1FSAM Version 1.0 Federal Segment Architecture Methodology (FSAM) Practitioner’s Training Version...

1FSAM Version 1.0

Federal Segment Architecture Methodology

(FSAM) Practitioner’s Training

Version 1.0

2FSAM Version 1.0

What is FSAM?

3FSAM Version 1.0FSAM Version 1.0

What is a Segment?

Source: FEA Practice Guidance

• A segment is an individual element of the enterprise describing either a core mission area, a common or shared business service, or an Enterprise service.

• Segments are defined by the enterprise architecture.


What is Segment Architecture?

Segment Architecture: Detailed results-oriented architecture (baseline and target) and a transition strategy for a portion or segment of the enterprise.

o A scalable and repeatable process for architects to engage business stakeholders and deliver value to business areas

o Helps to establish clear relationships between strategic goals, detailed business and information management requirements, and measurable performance improvements Source: FEA Practice Guidance


Introduction to the new FSAM

What is FSAM?

• The new Federal Segment Architecture Methodology (FSAM) is a step by step process for developing and using segment architecture that leverages existing “best practice” analysis techniques and easy to use templates to expedite architecture development

• FSAM includes process steps to identify and validate the business need and the scope of the architecture to be defined (e.g., new initiative or integration / consolidation of existing initiatives).

• FSAM includes the interfaces to other processes including performance / investment management, enterprise transition planning, solution architecture development, and system lifecycle management

Who created FSAM?

• The Federal Segment Architecture Working Group (FSAWG) is a cooperative effort with the federal architecture community formed in January 2008 as a sub-team to the Architecture and Infrastructure Committee (AIC) and therefore, an element of the Federal CIO Council, at the request of the OMB Chief Architect


Since the FSAWG was initiated, the team has made great headway. Some notable facts include…

• 13 Federal organizations, including 2 cross-agency initiatives participatedo 13 people on core teamo 34 people on sub-team

• 10 best practice presentations delivered

• 18 assessed best practices considered

• 78 analytical techniques cataloged o Including 232 templates /

examples

Best Practices

• HUD - Segment Architecture Development Guidance / Work Product and Decision Templates

• DoD – DoDAF Version 2.0 (Draft)

• DOI - Methodology for Business Transformation (MBT)

• DOJ - Information Sharing Segment Architecture (ISSA)

• PM-ISE - Information Sharing Environment EA Framework

• PM-ISE - FEA Information Sharing Environment Profile

• DHS – Information Sharing Environment

• DOL - EA Quick Reference Guide

• DOL - IT Investment Management Quick Reference Guide

• DOL – STREAMLine Methodology

• Treasury - Segment Architecture Analysis Guide

• Treasury - Segment Architecture Process Guide

• Treasury - Segment Architecture Roadmap

• HRLOB – Segment Architecture Approach

• EPA - OSWER Segment Architecture Line-of-Sight: From Architecture through Implementation

• HHS - HHS Architecture Development Methodology (ADM)

• FEA - Security and Privacy Profile (v2) (Draft)

• FEA - Records Management Profile

7FSAM Version 1.0 7

FSAWG leveraged a Catalog and Analysis of Documents to identify analysis techniques used in agency best practices

7

0

10

20

30

40

50

60A

pplic

atio

ns

Bus

ines

s/P

roce

ss

CP

IC

Dat

a

Oth

er

Per

form

ance

/Str

ateg

y

Rec

ords

Sec

urity

and

Priv

acy

Ser

vice

s

Tec

hnol

ogy

Count of Classification of Analysis Technique

Classification of Analysis Technique

Each color represents a different

contributing organization.


The FSAWG team made a few observations on EA as a discipline …

• No consensus on what constitutes a complete performance, business, technology, service and data architecture

• Segment Architecture is often focused on populating artifacts rather than synthesis of recommendations to deliver business value

• A lack of formal sharing of analytical techniques and best practices exists across the Federal government

• Varying levels of maturity exist across Agency EA programs

• No standard Federal-wide approach exists for defining segment architecture

FSAM addresses these issues


FSAM promotes a consistent approach to developing segment architecture

• Defines the core elements and attributes that are needed for defining a complete segment architecture.

• Includes process steps, activities and associated tasks to identify and validate the business need and the scope of the architecture to be defined.

• Includes the development of as-is, target and transition plans for the performance, business, data, services, and technology architecture layers.

• Provides an online toolkit containing analytical templates to support the architecture practitioner towards expediting their segment architectures.

• Provides case examples from participating agencies to relay real life examples highlighting specific facets of the methodology.

• Assures business integration between mission priorities and financial investments, particularly IT investments.


FSAM provides the Process Step decomposition of the ‘Develop Segment Architecture’ Lifecycle Phase

Author the Modernization

Blueprint

Develop the Segment Scope and Strategic

Intent

Define the Conceptual Solution Architecture

Define Business and Information

Requirements

Determine Participants and Launch Project

The top level steps of FSAM start with the FEA Practice Guidance published by OMB as a launch point for use/refinement


FSAM includes the steps for developing a Segment Architecture as well as hand-offs to Enterprise and Solution Architecture


FSAM supports the entire lifecycle from strategic planning to execution with a primary focus on developing actionable architecture

Strategic

Planning

Strategic

PlanningArchitectu

re

CPIC

BudgetCPIC

Architecture

CPIC

Architecture

Architecture

Execution

Execution

13FSAM Version 1.0

FSAM Overview


FSAM features a series of touch points to other disciplines such as security.


FSAM features a series of touch points to other disciplines such as security.

NIST 800-39Organizational View of

Risk Management

NIST 800-60Security Categorization

Process


In addition, FSAM has identified touch points with other Federal guidance

FSAM NIST 800-39

PGFSOA

FTF


PGFSOA Integration

1 23

Task 3.2.3: Align strategic improvement opportunities to the data architecture

PGFSOA, Sec. 4.1.7: Employ enterprise architecture tools and artifacts to identify significant information exchanges across domains of interest.

Task 3.2.2: Determine the required adjustments to the business architecture

PGFSOA, Sec. 4.1.6: Many of the benefits of SOA are derived from sharing – sharing information, sharing business processes, sharing reference architectures, and sharing services.

Task 4.2.1: Identify service and solution reuse opportunities

PGFSOA, 3.2.3: Adoption of some common services across the federal government will start with infrastructure services (e.g., authentication, auditing) but quickly expand to business utility services (e.g., federal employee lookup, simple approval process, calendar services, scheduling).


