system elements and the relation associated with them. It represents a whole system from the perspective of related sets of concerns. Views are representations of the many system structures that are present simultaneously in software system. IEEE Architecture Framework The combination of structured processes, templates, and governance that facilitate the elicitation and documentation of the architecture in a systematic manner. NASCIO Architecture Domain High level grouping of disciplines, functional or topical operations that form the main building block of the architectural framework. It talks of sphere of activity, interest, or functions. OMB, NASCIO Architecture Component Level of details contain in specific architectural domain NASCIO Enterprise An organization supporting a defined business scope and mission. An enterprise is comprised of interdependent resources (people, organizations, and technology) who must coordinate their functions and share information in support of a common mission MITRE EABOOK Enterprise Any collection of organizations that has a common set of goals. TOGAF Enterprise Architecture Artifacts Artifacts constitute any object, or work product that is developed as a component of the enterprise architecture. Artifacts includes trends, principles, mission, goals, objectives, strategies, capabilities, processes, processes steps, entities, attributes, relationship, subject areas, application components, application, database, network infrastructure, and configuration details. NASCIO Business Architecture The high level representation of the business strategies, intentions, functions, processes, information, and assets critical to operating the business of government successfully. NASCIO Business Reference Model It is a function driven framework that describes the business operation independent of the organization performing the job. It provides an organized and hierarchical construct for describing the day-to-day business operation. OMB Data Reference Model It describes the data and information that supports the government agency operation from an agency and government-wide perspective. CIOGOV Performance Reference Model It is the standardized framework to measure the performance of major IT investments and their contribution to program performance. OCIO-DOI Technology Reference Model It is a component-driven, technical framework used to categorize the standards, specifications, and technologies that support and enable the delivery of service components and capabilities OCIO-DOI
  • 12. ENTERPRISE ARCHITECTURE STATUS The enterprise architecture status identifies the kind of question to assess the practice of enterprise architecture in the organization. It identifies the components that describe the use of enterprise architecture to manage the integrative improvement and investment for information and communications technology. 1. Practice of Enterprise Architecture Checklist. Does your agency maintain a blueprint or matrix of all running systems, showing how they interoperate, and which technology they are using? YES NO NOT SURE Can your agency readily present the professional and business user matrix with their requirements, and the technology services that address those requirements? YES NO NOT SURE Does your agency have a documented map of enterprise-wide data, how data is being grouped, how data are related, how data is being accessed, how data is shared, and how data is secured? YES NO NOT SURE Are there silos of data and application in the different units of the agency? YES NO NOT SURE When your agency starts a project do you have an enterprise architecture blueprint, which you have to align the type of application to be designed and developed? YES NO NOT SURE Is there a formal stage in the project life cycle where system architecture is being checked against the enterprise architecture? YES NO NOT SURE If you have any question or problem regarding architecture do you know who to seek for guidance, decision and documentation? YES NO NOT SURE Is there an official guidance and listing of all business standards, methods and tools, technical references that both IT and Business have to use, or you can use whatever technology you want? YES NO NOT SURE
  • 13. The capability maturity model on enterprise architecture program provides the organization indicators to speak the growth of enterprise architecture practices that enable the aligned value of information and communications technology to the strategy and performance requirements of the organization. 2. NASCIO Enterprise Architecture Program Maturity Model Maturity Level Status Name Description LEVEL O No Program There is not a documented architectural framework in place at this level of maturity. While solutions are developed and implemented, this is done with no recognized standards or base practices. The organization is completely reliant on the knowledge of independent contributors. LEVEL 1 Informal Program The base architecture framework and standards have been defined and are typically performed informally. There is general consensus that these steps should be performed, however they may not be tracked and followed. Organizations with an Enterprise Architecture framework at this level are still dependant on the knowledge of individual contributors. LEVEL 2 Repeatable Program The base architecture and standards have been identified and are being tracked and verified. At this point in the program processes are repeatable and reusable templates are starting to be developed. The need for product and compliance components to conform to the standards and requirements has been agreed upon, and metrics are used to track process area performance. LEVEL 3 Well Defined Program The enterprise architecture framework is well defined; using approved standard and/or customized versions of the templates. Processes are documented across the organization. Performance metrics are being tracked and monitored in relationship to other general practices and process areas. LEVEL 4 Managed Program At this point performance metrics are collected, analyzed and acted upon. The metrics are used to predict performance and provide better understanding of the processes and capabilities. LEVEL 5 Continuously Improved Vital Program The processes are mature; targets have been set for effectiveness and efficiency based on business and technical goals. There are ongoing refinements and improvements based on the understanding of the impact changes have to these processes.
  • 14. IMPORTANCE OF ENTERPRISE ARCHITECTURE The motivation to do enterprise architecture depends on the kind of improvement requirements that the organization demands to improve the value of people, process and technology in achieving the mandate, mission, goals, functions, tasks and deliverables. Doing enterprise architecture means alignment, integration, value creation, change management and compliance. Here are value indicators and the corresponding description. VALUE INDICATORS DESCRIPTIONS Alignment Enterprise architecture provides the framework to enable better alignment of business and information technology objectives. The architecture used can also serve as a communication tool. Integration Enterprise architecture establishes the infrastructure that enables business rules to be consistently applied across the organization, documents data flows, uses and interfaces. Value Creation Enterprise architecture provides better measurement of information technology economic value in an environment where there is a higher potential for reusable hardware and software assets Change Management Enterprise architecture establishes consistent infrastructure and formalizing the management of the infrastructure and information assets better enables an organization-wide change management process to be established to handle information technology changes Compliance Enterprise architecture provides the artifacts necessary to ensure legal and regulatory compliance for the technical infrastructure and environment. Source: Schekkerman, J. (2005). Trends in Enterprise Architecture, Institute for Enterprise Architecture Development, white paper. Activity 1: Is there a need for enterprise architecture? Alignment Integration Value Creation Change Management Compliance INTENTION FUNCTION PROCESS INFORMATION TECHNOLOGY
  • 15. ENTERPRISE ARCHITECT RESPONSIBILITIES Enterprise architecture demands competencies to understand and interpret requirements; to create useful model; to do validation and verification, refinement and expansion of drawn model; and manage the architecture planning, design, implementation and improvement. 1.3.1 The TOGAF (The Open Group Architecture Framework) Enterprise Architect Responsibility Definition: TASKS DESCRIPTIONS Understand and interpret requirements Probe for information, listen to information, influence people, facilitate consensus building, synthesize and translate ideas into actionable requirements, articulate those ideas to others. Identify use or purpose, constraints, risks, etc. The architect participates in the discovery and documentation of the customer's business scenarios that are driving the solution. The architect is responsible for requirements understanding and embodies that requirements understanding in the architecture specification. Create a useful model Take the requirements and develop well-formulated models of the components of the solution, augmenting the models as necessary to fit all of the circumstances. Show multiple views through models to communicate the ideas effectively. The architect is responsible for the overall architecture integrity and maintaining the vision of the offering from an architectural perspective. The architect also ensures leverage opportunities are identified, using building blocks, and is a liaison between the functional groups (especially development and marketing) to ensure that the leverage opportunities are realized. The architect provides and maintains these models as a framework for understanding the domain(s) of development work, guiding what should be done within the organization, or outside the organization. The architect must represent the organization view of the architecture by understanding all the necessary business components Validate, refine, and expand the model Verify assumptions; bring in subject matter experts, etc. in order to improve the model and to further define it, adding as necessary new ideas to make the result more flexible and more tightly linked to current and expected requirements. The architect additionally should assess the value of solution-enhancing developments emanating from field work and incorporate these into the architecture models as appropriate. Manage the architecture Continuously monitor the models and update them as necessary to show changes, additions, and alterations. Represent architecture and issues during development and decision points of the program. The architect is an "agent of change", representing that need for the implementation of the architecture. Through this development cycle, the architect continuously fosters the sharing of customer, architecture, and technical information between organizations Source: The Open Group Enterprise Architecture Framework
  • 16. 1.3.2 The Open Group Architecture Framework Enterprise Architecture Skills Requirement Generic Skills Business Skills Enterprise Architecture Program or Project Management Skills IT General Knowledge Technical IT Skills Legal Environment Leadership Business Case Business Modeling Program Management IT Application Development Methodologies and Tools Software Engineering Contract Law Teamwork Business Scenario Business Process Design Project Management Programming Languages Security Data Protection Law Inter-personal Organization Role Design Managing Business Change Application Systems Systems & Network Management Procurement Law Oral Communication Business Process Organization Design Change Management Database Systems Transaction Processing Cybercrime law Written Communication Strategic Planning Data Design Value Management Storage Management Location & Directory Commercial Law Logical Analysis Budget Management Application Design Networks User Interfaces Stakeholder Management Visioning Systems Integration Web-based Services International Operation Risk Management Business Metrics IT Standards IT Infrastructure Data Interchange Business Culture Service Design Asset Management Data Management Legacy Investment Architecture Principle Design Service Level Agreements Graphics and Images Business Functions Architecture Views & Viewpoint Design COTS Operating Systems Services Building Block Design Enterprise Continuum Network Services Solution Modeling Migration Planning Communication Infrastructure Benefit Analysis Management Utilities Business Interworking Infrastructure Systems Behavior Project Management
