Enterprise Architecture in

eGovernance

Satish ChandraPrincipal ConsultantMahindra Satyam

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About Me

Principal Consultant at Mahindra Satyam

TOGAF Certified Enterprise Architect

Sun Certified Enterprise Architect

IBM Certified SOA Solution Designer

Presented at Open Group, OMG, IBM Rational Software Development Conferences

Co-author of several papers presented and published in international conferences

and publications

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Relevance of Enterprise Architecture to e-Governance

March 5, 2009President Obama Names Vivek Kundra Chief Information OfficerWASHINGTON, DC – Today, President Barack Obama named Vivek Kundra the Federal Chief Information Officer (CIO) at the White House.The Federal Chief Information Officer directs the policy and strategic planning of federal information technology investments and is responsible for oversight of federal technology spending.  The Federal CIO establishes and oversees Enterprise Architecture to ensure system interoperability and information sharing and ensure information security and privacy across the Federal Government.  The CIO will also work closely with the Chief Technology Officer to advance the President’s technology agenda.President Obama said, "Vivek Kundra will bring a depth of experience in the technology arena and a commitment to lowering the cost of government operations to this position.  I have directed him to work to ensure that we are using the spirit of American innovation and the power of technology to improve performance and lower the cost of government operations. As Chief Information Officer, he will play a key role in making sure our government is running in the most secure, open, and efficient way possible.“

• http://www.whitehouse.gov/the_press_office/President-Obama-Names-Vivek-Kundra-Chief-Information-Officer

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Agenda

Enterprise Architecture Concepts

E-Governance Concepts

Federal Enterprise Architecture Framework (FEAF) for E-Governance

Case Study

More on Enterprise Architecture in E-Governance

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Definitions of Enterprise and Architecture

Enterprise An entire enterprise, encompassing all of its information systems

A specific domain within the enterprise– In both cases, the architecture crosses multiple systems, and

multiple functional groups within the enterprise.– An extended enterprise includes partners, suppliers, and customers.

Architecture The fundamental organization of a system, embodied in its components,

their relationships to each other and the environment, and the principles governing its design and evolution. - ANSI/IEEE Std 1471-2000

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Enterprise Architecture

Enterprise Architecture (EA) is a Collection of Architectures

EA models Business, Data, Application and Technology as different views that have clear linkages and ensure consistency across the views

There should be a consensus of all the stakeholders about the EA

An EA integrates Business and IT to ensure that Business Drivers drive the IT of an organization

EA occupies a vast space and necessitates the coming together of specialists from various fields (from both Business and IT)

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Constituent Views/Architectures

This describes the logical software and hardware capabilities that are required to support the deployment of business, data, and application services. This includes IT infrastructure, middleware, networks, communications, processing, standards, etc.

More Architectures like Security and Integration

This defines the business strategy, governance, organization, and key business processes

Business Architecture:

Data (or Information) Architecture:

This describes the structure of an organization’s logical and physical data assets and data management resources

Applications Architecture:

This kind of architecture provides a blueprint for the individual application systems to be deployed, their interactions, and their relationships to the core business processes of the organization

Technology Architecture:

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EA Frameworks

Frameworks provide guidelines for developing various architectures

Popular Frameworks - TOGAF, Zachman,Four Pillar Model,….

Zachman has a nice Snap Shot representation of Enterprise Architecture but

does not have an associated Method

TOGAF has a Method and related Artifacts but does not have a Snap Shot View

4 Pillar Model from Giga provides the basic set of Architectures and Terminology

TOGAF 9 is the latest version of the EA Framework from the opengroup

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The Zachman Enterprise Framework (http://www.zachmaninternational.com)

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TOGAF document structure

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The ADM Phases

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Enterprise Architecture Implementation

Define the Scope – coverage, domains, depth, time

Develop Architecture Principles

Define Architecture Footprint – stakeholders, roles & responsibilities and

Governance (proj mgt.)

Identify standards

Develop AS-IS and TO-BE

Define Roadmap

Document the EA artifacts (using a Tool)

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What are Principles?

