U.S. Department of State
U.S. Agency of International Development
Version 3.2 Updated May 29, 2008
Table of Contents
1. Introduction
2. Transition Drivers
2.01 Electronic Government and Lines of Business Initiatives (Mission Level)
2.02 Transformational Diplomacy (Mission Level)
2.03 Joint Strategic Plan (Business Level)
2.04 Joint Management Council Vision (Business Level)
2.05 Rightsizing and Regionalization (Business Level)
2.06 Department of State Management Reform Initiatives (Business Level)
2.07 Department of State IT Strategic Plan (Business and Enterprise Service Levels)
2.08 Federal Enterprise Architecture (Business and Enterprise Service Levels)
2.09 Shared Services (Business and Enterprise Service Levels)
2.10 IT Infrastructure Optimization and Coordination (Enterprise Service Level)
3. Baseline to Target; the Segment Architecture Process
3.01 Portfolio-based Investment
3.02 Information Sharing via Data Standards
3.03 Enterprise Services Architecture
3.04 Seamless Infrastructure Model
3.05 The Segment Architecture Process
4. Sequencing Plan
4.01 Completed Segments
4.02 Active Segments
4.03 Proposed Segments
4.04 Conceptual Segments
5. Transition Status of Segments
5.01 Completed Segments
5.02 Active Segments
5.03 Proposed Segments
5.04 Conceptual Segments
6. Segment Performance
Appendix A - Transition Strategy, Investments, FTF Alignment
Appendix B - Transition Segments, Investments, Milestones Alignment
1. Introduction
The Joint Enterprise Architecture Transition Strategy (JTS) of the Department of State and U.S. Agency for International Development (USAID) is a roadmap to modernizing business and IT capabilities of the two organizations in support of joint strategic objectives and performance goals.
Guided by the Secretary’s vision for transformational diplomacy, management reform initiatives, and the Department of State and USAID Strategic Plan, State and USAID have actively performed many joint activities and projects to maximize synergy between the two organizations, control costs and optimize operations. The Joint Enterprise Architecture (JEA) has become a major driver for developing a joint IT environment, resulting in an increasing level of jointly planned and funded initiatives. On the management side, the Joint Management Council (JMC) is playing a pivotal role in aligning and integrating the management platform between the two organizations. Through formal and informal joint activities and projects, State and USAID have made steady progress in sharing services and implementing best practices in all management functions. In addition, the Secretary’s Management Reform Office has embraced the JEA methodology, furthering the alignment opportunities within the Department in areas such as IT Infrastructure Consolidation in addition to the collaboration efforts with USAID.
The JTS prescribes a path to the desired integrated operational environment of State and USAID with milestones that support:
While most of the JTS milestones are associated with IT modernization, many JMC initiatives also consist of milestones and activities that carry implications for policies and regulations, business processes, and organizational structures of State and USAID. The milestones are consistently aligned with Federal Enterprise Architecture (FEA) and JEA principles, and focus on portfolio-based investment and management practices to widen windows of collaboration opportunities while optimizing the environment for joint initiatives between the two agencies.
This document describes the transition strategy and plans that have been developed, and the progress that has been made in achieving the milestones that have been defined as part of those plans.
2. Transition Drivers
The figure below illustrates a conceptual view of the operational environment and the key drivers that shape the State and USAID joint to-be architecture and the transition strategy. The many internal and external mandates and strategies comprising the environment, beginning with the public-State/USAID-interagency communication through an expanded electronic government depicted at the top, are discussed in the following subsections.
2.01 Electronic Government and Lines of Business Initiatives (Mission Level)
The goal of State and USAID is to serve as models of how to use technologies to deliver services to their constituents – citizens, businesses, other governments, non-governmental organizations, and their employees – faster, cheaper, and more effectively.
2.02 Transformational Diplomacy (Mission Level)
In order to support the new diplomatic structure of transformational diplomacy, information technology will connect our work forces in real time, anytime and anywhere around the globe. Through regionalized and centralized IT and communications capabilities, knowledge and information will be managed, dispersed and shared smoothly, accurately and securely.