NIST 800-39 Integration

13

2

Task 2.2.3: Identify segment risks and impacts

NIST 800-39, Sec. 3.2: The first step in building an effective organization-wide information security program is to conduct a thorough analysis of the organization’s mission and business processes informed by the organization’s enterprise architecture…

Task 3.1.4: Analyze processes and determine high-level information requirements including organizational relationships

NIST 800-39, Sec. 3.2: Conducting the security categorization process as an organization-wide exercise helps ensure that the process accurately reflects the criticality, sensitivity, and priority of the information and information systems that are supporting organizational mission/business processes and is consistent with the organization’s enterprise architecture.

Task 4.1.4: Determine adjustments necessary to the as-is conceptual solution architecture

NIST 800-39, Sec. 3.3: Security controls should be reflected in the FEA solution architectures and should be traceable to security requirements allocated to mission/business processes defined in the FEA segment architectures...See also NIST 800-53, FIPS 199, and FIPS 200.


FTF Integration

2

Task 1.2.2: Synthesize the common business challenges across the Business Owners

FTF Usage Guide, Sec. 3.1: [The] FTF Catalog includes both mandatory and informational initiatives.Mandatory initiatives must be included in agency enterprise architecture and the agencyEA Transition Strategy, and agency alignment with these initiatives is assessed as partof the annual EA assessment process.

1Task 4.2.1: Identify service and solution reuse opportunities

FTF Usage Guide, Sec. 3.1: The FTF Catalog provides information to agency decision makers to support the implementation of cross-agency initiatives, and provides guidance to working groups with responsibility to develop cross-agency initiative architecture. The catalog supports usage scenarios for agency decision makers and cross-agency task forces, working groups or communities of practice with responsibility to develop initiative architecture.


Determine Participants and Launch Project

Develop the Segment Scope and Strategic Intent

Define Business and Information Requirements


Author the Modernization Blueprint

Segment

Business Area

InitiativeBRM Sub-function

Driver

Investment

Business Process

Activity

System Service

Information System

DRM Entity

DRM Exchange Package

Organization

PRM Measurement Indicator

List of affected organizations and

their Business Owner(s)

Segment Architecture Development

Purpose Statement

Segment performance goals

Segment performance goals

Business Drivers and Mandates

Segment Scope

Segment Scope

Segment Scope Target Business Function Model

Target Key Business Process Models

List of affected organizations and

their Business Owner(s)

Goal

Target Conceptual Data Model

Information Exchange Packages

Integrated Target Systems and Services Interface

Diagram

Legend

Performance and Investment Tiger Team Metamodel

FSAWG Outputs

Initiative


Purpose Statement

Performance Gaps

Strategic Improvement Opportunities


Target Data Steward Assignments

Updated Data Reference Model

High-level Information Requirements


Diagram


Diagram

Target Service Component Model (SCM)

Information System

Strategic SystemsMigration / Sequencing

Sequencing Overview

Strategic Systems Migration / Sequencing

Performance Milestones

The EA Segment Report (EASR) Meta-model has been integrated with the FSAM

PAR Performance

PAR Metric

Component, Bureau, Operating Division, etc

Strategic Goal

Target

Actual

Target Achieved/Not Achieved?

P&I Tiger Team Reporting Template

Strategic Element Opportunity Rationale

Architecture Work Product

Segment Strategic Goal/Objective <name>

List Opportunities

Describe rationale for strategic alignment

Target work product name

Business and IT Modernization Initiative <name>

List Opportunities

Describe rationale for strategic alignment

Target work product name

Strategic Alignment Analysis Template


The FSAWG used a three-level decomposition for the new methodology

1

2

3


Each process step is detailed in a step guidance document

• Step Description and Purpose• Step Outcome• Step At-A-Glance• Activity Details• Activity Short Description• Activity Flow Chart with Tasks• Activity Inputs• Tasks• Communication Considerations• Activity Outputs• Suggested Analytical Techniques

(with examples and templates)


Analytical techniques have been included in the FSAM with templates from Agency best practices

Each suggested analytical technique table includes:

• Output name• Core – (Y,N) Outputs that support

population of Segment Architecture Template in EAAF Ver. 3.0.

• Associated FEA Layers• Name of suggested analytical

technique• Link to the template/example• Contributing Agency


FSAM includes a summary of all outputs and suggested analytical techniques (Appendix I)

25FSAM Version 1.0

Process Step 5Process Step 4Process Step 3Process Step 2Process Step 1

Governance Framework


Purpose Statement

Core Team Roster

Core Team Formation

Memorandum

Core Team Charter

Project PlanCommunications

Strategy


Stakeholders and Their

Relationships

Segment Scope

Performance Gaps


Segment Performance

Goals and Objectives

Performance Scorecard

Segment ContextRisks and Impacts

Stakeholder Needs

Common / Mission Services Target Maturity

Levels

Segment Architecture

Vision Summary

Segment Scope and Strategic

Intent Presentation

As-Is Business Function Model

As-Is Business Value Chain

Target Business Value Chain

Diagram

As-Is Key Business Process

Model

Target Business Function Model

Business and Information Architecture Adjustment

Profiles

As-Is Key Information

Sources and Qualitative

Assessment

As-Is Business Process Swim Lane Diagram

Target Business Process Swim Lane Diagrams

Target Data Steward

Assignments

Target Business Data Mapped to Key Business

Processes (CRUD)

Target Key Business Process

Model

Target Information Flow

Diagram

Target Information

Sharing Matrix

Target Conceptual Data

Model

Business and Information Architecture Presentation

As-Is System and Services Scoring

As-Is Conceptual Solution

Architecture

Target Conceptual

Solution Architecture

Data Reuse

Target Technical Architecture

Target Service Component Architecture

Integrated Service

Component and Technology

Model

Transition Recommendation

Profile


Sequencing Diagram

Conceptual Solution

Architecture Presentation

Recommendation Sequencing Milestones

Reuse Summary

Analysis of Cost, Value and Risk for Transition

Options

Strategic Systems Migration /

Sequencing Overview

Proposed Implementation

Recommendations


Blueprint Document (incl.