  • 17. 1.3.3 Clinger Cohen’s Summary of Enterprise Architect Competencies. Clinger-Cohen is a legal basis in the United States that defines the CIO Office and Competencies. Among the role, that is institutionalize for effective governance and management of ICT is the “Enterprise Architect” 1. A basic grounding in the agency’s environment, strategy and priorities 2. Extensive knowledge of IT capabilities, covering current and emerging technologies 3. Good knowledge of how similar agencies use or plan to use technology 4. Ability to rationalize technology opportunities and business drivers optimizing return on investment 5. Familiar with agency’s architectural principles and policies, able to interpret and apply 6. “Hands on” experience in architecture, able to perform a number of architectural tasks 7. Must have a mixture of BPR, business processes, and meeting facility 8. Strong in capability modeling 9. Can define and understand component capabilities and apply solutions 10. Ability to look at technology trends and effectively apply to business/project needs 11. Ability to look at and define target architecture for specialty projects 12. Ability to manage a repository - repository modeling and analysis 13. Competency in several tool sets 14. Ability to manage a project portal to identify concepts, work in progress, etc. 15. Able to identify redundancies among existing and proposed IT efforts 16. Ability to bring together an overall Enterprise Architecture from several individual EA efforts 17. Ability to develop the crux functional integration services that can be implemented in patterns Activity 2: What enterprise architect competencies are needed by your organization to allow the proper alignment and integration of ICT in the performance goals? STRATEGY PROCESS TECHNOLOGY 1 2 3 4 5 6 7 8 9 10
  • 18. ENTERPRISE ARCHITECTURE GOVERNANCE 1.4.1 Governance Definition Enterprise architecture governance is how the architectures are managed and controlled at the enterprise level. It describes the structure of leading, monitoring, controlling, implementing and improving the enterprise architecture of the organization. Governance is described as ensuring the business is conducted properly. In general terms the following governance characteristics, namely, discipline transparency, independence, accountability, responsibility, and fairness. At the enterprise level, governance can be viewed in the perspective of: 1. Corporate Governance 2. Business Governance 3. IT Governance 4. Architecture Governance Architecture governance means: 1 Implementing a system of control over the creation and monitoring of architectural components and activities that ensures the effective introduction, implementation and evolution of architecture within the organization. 2 Implementing a system to ensure compliance with internal and external standards and regulatory obligations 3 Establishing processes that support effective management of the above processes within agreed parameters 4 Developing practices that ensure accountability to a clearly identified stakeholder community, both inside and outside the organization. 1.4.2 Process and Content of Architecture Governance The Open Group Enterprise Architecture Framework sets the processes and content of architecture governance, they are the following PROCESS CONTENT Policy Management and Take-on Requirements Compliance Service Level Agreements and Operation Levels Agreements Dispensation Authority Structure Monitoring & Reporting Organization Standards Business Control Solutions Environment Management Architectures
  • 19. 1.4.3 Organization Structure of Architecture Governance The organization structure of architecture governance speaks of the key areas in the management of architecture, namely, development, implementation and deployment. Activity 3: Draw the governance structure of IT in your organization, and identity those responsible for the management of development, implementation and deployment of enterprise architecture.
  • 20. ENTERPRISE ARCHITECTURE FRAMEWORK Framework is a real or conceptual structure intended to serve as a support or guide for building of something that expands the structure into something useful. It is a broad overview, outline or skeleton of interlinked items which supports a particular approach to meet specific objectives, and serves as a guide that can be modified as required by adding or deleting items. Framework offers the kind of taxonomies that describe visually, textually and verbally the business, operations, data, systems and technology of the enterprise. The structured representation clarifies communication and documentation. The matrix of definition and images draws well defined blueprint. The hierarchy of components and flow of process improve understanding on the current behavior and change requirement for improvement. The organized classification gets better the reporting of the current state and application of performance metrics on expected input, process and outcomes. The enterprise architecture framework is best practice references on the principles, methods, processes, artifacts and metrics in doing enterprise architecture. Here are the commonly cited guides to construct the enterprise architecture of organization and government. 1. TOGAF (The Open Group Architecture Framework) – The framework offers a structured approach to plan, design and implement the enterprise architecture. It provides the life cycle view of developing the enterprise architecture. It identifies the modeling methodologies, assessment requirements and governance framework to manage the planning and implementation of enterprise architecture. 2. Zachman Framework –The framework presents the logical structure to comprehensive represent the different views and artifacts to compose the enterprise architecture. It provides the perspectives to look at the enterprise, and the corresponding questions to be answered to properly draw the performance, business, process, information and technology that are aligned and integrated in fulfilling the strategic ends of the organization. 3. FEA (Federal Enterprise Architecture – It provides the reference model to assess and describe the government enterprise architecture 4. NASCIO (National Association of State Chief Information Officer) – It provides the toolkit to develop the enterprise architecture of government.
  • 21. THE OPEN GROUP ARCHITECTURE FRAMEWORK – GUIDANCE CONTENT 01. Architecture Development Method Cycle  Introduction to the ADM Preliminary Phase  Phase A: Architecture Vision  Phase B: Business Architecture  Phase C: Information Systems Architectures  Phase C: Information Systems Architectures - Data Architecture  Phase C: Information Systems Architectures - Applications Architecture  Phase D: Technology Architecture  Phase E: Opportunities and Solutions  Phase F: Migration Planning  Phase G: Implementation Governance  Phase H: Architecture Change Management  ADM Architecture Requirements Management 02. Architecture Development Method Guidelines and Techniques  Applying Iteration to the ADM  Applying the ADM at different Enterprise Levels  Security Architecture and the ADM  Using TOGAF to define and Govern SOAs  Architecture Principles  Architecture Stakeholder Management  Architecture Patterns  Business Scenarios  Gap Analysis  Migration Planning Techniques  Interoperability Requirements  Business Transformation Readiness Assessment  Risk Management  Capability-Based Planning 03. Architecture Content Framework  Introduction to the Architecture Content Framework  Content Metamodel  Architectural Artifacts  Architectural Deliverables  Building Blocks 04. Enterprise Continuum Tools  Introduction  Enterprise Continuum  Architecture Partitioning  Architecture Repository  Tools for Architecture Development
  • 22. 05. Reference Model Foundation Architecture 06. Architecture Capability  Introduction  Establishing an Architecture Capability  Architecture Board  Architecture Compliance  Architecture Contracts  Architecture Governance  Architecture Maturity Models  Architecture Skills Framework ZACHMAN ARCHITECTURE INTERROGATIVES The focus of an enterprise architects is to elaborate, analyze, and build the relationships among technology, information and business viewpoints in the acquisition and development of solutions … It makes sure that the organization can flexibly integrate with changes demanded by market positioning, innovation, etc. John Zachman provides the detailed components to describe the enterprise architecture. PERSPECTIVES WHAT HOW WHERE WHO WHEN WHY OBJECTIVES/ SCOPES List of things important to the enterprise List of processes the enterprise performs List of location the enterprise operates List of organizational units List of business events or cycles List of business goals and strategies BUSINESS MODEL Entity Relationship Diagram Business Process Model (physical data flow diagram) Logistic Network (Nodes and Links) Organizational Charts with Roles and Skills Sets Business Master Schedule Business Plan INFORMATION SYSTEM MODEL Data Model Data Dictionary Application Model and Data Flow Diagram Distributed System Architecture Human Interfaces Model (role, data , access) Dependency Diagram, Entity Life History Business rule model TECHNOLOGY MODEL Data Architecture (Elements, relational tables) Systems Design Structure Chart, Pseudo Code Systems Architecture (Hardware, Software, Network) User Interface, Usability, Security Design Control Structure - Control Flow Diagram Business rule design DETAILED REPRESENTATION Data Design, Physical Storage Design Detailed Program Design Network Architecture User Screen and Security Architecture Timing Definitions Program Logic Rules Specifications FUNCTIONING SYSTEM Converted Data Executable Program Communication Facilities Trained People Business Events Enforced Rules
  • 23. BUSINESS CASE FOR ENTERPRISE ARCHITECTURE At the early stage of enterprise architecture, the need for it stems from system complexity and poor business alignment. Organization were spending more and more building to develop IT system, and the silo of systems are not getting aligned to the business needs. Robert Session in his whitepaper, entitled A Comparison of the Top Four Enterprise-Architecture Methodologies, describes some present problem in organization to cause the case for enterprise architecture. They are the following: 5 1. IT systems that have become unmanageably complex and increasingly costly to maintain. 2. IT systems that are hindering the organization's ability to respond to current, and future, market conditions in a timely and cost-effective manner. 3. Mission-critical information that is consistently out-of-date and/or just plain wrong. 4. A culture of distrust between the business and technology sides of the organization. The business case for enterprise architecture offer value proposition to give reason for investing in enterprise architecture. Anna Mar at simplicable.com wrote good answers to identify and give simple description on the enterprise architecture value proposition. 1. EA supports revenue generation and cost reduction by enabling faster, smarter projects. 2. EA reduces technology costs and accelerates time to market by facilitating common approaches. 3. EA provides IT transparency for business stakeholders. 4. EA facilitates pragmatic, cost effective approaches to IT projects. 5. EA is the bridge between business strategy and IT execution. 6. EA shifts IT spending from temporary stop-gap projects to strategic initiatives. 7. EA flags redundant, non-strategic and high risk projects before they get funding. 8. EA ensures IT spending is aligned with business strategy and goals. 9. EA breaks down IT silos — finding common solutions that reduce time to market and risk. 10. EA pushes IT silos to think globally and act locally. 11. EA provides the enterprise-wide IT transparency required for IT groups to design solutions that make sense for the organization as a whole. 12. EA develops competitive advantage by ensuring that IT spending is focused on strategic core competencies. 13. EA develops opportunities for cross-silo technology initiatives that resolve business pain points. 14. EA develops opportunities — driving leaps forward that dramatically improve IT responsiveness to business needs. 6 5 Source: http://simplicable.com/new/14-enterprise-architecture-value-propositions 6 Source: http://www.objectwatch.com/whitepapers/4EAComparison.pdf
  • 24. PART 2: ENTERPRISE ARCHITECTURE REFERENCE MODEL REQUIREMENTS At the end of this module, the participants are expected: 1. To describe the components that structurally defines the architectural views of the agency as an enterprise. 2. To create the artifacts that represent the enterprise architecture reference models of performance, business, data, application, integration, and infrastructure. 3. To review commonly accepted standards to define requirements and maturity metrics for process, information and technology.