2.03 Joint Strategic Plan (Business Level)
The Department of State and USAID Strategic Plan (Joint Strategic Plan) defines synergies between the two agencies and encourages a direction for joint initiatives.
2.04 Joint Management Council Vision (Business Level)
The Joint Management Council (JMC), has crafted a plan for changing the business practices of State and USAID through consolidation of management platforms in agreed-upon areas overseas. Implementation of this vision requires an actionable governance structure and communications strategy that expedites management decisions on and prioritization of joint business cases and key initiatives.
2.05 Rightsizing and Regionalization (Business Level)
State and USAID have embarked on a critical, long-term collaborative effort to eliminate administrative and technological duplication and non-essential USG presence overseas through rightsizing, regionalization, and consolidation of administrative support services. This begins with those missions that are or will be, co-located in New Embassy Compounds (NECs) and through the development of joint regional administrative platforms. The Department is also examining realignment of domestic functions with resulting efficiencies and/or improvements and cost savings, with special emphasis on further integrating its information technology infrastructure.
2.06 Department of State Management Reform Initiatives (Business Level)
We are supporting the following management reform initiatives by utilizing modern business practices, increased standardization, strengthening the corporate center, providing capacity for corporate analytics, and focusing on the basics. The eight initiatives include:
2.07 Department of State IT Strategic Plan (Business and Enterprise Service Levels)
The information technology environment envisioned in the IT Strategic Plan (ITSP) represents a significant departure from the IT of the past, in that it focuses on supporting the substantive work of diplomacy and development rather than IT infrastructure or administrative functions per se. The key elements of the ITSP are:
2.08 Federal Enterprise Architecture (Business and Enterprise Service Levels)
The Federal Enterprise Architecture (FEA) is a business-focused framework for Federal agencies, OMB and Congress to use in improving the performance of government. By aligning organizations, business processes, information flows and technology consistently across and throughout the Federal government, the FEA provides guidance for building a blueprint for improving program effectiveness and efficiency.
2.09 Shared Services (Business and Enterprise Service Levels)
Increased use of shared services will provide benefits, such as increased reuse of services and the rapid deployment of new business capabilities based on existing capital assets, and result in a more agile and efficient service based set of capabilities that empower knowledge workers of both organizations. The Department has developed an Enterprise Service Architecture strategy as part of its Segment Architecture efforts to include governance, management, performance measures, and standards to maximize the shared services concept.
2.10 IT Infrastructure Optimization and Coordination (Enterprise Service Level)
In order to effectively take advantage of collaborative opportunities and maximize their benefits, State and USAID have launched a joint effort to connect their disparate sensitive but unclassified (SBU) networks overseas. This connection will provide USAID and State with the opportunity to enhance collaboration and combine administrative systems and services to meet the critical business requirements of both agencies while achieving economies of scale. This initiative will also enhance rightsizing and regionalization by providing a common technical platform to support the goal of joint overseas administrative services and to explore the viability of integrating the two overseas networks.
3. Baseline to Target; the Segment Architecture Process
The key business and technology drivers described in the previous section drive a continuous tuning and evolution of the joint transition strategy (JTS) within a framework that has been applied to develop the JTS. The figure below depicts the framework, which begins with FEA and JEA information; it shows a process of an EA-driven modernization campaign that incorporates sound architectural principles in building the target environment that will:
The four target architecture transformation principles shown in rectangles and the Segment selection process are briefly discussed in the following subsections.
3.01 Portfolio-based Investment
The need for a portfolio management approach is emphasized by OMB as well as by the GAO’s ITIM framework that provides government-wide best practices in IT investment management. A portfolio management approach leveraging segment architecture will:
3.02 Information Sharing via Data Standards
The to-be data architecture must be designed to provide foreign affairs communities with information tailored to the needs of individual officers, internal and external customers, and target audiences. The availability and accuracy of current information are also closely tied to outcomes and performance management for State and USAID. Both agencies are under pressure worldwide to stay current with improved communications capabilities driven by rapidly evolving information-sharing technologies. The E-Government mandate and Presidential Directives to consolidate and share information across agencies and with other trusted sources provide additional impetus for change. OMB guidance in the form of the FEA Data Reference Model (DRM) provides the foundation for information sharing within Federal government agencies as well as with citizens and non-government organizations. Data obtained from the single “authoritative source” eliminates data redundancy and concurrency issues and improves data quality for downstream users by focusing QA efforts at the data’s source.