Sequencing Plan)

Document Review Log

Feedback Tracking

Document and Feedback Action

Report

Blueprint Executive Summary

Presentation

Approved Segment Architecture


Sequencing Plan)

Record of Decision (ROD)

Recommendation Implementation

Sequencing Plan

Transition Plan Milestones

Segment Mappings

Legend

Core Output

Recommended Output

Capital Planning Investment Control

Exhibit 53 and Exhibit 300




Purpose Statement

Core Team Roster

Core Team Formation

Memorandum

Core Team Charter


Strategy



Relationships

Segment Scope

Performance Gaps


Segment Performance




Stakeholder Needs


Levels


Vision Summary


Intent Presentation




Diagram


Model



Profiles



Assessment



Target Data Steward

Assignments


Processes (CRUD)


Model


Diagram

Target Information

Sharing Matrix


Model




Architecture

Target Conceptual


Data Reuse



Integrated Service


Model


Profile


Sequencing Diagram

Conceptual Solution



Reuse Summary


Options


Sequencing Overview


Recommendations



Sequencing Plan)

Document Review Log

Feedback Tracking


Report


Presentation



Sequencing Plan)



Sequencing Plan


Segment Mappings

Legend

Core Output

Recommended Output



FSAM outputs are designed to progressively elaborate the information required to define a segment architecture.




Purpose Statement

Core Team Roster

Core Team Formation

Memorandum

Core Team Charter


Strategy



Relationships

Segment Scope

Performance Gaps


Segment Performance




Stakeholder Needs


Levels


Vision Summary


Intent Presentation




Diagram


Model



Profiles



Assessment



Target Data Steward

Assignments


Processes (CRUD)


Model


Diagram

Target Information

Sharing Matrix


Model




Architecture

Target Conceptual


Data Reuse



Integrated Service


Model


Profile


Sequencing Diagram

Conceptual Solution



Reuse Summary


Options


Sequencing Overview


Recommendations



Sequencing Plan)

Document Review Log

Feedback Tracking


Report


Presentation



Sequencing Plan)



Sequencing Plan


Segment Mappings

Legend

Core Output

Recommended Output



Non-core FSAM outputs provide additional information that can be used to inform decision making related to the segment mission, business, and information needs.

Core FSAM outputs provide the information necessary for EAAF reporting requirements

26FSAM Version 1.0

Walkthrough of FSAM Steps 1-5

27FSAM Version 1.0

Step 1

Determine Participants and Launch the Project


Activities for Step 1: Determine Participants and Launch Project


Key Questions Being Answered by Step 1: Determine Participants and Launch Project

• What is the governance framework for the development of the segment architecture?

• Does the business owner(s) understand the process and time commitment for developing the segment architecture?

• Who is the executive sponsor?• Who is on the core team? Are these the right people?• What is the specific purpose for developing this segment

architecture?• Is the charter approved to develop the segment architecture in the

context of the purpose statement crafted by the business owner(s)?• Is there a project plan and communications strategy for the

development of the segment architecture?


Activity 1.1: Determine the executive sponsor


Activity 1.2: Develop the purpose statement for the segment

1.1

Discuss the business

challenges facing each Business

Owner

Synthesize the common business challenges across

the Business Owners

Communicate how segment

architecture could assist with common

business challenges

Formulate the purpose statement

1.3


Activity 1.3: Solicit core team members

1.2

Communicate to Business Owner(s) the role of the Core

Team

Issue a memorandum to communicate the

formation of the Core Team and the

purpose statement

1.4

Determine personnel to be appointed to the

Core Team

Communicate appointments to

the affected personnel


The core team membership is critical to the success of the project

Core team members…• Are typically program manager level personnel within the

segment or other key segment stakeholders• Comprise a highly functional team that has the

knowledge and vision to develop an actionable segment architecture

• Should be constructive, able to think outside of a single organizational context, good communicators, visionary, and excited about change


Activity 1.4: Create core team charter and project plan

1.3

Develop draft Core Team

charter

Create project plan for segment

architecture development

Review and approve Core Team charter,

project plan, and governance

1.5


Activity 1.5: Establish the communications strategy

1.4

Implement project

collaboration website

2.1

Identify audience groups and design

themes and key messages

Determine communications

goals and objectives

Select tactical communications

vehicles


Step 1 Outputs


Segment Architecture Development Purpose Statement

Core Team Roster

Core Team Formation Memorandum

Core Team Charter

Project Plan

Communications Strategy



Purpose Statement

Core Team Roster

Core Team Formation

Memorandum

Core Team Charter


Strategy



DOJ



Segment Architecture Development Purpose Statement – [Core]

FSAWG

Segment Architecture Development Purpose Statement



FSAWG



FSAM provides additional project management tools to support segment architecture development

Communication Strategy FSAM Segment Architecture DevelopmentProject Schedule

Core Team Roster

Core Team Charter

FSAWG

41FSAM Version 1.0

Step 2

Define the Segment Scope and Strategic Intent


Activities for Step 2: Develop the Segment Scope and Strategic Intent


Key Questions Being Answered by Step 2: Develop the Segment Scope and Strategic Intent

• Based on the high-level problem statement, what are the strategic improvement opportunities and gaps?

• What are the major common / mission services associated with the strategic improvement opportunities?

• Who are the segment stakeholders and what are their needs?• What is the scope of the segment architecture?• What are the current segment investments, systems, and

resources?• What are the deficiencies within the segment or the inhibitors to

success?• What is the target state vision for the segment?• What is the performance architecture through which the transition to

the target state vision can be evaluated?