  • 25. SCOPE OF ENTERPRISE ARCHITECTURE DEVELOPMENT  Enterprise Architecture Development Context in Government The discussion on what represent as the scope of drawing the enterprise architecture of government has to elaborate the following components, namely, the stakeholders, mandates & business strategy, functions and service portfolio, business process, information requirement and technology resources. The conditions provided by those components dictates the value of information and communication technology service and the manner government defines investment and procurement plan of acquiring computers, computers, internet, network, database system, application system, security system and technology skills and standards.
  • 26. ARCHITECTURE DEVELOPMENT METHOD CYCLE The Open Group Enterprise Architecture (TOGAF) provides a life cycle model to identify the scope of enterprise architecture development. 1. The Preliminary Phase describes the preparation and initiation activities required to prepare to meet the business directive for new enterprise architecture, including the definition of an Organization-Specific Architecture framework and the definition of principles. 2. Phase A: Architecture Vision describes the initial phase of an Architecture Development Cycle. It includes information about defining the scope, identifying the stakeholders, creating the Architecture Vision, and obtaining approvals. Key Activities: 3. Phase B: Business Architecture describes the development of a Business Architecture to support an agreed Architecture Vision. 4. Phase C: Information Systems Architectures describes the development of Information Systems Architectures for an architecture project, including the development of Data and Application Architectures.  Data Architecture: Define the types and sources of data needed to support the business, in a way that can be understood by the stakeholders.  Application Architecture: Define the kind of application systems needed to process the data and support the business. 5. Phase D: Technology Architecture describes the development of the Technology Architecture for an architecture project. 6. Phase E: Opportunities and Solutions conducts initial implementation planning and the identification of delivery vehicles for the architecture defined in the previous phases. 7. Phase F: Migration Planning addresses the formulation of a set of detailed sequence of Transition Architectures with a supporting Implementation and Migration Plan. 8. Phase G: Implementation Governance provides an architectural oversight of the implementation. 9. Phase H: Architecture Change Management establishes procedures for managing change to the new architecture. 10. Requirements Management examines the process of managing architecture requirements throughout the ADM.
  • 27. The development of enterprise architecture shall bring the tasks and deliverables of the following 1. Architecture Principles and Vision 2. Architecture Requirements 3. Architecture Realization
  • 28. IDENTIFICATION AND DEFINITION OF ENTERPRISE ARCHITECTURE COMPONENT AND REQUIREMENTS BUSINESS ARCHITECTURE Understand how the business is running, what its needs are, what is missing and what needs to be changed or improved. It defines the business strategy, governance, organization, and key business processes of the organization. 1. Identify Business Model, Business Functions and WHO Performs the Function. 2. Definition of Business Goals and Goals, the supporting processes, workflow, policies and procedures. 3. Assessment of the Current State and Description of the Future State. 4. How are the goals and objectives implemented through the ICT Solutions and the supporting technical infrastructure? DATA ARCHITECTURE It defines how data is stored, managed, and used in a system. It establishes common guidelines for data operations that make it possible to predict, model, and control the flow of data in the system. It describes the structure of an organization's logical and physical data assets and the associated data management resources 1. Data Element 2. Data Flow Diagram 3. Entity Relationship 4. Relational Structure 5. Data Physical Storage 6. Data Interoperatibility 7. Data Standard 8. Supported Informational Themes APPLICATION ARCHITECTURE Application architecture consists of logical systems that manage the data objects in the data architecture and support the business functions in the Business Architecture. It provides a blueprint for the individual application systems to be deployed, the interactions between the application systems, and their relationships to the core business processes of the organization 1. Current inventory of applications and components. 2. Evolving applications and components needed to fulfill for the business units. 3. Migration plans for moving the EXISTING portfolio toward the PLANNED portfolio TECHNOLOGY ARCHITECTURE It describes current and future technical infrastructure and specific hardware and software technologies that support the Agency information systems. It provides guidance and principles for implementing technologies within the application architecture. It describes the hardware, software and network infrastructure needed to support the deployment of core, mission-critical applications. 1. Hardware Platform 2. Operating System 3. Application System 4. Database System 5. Network & Communication System 6. Security System 7. Enterprise Systems Management 8. Development Methods 9. Technical Standards 10. Interoperatibility References
  • 29. ARCHITECTURE COMPONENTS ELABORATION BUSINESS ARCHITECTURE Understanding how the business is running, what are its needs, what is missing and what needs to be changed or improved? It defines the business strategy, governance, organization, and key business processes of the organization. Identify Business Model Business Functions and WHO Performs the Function. Definition of Business Goals and Goals, the supporting processes, workflow, policies and procedures. Assessment of the Current State and Description of the Future State. How are the goals and objectives implemented through the ICT Solutions and the supporting technical infrastructure? DATA ARCHITECTURE It defines how data is stored, managed, and used in a system. It establishes common guidelines for data operations that make it possible to predict, model, and control the flow of data in the system. It describes the structure of an organization's logical and physical data assets and the associated data management resources Data Element Data Flow Diagram Entity Relationship Relational Structure Data Physical Storage Data Interoperatibility Data Standard Supported Informational Themes APPLICATION ARCHITECTURE Application architecture consists of logical systems that manage the data objects in the data architecture and support the business functions in the Business Architecture. It provides a blueprint for the individual application systems to be deployed, the interactions between the application systems, and their relationships to the core business processes of the organization Current inventory of applications and components. Evolving applications and components needed to fulfill for the business units. Migration plans for moving the EXISTING portfolio toward the PLANNED portfolio TECHNOLOGY ARCHITECTURE It describes current and future technical infrastructure and specific hardware and software technologies that support the Agency information systems. It provides guidance and principles for implementing technologies within the application architecture. It describes the hardware, software and network infrastructure needed to support the deployment of core, mission-critical applications. Hardware Platform Operating System Application System Database System Network & Communication System Security System Enterprise Systems Management Development Methods Technical Standards Interoperatibility References
  • 30. NASCIO ENTERPRISE ARCHITECTURE DEVELOPMENT TOOLKIT – EA DOMAINS BUSINESS REFERENCE MODEL It provides an organized, hierarchical construct for describing the day-to-day business operations of the Federal government. While many models exist for describing organizations - org charts, location maps, etc. - this model presents the business using a functionally driven approach. The Lines of Business and Sub-functions that comprise the BRM represent a departure from previous models of the Federal government that use antiquated, stovepipe, agency-oriented frameworks. The BRM is the first layer of the Federal Enterprise Architecture and it is the main viewpoint for the analysis of data, service components and technology. DATA REFERENCE MODEL It describes, at an aggregate level, the data and information supporting government program and business line operations. This model enables agencies to describe the types of interaction and exchanges occurring between the Federal government and citizens. The DRM categorizes government information into greater levels of detail. It also establishes a classification for Federal data and identifies duplicative data resources. A common data model will streamline information exchange processes within the Federal government and between government and external stakeholders. "Data dictionary" will enable the development of common data identification "tags" that will facilitate information exchange both within the Federal government between the government and its external stakeholders The DRM provides a standard means by which data may be described, categorized, and shared. These are reflected within each of the DRM’s three standardization areas: • Data Description: Provides a means to uniformly describe data, thereby supporting its discovery and sharing • Data Context: Facilitates discovery of data through an approach to the categorization of data according to taxonomies; additionally, enables the definition of authoritative data assets within a community of interest (COI) • Data Sharing: Supports the access and exchange of data where access consists of ad-hoc requests (such as a query of a data asset), and exchange consists of fixed, re-occurring transactions between parties SERVICE REFERENCE MODEL It is a business and performance-driven, functional framework that classifies Service Components with respect to how they support business and/or performance objectives. The SRM is intended for use to support the discovery of government-wide business and application Service Components in IT investments and assets. The SRM is structured across horizontal and vertical service domains that, independent of the business functions, can provide a leverage-able foundation to support the reuse of applications, application capabilities, components, and business services. TECHNICAL REFERENCE MODEL The Technical Reference Model (TRM) provides a foundation to categorize the standards, specifications, and technologies to support the construction, delivery, and exchange of business and application components (Service Components) that may be used and leveraged in a Component-Based or Service- Oriented Architecture. The TRM unifies existing Agency TRMs and E-Gov guidance by providing a foundation to advance the re- use of technology and component services from a government-wide perspective.