General Rules and Guidelines

Support the Transition Process

Long Lasting

Rarely Amended

Policies and Guidelines are the Operating Principles for Enterprise Architecture

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Quality Criteria for Good Principles

Understandability

Robustness Completeness

Consistency

Stability

The open group's TOGAF describes the following quality criteria:

Principles are based on the Beliefs and Values of the various Stakeholders

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EA Documentation

EA Documentation covers all the Architectures

It captures the AS-IS and TO-BE Scenarios

It is ensured that all the Architectures are aligned to enable the TO-BE Business

Scenarios

Tools: System Architect, Enterprise Architect, Corporate Modeler, Troux, Word,

ARIS, …..

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Enterprise Architecture Documentation

How to use this document Introduction Business Architecture

– AS-IS Architecture– TO-BE Architecture

Information Architecture– AS-IS Architecture– TO-BE Architecture

Application Architecture– AS-IS Architecture– TO-BE Architecture

Infrastructure Architecture– AS-IS Architecture– TO-BE Architecture

Security Architecture– AS-IS Architecture– TO-BE Architecture

Integration Architecture Road Map to migrate from

AS-IS to TO-BE Architecture Governance

– Architecture Governance Structure

– Roles and Responsibilities of concerned stake holders

– Escalation Mechanism Appendix

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Gaps in TO-BE and AS-IS Scenarios Identified

Roadmap to transition from the AS-IS to TO-BE Scenarios defined

Gap Identification and Roadmap Definition

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What is a Roadmap?

A Plan of Action for Transition

Includes Required Processes

Includes Required Deliverables

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EA Governance

EA Governance

Governance Environment

Governance Structure

Escalation process

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Determination and Documentation of Governance Framework

Governance deals with the Plan for Defining, Maintaining, Accommodating and Modifying the AS-IS and TO-BE Scenarios

Governance deals with the Roles and Responsibilities of various Stakeholders

Governance deals with Defining, Maintaining, Accommodating and Modifying the Documentation and Change Management Processes

Governance Framework, at a minimum, defines the Guiding Principles, Processes, Organization Structures and Assessment Mechanisms

Governance ensures adherence to Standards and Guidelines

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Governance also recommends

Technology Standards

Technology Platforms

Integration Approaches

Reusable Frameworks

Procurement Strategy

Templates

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Organization Structure & Roles

Architecture Review Board/ Technology Management Committee/EA Committee– CxOs, Directors of various Functions, Business Architects, Data Architects,

Infrastructure Architects, Security Architects, …

Project Management Office

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Architecture Review Board

To define Roles and Responsibilities

Define Guidelines and Processes

To Validate/Monitor on a Periodical Basis

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Agenda

Enterprise Architecture Concepts

E-Governance Concepts

Federal Enterprise Architecture Framework (FEAF) for E-Governance

Case Study

More on Enterprise Architecture in e-Governance

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Electronic Government (eGovernment)

According to the World Bank e-government refers to ‘the use by governmentagencies of information technologies (IT) that have the ability to transform relations with the citizens, businesses and other arms of the government.’

The resulting benefits can be less corruption, increased transparency, greater convenience, revenue growth and cost reduction.

Governments across the world have started using Information and Communication Technologies (ICT) for delivering services of government agencies

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United States e-Government Mandates

Since the late 90s E-Government has been a priority at the federal, state and locallevels across the United States. In July 2002 Congress passed the E-Government Act of 2002 (H.R. 2458) that provides for a comprehensive framework for information security standards and programs, and uniform safeguards to protect the confidentiality of information provided by the public for statistical purposes, and to expand the use of the Internet and computer resources in order to deliver Government services for a citizen-centered, results-oriented, and market-based Government.

Those responsible for implementing E-Government are split according to their interpretation of how to accomplish this mandate. There are those who take a narrow view that EA is primarily an IT matter that involves optimizing an agency’s IT assets and deciding upon what applications and technologies to purchase in order to implement E-Government and other agency specific initiatives.

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…

Others recognize E-Government entails enterprise and cross-agency perspectives, and in doing so take a long view or holistic perspective. They argue that to only treat E-Government as an IT matter inevitably leads to continuance of IT centric practice and inefficient and less than effective programs. What is required is a thorough understanding of the business of an organization, the processes and activities involved, the types of information flows (internal and interaction with the public) that each entails and the applications and technologies that support them. With this understanding the objectives for implementing E-Government can be clearly defined to fully support the business process and activity changes entailed in making the transition. In addition having a well defined scope will consequentially lower the cost and risks of such an eGovernment business reengineering effort.