3.03 Enterprise Services Architecture
By using enterprise services architecture (ESA) principles and practices to guide future development, State anticipates a modernization of the IT applications environment, enabling:
The ESA will foster cost efficiencies and support a more technically flexible foundation able to respond to changing business requirements. USAID will look to State for lessons learned and guidance on this initiative as the Department’s program evolves and USAID explores the applicability of such architecture.
3.04 Seamless Infrastructure Model
The imperative to implement a seamless common infrastructure model is derived directly from the Joint Strategic Plan, whose goals include “creating integrated management structures” and “working to reduce redundancies and costs for the taxpayer where possible.”
This same goal has also been recently included in the Secretary’s Management Reform Initiative, IT Consolidation (ref. section 2.06), which is also supporting the Seamless Infrastructure Model through its domestic alignment of all State Department IT Desktop management services under the IRM bureau.
Optimization and coordination of State and USAID overseas IT infrastructures and support services will reduce design, operation, maintenance, and management costs and improve operational effectiveness through joint use of standardized business processes which will be available at each and every overseas post, reducing training (and re-training) requirements. In addition to eliminating redundancies and improving customer service, the creation of a seamless IT operating platform is the first step toward a broader Federal consortium with State and USAID becoming the provider of these services to the overseas foreign affairs community as a whole is under analysis.
3.05 The Segment Architecture Process
Segments are identified as part of a five-stage process:
The segment selection and sequencing structure resulting from this process are discussed in the following section and expanded in Appendix B to include a mapping of the segments to current major IT investments.
4. Sequencing Plan
During the first three stages described above all of the current initiatives were grouped under segments that reflected either major Department goals or federal mandates that the Department is responding to. All of these segments were then considered candidates in that they lacked priority and/or dependency sequencing, leadership and/or a senior sponsor. Additional segment maturation categories were established as the segments went through stages two and three. The resultant set of category assignments include:
In accord with this direction, the EA team has established the segment selection and sequencing structure. Each segment is described in the following manner:
4.01 Completed Segments
4.02 Active Segments
4.03 Proposed Segments
4.04 Conceptual Segments
In creating and maintaining architectural segments the JEA team focuses on the overall enterprise use of IT-related processes and support services. Segments are differentiated as either vertical mission segments or horizontal support segments. Additional segments will be considered as services relevant to the target architecture are considered for consolidation or modernization.
5. Transition Status of Segments
Retrofitting a segment-based transition strategy to an on-going transition strategy meant that the selection of initial segments had to be made from among a number of current investments. This section will identify those segments which are currently completed, actively transitioning, or have been proposed as segments that will transition to an active status in the coming year. Additional Conceptual segments that will be considered in subsequent periods are listed in Appendix B together with any investments supporting their transition and department or federal goals supported by them.
5.01 Completed Segments
The Joint Overseas Human Resources Segment has been completed on schedule. We are currently implementing the technical solution in the field to enable WebPASS Post Personnel to use it jointly as well as implementing WebPASS Version 3.0 which is centralizing program maintenance and governance in Washington DC. This segment efforts are now being integrated with the JOASP segment architecture.
5.02 Active Segments
Three segments are currently active:
Active segment information including dependencies, timeline transition progress status and resulting value improvements is provided in the Segment Architecture documents. Additional information relevant to performance improvements achieved is found in the 300s repository. A mapping of the 300s subsumed under each segment is provided in Appendix B of this document.
5.03 Proposed Segments
There are currently two proposed segments:
Information regarding Department and Federal goals supported by these segments, and by the investments supporting these segments, can be found in Appendix B of this document.