  • 31. PERFORMANCE MODELING Performance modeling provides the reference for the expected purpose, behavior, capability and outcomes the organization is directed to become. It provides the set of tools to classify the performance components and to define the metrics that describe results to be generated.  EFQM Excellence Model The EFQM Excellence Model is the most popular quality tool in Europe, used by more than 30 000 organizations to improve performance. The use of EFQM means: 7 1. Assess your performance, to identify key strengths and improvement areas 2. Integrate existing tools, procedures and processes, to align all and remove duplicates 3. Introduce a way of thinking that encourages reflection and stimulates continuous improvement 4. Identify what actions are really driving your results, which areas need more attention, and which approaches should be made redundant. The model provides the nine criteria to understand and analyze the cause and effect relationship between what the organizations is “doing” and the “outcomes” being achieved. The criteria are grouped as “enabler” and “results”. The “results” criteria cover what the organization achieves. Enabler is what the organization is doing and how they are being done. ENABLER RESULTS Leadership Customer Results Strategy People Results People Society Results Partnership & Resources Business Results Process, Products and Services Definition as provided by EFQM Guidance: Leadership: Excellent organizations have leaders who shape the future and make it happen, acting as role Models for its values and ethics and inspiring trust at all times. They are flexible, enabling the organization to anticipate and react in a timely manner to ensure the on-going success of the organization. Strategy: Excellent organizations implement their mission and vision by developing and deploying a stakeholder focused strategy. Policies, plans, objectives and processes are developed and deployed to deliver the strategy. People: Excellent organizations value their people and create a culture that allows the mutually beneficial achievement of organizational and personal goals. They develop the capabilities of their people and promote fairness and equality. They care for, communicate, reward and recognize, in a way that motivates people, builds commitment and enables them to use their skills and knowledge for the benefit of the organization. Partnership & Resources: Excellent organizations plan and manage external partnerships, suppliers and internal resources in order to support strategy and policies and the effective operation of processes. Processes, Products & Services: Excellent organizations design, manage and improve processes to generate increasing value for customers and other stakeholders. Results: Excellent organizations achieve and sustain outstanding results that meet or exceed the needs and expectations of their customers, people, society stakeholders, and business stakeholders. 7 Resource Link: http://www.efqm.org
  • 32. BALANCE SCORECARD Balance Scorecard is a perspective and method to describe and analyze the performance of the organization. It proposes that financial success does not provide a “balance” view of performance for the organization. Performance has to be comprehensively viewed from the standpoint of financial, customer, internal business process and learning and growth. The improvement of the vision and strategy get balance input from the defined objectives, measures, targets and initiatives of the financial, customer, internal process, and learning and grow sides of performance. The success of an organization being defined by financial metrics has to be supplemented with performance measurement coming from the views of customer, internal processes and learning and grow. They are the drivers for creating long-term shareholder value. Kaplan emphasizes that employee and process performance are critical for current and future success. Financial metrics, ultimately, will increase if companies’ performance improves. And to optimize long-term shareholder value, the firm had to internalize the preferences and expectations of its shareholders, customers, suppliers, employees, and communities. 8 The balance scorecard provides answers on the following question: Financial: If we succeed, how will we look to our shareholders? Customer: To achieve our vision, how must we look to our customers? Internal Processes: To satisfy our customers, which processes must we excel at? Learning & Growth: To achieve our vision, how must our organization learn and improve? 8 Robert S. Kaplan, Conceptual Foundations of the Balance Scorecard; A Working Paper, Harvard Business School, 2010
  • 33. The information provided by the balance scorecard enables the organization to clearly compose the strategic map to guide the definition, assessment and continual improvement of agency performance. The strategic map provides the smart view of expectation and deliverable for productivity strategy and growth strategy for the financial quadrant of scorecard. It spells out the value proposition to the customer in terms of the quality and quality attributes of products and services, relationship and image. The strategic map draws the requirements to improve the operation management, customer management, innovation and application of regulatory and social expectation. Strategic Mapping Process
  • 34. BUSINESS ANALYSIS BODY OF KNOWLEDGE Business analysis is the set of tasks and techniques used to work as a liaison among stakeholders in order to understand the structure, policies, and operations of an organization, and recommend solutions that enable the organization to achieve its goals. The Business Analysis Body of Knowledge - International Institute of Business Analysis defines the set of competencies in doing business analysis. COMPONENTS DESCRIPTION Business Analysis Planning and Monitoring It describes how to determine which activities are necessary to perform in order to complete a business analysis effort. It covers identification of stakeholders, selection of business analysis techniques, the process we will use to manage our requirements, and how we assess the progress of the work in order to make necessary changes in work effort. Enterprise Analysis It describes how we take a business need, refine and clarify the definition of that need, and define a solution scope that can feasibly be implemented By the business. It covers problem definition and analysis business case development, feasibility studies, and the definition of a solution scope. Elicitation It describes how we work with stakeholders to find out what their needs are and ensure that we have correctly and completely understood their needs. Requirements Analysis It describes how we progressively elaborate the solution definition in order to enable the project team to design and build a solution that will meet the needs of the business and stakeholders. Solution Assessment and Validation Solution Assessment and Validation describes how to assess proposed solutions to determine which solution best fats the business need, identify gaps and shortcomings in solutions, and determine necessary workarounds or changes to the solution Requirements Management and Communication It describes how we manage conflicts, issues and changes and ensure that stakeholders and the project team remain in agreement on the solution scope
  • 35. PROCESS MATURITY MODEL Business process management is aligning people, process, technology and culture of the organization to meet the customer expectation of quality service. Standards on business process management present process maturity model, designing tools, quality assessment framework, and business process standards of effectivity and efficiency. 1. The Business Process Management Notation Standards (BPMN) 2. Capability Maturity Model Integration (CMMI) 3. ISO 9001: Quality Management Systems 2.2 Information Maturity Model The information maturity model provides the indicators to assess the level attributes of effective and efficient information management. Method for an Integrated Knowledge Environment (MIKE 2.0) is an open source methodology that provides a framework to define the level maturity of information to establish the end states of information development. It provides the descriptors and indicators of information maturity, information accuracy and organization confidence to speak of the kind of change in the management of information in the organization.
  • 36. Information Maturity Level (MIKE 2.0)  Level 1: Organization has no common information practices. Any pockets of information management maturity that the organization has are based on the experience and initiatives of individuals.  Level 2: Organization has little in the way of enterprise information management practices. However, certain departments are aware of the importance of professionally managing information assets and have developed common practices used within their projects. At the enterprise level, a level 2 organization reacts to data quality issues as they arise.  Level 3: Organization has a significant degree of information management maturity. Enterprise awareness, policies, procedures, and standards exist and are generally utilized across all enterprise projects. At level 3, the information management practices are sponsored by and managed by IT.  Level 4: Organization manages information as an enterprise asset. The business is heavily engaged in information management procedures and takes responsibility for the quality of information that they manage. A level 4 organization has many mature and best-in-class practices and utilizes audits to ensure compliance across all projects.  Level 5: Organization considers information to be as much an enterprise asset as financial and material assets. A level 5 organization has best-in-class information management practices that are utilized across all enterprise projects. The distinguishing characteristic of a level 5 organization is the focus on continuous improvement. At level 5, all data management practices and assets are regularly measured and the results are analyzed as the basis for process improvement.
  • 37. RECORD MANAGEMENT STANDARD The information record management standard provides the benchmark for an acceptable record management system process and systems to baseline the improvement requirement. ISO 15489-2001 provides the benchmark to examine the change requirement for record management. It establishes the principles, design, process and control to govern the practice and systems of record management. Definition of Record Record is information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business. Record Characteristics • AUTHENTICITY The record must be proven to be what it purports to be, to have been created or sent by the person purported to have created or sent it, and to have been created or sent at the time purported. Critical to authenticity of records is the implementation and documentation of policies and procedures to control the authorized creation, receipt, transmission, maintenance and disposition of records. • RELIABILITY The record is one whose contents can be trusted as a full and accurate representation of the transactions, activities, or facts to which they attest and can be depended upon in the course of subsequent transactions, or activities. Critical to record reliability is the time of creation or incident to relate the record. • INTEGRITY The record is complete and unaltered. Critical to record integrity is the protection against unauthorized alteration. It involves policies and procedures that specifies valid addition and annotation after the record is created, and under what circumstances and who is authorized to allow annotation, addition or deletion in the received record. • USEABILITY The record is located, retrieved, presented and interpreted. Critical to record usability is connecting it to the business activity or transaction that produced the record. The link should carry the information to understand the transaction that created the record.
  • 38. DATA REFERENCE MODEL The Data Reference Model Framework (DRM) provides a standard means by which data may be described, categorized, and shared. The U.S. Federal Enterprise Architecture provides the components to established standards on common data reference. Data Reference Model Standardization Areas 1. Data Description: It provides the means to uniformly describe data to support searching and sharing. 2. Data Context: It facilitates the search of data by establishing the shared approach on data categorization and taxonomies. It defines the authoritative data assets. 3. Data Sharing: It supports the access and exchange of data where access consists of ad-hoc requests (such as a query of a data asset), and exchange consists of fixed, re-occurring transactions between parties. Enabled by capabilities provided by both the Data Context and Data Description standardization areas. The Data Reference Model provides understanding on requirements in composing data architecture; guidance on implementation framework; presentation on abstract model; and discussion on security and privacy.