R. Traunmüller (Ed.): EGOV 2004, LNCS 3183, pp. 48–56, 2004.© Springer-Verlag Berlin Heidelberg 2004

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eGovernance approach in India

The National e-Governance Plan (NeGP)

The Plan seeks to lay the foundation and provide the impetus for long-term growth of e-Governance within the country. The plan seeks to create the right governance and institutional mechanisms, set up the core infrastructure and policies and implement a number of Mission Mode Projects at the center, state and integrated service levels to create a citizen-centric and business-centric environment for governance.

Vision: “Make all Government services accessible to the common man in his locality, through common service delivery outlets and ensure efficiency, transparency & reliability of such services at affordable costs to realise the basic needs of the common man.”

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NEGP Program Framework

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Agenda

Enterprise Architecture Concepts

E-Governance Concepts

Federal Enterprise Architecture Framework (FEAF) for E-Governance

FEAF Case Study

More on Enterprise Architecture in e-Governance

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Federal Enterprise Architecture

Enterprise Architecture (EA) is a management practice for aligning resources to improve business performance and help agencies better execute their core missions.

The U.S. Federal Enterprise Architecture (FEA) is an initiative of the U.S. Office of Management and Budget that aims to comply with the Clinger-Cohen Act and provide a common methodology for information technology (IT) acquisition in the United States federal government. It is designed to ease sharing of information and resources across federal agencies, reduce costs, and improve citizen services.

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Structure of the U.S. "Federal Enterprise Architecture Framework" (FEAF)

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The FEA is built using an assortment of reference models,

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Performance Reference Model (PRM)

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Business Reference Model (BRM)

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Service Component Reference Model (SRM)

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Data Reference Model (DRM)

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Technical Reference Model (TRM)

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Federal Enterprise Architecture levels and attributes

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Agenda

Enterprise Architecture Concepts

E-Governance Concepts

Federal Enterprise Architecture Framework (FEAF) for E-Governance

Case Study

More on Enterprise Architecture in e-Governance

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U.S. Customs and Border Protection (CBP)

CBP Case Study The case study demonstrates how the U.S. Customs and Border Protection (CBP) uses EA to improve system support at lower cost to more than 20 agencies with missions tied to Internal Trade and Transportation.

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CBP Case Study

February 1999 study - GAO found that Customs was notmanaging its modernization effort cost effectively

GAO found serious weaknesses involving architectural definition, investment management, and software development and acquisition GAO recommended Congress withhold modernization funding for the new Automated Commercial Environment (ACE) until management weaknesses were resolved

Events of September 11, 2001 brought increased emphasis on the Border Security support capability in ACE

New strategy - the U.S. Customs Modernization Program ManagementOrganization was established to develop an EA-driven system conceptdocument for the ACE

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CBP Case Study

Goals of developing the EA –

• to implement the EA/Capital Planning and Investment Control (CPIC) programs and governance processes to advance the CBP modernization program

• better align CBP investments to CBP strategic goal

• turn CBP into a more performance based organization

• lay the foundation to be one of the more mature EA programs in the federal government

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CBP Case Study

A strategic planning taskforce was created consisting of the Planning Group and theTechnology and Architecture Group (TAG) to assess the IT systems and technology products in use in the Customs/CBP environment and assess the relationship between business objectives and IT support.

The Planning Group was responsible for the CPIC

The TAG was responsible for developing an Enterprise Architecture

The CBP Chief Architect position was established to drive the EA effort.

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CBP Case Study

The EA framework has evolved over time – initially it was the Treasury Information Systems Architecture Framework, then it became the Treasury Enterprise Architecture Framework (TEAF), and now fully defines all artifacts contained in the CBP EA. In some cases, projects or particular technologies selected havebeen changed to ensure compliance with the FEA.

The CBP EA has been mapped into the FEA Reference Models.

Reference Model details for new initiatives/investments at CBP are insertedinto the WebRM tool and then compared to existing investments. The information is then analyzed to look for duplication and similar components aiding the development of a particular system better, faster, and cheaper.

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CBP Case Study

Several tools were used in the development of the EA. Initially an EA repository was created in Microsoft Access. This has evolved into an EA portal. The EA environment makes use of the following tools: System Architect for modelingneeds; Dimensions for documentation configuration management needs; and aGovernment Off-The-Shelf (GOTS) tool called WebRM, the Federal Enterprise Architecture (FEA) compliant CBP implementation of the FEAReference Models.