Although the segment architectures for proposed segments have not been completed we recognize that funded updates to functions and services comprising the segment are actively being made.
5.04 Conceptual Segments
The conceptual segments were based upon the integration of the transition milestone with all of the IT investments. Additional information relevant to performance improvements resulting from current activities may be found in the Performance Reference Model of each investment. A mapping of these investments under each segment is provided in Appendix B of this document.
6. Segment Performance
The actual outcome of the Segments Architectures can be measured through a variety of metrics. Following the FEA Performance Reference Model measurement areas of Mission and Business Results, Customer Results, Processes and Activities, and Technology each segment will have a different variety of metrics depending on the whether it is a core, business, or service segment.
The JOASP segment architecture is an excellent example of the various levels of performance even though the segment transition is still underway with Tier II and III missions and post scheduled through 2009 dependant on new embassy construction. As a mission business result, this segment supports the Department of State, USAID Strategic Plan calling for the integration of management platforms.
As mentioned in the EA Value Measurement Plan V1.8 the After Action Review document is currently being developed by applying a specific strategy and data collection guide which will be critical in validating, and refining the original strategic vision, as well as the goals and objectives of the consolidation effort developed over a year ago. Moreover, the Review will be instrumental in capturing the consolidation challenges and lessons learned, and the impact of consolidation – the business impact, the cost impact, as well as the impact to staff in our overseas missions and in our two agencies. This product is intended to be a “living” document, which is regularly updated as the process of consolidation continues with the other Tiers.
In addition, the preliminary customer results as collected from the early after action reports surveys answered the following questions:
Critically, across all agencies, few respondents expressed concern about the ability of the consolidated services to meet their business needs.
• State ICASS and State Program all feel strongly that the services meet their needs
• 68% of USAID respondents were neutral or better
56.5% of the respondents agreed, 11.27% disagreed, and the remainder were either neutral or didn’t know.
Processes and activities are still being integrated as part of the after action lessons learned efforts. Capturing lessons learned and best practices as well as estimates of the quality and cost impact of the effort will inform improved processes moving forward in a more consistent and meaningful manner. The After-Action Review progress is currently underway for Tier 1 and will be concluded in 2008.
The further maturing of WebPass through the FY2010 IT Investment process will improve the connection between the business requirements and the supporting technology allowing for the total integration of the overseas IT Infrastructures, improving the technology performance of the mission/post, and reducing their costs.
Appendix A - Transition Strategy, Investments, FTF Alignment
The table on the following page summarizes JEA transition strategies and corresponding transition milestones aligned with the Department of State and USAID FY2009 capital plan as well as the Federal Transition Framework (FTF) catalogue. While the JEA transition milestones are still evolving and subject to iterative revision per emerging new JMC initiatives, these milestones are designed to implement JEA transition strategies and, at the same time, to account for maximum synergy between State and USAID, Federal and inter-agency initiatives and IT policies, and improved institutional capabilities in order to meet their planned performance outcome. The third column in the table lists planned major investment items of State and USAID and how they align with JEA transition milestones. The table also describes PMA/E-Gov/LoB initiatives from the FTF catalogue that both agencies have implemented or are currently implementing and their alignment with Exhibit 300 investments.