  • 39. INTEROPERABILITY FRAMEWORK Information interoperability begins by common understanding on the core areas of inter-connection and compatibility. The four layers of interoperability which is based on European Interoperability Framework (EIF). Layers of Interoperability Interoperability Concerns 1. Legal Interoperability Alignment to existing laws, mandate, regulation and policies to enable data exchanges to be legally acceptable and justified. Areas of concern are availability and applicability of legal requirements and guidance. 2. Organizational Interoperability Coordination of function and process to realize joint performance and delivery of outcomes. Areas of concerns are roles, procedures, rules and methods compatibility. 3. Technical Interoperability Interconnecting information and communication systems. Areas of concern are basic protocols, digital format, security and accessibility. 4. Semantic Interoperability Precise sharing of meaning on the methods and tools in the formulation of standardized data and schema that allows instantaneous sharing of input-process-output. Areas of concerns are data elements and representation schema.
  • 40. INFORMATION SECURITY FRAMEWORK Information security standard connects information management program to the principles, design, process and implementation of security of information in the organization. ISO 27001 provides reference standards on the following: 1. Management and control domains for information security 2. Information security classification 3. Information security management processes and deliverables  Information Security Definition (ISO 27001) INFORMATION SECURITY refers to the protection of information assets in order to achieve: 1. Confidentiality: It is protecting sensitive information from unauthorized disclosure or interception 2. Integrity: It is safeguarding the accuracy and completeness of information. 3. Availability: It is ensuring that information and vital services are available to users when required.  Information Security Domains (ISO 27001) 1. Security Policies 2. Information Security Organization 3. Asset Management 4. Human Resources Security 5. Physical and Environmental Security 6. Operations Management 7. Access Control 8. Systems Development and Maintenance 9. Information Security 10. Incident Management 11. Business Continuity Management 12. Compliance
  • 41. TECHNOLOGY REFERENCE MODEL  Communication Protocol Standards Communication protocol covers shared format, rules and technologies in communication exchanges that connect voice and data. There are technical bodies and organization that manages guidance on communication and network protocol, namely: 1. International Standards Organization 2. International Telecommunication Union 3. Institute of Electrical and Electronics Engineers 4. Internet Corporation for Assigned Names and Numbers 5. World Wide Web Consortium 6. Internet Engineering Task Force  Communication Quality of Service/Experience Connects information management development framework to a reference standard on quality of service and quality of experience that insure effectivity, efficiency and reliability in information exchanges in any network and communication platform. Quality of Service/Experience Parameters 1. Availability 2. Delivery 3. Latency 4. Bandwidth 5. MTBF (Mean Time Between Failure) 6. MTRS (Mean Time to Restore Service)
  • 42. PART 3: PROCESS, DATA, APPLICATION AND TECHNOLOGY MODELING TOOLS At the end of this, the participants demonstrate the ability: 1. To develop performance scorecards 2. To compose, describe, draw and analyze the performance model, process model, data model, application model and infrastructure model of the agency’s enterprise architecture. 3. To use modeling notation and basic software to construct performance mind-map, process map, data flow diagram, entity relationship diagram, use case, process schema, systems and network configuration.
  • 43. BUSINESS TRANSFORMATION READINESS ASSESSMENT The migration of the organization to the target architecture that will transform the business depends on the level of readiness to satisfy the following: (Canadian Government Business Transformation Enablement Program (BTEP)) 1. Vision: The ability to clearly define and communicate what is to be achieved. 2. Desire, Willingness, and Resolve: The presence of a desire to achieve the results, willingness to accept the impact of doing the work, and the resolve to follow through and complete the endeavor. 3. Need: There is a compelling need to execute the endeavor. 4. Business Case Exists: Creates a strong focus for the project, identifying benefits that must be achieved and thereby creating an imperative to succeed. 5. Funding: In the form of a clear source of fiscal resources, funding exists that meets the endeavor’s potential expenditures. 6. Sponsorship and Leadership: Exists and is broadly shared, but not so broadly as to diffuse accountability. Governance: The ability to engage the involvement and support of all parties with an interest in or responsibility to the endeavor with the objective of ensuring that the corporate interests are served and the objectives achieved. 7. Accountability: The assignment of specific and appropriate responsibility, the recognition of measurable expectations by all concerned parties, and the alignment of decision-making between areas of responsibility and where the impact of the decisions will be felt. 8. Workable Approach and Execution Model: An approach that makes sense relative to the task, with a supporting environment modeled after a proven approach. 9. IT Capacity to Execute: The ability to perform all the IT tasks required by the project, including the skills, tools, processes, and management capability. 10. Enterprise Capacity to Execute: The ability of the enterprise to perform all the tasks required by the endeavor, in areas outside of IT, including the ability to make decisions within tight time constraints. 11. Enterprise Ability to Implement and Operate: The transformation elements and their related business processes operationally absorb the changes arising from implementation.
  • 44. PERFORMANCE SCORECARDS
  • 45. PROCESS MAPPING BUSINESS DEFINITION MATRIX MANDATE STAKEHOLDERS FUNCTIONS BUSINESS ENTITY PRODUCTS CONTROLS Core Functions Special Functions BUSINESS ENTITY BUSINESS LOCATIONS PERFORMANCE OBJECTIVES PROCESS NAME RELATIONSHIPS INFORMATION REQUIREMENT MAPPING BUSINESS ENTITY PROCESS NAME INFORMATION SOURCE INFORMATION CAPTURE FORM PROCEDURE RULES & POLICIES INFORMATION REPORTING FORM INFORMATION CUSTOMER PROCESS NAME: BUSINESS ENTITY: SOURCE INPUT ENTRY REQUIREMENTS TASKS EXIT REQUIREMENTS OUTPUT CUSTOMER VALIDATION AND VERIFICATION REQUIREMENTS
  • 46. PROCESS MAPPING: SWIM LANE FUNCTION UNIT: PROCESS NAME: ACTOR TASKS LANE TASK LANE TASKS LANE Actor 1 Step 1 - Start Step 4 Step 6 -End Actor 2 Step 2 Step 5 Actor 3 Step 3 Actors: The people, groups, teams, etc, who are performing the steps identified within the process Process: His actual process and flow that is being tracked through its identified progression steps. Phases: These might reflect the phases of the project, different areas of the project, or any secondary set of key elements that the process flow needs to traverse to successfully complete this process. Symbols: These are the physical symbols used to graphically represent what is happening in any given step of the process.
  • 47. DATA AND APPLICATION DESIGN DATA DICTIONARY Data dictionary is an organized collection of data elements names and definitions arranged in a table. It provides the reference for accurate, reliable, controllable, and verifiable data to be recorded in databases. It makes both the users and owners to have correct and proper use and interpretation of data. It makes them share common understanding of the meaning and descriptive characteristics of the data that will serve the information to be generated. ELEMENTS DESCRIPTIONS Data Element Domain Name A data content topic, for example, a named data collection protocol – EMAP. Note there may be multiple domains or sub-domains within a particular data dictionary. Data Element Number (for reference in data model) A number associated with the data element name for use in technical documents. Data Element Name Commonly agreed, unique data element name. Note: there are likely to be multiple data element names for a particular domain. Data Element Field Name The name used for this data element in computer programs and database schemas. It is often an abbreviation of the Date Element Name (e.g. Cellular Phone Number might be assigned a field name of Cell_Ph_No). Data Element Definition Description of the meaning of the data element Data Element Unit of Measure (uom) Scientific or other unit of measure that applies to the data element. Data Element Precision The level to which the data will be reported, e.g. 1 mile plus or minus .001 mile Data Element Data Type The type of data (e.g. Characters, Numeric, Alpha-numeric, date, list, floating point). Data Element Size and Decimalization The maximum field length that will be accepted by the database together with any decimal points (e.g. 30(2)) refers to a field length of 30 with 2 decimal points). Field Constraints: Data Element is a required field (Y/N); Conditional Field (C); or a “null” field Required fields (Y) must be populated. Conditional fields (C) must be populated when another related field is populated (e.g. if a city name is required a zip code may also be required). “Not null” also describes fields that must contain data. “Null” means the data type is undefined (note: a null value is not the same as a blank or zero value). Default Value A value that is predetermined. It may be fixed or a variable, like current date and time of the day. Edit Mask (e.g. of actual layout) An example of the actual data layout required, (e.g. yyyy/mm/dd). Data Business Rules There are often the rules that define how data would be managed within an information system (e.g. Fish data could be coded (1=adult, 2=parr, 3=juveniles) and these codes would then be included in the data dictionary for use by developers and users. Other business rules, for example how rights to create, read, update or delete records are assigned if they are needed.