Activity 2.1: Establish segment scope and context

1.5

2.2

Review segment architecture development

purpose statement

Identify organization components

Identify stakeholders

Establish segment summary

description

Validate / approve segment

scope and context

Refine / update

segment scope and

context

Disapproved

Approved


Activity 2.2: Identify and prioritize strategic improvement opportunities

2.1

2.3

Review segment

scope and context

Formulate and prioritize

strategic improvement opportunities

Validate strategic

improvement opportunities

Determine stakeholders’

needs

Identify segment risks and impacts

Identify performance

gaps

Formulate and prioritize

business needs

Disapproved

Approved


Activity 2.3: Define segment strategic intent

2.2

Describe segment target

state vision

Establish segment’s strategic

performance

Identify target maturity levels for common /

mission services

Document the strategic intent

2.4


Activity 2.4: Validate and communicate the scope and strategic intent

Package scope and strategic

intent

Present scope and strategic

intent for approval

2.3

3.1

Approved

DisapprovedReturn to Step 2


Step 2 Outputs



Relationships

Segment Scope

Performance Gaps


Segment Performance




Stakeholder Needs


Levels


Vision Summary


Intent Presentation


Stakeholders and their Relationships

Segment Scope

Stakeholder Needs

Risks and Impacts

Segment Context

Performance Gaps


Segment Performance Goals and Objectives

Common / Mission Services Target Maturity Levels

Segment Architecture Vision Summary


Segment Scope and Strategic Intent Presentation


Business Drivers and Mandates – [Core]

HHS

Driver and Policy Map


Stakeholders and their Relationships – [Core]

HHS

Stakeholder Map


Segment Scope – [Core]

HHS

Segment Summary


UID Need Description Stakeholder Name Stakeholder Type

[Unique ID of Need]

[Description of the need] [Name of stakeholder associated with the need]

[Type of stakeholder associated with the need]

Stakeholder Needs

FSAWG

Stakeholder Needs


Segment Name / Code

Risk ListDocument Owner:

Organization:

Phone: Email:

Purpose of Risk List:

The Risk List is used to track and manage risks to the [segment name] segment.

ID Risk Label

Risk Description

Risk Category Severity Probability Risk Priority

Submitted by

Date Identified

Risk Owner Risk Status Mitigation Plan Contingency Response Plan

Unique ID tracking number for each Risk identified

Brief label for the Risk

Provide a more detailed description of the Risk including the expected impact if the risk occurs

Enter a category description (i.e., type) of the risk. Examples include mission, people, process, business, cost, data, privacy, security, technology, etc.

What is the severity of the risk to the project scope, schedule, and resources if it occurs (H/M/L)

What is the likelihood that the risk may occur (H/M/L)

Enter the overall priority of the risk (H/M/L)

Enter the name of the person who identified the risk

Date the Risk was identified

Name of owner of the Risk. Risk owner is responsible for tracking and reporting on the status of the risk and any associated response plans

Risk Status:Inactive - Risk has not occurred Active - Risk has occurred and response plan is in effect

What is the overall plan to reduce the probability or effect of the risk.

What is the plan responding to the risk should it occur.

1

2

3

4

5

6

7

8

Risks and Impacts

DOT

Risk Capture Template


Segment Context

EPA

Current Operating Environment Diagram


Performance Gaps – [Core]

HUD

Performance Gap Analysis


Strategic Improvement Opportunities Analysis – [Core]

Potential Opportunities

Prioritization Criteria

Opportunity Analysis

HUD

Strategic Improvement Opportunities Analysis


Weaknesses

Opportunities Threats

Strengths

Strengths and Weaknesses are internal value creating (or destroying) factors such as assets, skills or resources a company has at its disposal relatively to its competitors. They can be measured using internal assessments or external benchmarking.

Opportunities and Threats are external value creating (or destroying) factors a company cannot control, but emerge from either the competitive dynamics of the industry/market or from demographic, economic, political, technical, social, legal or cultural factors.

Business Driver

Business Driver

Business Driver

Business Driver

Business Driver

Business Driver

Business Driver

Business Driver

Strategic Improvement Opportunities Analysis – [Core]

HUD

SWOT Analysis


Segment Performance Goals and Objectives – [Core]

HUD

Strategic Alignment of Opportunities


Common / Mission Services Target Maturity Levels

DOI

Common / Mission Services Maturity Framework


Segment Architecture Vision Summary

Segment Summary

HHS


Performance Scorecard – [Core]

Segment Architecture Performance

UID Fiscal YearSegment Architecture Development

Measurement Indicator TargetActual

Results Comments FSAWG

PART Metrics

Program

Agency, Component, Bureau, Operating

Division, etcAgency

Code Year AssessedFinal

Rating

PAR Metrics

PAR MetricFiscal Year

Agency, Component,

Bureau, Operating Division, etc

Agency Code Strategic Goal Target Actual

Target Achieved

? (Y/N)


Business / Service Performance

Measurement ID

Line of Business or Service Type

Sub-function or Service

Component

Strategic Goal(s)

Supported

Agency Business Process

Fiscal Year

Measurement Area

Measurement Category

Measurement Indicator

Metric Type

IT Investment

NameInvestment

UID

System / App /

Program Baseline TargetActual Results

62FSAM Version 1.0

Step 3

Define Business and Information Requirements


Activities for Step 3: Define Business and Information Requirements


Key Questions Being Answered by Step 3: Define Business and Information Requirements

• How well does the current (as-is) business and information environment perform?

• How should the target business and information environment be designed?

• Have the segment’s goals and performance objectives been translated into an actionable and realistic target business and information architecture expressed within business functions, business processes, and information requirements?

• Have the business and information requirements been analyzed and documented to the lowest level of detail necessary to form actionable recommendations?

• Did the business and information analysis provide a synchronized and cohesive set of recommendations?

• Does the core team understand the adjustments that are required for the current business and information environments to fulfill the target performance architecture?


Activity 3.1: Determine current business and information environment associated with strategic improvement opportunities

2.4

Determine the value chains

for the common / mission services

Define the business

function model and associate it to the value

chain

Analyze existing IT

investments that relate to the business

processes

Analyze processes and determine high-level

information requirements including

organizational relationships

3.2

Assess current

information sources


Activity 3.2: Determine business and information improvement opportunities

3.1

Align strategic improvement

opportunities to the business architecture

Determine the required

adjustments to the business architecture

Align strategic improvement

opportunities to the data

architecture

Determine the required

adjustments to the data

architecture

3.3


Activity 3.3: Define target business and data architectures

3.2

Define target business processes

and their performance including

organizational relationships

Define target data

relationships and business data stewards

Define the target

information services

Ensure target business and data architecture addresses strategic

improvement opportunities

3.4


Activity 3.4: Validate and communicate target business and data architectures


Step 3 Outputs




As-Is Key Business Process Models


Business and Information Architecture Adjustment Profiles

As-Is Key Business Process Swim Lane Diagram


Target Information Flow Diagram

As-Is Key Information Sources and Qualitative Assessment

Target Business Data Mapped to Key Business Processes (CRUD)


Target Data Steward Assignments

Target Information Sharing Matrix






Diagram


Model



Profiles



Assessment



Target Data Steward

Assignments


Processes (CRUD)