| Transition Strategy | Transition Milestones | Exhibit 300 | DOS or USAID | FTF- PMA/E-Gov/LOB Alignment & Implementation |
| Unify & Simplify Management Platforms | Optimize and Coordinate IT infrastructure |
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Joint | IT Infrastructure Optimization LOB |
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Unify financial management platform | Joint Financial Management System (JFMS)/ USAID Financial System Integration - Phoenix | Joint | Financial Management LOB |
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Implement Joint Overseas Administrative Support Platform - Single ICASS Bill - Investigate IT Infrastructure and Support Services Integration - Organizational Optimization |
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Joint |
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Integrate planning & performance management |
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Joint | Budget and Performance Integration |
| Maximize Inter-Agency Collaboration | Increase Inter-agency Collaboration |
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DOS | Business Gateway, International Trade Process Streamlining |
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Migrate to E-Gov solutions | Consolidated American Payroll System (CAPPS) and Interagency ePayroll Migration | DOS | E-Payroll |
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USAID |
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Migrate to LOB |
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DOS | Human Resources LOB |
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DOS |
Information Systems Security LOB |
| Enhance Mission Support Capabilities | Streamline passport & visa process management | Passport Modernization System | DOS |
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Consular Support & Visa Applications (CSVA) | DOS |
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Integrate logistics management | A/LM ILMS | DOS |
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Travel Manager Program | DOS | E-Travel |
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Integrate personnel management | Integrated Personnel Management System (IPMS) | DOS | Human Resources LOB |
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A/OPR E-Allowances | DOS |
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Worldwide Agency-wide Locally Engaged Staff Payroll (WALES) | DOS | Human Resources LOB |
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Strengthen Information Management Processes | State Messaging and Archive Retrieval Toolset (SMART) | DOS |
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Content Management System | DOS |
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Consular Lookout and Support System (CLASS) | DOS | Information Sharing Environment |
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Electronic Medical Record (EMR) | DOS | Federal Health Architecture (FHA) |
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Consolidate Desktop support |
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DOS | ITI LOB |
| Transition to Enterprise Service Model | Develop end-to-end service management capability | Voice Technology | DOS |
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Global IT Modernization | DOS |
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Post Telephones | DOS |
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Infrastructure Steady State Operations and Modernization | USAID | IPv6 |
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E-mail Operations | DOS |
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Telegram System | DOS |
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Implement IPv6 | Global Network | DOS | IPv6 |
Appendix B - Transition Segments, Investments, Milestones Alignment
Compliance with a segment architecture subdivision for the Joint Enterprise Architecture while retaining our original transition momentum resulted in the structure shown on the following page. The heading lists the 15 active, proposed and conceptual segments defined for the JEA and the major goal supported by each; under each of the segment headings Column 1 lists the major and non-major IT investments that comprise the current segment transition efforts. Column 2 carries over the appropriate transition milestone from Appendix A.
|
Transition Segment (Completed, Active, Proposed, Conceptual)
Major IT Investment
Non-Major IT Investment
|
Transition Milestone Corresponding to the Major IT Investment |
|
1. Joint Overseas Administrative Support Platform (Active)
Goal Supported - MR8 Standardized Overseas Operating Platform
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Single ICASS Bill
IT Integration
Post Administrative Software Suite (PASS)
New Embassy Compound Moves (NEC Moves) |
Implement Joint Overseas Support Platform |
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2. Content Publishing and Delivery Services (Active) Goal Supported - MR8 Strengthen Analytic Capacity |
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Content Management System
State Department Web Site
PA Database Support Humanitarian Information Unit BNet Online and Video on Demand Electronic Forms (eForms) IIP Program Management and Outreach System |
Strengthen Information Management Processes |
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3. Supply Chain Management (Candidate)
Goal Supported - MR8 Shared Services, Strategic Procurement
Relevant FTF(s): Integrated Acquisition Environment
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Integrated Logistics Management System (ILMS)
Joint Acquisition and Assistance Management System (JAMS/PSIP)
A/OPE Procurement Executive IT Support
A/LM Logistics Management IT Support |