  • 48. APPLICATION DESIGN Application Use Case Identification A use case is a methodology used in system analysis to identify, clarify, and organize system requirements. The use case is made up of a set of possible sequences of interactions between systems and users in a particular environment and related to a particular goal. It consists of a group of elements (for example, classes and interfaces) that can be used together in a way that will have an effect larger than the sum of the separate elements combined. The use case should contain all system activities that have significance to the users. A use case can be thought of as a collection of possible scenarios related to a particular goal, indeed, the use case and goal are sometimes considered to be synonymous. A use case (or set of use cases) has these characteristics: • Organizes functional requirements • Models the goals of system/actor (user) interactions • Records paths (called scenarios) from trigger events to goals • Describes one main flow of events (also called a basic course of action), and possibly other ones, called exceptional flows of events (also called alternate courses of action) • Is multi-level, so that one use case can use the functionality of another one. -Defintion by TechTarget
  • 49. USE CASE IDENTIFICATION ELEMENTS Karl Weiger - www.processimpact.com. COMPONENTS DESCRIPTIONS Use Case ID Give each use case a unique integer sequence number identifier. Alternatively, use a hierarchical form: X.Y. Related use cases can be grouped in the hierarchy. Use Case Name State a concise, results-oriented name for the use case. These reflect the tasks the user needs to be able to accomplish using the system. Include an action verb and a noun. Some examples: View part number information. Manually mark hypertext source and establish link to target. Place an order for a CD with the updated software version. Use Case History Created By: Supply the name of the person who initially documented this use case. Date Created: Enter the date on which the use case was initially documented. Last Updated By: Supply the name of the person who performed the most recent update to the use case description. Date Last Updated: Enter the date on which the use case was most recently updated. Use Case Definition Actors An actor is a person or other entity external to the software system being specified who interacts with the system and performs use cases to accomplish tasks. Different actors often correspond to different user classes, or roles, identified from the customer community that will use the product. Name the actor that will be initiating this use case and any other actors who will participate in completing the use case. Trigger Identify the event that initiates the use case. This could be an external business event or system event that causes the use case to begin, or it could be the first step in the normal flow. Description Provide a brief description of the reason for and outcome of this use case, or a high- level description of the sequence of actions and the outcome of executing the use case. Preconditions List any activities that must take place, or any conditions that must be true, before the use case can be started. Number each precondition. Examples: 1.User’s identity has been authenticated. 2.User’s computer has sufficient free memory available to launch task. Post conditions Describe the state of the system at the conclusion of the use case execution. Number each post condition. Examples: 1.Document contains only valid SGML tags. 2.Price of item in database has been updated with new value
  • 50. Normal Flow Provide a detailed description of the user actions and system responses that will take place during execution of the use case under normal, expected conditions. This dialog sequence will ultimately lead to accomplishing the goal stated in the use case name and description. This description may be written as an answer to the hypothetical question, “How do I <accomplish the task stated in the use case name>?” This is best done as a numbered list of actions performed by the actor, alternating with responses provided by the system. The normal flow is numbered “X.0”, where “X” is the Use Case ID. Alternative Flows Document other, legitimate usage scenarios that can take place within this use case separately in this section. State the alternative flow, and describe any differences in the sequence of steps that take place. Number each alternative flow in the form “X.Y”, where “X” is the Use Case ID and Y is a sequence number for the alternative flow. For example, “5.3” would indicate the third alternative flow for use case number 5. Exceptions Describe any anticipated error conditions that could occur during execution of the use case, and define how the system is to respond to those conditions. Also, describe how the system is to respond if the use case execution fails for some unanticipated reason. If the use case results in a durable state change in a database or the outside world, state whether the change is rolled back, completed correctly, partially completed with a known state, or left in an undetermined state as a result of the exception. Number each alternative flow in the form “X.Y.E.Z”, where “X” is the Use Case ID, Y indicates the normal (0) or alternative (>0) flow during which this exception could take place, “E” indicates an exception, and “Z” is a sequence number for the exceptions. For example “5.0.E.2” would indicate the second exception for the normal flow for use case number 5. Includes List any other use cases that are included (“called”) by this use case. Common functionality that appears in multiple use cases can be split out into a separate use case that is included by the ones that need that common functionality. Priority Indicate the relative priority of implementing the functionality required to allow this use case to be executed. The priority scheme used must be the same as that used in the software requirements specification. Frequency of Use Estimate the number of times this use case will be performed by the actors per some appropriate unit of time. Business Rules List any business rules that influence this use case. Special Requirements Identify any additional requirements, such as nonfunctional requirements, for the use case that may need to be addressed during design or implementation. These may include performance requirements or other quality attributes Assumptions List any assumptions that were made in the analysis that led to accepting this use case into the product description and writing the use case description. Notes and Issues List any additional comments about this use case or any remaining open issues or TBDs (To Be Determined) that must be resolved. Identify who will resolve each issue, the due date, and what the resolution ultimately is.
  • 51. INFORMATION SECURITY RISK ASSESSMENT Risk assessment is designed to realize the following • Exposed the unnoticed Weaknesses • Exposed the Risks • Staff are eager to fix the Risks • Research activities to secure became evident and high The risk assessment process in compliance to ISO27001 The information security assessment must define the risk assessment factors: 1. Asset Value 2. Threat 3. Vulnerability 4. Control
  • 52. INFORMATION SECURITY MODEL The Security Domain defines the roles, technologies, standards, and policies necessary to protect the information assets of the state and citizens from any form of unauthorized access. The Security Domain defines the security and access management principles that are applied to ensure the appropriate level of access to NM’s information assets. This domain comprises standards for identification, authentication, authorization, administration, audit, and naming services. COMPONENTS DESCRIPTIONS PHYSICAL SECURITY Securing access to hardware, inventory, and disposition of physical equipment and records. USER SECURITY Ensuring that users accessing data and systems are in fact who they say they are and that they have access only to authorized resources. Functions include the identification, authentication, and authorization of an individual, as well as audit requirements. APPLICATION SECURITY Ensuring that an application that accesses another application or data is secure; includes the analysis of distributed, proxy, and middleware services. SYSTEMS SECURITY Overall systems security analysis, including the user, data transmission, and the host server, as well as remote links and access from other systems, and encryption. DATA SECURITY Both physical and logical data protection, including loss of data through mechanical failure, electrical failure, or viruses. Includes backup procedures, off-site storage, and access audit. NETWORK SECURITY It includes the physical and electical links between the desktop and the host, LAN/WAN, use of internet, dial-up, wireless. SECURITY ADMINISTRATION Periodic reviews of policies, the design and review of systems (proposed or existing). Includes periodic testing of security plans. Generally, this is broken up between Administrators (who focus on individual systems) and an Information Security Officer (larger enterprise focus.) SOCIAL ENGINEERING AND HUMAN FACTORS Many techniques used to compromise systems are based on deceptive practices aimed at individual users or employees. Security awareness must be heightened at all levels of the organization and procedures developed to positively identify requestors of information and their legitimate purposes. MALWARE Viruses, Trojans, spyware, and other malicious code. INCIDENT RESPONSE TEAM Coordinated incident response for miscellaneous incident that may occur across the state.
  • 53. TECHNOLOGY CONFIGURATION OMPONENTS CONFIGURATION ITEMS SPECIFICATIONS Hardware Platforms Operating System Application System Database System Network & Communication Security System Enterprise System Management Development Methodologies Standards Interoperatibility
  • 54. PART 4: E-SERVICES STRATEGIC PLANNING METHODOLOGY At the end of this module, the participants are able 1. To create the performance baseline to justify the value of e-services to transform the quality of performance, people, process, information and technology. 2. To define change requirements and roadmap that enables the alignment of e-services to the strategic vision, mission, and performance goals of the agency. 3. To draft the E-Services Strategic Plan
  • 55. STRATEGIC ALIGNMENT MODEL (Venkatraman,HendersonandOldach) The difficulty to realize value from IT investments is firstly due to the lack of alignment between the business and IT strategy of the organizations that are making investments, and secondly due to the lack of a dynamic administrative process to ensure continuous alignmentbetweenthebusinessandITdomains. StrategyExecution ThisperspectiveviewsthebusinessstrategyasthedriverofbothorganizationdesignchoicesandthelogicofISinfrastructure (the classic, hierarchical view of strategicmanagement). Top Management is strategy formulator, IS Management is strategy implementer.[Arrow1] TechnologyPotential Thisperspectivealsoviewsthebusinessstrategyasthedriver,howeverinvolvesthearticulationofanITstrategytosupportthe chosenbusinessstrategyandthecorrespondingspecificationoftherequiredISinfrastructureandprocesses. The top management should provide the technology vision to articulate the logic and choices pertaining to IT strategy that wouldbestsupportthechosenbusinessstrategy,whiletheroleoftheISmanagershouldbethatofthetechnologyarchitect- who efficiently and effectively designs and implements the required IS infrastructure that is consistent with the external componentofITstrategy(scope,competencesandgovernance).[Arrow2] CompetitivePotential ThisalignmentperspectiveisconcernedwiththeexploitationofemergingITcapabilitiestoimpactnewproductsandservices (i.e., business scope), influence the key attributes of strategy (distinctive competences), as well as develop new forms of relationships(i.e.businessgovernance).Unlikethetwo previousperspectivesthatconsideredbusinessstrategyasgiven(ora constraint for organizational transformation), this perspective allows the modification of business strategy via emerging IT capabilities. Thespecificroleofthetopmanagementtomakethisperspectivesucceedisthatofthebusinessvisionary,whoarticulateshow theemergingITcompetencesandfunctionalityaswellaschanginggovernancepatternsintheITmarketplacewouldimpact thebusinessstrategy.TheroleoftheISmanager,incontrast,isoneofthecatalyst,whoidentifiesandinterpretsthetrendsinthe ITenvironmenttoassistthebusinessmanagerstounderstandthepotentialopportunitiesandthreatsfromanITperspective. [Arrow3] ServiceLevel ThisalignmentperspectivefocusesonhowtobuildworldclassIT/ISorganizationwithinanorganization.Inthisperspective,the roleofbusinessstrategyisindirect.Thisperspectiveisoftenviewedasnecessary(butnotsufficient)toensuretheeffectiveuseof ITresourcesandberesponsivetothegrowingandfast-changingdemandsoftheend-userpopulation. Thespecificroleofthetopmanagementtomakethisperspectivesucceedisthatoftheprioritizer,whoarticulateshowbestto allocatethescarceresourcesbothwithintheorganizationaswellasintheITmarketplace(intermsofjointventures,licensing, minorityequityinvestments,etc.).TheroleoftheISmanager,incontrast,isoneofbusinessleadership,withthespecifictasksof makingtheinternalbusinesssucceedwithintheoperatingguidelinesfromthetopmanagement.[Arrow4]
  • 56. THE TEST OF EFFECTIVE STRATEGY THE TESTS THE INDICATORS Goodness of Fit Test The strategy has to be well matched to industry and competitive conditions, market opportunities and threats, and other aspects of the enterprise's external environment. It has to be tailored to the company's resource strengths and weaknesses, competencies, and competitive capabilities. Competitive Advantage Test The effective strategy leads to sustainable competitive advantage. The bigger the competitive edge that a strategy helps builds, the more powerful and effective it is. Performance Test The effective strategy boosts company performance. Two kinds of performance improvements are the most telling of a strategy's caliber: gains in profitability and gains in the company's competitive strength and long-term market position.