Model


Diagram

Target Information

Sharing Matrix


Model



As-Is / Target Business Value Chain

DOJ

Business Value Chain Analysis


As-Is / Target Business Function Model – [Core]

DOI

Business Function Model


As-Is / Target Key Business Process Model

DoD

Business Activity Model


Wanted Person Scenario

IAF

ISIA

FIS

Los

Ang

eles

PD

Los

Ang

eles

PD

NC

ICN

CIC

San

Die

go P

DS

an D

iego

PD

Vin

cent

Mitc

hell

Vin

cent

Mitc

hell

Violates Probation (Trigger 1)

Issues warrant for Vincent Mithchell’s

arrest

Conducts search in IAFIS/III

III

Completes Wanted Person Record

NCIC

Stops subjectRuns license plate

numberArrests subject

Books and fingerprints subject

EFCON ITN AFIS

Completes Locate Wanted Person

Transaction

Notified LW record

completed

Completes transaction that

Vincent should be detained in Los

Angeles

Receives notification to detain Vincent

Extradites Vincent to San

Diego

Cancels detainee record

Notification received

Speeding (Trigger 2)

NCIC

Completes arrest process

Completes arrest process

NCIC

III

III

IAFIS QR/QH

Receives notfication

Wanted Person

Record (EW)

Acknowledgement

EW Entered

Wanted Person Indicator Marked

License PlateSearch

Positive Record Match

Receives notification that a

hit was made against Vincent’s

record

Record Hit Notification

Locate Wanted Person Record

Entered (LW)

Unsolicited Notification ($.L)

Detainer Record (DW) Appended to EW record

Unsolicited Notification ($.I)

Canceled Detainee

Record (XDW)

Notification $.A to remove Wanted Person Indicator

Unsolicited notification

($.P) sent that EW purged

As-Is / Target Business Process Swim Lane Diagram

DOJ

Business Process Swim Lane Diagram


Treasury




Step

No.Step Label Process Description Notes

1 Observation The process begins when a person or persons observe unusual behavior. Such activities could include, but are not limited to, surveillance, photography of facilities, site breach or physical intrusion, cyber attacks, possible testing of security or security response, indications of unusual public health sector activity, unauthorized attempts to obtain precursor chemical/agents or toxic materials, or other usual behavior or sector-specific incidents.

The observer may be a private citizen, a government official, or a law enforcement officer.

2 Initial Response and Investigation

An official of a Federal, State, or local agency with jurisdiction responds to the reported observation. This official gathers additional facts through personal observations, interviews, and other investigative activities. In the context of priority information requirements, as provided by State and major urban area fusion centers, the officer/agent may use a number of fact based systems to continue the investigation. These fact based systems provide the officer/agent with a more complete picture of the activity being investigated. Some examples of fact based systems and the information they may provide include:

Department of Motor Vehicles provides drivers license and…

The event may be documented using a variety of reporting mechanisms and processes, including but not limited to, reports of investigation, event histories, field interviews (FI), citations, incident reports, and arrest reports.

The record may be hard and/or soft copy and does not yet constitute an ISE-SAR.

Target Information Flow Diagram – [Core]

ISE

Target Information Flow Diagram

Fusion Ctr Fed Field Component HQ

Step 3

Step 4

LE1

LE2LE3

Step 1

Private Sector

Event

Event

Event

Fact Info

SAR

Step 4

Step 3

Step 1

NCTC/ITACG

Fed HQ

Fed to Fed

Fed to Fed

SAR

Step 5

Fact Info

SAR

Fact Info

Step 1

Step 1

Shared Space

Shared SpaceShared Space

SAR

SAR

SAR

Step 6

SAR

Step 6

Step 7

Step 5

AWNFed to PS

AWNFed to SLT

Step 8

Step 8

Fed to Foreign

Foreign Foreign

Fed to Foreign

Step 2

Step 2 is an internal process that prepares fact information to be used in Step 3. It is not reflected in this diagram

SAR

NCTC/ITACG

Shared Space

SARStep 7

Step 1

Step 8

AWNFed to SLT

AWNFed to SLT

ForeignForeign

ForeignForeign

Fed to ForeignFed to Foreign

SAR

SAR

Step 6

Step 6

Step 5

Step 5

Step 4

Step 3

Step 2

Step 1

Step 8

Step 1

Step 1

Step 4

Step 3

Shared Space

Shared SpaceSAR

SAR

SAR

AWNFed to PS

AWNFed to PS

Fed to Fed

Fed to Fed

Fed HQ

Fusion Center

Fact Info

Private Sector

Fact Info

Fact Info

LE1

LE2LE3

Event

Event

Event

Fed Field Component HQ

Step 2 is an internal process that prepares fact information to be used in Step 3. It is not reflected in this diagram.


As-Is Key Information Sources and Qualitative Assessment

ADS Candidate Qualitative Analysis Matrix

DOI


Target Business Data Mapped to Key Business Processes

HHS

CRUD Matrix


Target Data Steward Assignments – [Core]

DOI

Target Data Steward Matrix


Target Information Sharing Matrix – [Core]

*Data Sharing Service Types are either exchange services or access services as described in FEA DRM v2.0, Chapter 5. The type of data sharing service usually depends on the structured or unstructured nature of the provider’s data source to consumer’s structured or unstructured data source.*Types of Data Exchange Services Extract/Transform/Load Publication Entity/Relationship Extraction Document Translation

*Types of Data Access Services Context Awareness Structural Awareness Transactional Services Data Query Content Search & Discovery Retrieval, Subscription and NotificationNote: Access Services typically support many consumers. Generally, there is no need to identify specific consumers.

Target Information Sharing Matrix

DOI

InformationClass

InformationProvider

Information Provider Data

Source (Structured or Unstructured)

Information Consumer

Information Consumer

Data Source(Structured or Unstructured)

Information Sharing

Service Type*High-Level Requirements

[Information Class Name]

[Name of information provider]

[Type of provider’s data source.]

[Name of information consumer]

[Type of consumer’s data source.]

[Type of Data Exchange or Data Access Service]

[Identify any associated high-level requirements related to security, privacy, data standards, etc.]


Target Conceptual Data Model – [Core]


HR-LOB

81FSAM Version 1.0

Step 4



Activities for Step 4: Define Conceptual Solution Architecture


Key Questions Answered by Step 4: Define the Conceptual Solution Architecture

• What existing systems and services are deployed within the as-is conceptual solution architecture?

