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U.S. Environmental Protection Agency
ENTERPRISE ARCHITECTURE
GOVERNANCE PROCEDURE
April 4,2006
CIO 2122-P-01.0 (no former number)
OFFICE OF
ENVIRONMENTALl
INFORMATION
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Table of Contents
Purpose 3
Audience 3
Background 3
Procedure 4
1. Overview 4
1.1 Overview oftheEA Governance Procedure 4
1.2 Enterprise Architecture Framework 6
2. Segment Architecture 8
2.1 Segment Architecture Development, Review and Approval 8
2.2 Segment Architecture Compliance Certification Process 10
3. Solution Architecture 12
3.1 Solution Architecture Development, Review and Approval 12
3.2 Solution Architecture Compliance Certification Process 13
4. Enterprise Architecture 16
4.1 Integration of Segment and Solution Architectures 16
4.2 Enterprise Baseline Maintenance 16
4.3 Annual EA Review 16
4.4 Target Architecture Review and Approval 17
4.5 Transition Strategy Review and Approval 18
4.6 Sequencing Plan Review and Approval 19
5. EA Program Management Document Review and Approval Process 21
Waivers 23
Roles and Responsibilities 23
Definitions 29
Additional Information 30
APPENDIX A: RELATED DOCUMENTS 31
EA Governance Procedure
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Approval Date 4/4/06
Review Date
4/09
Subject
The Environmental Protection Agency (EPA) Enterprise Architecture (EA) is a
strategic information asset base that describes the Agency's business, the
information necessary to operate the business, the technologies necessary to
support the business operations, and the transitional processes necessary for
implementing new technologies in response to changing business needs.
Purpose
The purpose of the Enterprise Architecture Governance Procedure (the "EA
Procedure") is to address how the business processes of the EPA Enterprise
Architecture Policy (the "EA Policy") are implemented (see also section 1.1.1).
Audience
The primary audience for the EA Procedure is individuals who have direct
responsibility for the strategic planning of EPA's business, data, applications,
and technology including, but not limited to: members of the Quality and
Information Council (QIC), Quality Technology Subcommittee (QTS) and
Information Investment Subcommittee (IIS), Senior Information Officials (SIOs),
Information Management Officers (IMOs), National Program and Regional
Managers, Segment Architects, members of the Enterprise Architecture
Coordination Workgroup (EAWG), System Owners, Project Managers, Solution
Architects, and the EA Team.
Background
The Clinger-Cohen Act of 1996, Executive Order 13011, Office of Management
and Budget (OMB) Circular A-130 and OMB Circular A-l 1 require that each
federal agency establish an EA program that focuses on the results achieved
through capital investments, enhances collaboration, and ultimately enables
transformation of the federal government into a citizen-centered, results-oriented,
market-based organization.
EPA has developed an EA that must be maintained and updated under formal
direction and governance in alignment with the Federal Enterprise Architecture
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(FEA) to support Presidential Initiatives and Executive Orders, and to assist in
the Agency's execution of its mission.
The EPA EA provides a performance-oriented framework for documenting the
cross-cutting and mission-specific business activities of the Agency, from
alignment of strategic objectives to flow of processes and the technologies that
support them. The EPA EA also provides a federally compliant approach to
developing documentation in a manner that is consistent across EPA. Ultimately,
the EA leads to the creation of a strategic information base that provides EPA
managers with the enterprise-wide knowledge needed to make more informed
business decisions.
Authorities The Clinger-Cohen Act of 1996 (also known as the Information Technology
Management Reform Act of 1996) (Pub. L. 104-106, Division E);
Executive Order 13011, Federal Information Technology, FR 61-140, July 19,
1996;
OMB Circular A-l 1, Preparation, Submission, and Execution of the Budget
(revised November 2, 2005);
OMB Circular A-130, Transmittal Memorandum #4, Management of Information
Resources (November 28, 2000);
EPA Enterprise Architecture Policy, Directive 2120.3
Procedure
1. Overview
1.1 Overview of the EA Governance Procedure
1.1.1 Purpose
The purpose of the EA Procedure is to institute the business processes for
implementing the EA Policy . The EA Policy establishes the high-level
governance of the EPA EA program, sets direction for how the EA will be
developed and maintained, and establishes how information technology
(IT) investments will be evaluated for compliance with the EA.