  • 57. THE TYPE OF ORGANIZATIONAL GOALS Strategic Goals These are set of directives at the top of an organization and directly support the mission statement. Strategic goals are related to the entire organization instead of any one department. Tactical Goals These are goals and objectives that are directly related to the strategic goals of the organization. They indicate the levels of achievement necessary in the departments and divisions of the organization. Tactical goals and objectives must support the strategic goals of the organization. Operation Goals These are goals and objectives that are determined at the lowest level of the organization and apply to specific employees or subdivisions in the organization. They focus on the individual responsibilities of employees. Super-ordinate Goals These goals are important to more than one party. They are often used to resolve conflict between groups.
  • 58. CRITICAL PHASES: The Doing E-Services Strategic Planning agrees on the execution of the four critical phases as described by Anita Cassidy in her book, A Practical Guide to Information Systems Planning Phases Description Conceptual Phase In this stage the organization defines the vision, mission, purpose, processes and scope of the strategic plan. Analytic Phase In this stage the organization performs the internal and external scanning of the environment in order to provide the information to guide the strategic planning effort. Planning Phase In this stage the organization develops the objectives, strategies, options, priorities, resources, and recommendations in order to achieve the expected end results. Monitoring and Evaluation Phase In this stage the organization defines metrics to control implementation, and to provide input for continual improvement and adjustment of the defined strategic plan. Approval of the e-services strategic plan triggers implementation. Implementation In this stage the organization executes the objectives, supplies the inputs necessary to deliver the key performance indicators, institutionalizes the processes of change, performs documentation, and makes adjustment on the implementation plan.
  • 59. ENTERPRISE ARCHITECTURE AND STRATEGIC PLANNING WORK PLAN ORGANIZE 1.Identify and engage the service of the Mentoring Consultant, Technical Consultants, Technical Facilitators and Researchers 2.Assist and coordinate with the AGENCY NAME ICT Services Strategic Planning Committee 3.Define and agree on the strategic planning framework, tasks and timetable DISCOVER 1.Set the organizational assessment framework for the strategic planning 2.Identify the specific issues or decisions that the strategic planning should address 3.Identify the information that must be collected 4.Conduct Focus Group Discussions on the situational assessment a.The Mandate, Laws and Standards b.Technical and Business Units and Business Processes c.Current Organizational Strategies and Limitations d.Best Practices and International Trends e.Future Organizational Strategies and Directions f.The Enterprise Architecture 2.Gather and create summary presentation of the information gathered from the key technical and business areas of the organization 3.Assess the information needs/requirements of the agency 4.Assess the existing IT infrastructure (i.e., hardware, software, network, special solutions/devices, etc.) as to its applicability and further use DEFINE 1.Revisit the mandate, mission, vision and values of the organization 2.Define the aim, goals, and objectives of ICT services aligned to the mission, vision, values, and business ends of the organization 3.Identity the strategic directions of the agency 4.Define the Enterprise Architecture aligned to the strategic directions 5.Define what it takes to realize the strategic directions 6.Define the ICT service projects or components of the business case 7.Define the metrics of success or key performance indicators 8.Define the best practice references 9.Identify the key areas of the plan requiring specific technical experts 10.Identify the necessary upgrades and replacements that must be made to the IT infrastructure using lifecycle management practices for infrastructure and technologies employed 11.Identify the information systems necessary to support the mandate of the AGENCY NAME. 12.Define other ICT projects that need to be included in the AGENCY NAME budget forecasts and to be prioritized within the next three (3) years. 13.Identify the criteria in the selection of the appropriate systems integration/solutions provider for the eventual implementation of the ISSP. DRAFT 1.Consolidate the input derived from the focus discussion and research 2.Design and develop the AGENCY NAME Enterprise Architecture (EA) document 3.Develop a three (3) year Information Systems Strategic Plan (ISSP) that would serve as the “blueprint” of AGENCY NAME in the various aspects of technology, solutions, IT strategies, IS strategies, IT manpower support and budgetary requirements, among others. 4.Ensure that the developed ISSP is in conformance to the requirements of the regulatory bodies in the Philippine Government primarily as it related to monitoring, approval and implementation of the ICT vision of the agency. 5.Prepare an ISSP that conforms to the NCC format (M.O. 2003-02) 6.Prepare the E-commerce Plan of the agency in support of the E-commerce Law so that the agency maximizes the use of the Internet in the various aspects of operational and strategic thrusts. 7.Prepare the ICT Projects Investment Roadmap that considers hardware, software and network infrastructure, information systems, and other ICT projects that need to be included in the AGENCY NAME budget forecasts and to be prioritized within the next three (3) years. 8.Conduct a stakeholders and users review 9.Revise and submit for final approval IMPLEMENT 1.Define implementation and monitoring process of the project outcomes and recommendations 2.Facilitate the organizational definition of the Implementation Oversight Committee 3.Define and perform a technology transfer program to ensure that AGENCY NAME management and the corresponding staff of the agency understand the conceptual and operational aspects of the deliverables 4.Conduct training on ICT Project Management 5.Conduct training on ICT Subcontract Management
  • 60. STRATEGIC PLANNING INPUT AND THINKING TOOLS ARCHITECTURE BASELINE Architecture Component Architecture Artifacts Performance Reference Model Service Reference Model Data Reference Model Application Reference Model Technology Reference Model
  • 61. CAPABILITY SCANNING 1.Strengths are internal factors that create value. 2.Weakness is internal factors that destroy value. 3.Opportunity is external factors that create value. 4.Threats are external factors that destroy value. THE S.W.O.T. MATRIX PERFORMANCE AREAS 1. STRENGTH 2. WEAKNESS 3. OPPORTUNITY 4. THREATS Mandate Organization Culture People Services/Products Process Data Application ICT Configuration ICT Security
  • 62. ICT CONFIGURATION BASELINE 1.Availability - The condition that the ICT asset is ready for use. 2.Reliability - The condition that the ICT asset is able to perform its required functions under stated conditions for a specified period of time 3.End of life – The time when the ICT assets are deemed retire or obsolete. ICT ASSETS BUSINESS LOCATION NUMBER AVAILABILITY STATUS RELIABILITY STATUS END OF LIFE Servers Workstations Network Devices Operating Software Server Application Software Workstation Application Software Security Software Bandwidth Services ICT Worker ICT Experts Service Providers
  • 63. STRATEGIC GOAL SETTING: 1.What do you want that you don't have? (Achieve) 2.What do you want that you already have? (Preserve) 3.What don't you have that you don't want? (Avoid) 4.What do you have now that you don't want? (Eliminate) THE STRATEGIC GOALS GRID PERFORMANCE AREAS ACHIEVE ELIMINATE PRESERVE AVOID Mandate Organization Culture People Services/Products Process Data Application ICT Configuration ICT Security
  • 64. TO-BE ARCHITECTURE: Architecture Component Changed Architecture Artifacts Performance Reference Model Service Reference Model Data Reference Model Application Reference Model Technology Reference Model
  • 65. STRATEGIC ACTIONS: PERFORMANCE AREAS STRATEGIC GOALS ACTIVITIES KEY PERFORMANCE INDICATORS CRITICAL SUCCESS FACTORS Mandate Organization Culture People Services/Products Process Data Application ICT Configuration ICT Security
  • 66. STRATEGIC INVESTMENTS: STRATEGIC GOAL ACTIVITIES TIMELINES SERVICES/GOODS REQUIREMENT ESTIMATED BUDGET Goal 1: Goal 2: Goal 3: Goal 4: Goal 5:
  • 67. STRATEGIC ICT PROJECTS: STRATEGIC GOALS ICT PROJECT NAME STAKEHOLDERS BUSINESS REQUIREMENTS DELIVERABLES Goal 1: Goal 2: Goal 3: Goal 4: Goal 5:
  • 68. STRATEGIC ICT CONFIGURATION REQUIREMENTS: BUSINESS AREA ICT OBJECTIVES HARDWARE SOFTWARE NETWORK Business Area 1: Business Area 1: Business Area 1:
  • 69. PROCESS CHECKLIST AND WORKSHEETS The essential activities and the key deliverable in doing information systems strategic planning. Steps Activities Deliverables 1 Initiate Planning Justification, Process Framework and Methods Agreement, Cost and Fund Approval 2 Organize Planning organizational structure, stakeholders, communication and decision-making flow, roles and responsibility matrix 3 Plan to Plan Strategic Planning Development Plan, Work Breakdown Schedule, and Budget 4 Baseline Inventory and Research Process, Skills and Assets Inventory Document, Issues and Trends Research Findings, Request for Information Responses 5 Baseline Situational and Risks Analysis Process and Assets Performance Audit Report, Gaps and Risk Analysis Report. 6 Vision, Goals, and Action Setting Mandate, Mission, Vision, Goals, and Programs Approved Document 7 Solution Conceptual Modeling Enterprise Architecture Document, Services and Application Reference Document, Data Reference Document, Technology Configuration Document, Sourcing and Development Strategy. 8 Requirements, Investments, and Funds Definition Good and Services Investment Matrix, Financial Work plan and Fund Sources 9 Governance Framework Setting Management reference to control the performance, metrics, deliverables, risks, and continual improvement of the planned strategies. 10 Implementation Plan Formulation Information Systems Strategic Implementation Plan Document – purpose, organization, fund source, tasks, activities, time frame, requirement and deliverables. 11 Information Systems Strategic Plan Integration Document Authoring and Review A Strategic Plan Log Frame, Approved ISSP Template from regulatory body. 12 Information Systems Strategic Plan Communication and Approval Communication document, endorsement and approval signature, publication vehicle and artifacts.
