April 18, 2023 1

E-Gov and the Federal Enterprise Architecture

Presentation to the Ontolog Forum

Marion A. Royal

November 06, 2003

April 18, 2023 2

The Federal Enterprise Architecture is a business-focused framework

• The Federal Enterprise Architecture (FEA) is providing OMB and Federal agencies with a new way of describing, analyzing, and improving the Federal Government and its ability to serve the citizen

• The FEA will eliminate the organizational obstacles that have historically hindered improvement without forcing reorganization

• The FEA is a business-focused approach and is not just for IT

• The FEA provides a common framework for improving a variety of key areas:

- Budget allocation- Horizontal and vertical information

sharing- Performance measurement and

budget/performance integration- Component Based Architecture

- Cross-agency collaboration- Improved service to the citizen- e-Government- Process integration- Call center convergence- and more

Citizen Centered:Business Line Focus:

April 18, 2023 3

Business Reference Model (BRM)• Lines of Business• Agencies, Customers, Partners

Service Component Reference Model (SRM)• Capabilities and Functionality• Services and Access Channels

Technical Reference Model (TRM)• IT Services• Standards

Data Reference Model (DRM)• Business-focused data standardization • Cross-Agency Information exchanges

Bu

sin

ess-D

riven

Ap

pro

ach

Performance Reference Model (PRM)

• Government-wide Performance Measures & Outcomes• Line of Business-Specific Performance Measures & Outcomes

The Federal Enterprise Architecture will drive consolidation and transformation

Federal Enterprise Architecture (FEA)

Com

pon

en

t-Based

Arc

hite

ctu

re

April 18, 2023 4

What Will the FEA Reference Models Do?

• Provide consistent definitions and constructs of the business, performance and technology of the Federal Government.

• Serve as a foundation to leverage existing processes, capabilities, components and technologies to build target enterprise architectures.

• Facilitate cross-agency analysis and the identification of duplicative investments, gaps, and opportunities for collaboration within and across Federal Agencies.

April 18, 2023 5

The Lines of Business of the Federal Government, independent of the

agencies

Services for

Citizens

Mode of

Delivery

Support Delivery

of Services*

Management of

Government Resources

Legislative Relations

Public Affairs

Regulatory Development

Planning and Resource Allocation

Controls and Oversight

Revenue Collection

Internal Risk Mgmt and Mitigation

Government Service Delivery

Direct Services for Citizens

Knowledge Creation and Mgmt

Public Goods Creation and Mgmt

Regulatory Compliance and Enforcement

Financial Vehicles

Federal Financial Assistance

Credit and Insurance

Transfers to States &

Local Gov’ts

Financial Management

Human Resource Management

Supply Chain Management Administrative Management

Information and Technology

Management

Defense and National Security

Homeland Security

Intelligence Operations

Law Enforcement

International Affairs and Commerce

Litigation and Judicial Activities

Correctional Activities

Environmental Management

Natural Resources

Disaster Management

Community and Social Services

Economic Development

Workforce Management

General Science and Innovation

Education

Energy

Health

Transportation

Income Security

General Government

Services for

Citizens

Mode of

Delivery

Support Delivery

of Services*

Management of

Government Resources

Legislative Relations

Public Affairs

Regulatory Development

Planning and Resource Allocation

Controls and Oversight

Revenue Collection

Internal Risk Mgmt and Mitigation

Government Service Delivery

Direct Services for Citizens

Knowledge Creation and Mgmt

Public Goods Creation and Mgmt

Regulatory Compliance and Enforcement

Financial Vehicles

Federal Financial Assistance

Credit and Insurance

Transfers to States &

Local Gov’ts

Financial Management

Human Resource Management

Supply Chain Management Administrative Management

Information and Technology

Management

Defense and National Security

Homeland Security

Intelligence Operations

Law Enforcement

International Affairs and Commerce

Litigation and Judicial Activities

Correctional Activities

Environmental Management

Natural Resources

Disaster Management

Community and Social Services

Economic Development

Workforce Management

General Science and Innovation

Education

Energy

Health

Transportation

Income Security

General GovernmentGeneral Government

Page 5

Version 2.0 of the BRM includes:

• 4 Business Areas• 39 Lines of Business• 153 Sub-functions

Version 2.0 of the BRM includes:

• 4 Business Areas• 39 Lines of Business• 153 Sub-functions

April 18, 2023 6

Regulatory Management

Support Deliveryof Services

Policy and Guidance Devel.Public Comment TrackingRegulatory DevelopmentRule Publication

Knowledge MgmtCRMContent MgmtCollaborationSearchPortalPersonalization

BusinessReference Model

( BRM )

Rule Publication

Service ComponentReference Model

( SRM )

Technologies

Platforms J2EE .NET Windows NTData Mgmt ODBC JDBCBusiness Logic

TechnicalReference Model

( TRM )

Performance Reference Model (PRM)Outcomes, Measurements, Metrics

Business lines and functions

Supporting technologyand standards

Enabling capabilities, components, and services

Component-Based Architecture

Service Layers Service Types Service Components

Data and Information Reference Model (DRM)Classification, Categorization, XML, Sharing

The FEA is being constructed through a set of inter-related “reference models”

Page 6

April 18, 2023 7

FEA Common Process ViewBackground – Development Drivers

• BRM has not been sufficiently built-out to provide the needed level of detail on work performed

• Agency approaches to process level definition, decomposition, and depiction vary greatly

• Limits ability to create meaningful linkages to performance, data, components, IT infrastructure, and security & privacy controls – within and across Agencies

• Constrains analysis of Federal lines of business and cross-Agency IT investments

• Impedes identification of opportunities for reform and transformation

April 18, 2023 8

FEA BRM HierarchyFocus on Decomposition to the Process Level

Lines of Business

Lead Processes

Sub-Functions

Internal Functions

Business Areas

Line ProcessesSub-Processes

ActivitiesTasks

Process Definition,Decomposition, and Depiction

Level 0

Level 1Level 2Level 3

Level 4Level 5Level n

Business Value Chain

• Line of Business (BRM)• Owner & Sponsor• Performance (PRM)• Stakeholders• Roles & Responsibilities• Resources

- work force- Components (SRM)- IT infrastructure (TRM)- other assets

• Location• Information Transactions &

Exchanges (DRM)• Interfaces & Dependencies• Timing• Controls

- governance- business rules- entry & exit conditions- Security & privacy

Process Attributes

Agency Level of DetailWill not be addressed by the FEA

April 18, 2023 9

Preliminary ApproachDetermine Path from Processes-Patterns-Components

DetermineBusinessPatterns

Define andDecompose

Business Processes

IdentifyApplication

Patterns

SelectService

Components

Reuse orDevelopSolutions

Select, Configure,

and IntegrateProducts

Process TypesProcess Attributes

Business PatternRecognitionQuestions

Application PatternRecognitionQuestions

Process Types• Management Processes• Core/Mission Processes• Support Processes

Process Attributes• Line of Business (BRM)• Owner & Sponsor• Performance (PRM)• Stakeholders• Roles & Responsibilities• Resources

- work force- components (SRM)- IT infrastructure (TRM)- other assets

• Location• Information Transactions

& Exchanges (DRM)• Interfaces & Dependencies• Timing• Controls

- governance- business rules- entry & exit conditions- Security & privacy

Reference Architectures• Architectural Patterns• Design Patterns• Analysis Patterns

Business Patterns• Self-Service• Collaboration• Information Aggregation• Extended Enterprise• Access Integration