• How well do the existing systems and services currently support the mission? Which systems and services should be considered for retirement and / or consolidation?

• What does the target conceptual solution architecture need to include in order to fulfill the target performance architecture?

• Are the selected target business functions, systems, and service components reusable?

• Does the conceptual solution architecture support the target performance, business, and data architectures developed in prior steps, along with recommendations for transitioning from the as-is state to the target state?

• Have the dependencies, constraints, risks, and issues associated with the transition been analyzed to identify alternatives to be considered?


Activity 4.1: Assess systems and technology environment for alignment with performance, business, and information requirements

Collect information on

existing segment system and

service capabilities

Determine adjustments

necessary to the as-is conceptual

solution architecture

Assess business value and

performance of systems and

services

4.2

3.4

Define the as-is conceptual



Activity 4.2: Define the target conceptual solution architecture

Identify service and solution

reuse opportunities

Define applicable high-level

technology, service, and information standards

Define relationships

between target systems and

services

4.3

4.1

Identify required target system and

service components


Activity 4.3: Identify and analyze system and service transition dependencies

4.2

4.4

Identify and analyze alternatives for

transition

Develop recommendations outlining selected

alternatives


Activity 4.4: Validate and communicate the conceptual solution architecture

Package the conceptual


Present the conceptual

solution architecture for

approval

4.3

5.1

Approved

DisapprovedReturn to Step 4


Step 4 Outputs

As-Is Conceptual Solution Architecture


Target Conceptual Solution Architecture



Data Reuse

Reuse Summary

Integrated Service Component and Technology Model

Transition Recommendation Profile

Transition Recommendation Sequencing Diagram


Conceptual Solution Architecture Presentation



Architecture

Target Conceptual


Data Reuse



Integrated Service


Model


Profile


Sequencing Diagram

Conceptual Solution



Reuse Summary


Business Function 1

TRACK

PAYMENTS

Agency Data

SPTE

Link

Link RRF

FED II

PASA

PFO

SCART

Acct Balance

SLOAG II

CAPI

MPSTCAF II

EFAC

Agency Data

Scanned Image

ID

Agency Balances

SCFI

Acct Balance

Acct Balance

OriginationData

TransactionData

ID

Agency Data

Account Info

Agency Data

SLOAG I

Agency Data

Account Balances

RATS Account Info.

Acct Balance Delta

Org. Info.

STCAF I

TSRIF

Scanned Image

Agency Transaction Data, Account and Organization Info.,

Account Balances

OMB

FPA

Bank

Agency Data

MASAcct.Info.

Response

Acct Balance

AgencyData

Agency TransactionData

TSIS

RECAPAgency

Data

Business Function 1

Author:Project:Date:Revision:Status:Version:

X Bureau and DO ArchitectsX Segment Architecture6/13/20063/28/2007Final1.7

As-Is Conceptual Solution Architecture

Account & Org Data

Genral Ledger

Legend

Core System

Agency (Organization)

Feeder System

Enterprise Service

Core System (To-Be Retired)

Scanned Image

As-Is / Target Conceptual Solution Architecture – [Core]

Treasury

System Interface Diagram



DOI

As-is systems and services description and scoring


Target Technical Architecture – [Core]

HRLOB

Technology Model


Target Service Component Architecture – [Core]

HRLOB

Service Component Model (SCM)


Data Reuse – [Core]

Data Reuse

FSAWG

Exchange Package Definition and ReuseReused Exchange

Package NameReused Exchange

Package Description

Organizational Owner

Exchange Package Data Steward (Organization)

Exchange Package Data Steward Agency Code

Owning Information System

Using Information System

Information Exchange Package Reuse InformationNote: Complete this list for each exchange package to identify associated reused data entities

Reused Exchange Package Name

Reused Data Entity Name

Reused Data Entity Description

Entity Data Steward (Organization )

Entity Data Steward Agency Code


Segment Reuse

Segment Name Segment Code Segment Reuse Explanation

Reused Business Capabilities List

BRM Business Area BRM Line of Business BRM Sub-Function Providing Organization Agency Code

Reused Information System List

System Name System Description System Owner Agency Code Segment

Reused System Service List

Service Name Service Description System Name System Owner Agency Code

Reuse Summary – [Core]

FSAWG

Reuse Summary



HR-LOB


Control Flow

Information Flow


Strategic, Business or Investment Improvement Opportunity:

Summary of Effect on Strategic, Business or Investment Improvement Opportunity:

Affected Business Function/Process, Information or Service Area(s):

Summary of Transition Recommendation:(This may include transition to a target or intermediate state. Also include a transition sequencing diagram)

Risks / Issues:Relationships and Dependencies: Estimate of Costs:


Treasury



TARGET: System Name

RETIRE: System Name

RETIRE: System Name

RETIRE: System Name

RETIRE: System Name

TARGET INTERFACE: Information Exchange

CONSOLIDATE: System Name

LEGEND

Red Boxes = Systems that are to be Retired

Green Boxes = Systems will exist in the target environment

Investment retirement of interface point

RETIRE: System Functionality


DOI




FSAWG

Recommendation Sequencing MilestonesSegment Code Segment Name

Segment Description Organizational Owner

Agency Code Segment Type

Priority Segment? (Y/N) Segment Development Phase

Segment Transition Plan

Milestone ID

IT Investment, System or Program

Milestone DescriptionTarget

Completion Date

Actual Completion

Date

Dependency ID

Dependencies / Constraints

99FSAM Version 1.0

Step 5

Author the Modernization Blueprint


Activities for Step 5: Author the Modernization Blueprint


Key Questions Being Answered by Step 5: Author the Modernization Blueprint

• Have the findings from the previous steps been identified and categorized?

• Have the transition options been analyzed for costs, benefits, and risks in order to develop recommendations for implementation?

• Are the recommendations described in a detailed, actionable segment architecture blueprint supported by a holistic analysis of segment business, data, technology, and service components?

• Has the blueprint and sequencing plan been reviewed and approved by the executive sponsor, business owner(s), and core team?