Integrate Logistics Management Integrate Assistance Management Processes |
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4. Financial Management (Candidate)
Goal Supported - MR8 State - USAID Administrative Platform
Relevant FTF(s): Financial Management LOB
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Joint Financial Management System (JFMS)/Financial System Integration - Phoenix
Consolidated American Payroll System (CAPPS) and Interagency ePayroll Migration Worldwide Agency-wide Locally Engaged Staff Payroll (WALES)
ABACUS
Purchase Card Management and Reporting System (PMARS) |
Unify Financial Management Platform Migrate to E_Gov Solutions Integrate Personnel Management |
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5. Human Resources Management (Candidate) Goal Supported - MR8 Shared Services, HR Centers of Excellence
Relevant FTF(s): Human Resources LOB, E-Travel
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Travel Manager Program
Integrated Personnel Management System (IPMS) Electronic Medical Record (EMR)
A/OPR E-Allowances
FSI Corporate Systems - STMS
FSI Instructional Support FSI Learning Infrastructure |
Integrate Logistics Management Integrate Personnel Management Strengthen Information Management Processes Integrate Personnel Management |
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6. Technology Infrastructure Management (Candidate) Goal Supported - MR8 Shared Services, IT Consolidation
Relevant FTF(s):IT Infrastructure Optimization, Internet Protocol ver 6 (PV6)
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Joint DOS/USAID IT Infrastructure Integration
USAID/DOS IT Intrastructure Steady State Operations and Maintenance
State Messaging and Archive Retrieval Toolset (SMART)
Voice Technology
Global IT Modernization
Post Telephones
E-mail Operations
Telegram System
Global Network (OpenNet)
Secure Voice Program
Contingency Inmarsat Refresh Secretary's Worldwide Remote Email Network (WREN) e*Phone / The DoS Electronic Telephone Directory eCountryClearance (eCC) IMPACT Section 508 Initiative Mobile Computing Enterpise Information Portal (EIP)
Promoting Interagency Connectivity
Video Collaboration |
Optimize and Coordinate IT Infrastructure Optimize and Coordinate IT Infrastructure Strengthen Information Management Processes Develop End-to-End Service Management Capability Develop End-to-End Service Management Capability Develop End-to-End Service Management Capability Develop End-to-End Service Management Capability Develop End-to-End Service Management Capability Implement IPV6 |
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7. Security Services Management (Candidate) Goal Supported - Joint Strategic Goal 1, Achieving Peace and Security Relevant FTF(s): HSPD-12, ISS LOB, E Authentication |
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Homeland Security Presidential Directive-12 (HSPD-12) Defense Trade Application System Identity Management
Continuity of Operations
DS Border Security and Law Enforcement Systems DS Crisis & Emergency Planning DS Eagle DS National Security Readiness DS Protection of National Security Information Systems DS Protection of Personnel & Facilities DS Security Materials Management DS Security Resource Management TOMIS Information Assurance Program |
Implement IPV6 Increase Inter-Agency Collaboration Increase Inter-Agency Collaboration |
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8. Information Systems Management (Candidate) Goal Supported - MR8 Strengthen Corporate Analytic Capacity Relevant FTF(s): Information Sharing Environment (ISE) |
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Decision Support System (formerly known as Executive Information System)
ECA Program Management and Outreach System
Integrated Document Management and Analysis Systems (IDMAS) L Records Management Treaty Information Management System (TIMS) IRM Business Center STARS - Secretariat Tracking and Retrieval System A/ISS/IPS Help Desk A/ISS/IPS State Archiving System (SAS) |
Strengthen Information Management Processes |
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9. Consular Services (Candidate) Goal Supported - Joint Strategic Goal 7, Strengthening Consular and Management Capabilities |
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Passport Modernization System
American Citizen Services
Web-Based F-77 Reporting System |
Strengthen Passport and VISA Process Management |
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10. National Security Systems (Candidate) Goal Supported - MR8 State - USAID Administrative Platform |
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11. Post Software Service Suite (Candidate) Goal Supported - MR8 State - USAID Administrative Platform |
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12. Information Sharing Environment (Candidate) Goal Supported - MR8 Strengthen Corporate Analytic Capacity Relevant FTF(s): Information Sharing Environment (ISE) |
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13. Agency Management Assessments (AMA) (Candidate) Goal Supported - Joint Strategic Goal 7, Strengthening Consular and Management Capabilities |
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14. Strategic and Capital Planning Goal Supported - MR8 Strategic Procurement |
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There are no current major active IT investments
Enterprise Architecture
IT Capital Planning Support Joint State/USAID Enterprise Architecture |
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15. A130. Overseas Buildings and Operations Goal Supported - MR8 State - USAID Administrative Platform |
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There are no current major active IT investments
Buildings Management Integrated Systems (BMIS)
IRMS Operations and Maintenance |
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