Patterns

• Application Integration• Patterns• Application Patterns• Runtime Patterns

• Directory• Registry• Repository

• Composite Patterns

April 18, 2023 10

Sec

uri

ty &

Pri

vacy

Dir

ecto

ry, R

epo

sito

ry, R

egis

try

Ap

plic

atio

ns

Info

rmatio

n E

xchan

ge

Secu

rity & P

rivacy

Su

bjects &

Sch

ema

Security & Privacy

Interoperability

Standards & Specifications

Process

DefinitionDecomposition

Depiction

Security &

Privacy

Metrics &

Indicators

Measures

Security & Privacy

Context & ConditionsWorkflow

Perform

ance Reference M

odel

(PRM)

Business Reference Model

(BRM)

Ser

vice

Co

mp

on

ent

Ref

eren

ce M

od

el

(SR

M)

Technical Reference Model(TRM)

Data R

eference M

od

el

(DR

M)

Object ModelingUML, MOF,Meta-Model

Object ModelingUML, MOF,Meta-Model

Reusable Patterns &Components

Preliminary ApproachDefine Process Attributes

Reusable Patterns &Components

April 18, 2023 11

Data & Information Reference Model

Data Object

Data Property

Data Representation

Information Exchange

Subject Area

Super - Type

DATA ELEMENT

BUSINESS CONTEXT

Data Object

Data Property

Data Representation

Information Exchange Information Exchange

Subject Area

Super - Type

Subject Area Subject Area

Data Object

Data Property

Data Representation

DATA ELEMENT

BUSINESS CONTEXT

Super Type

Identifies a major topic of concern to the government such that

various lines of business perform activities to address related issues and needs -

A set of ideas, abstractions or things in the real world that ca n be identified with explicit boundaries and meaning, and whose properties and behavior follow the same rules 2

A peculiarity common to all members of an object class 2

type), from a controlled word list 2

Data that is generated by or required by a Unit Of Work and is subsequently passed to another unit of work

Identifies a conceptual category of data entities with the intent of accommodating mappings to similar data groupings currently defined by government agencies.

Data Object

Data Property

Data Representation

Information Exchange

Subject Area

Super - Type

DATA ELEMENT

BUSINESS CONTEXT

Data Object

Data Property

Data Representation

Information Exchange Information Exchange

Subject Area

Super - Type

Subject Area Subject Area

Data Object

Data Property

Data Representation

DATA ELEMENT

BUSINESS CONTEXT

Super Type

Data Object Data Object

Data Property Data Property

Data Representation Data Representation

Information Exchange Information Exchange

Subject Area

Super - Type

Subject Area Subject Area

Super - Type

DATA ELEMENT

BUSINESS CONTEXT

Data Object

Data Property

Data Representation

Information Exchange

Subject Area Subject Area

Super - Type

Subject Area Subject Area

Data Object

Data Property

Data Representation

DATA ELEMENT

BUSINESS CONTEXT

Super Type -

2

2

Describes how the data is represented (value domain + data 2

BUSINESS DATA FLOW

Information Exchange Package

April 18, 2023 12

DRM Ownership/Stewardship

Subject Areas

Information Exchange

Data Object

Data Property

Definition Ownership Stewardship(defines) (owns) (manages)

FEA-PMO/Agencies FEA-PMO FEA-PMO/AIC

Communities of Practice/Agencies

Communities of Practice/Agencies/

Industry

* Thousands of data elements have already been defined within ISO 11179 that the Federal Government can adopt / take advantage of

DataRepresentation

Super-Types FEA-PMO/Agencies FEA-PMO FEA-PMO/AIC

Communities of Practice/Agencies

Communities of Practice/Agencies/

Industry/ISO*

Communities of Practice/Agencies/

Industry/ISO*

Communities of Practice/Agencies/

Industry/ISO*

Communities of Practice/Agencies

Communities of Practice/Agencies

Communities of Practice/Agencies

Communities of Practice/Agencies

Communities of Practice/Agencies

Communities of Practice/Agencies

Subject Areas

Information Exchange

Data Object

Data Property

Definition Ownership Stewardship(defines) (owns) (manages)