Activity 5.1: Perform cost / value / risk analysis to develop implementation recommendations

4.4

Identify findings

Develop transition options

Perform cost / value / risk analysis to compare transition options

Develop prioritized implementation

recommendations

5.2

Develop lessons learned


Activity 5.2: Develop draft blueprint and sequencing plan

5.1

Develop the draft work breakdown structure

Develop the draft

sequencing plan

Develop the draft

segment blueprint

5.3


Activity 5.3: Review and finalize the blueprint and sequencing plan

5.2

Distribute the draft segment blueprint for

review

Develop the final segment

blueprint

5.4

Collect comments


Activity 5.4: Brief core team and obtain approval

5.3

Distribute final review

materials

Conduct review and

obtain approval

End


Step 5 Outputs

Analysis of Cost, Value and Risk for Transition Options

Proposed Implementation Recommendations

Strategic Systems Migration / Sequencing Overview


Recommendation Implementation Sequencing Plan

Segment Mappings

Segment Architecture Blueprint Document (incl. Sequencing Plan)

Document Review Log

Feedback Tracking Document and Feedback Action Report

Blueprint Executive Summary Presentation

Approved Segment Architecture Blueprint Document (incl. Sequencing Plan)



Options


Sequencing Overview


Recommendations



Sequencing Plan)

Document Review Log

Feedback Tracking


Report


Presentation



Sequencing Plan)



Sequencing Plan


Segment Mappings


Analysis of Cost, Value and Risk for Transition Options

GSA

Value Measuring Methodology Cost to Value Matrix


Proposed Implementation Recommendations

FSAWG

Recommendation Implementation Overview


Strategic Systems Migration / Sequencing Overview – [Core]

DOI

Recommendation Sequencing Diagram


Transition Plan Milestones – [Core]

FSAWG

Segment Transition Plan MilestonesSegment Code Segment Name

Segment Description Organizational Owner

Agency Code Segment Type

Priority Segment? (Y/N) Segment Development Phase

Segment Transition Plan

Milestone ID

IT Investment, System or Program

Milestone DescriptionTarget

Completion Date

Actual Completion

Date

Dependency ID

Dependencies / Constraints


Recommendation Implementation Sequencing Plan

FSAWG

Implementation Sequencing Plan


FTF Initiative UseSupported

or Used by

Segment? (Y/N)

FTF Initiative Name Explanation for NOT Using the FTF Inititaive (if

applicable)

Recreation One-Stop GovBenefits.gov E-Loans USA Services IRS Free File Disaster Assistance Improvement Plan E-Rulemaking Expanding Electronic Tax Products for

Businesses

Federal Asset Sales International Trade Process Streamlining Business Gateway Case Management LoB Consolidated Health Informatics/ Federal

Health Architecture

Geospatial One-Stop Disaster Management SAFECOM E-Vital Grants.Gov Grants Management LoB Geospatial LoB E-Training Recruitment One-Stop Enterprise HR Integration E-Clearance E-Payroll E-Travel Integrated Acquisition Environment E-Records Management

Segment Mappings – [Core]

FSAWG

Segment Mapping

BRM MappingCurrent /

TargetBRM Business Area BRM Line of Business BRM Sub-Function

SRM Mapping

Current / Target

SRM Service Domain SRM Service Type SRM Component

TRM Mapping

Current / Target

TRM Service Area TRM Service Category TRM Service Standard

IT Investment Mapping

IT Investment Name IT Investment UID(from Exhibit 53 if

applicable)

IT Investment Description

PARTed ProgramPARTed Program

ID

PARTed Program Name Associated IT Investment

Associated Investment UID

(from Investment Mapping)


Segment Architecture Blueprint Document (incl. Sequencing Plan) – [Core]

FSAWG

Modernization Blueprint


Feedback Tracking and Action Report

Feedback ID

Date Document / Version

Reviewer Comment or

Change Request

Section and Page No.

Paragraph, Figure, Table

or Other Reference

Rationale Reviewer Name

Title / Organization

Email and/or

Phone No:

Feedback Owner

Action Date Completed

Updated Document

and Version

FSAWG

FSAM provides additional tools to support the document review and comment process

Document Review Form

Feedback Tracking and Action Report


Blueprint Executive Summary Presentation

• At the end of Step 5, a presentation is prepared as part of the review with the core team and key stakeholders

• The Modernization Blueprint is reviewed and approved• A record of decision (ROD) documents the core team approval• The Modernization Blueprint is ready to move forward into other

governance processes for capital planning and investment review

116FSAM Version 1.0

Enterprise ArchitectureSegment Reporting (EASR)

Integration with FSAM


Purpose of the Template

• Four main goals for this effort:o Ensure agency segment architectures are generating resultso Identify opportunities for reuse and cross-agency collaborationo Provide a format for architects to engage with business ownerso Provide updated, standardized segment information to OMB

• The Segment Template has been created to report information generated from the FSAM to meet OMB’s EA Assessment Framework 3.0 Criteria

Segment Template

EAAF 3.0EAAF 3.0

FSAM OMB EA Submission

Strategic Performance

Segment Performance

Program Performance

Investment PerformancePer

form

ance

La

yer

Exhibit 300

PARPART

EA DefinedMetrics


Segment Report Sections/Forms

Form Description

Identification Provides descriptive information about the Segment and its current state.

Mappings Contains mappings of the Segment to the FEA and to Investments, Programs, and Cross-Agency Initiatives

Performance Creates a comprehensive line of sight for Segment performance as well as financial and non-financial success stories attributed in whole or in part to the Segment Architecture

Transition Planning

Provides Segment Progress Milestones that track the development of a Segment within an Agency. These milestones may different from those found in the Exhibit 300s as they focus on the activities that will take the Segment from Notional to Complete.