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CBP Case Study

The Enterprise Architecture Branch regularly assists writers of the business case (OMB Exhibit 300) with the 17 EA questions included in the business case. Stated one Program official, “It would be very difficult to get the funding we require for our investments without all the work done on the EA ...” The result is CBP business cases receive very high scores, particularly on the EA portion, and receive thefunding required.

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Agenda

Enterprise Architecture Concepts

E-Governance Concepts

Federal Enterprise Architecture Framework (FEAF) for E-Governance

Case Study

More on Enterprise Architecture in e-Governance

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http://www.eagov.com/

1. Don’t be blinded. Public organizations are conservative creatures and administrative reform and transformation is not driven by IT or the planning of IT use with EA alone. Fundamental transformation to the tasks performed in public organizations depend on political and institutional determination. 2. Understand the politics of government. The business of government is complex, mandates are often unclear, and the struggle for political support can be tough. Understand the environment, agency programs, and potential ‘obstacles’ before launching EA programs. 3. Don’t follow, lead. Perceived ‘best practices’ are not always the right medicine in a specific context. EA programs must proactively be customized to a specific context if success is to be achieved.

4. Focus on business and leadership, not technical frameworks. EA has a tendency to get very complicated and technically focused. New EA programs must ensure management backing and focus on business process management and change management.

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5. Only use EA as a toolbox. EA is a meta-discipline that embraces, supplements, and extends other disciplines like e.g. Business Process Management. EA programs must change over time and become part of a continuous business improvement agenda.6. Create clear governance structures. Unclear distributions of power, unclear mandates, and a constant struggle for political support will hinder EA success. A clear governance structure across levels and functions of government is key for successful EA adoption.

7. Think big and start small. The need to interact with external partners is especially far-reaching in government. Develop EA programs that can embrace the need for extra-organizational horizontal and vertical linkages.

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Other e-Governance related EA FWs

MAGENTA:

Within the context of Singapore’s e-government initiative, this chapter describes the Methodology for AGency ENTerprise Architecture (MAGENTA), a rigorous, disciplined and structured methodology for development of agency enterprise architectures that enables agencies to align to and fully support the government’stransformation objectives and outcomes. Mechanisms for agencies to align to the overall Government Enterprise Architecture are detailed.

Queensland Government Enterprise Architecture

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Gartner on NeGP

Although e-Governance programs in other countries have their own peculiarities that depend on political priorities and current achievements, several areas have emerged as critical for sustainable success:

• Having a deeper understanding of citizens' desires and behaviors with different channels

• Establishing an effective governance structure for whole-of-government initiatives

• Using an enterprise architecture approach• Focusing on results and performance management

India's e-Governance planners, IT leaders and project managers need to strongly convey these lessons to their colleagues with business responsibilities for e-Governance initiatives.

• http://www.expresscomputeronline.com/20100111/gartnerview01.shtml in Express Computer 11 January 2010

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“The Government of India’s e-Governance projects should be based on Enterprise Architecture, which defines a set of business processes and technology standards to be followed throughout the government enterprise, providing services which are citizen-centric, open, standards based, interoperable, transparent, flexible, secure, result-oriented and dynamic.”

- specific suggestion made by Ashok Agarwal, et al in “Critical Issues in eGovernance”

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Next Generation EA – Cloud Computing as a key technology component

IBM says it’s been hired to build an e-government cloud for Saigon, now Ho Chi Minh City, the one-time capital of South Vietnam.

– http://govit.sys-con.com/node/1204147

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References

http://www.opengroup.org/

http://www.zachmaninternational.com

http://en.wikipedia.org/wiki/Federal_Enterprise_Architecture

http://www.whitehouse.gov/omb/e-gov/

http://www.aboutus.org/Feapmo.gov

http://www.microsoft.com/industry/government/architecturefeature.mspx

http://govit.sys-con.com/node/1225694

http://www.iss.nus.edu.sg/

http://www.qgcio.qld.gov.au/qgcio/Pages/index.aspx

http://govit.sys-con.com/node/1204147

.

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References

EGOV 2004, R. Traunmüller (Ed.), LNCS 3183, Springer-Verlag Berlin Heidelberg 2004

“Transforming Government – eGovernment Initiatives in India, Editors: R K Bagga and Piyush Gupta, Published by : The ICFAI University Press, 2009

Thank You