FEA-PMO/Agencies FEA-PMO FEA-PMO/AIC

Communities of Practice/Agencies

Communities of Practice/Agencies/

Industry

* Thousands of data elements have already been defined within ISO 11179 that the Federal Government can adopt / take advantage of

DataRepresentation

Super-Types FEA-PMO/Agencies FEA-PMO FEA-PMO/AIC

Communities of Practice/Agencies

Communities of Practice/Agencies/

Industry/ISO*

Communities of Practice/Agencies/

Industry/ISO*

Communities of Practice/Agencies/

Industry/ISO*

Communities of Practice/Agencies

Communities of Practice/Agencies

Communities of Practice/Agencies

Communities of Practice/Agencies

Communities of Practice/Agencies

Communities of Practice/Agencies

April 18, 2023 13

Component Life Cycle

AIC Subcommittees

(AIC SC)

Develop Capabilities

Identify Gap

Maintain, Update, Retire

UsePublish

Certify

Register Components

AIC SC CIO OMB

Component Life Cycle

Approval Process

AIC SC

Recommend/Mandate

April 18, 2023 14

April 18, 2023 15

Purpose of Process Analysis

• We want to encourage groups of process owners to answer two questions together

• How alike are these processes?• How are these processes related?

April 18, 2023 16

Process Likeness and Relationships

• Identity – same purpose and outcome, stakeholders, inputs, outputs, major activities, and performance attributes

• Shared customer – linked purposes, different outcomes, parallel stakeholder relationships, sometimes links between activities, and potentially shared performance attributes

• Structural – different purposes, similar outcomes, parallel stakeholder relationships, same type of inputs and outputs, parallel major activities, and similar performance attributes

• Linked – shared purpose and outcome, same owner but other stakeholders may be in different roles, output of one process an input to the other, different activities, likely shared performance attributes

• Facing – connected purposes and symmetric outcomes, different owners with each owner a key stakeholder in the other process, key output of one process a key input of the other, different activities but some mirroring is likely, and performance attributes are meaningful in at least one direction if not both directions

April 18, 2023 17

Performance Attributes

• Outcomes• Duration• Cost per occurrence• Conditions of satisfaction

– Process behavior– Rules passed/compliance– Assessment

April 18, 2023 18

Input and output types

• Document/Report• Record• Message• Physical product• Event (mostly input)

April 18, 2023 19

Stakeholder roles

• Performer• Owner• Sponsor• Inspector• Beneficiary• Bystander

April 18, 2023 20

Types of process information

• Demographic – name(s), purpose and outcome, owner, key stakeholders, performance attributes

• Gross discriminators – input, output, major activities

• Fine discriminators – input and output type, relationships to other processes, flows between major activities

April 18, 2023 21

Level 0 Questions

• Who is the chief beneficiary of this process? Who cares chiefly about the outcome? Who must be satisfied for the process to be considered to have completed successfully?– Citizen (G to C)– Business (G to B)– Employee (G to E)– Other government (G to G)

• Is the chief beneficiary performing the major activities? Is the process responsive to the actions of the chief beneficiary? If yes, self-service.

April 18, 2023 22

Level O Questions – continued

• If someone other than the chief beneficiary of the process is performing some of the major activities, is the chief beneficiary interacting extensively with that other stakeholder? Is the chief beneficiary receiving communications and making choices during the process? If yes, collaboration.

• If someone other than the chief beneficiary of the process is performing all or most of the major activities, is that stakeholder drawing primarily on internal or external information? If internal, information aggregation. If external, extended enterprise.

April 18, 2023 23

Business Patterns

• Self-service: chief beneficiary performs major activities and has significant impact on the process outcome

• Collaboration: two or more stakeholders interact extensively to achieve a joint outcome

• Information Aggregation: a performer other than the chief beneficiary of the process draws mostly on capabilities within his or her organization

• Extended Enterprise: a performer other than the chief beneficiary of the process draws substantially on capabilities from outside his or her organization