Collaboration & Reuse

Provides information on Business, Data, and Information System/Service Reuse by the Segment and Partners or other Stakeholders related to the Segment


Four Stages of Segment Completion

Notional –• Segment is defined and reported to OMB• Exhibit 53 Investments are aligned to the Segment

Planned –• FEA, FTF, PARTed Programs, and E-Gov Mappings are included• Some Performance Metrics and Transition Milestones• Some Performance Metrics for PAR and PARTed Programs

In-Progress – • Performance Milestones included from the ETP• Performance Metrics provided for all four performance forms• Initial set of reusable Data Entities and Exchanges Identified• Initial set of reusable Business Capabilities Identified• Initial set of reusable Information Systems Identified

Completed – • Completed Segment has been signed off on by the mission/business owner• Current scope of completed segment may be less than the target scope• Template currently includes FEA mappings for the Target state• Additional documentation may be required when submitting to OMB


Identification & Segment Mapping Forms

Applicable, but it is not being used because…..NoE-Loans

Not ApplicableNoGovBenefits.gov

------YesRecreation One-Stop

Explanation for NOT Using the FTF Initiative (if applicable)

FTF Supported or Used by Segment? (Y/N)

FTF Initiative Name

FTF Initiative Use

IT Investment UIDAssociated IT InvestmentPARTed Program IDPARTed Program Name

PARTed Program Mapping

DescriptionIT Investment UIDIT Investment Name


SEGMENT MAPPING FORM

Priority Segment

Segment Development Phase (taxonomy)

Segment Architecture Type

Agency Code


Description

Name

Segment Code

SEGMENT IDENTIFICATION

Applicable, but it is not being used because…..NoE-Loans

Not ApplicableNoGovBenefits.gov

------YesRecreation One-Stop

Explanation for NOT Using the FTF Initiative (if applicable)

FTF Supported or Used by Segment? (Y/N)

FTF Initiative Name

FTF Initiative Use

IT Investment UIDAssociated IT InvestmentPARTed Program IDPARTed Program Name

PARTed Program Mapping

DescriptionIT Investment UIDIT Investment Name


SEGMENT MAPPING FORM

Priority Segment

Segment Development Phase (taxonomy)

Segment Architecture Type

Agency Code


Description

Name

Segment Code

SEGMENT IDENTIFICATION

Basic Segment Identification Information

Basic Segment Identification Information

Segment Alignment / Mapping also includes FEA Reference Models

Segment Alignment / Mapping also includes FEA Reference Models


Performance Form

Input, Output, Outcome

ActualTargetAgency Business Process

Sub-Function or Service Component


Strategic Goal

System/ App/ Program

IT Investment Name


Metric TypeMetric ID

Fiscal Year

Business Performance

Final RatingYear Assessed

Agency CodeComponent, Bureau, Operating Division, etc

Program

Program Performance

CommentsActualTargetMetricFiscal Year

Segment Performance

Achieved?ActualTargetStrategic Goal

Agency Code




SEGMENT PERFORMANCE





Strategic Goal


IT Investment Name



Fiscal Year




Program

Program Performance


Segment Performance


Agency Code




SEGMENT PERFORMANCE





Strategic Goal


IT Investment Name



Fiscal Year




Program

Program Performance


Segment Performance


Agency Code




SEGMENT PERFORMANCE





Strategic Goal


IT Investment Name



Fiscal Year




Program

Program Performance


Segment Performance


Agency Code




SEGMENT PERFORMANCE

* FSAM Performance Scorecard requires identical information


Performance Form

• The Performance Form is intended to capture Segment Performance at multiple levels; o Strategic Layer – High level metrics showing support of Agency Strategic Goalso Segment Layer – Segment specific metrics such as Cost Savings and Avoidanceo Program Layer – Program and PART specific metricso Business Layer – IT Investment and Activity metrics based on the PRM Line of Sight

• Segment Performance should leverage current performance architecture activities as indicated in the diagram below


Segment Performance

Program Performance

Business PerformancePer

form

anc

e L

ayer

Exhibit 300

PARPART

EA DefinedMetrics

ITILoB


Transition Planning Form

Segment Transition PlanMilestone ID

IT Investment/ System/ Program/ etc…

SegmentMilestone

Target Completion Date

Actual Completion Date

Dependant on Milestone X

Dependencies/ Constraints

• Transition Planning is focused on showing the activities and milestones that help mature a Segment towards Completion

• Sample Segment Development Milestones may includeo Segment Architecture Document Developmento Business Process Reengineeringo Target Architecture Developmento System Retirement/Implementationo Business Owner Sign-Off


Bu

sin

ess

Reu

seD

ata

Reu

se

Agency CodeProviding OrganizationBRM Sub-functionBRM Line of Business

Reused Business Capability List

BRM Business Area

Agency CodeSystem Owner System Description


System Name

Agency CodeProvider OrganizationSystem NameSystem Service DescriptionSystem Service Name

Reused (Consumed) System Service List (context: SOA)

Agency CodeData Steward (Org)DescriptionData Entity NameData Package Name

Reused Data Entity List



Agency CodeData Steward


Data Exchange Description

Data Exchange Package Name

Reused Data Exchange Package List

Agency CodeStakeholder

Stakeholder

Segment Reuse ExplanationSegment CodeSegment Name

Reused Segment List

Segment Reuse

Agency CodeProviding OrganizationBRM Sub-functionBRM Line of Business

Reused Business Capability List

BRM Business Area

Agency CodeSystem Owner System Description


System Name

Agency CodeProvider OrganizationSystem NameSystem Service DescriptionSystem Service Name

Reused (Consumed) System Service List (context: SOA)

Agency CodeData Steward (Org)DescriptionData Entity NameData Package Name

Reused Data Entity List



Agency CodeData Steward


Data Exchange Description

Data Exchange Package Name

Reused Data Exchange Package List

Agency CodeStakeholder

Stakeholder

Segment Reuse ExplanationSegment CodeSegment Name

Reused Segment List

Segment Reuse

Sys

/Ser

vice

• Reuse of other Segments

• Major stakeholders

• Business Capability/ Activity Reuse

• Reuse of other Segments

• Major stakeholders

• Business Capability/ Activity Reuse

• Data Exchanges

• Data Entity Reuse

• Data Exchanges

• Data Entity Reuse

• Secondary IT Investment Mappings

• System Service (SOA) Reuse

• Secondary IT Investment Mappings

• System Service (SOA) Reuse

Collaboration and Reuse Form

125FSAM Version 1.0FSAM Version 1.0 125

FSAM includes artifacts designed to align with the Segment Architecture Template

Segment Architecture Template Corresponding FSAM Artifact

Segment Identification Segment identification information is created in the EA-level processes that define and prioritize segments.

Segment Mapping Form Segment Mappings

Segment Performance Form Performance Scorecard

Enterprise Transition Plan Form Transition Plan Milestones

Segment Reuse Form Segment / Business / System / Service Reuse

Data Reuse

Stakeholders and their relationships

126FSAM Version 1.0

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1FSAM Version 1.0 Federal Segment Architecture Methodology (FSAM) Practitioner’s Training Version...

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