  • 70. INFORMATION SYSTEMS STRATEGIC PLANNING QUESTIONS Define the key questions to build up the knowledge requirements to gather input, to perform analysis and to formulate decision in doing information systems strategic planning. MANDATE What is the legal basis and related order that define the business of the agency; it’s the functional definition, and appointed organization? MISSION What are the high level purposes and directives to execute the legal order? VALUES What “good” the organization has to embody in executing the mission. It also means, what “evil” to be eliminated in pursuance of the underlying positive principles of the mandate and mission? VISION What is the envisioned condition of the future for the organization that reflect the achievement of the mandate, the mission, and values for the organization within a defined timed horizon and under the condition of using the ICT tools and services? BASELINE What is the picture of the current state of the organizational components in terms of how it is achieving the mission, values, and vision in the light of the existing process, information, technology, and products? Identification of the business and technology trends and external demands that the organizations are facing from related organization, standard and regulatory bodies? ANALYSIS What are the gaps in contrasting the current business, information and technology situation with the mission, values, and vision of the organization? Describe and rate the impact of the risks if the analyzed gaps prevail in the next desired future state of the organization? GOALS What are the targets (based on the analyzed change offered by relating the situation to the mission, values and vision) to be achieved in order to bring about the integrated change in the targeted time frame for the vision realization. Goals speak of the strategic thrust to push the organization forward? ACTIONS What are differentiating strategies, initiatives, programs or project options to be executed in order to realize the defined goals Action speaks of the prioritized strategic program to embody the strategic thrust? OBJECTIVES What are the measurable outcomes to indicate successful performance of the stated actions? SOLUTIONS What are the drawings that represent the integrated solution conceptual model to deliver the defined strategic objectives? The conceptual model must present the integrated change to realize in the performance, business, information and technology reference models of the organization. It must demonstrate the relational integration of the enterprise architecture components to realize the ends defined for the stakeholders and partners of the organization. REQUIREMENTS What are the critical success factors, investment components (goods and services), people skills, methods, and schedules to deliver the stated solution conceptual model? FINANCE What is the estimated cost of the requirements, and how the cost will be valued in relations to targeted benefits for the organization? How are the cost requirements be capitalized and financially sustained (GAA, ODA, MOE etc)? GOVERNANCE Define the organizational and decision structure to manage the planning, implementation, and continual improvement of the information systems strategic plan? IMPLEMENTATION PLAN What are the planning components to implement the strategy, and the means to monitor the execution of the planned implementation?
  • 71. WORKSHEET 1: STRATEGIC INTENT No Components Description 1 Mission Statement of Purpose 2 Values Statement of the positive principles to embody the action of the business 3 Vision Statement on the envisioned future state of the business 4 Domains Categories of performance areas of the business to realize the vision 5 Goals List of targets to be achieved in the defined performance areas of the business. 6 Services Categories of programs or products to implement the goals 7 Outcomes List of measurable results to be realized by the category of services 8 Investment Configuration of goods and services to support the outcomes, it includes the estimation of cost and capitalization sources. 9 Governance Flow chart of roles and responsibilities structure to sustain and control the initiation, planning, execution, and continual improvement of the services, investments and results.
  • 72. WORKSHEET 2: STRATEGIC BASELINE Specific internal and external variables that describe the operational status and management of the organization, and will provide the proper assumptions in establishing the goals and actions to be selected in bringing about the vision of the future. 2.1BusinessOrganizationReferenceModel Business Reference Model Name: What is the standard name of the business in relation to its reference model? Industry Segment: What industry sectors the business is identified? (retail, manufacturing, education, regulatory, etc.) Business Domain Scope: What are the scope categories of the business area in terms of the primary functions to fulfill? (ordering, delivery, billing, etc.) Business Area: What are the collections of business process (tasks) in the defined scope category? (order registration, order review, order reply, order confirmation, etc..) Business Outcomes: What are the expected outcomes from the collection of business process? (Efficient transaction to receive, to approve, to communicate, and to realize customer's order.) Business Suppliers Who are critical providers of inputs for the business area to deliver the business outcomes? Business Customers Who are beneficiary of the results generated by the activities of the business area? Business Organizational Tree Who are responsible in management of the business, and the structural tree of their roles, responsibilities, and dependencies??
  • 73. WORKSHEET 3: OPERATION S.W.O.T. No. Performance Areas Strength Weakness Opportunity Threats 1 Policies, Strategies, Goals, Objectives and Programs 2 Skills and Experts 3 Process 4 Governance 5 Products and Services Quality Management 6 Customer Relationship 7 Information Management 8 Fiscal Management 9 Resource Management 10 Technology, Tools, Standards and Methods 11 Acquisition and Service Provider Management 12 Compliance and Continual Improvement
  • 74. WORKSHEET 4: ICT SERVICES PERFORMANCE STATUS ICT COMPONENTS PERFORMANCE STATUS No. Service Areas Inventory Assets Location Users Availability Reliability Usability Security Cost 1 Workstations 2 Network Devices 3 Network Cabling 4 Servers Hardware 5 Network Services 6 Office Software 7 Specialized Software 8 Web Services 9 Security Services 10 Storage Services 11 Application Services 12 Database Services 13 Active Directory 14 Bandwidth Services 15 Help Desk 16 Service Management 17 Support Equipment 18 Power Management
  • 75. WORKSHEET 5: ENVIRONMENT CONDITION Specific external trends, scenario, and changes that currently exist or anticipated to emerge, and will provide the opportunity, constraint and risks in the implementation of the strategic intents. Organization Domains Political Economic Regulatory Industry Technology Business Model Information Model Technology Model People Capability Providers Capability Culture Maturity
  • 76. WORKSHEET 6: STRATEGIC GOALS Performance Areas What to Achieve What to Preserve What to Avoid What to Eliminate Business Model Information Model Technology Model People Capability Providers Capability Culture Maturity
  • 77. WORKSHEET 7: STRATEGIC PROGRAM Performance Areas Goals Program Name Key Performance Indicators Business Process Improvement People Capability Information Maturity Service and Product Quality Customer Relationship Revenue Generations Product and Services Innovation
  • 78. WORKSHEET 8: STRATEGIC ICT SERVICES Solution Attributes Item List and Drawing References Services Name Services Objectives Services Business Owners Services Stakeholders Performance Model Process Model Data Model Application Model Infrastructure Model Integration Model Standard References Security Framework Service Levels Competency Needs
  • 79. WORKSHEET 9: STRATEGIC ICT SERVICES PERFORMANCE METRICS ICT Services Key Performance Indicators Critical Success Factors Means of Verification Communication Services Data Services Application Services Security Services Knowledge Management
  • 80. WORKSHEET 10: STRATEGIC ICT INVESTMENT (NEW REQUIREMENTS) Control Number Configuration Items Deployment Location Supported Business Areas Number Needed Estimated Cost Delivery Schedule Fund Source 1 Computer Desktop 2 Computer Laptop 3 Computer Server 4 Network Devices 5 Network Cables 6 Software (New Systems) 7 Software (Upgrade Version) 8 Bandwidth Services 9 Service Support 10 Patches and Utilities
  • 81. WORKSHEET 11: FINANCIAL VALUATION OF THE STRATEGIC INVESTMENTS Investment Item Total Cost Return of Investments Pay Back Period Communication Services Application Development COTS Acquisition Training and Certification
  • 82. WORKSHEET 12: STRATEGIC PLAN IMPLEMENTATION TIME LINE Goals Services/Project Deliverables Dependencies Start Period End Period
  • 83. WORKSHEET 13: IMPLEMENTATION ROLES AND RESPONSIBILITIES Tasks Name Responsible Accountable Expert Worker
  • 84. SOFTWARE FOR ENTERPRISE ARCHITECT Documentation and Collaboration  Google Apps Diagram and Modeler  Dia Diagrammer