The EA Procedure accomplishes its objectives in a number of ways:
1. Expands on the EPA EA Program's existing governance
structure established in the EA Policy and documented in the
EPA Enterprise Architecture (EA) Governance Framework in
order to:
i. define in detail the roles and responsibilities for developing
and approving the EPA EA and its artifacts,
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ii.
ensure Agency participation throughout the entire EA
development, review and approval cycle, and
iii. ensure Agency review and approval at formal levels when
issuing the Agency's authoritative EA.
2. Directs readers to the supporting EPA procedures, standards,
guidance, and tools for developing and maintaining the EA in
conformance with the FEA, utilizing a common framework and
methodology agency-wide (including EA standards, guidance,
tools, and templates, the authoritative architecture repository,
the Capital Planning and Investment Control (CPIC)
Procedures, and the System Life Cycle Management (SLCM)
Procedure1).
3. Establishes and documents the review and approval processes
for ensuring the development of a compliant architecture at all
levels (enterprise, segment, and solution) including:
i. review and approval of segment architectures, and
certification of compliance with the Agency's EA,
ii. review and approval of solution architectures, and
certification of compliance with the Agency's EA,
iii. maintenance, review, and approval of the enterprise
baseline and target architectures, transition strategy, and
sequencing plan, including integration of certified
compliant solution and segment architectures, and
coordination of the Annual EA Review, and
iv. review and approval of EA program management
documents.
4. Establishes the process for evaluating conformance of IT
investment solution architectures with the Agency EA and
applicable requirements of the CPIC Procedures and SLCM
Procedure.
1.1.2 Content and Organization
The table below lists and describes the sections of the EA Procedure and
how they correspond to sections of the EA Policy:
EA Procedure Section
1 . Overview
Description
Provides an overview of the EA Procedure, including
its purpose, contents, and organization.
EA Policy
Section
I
1 EPA's Interim Systems Life Cycle Management (SLCM) Policy and Interim SLCM Procedure have been
extended until superseded. However, this EA Procedure references updated versions which are currently in
review, therefore, references are contingent on Agency approval of final SLCM Policy and SLCM Procedure.
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EA Procedure Section
2. Segment Architecture
3. Solution Architecture
4. Enterprise
Architecture
5. EA Program
Management Document
Review and Approval
Description
Establishes and documents the process for
developing, reviewing and approving segment
architectures, and for certifying their compliance with
the Agency EA.
Establishes and documents the process for
developing, reviewing, and approving solution
architectures, and for certifying their compliance with
the Agency EA.
Establishes and documents the processes for
developing, maintaining, reviewing, and approving
the Agency EA, including integration of solution and
segment architectures, and conduct of the Annual EA
Review.
Establishes and documents the process for reviewing
and approving EA program management documents.
EA Policy
Section
11,111
II, III, IV
II, III
1,11,111
The EA Procedure also includes sections covering the process for
obtaining waivers from the procedure, roles and responsibilities, and
definitions of EA terms and concepts. Also included in the EA Procedure
are an appendix for related documents and related attachments.
1.2 Enterprise Architecture Framework
The EPA EA Framework, as depicted in Figure 1, is consistent with best
practices as defined by the Federal Enterprise Architecture Framework
(FEAF). The framework includes 1) a baseline architecture, 2) a target
architecture, and 3) a transition architecture that describes the migration
from the baseline to the target and includes the transition strategy and
sequencing plan. As shown, the framework also describes all five layers
of the architectural pyramid (strategic, business, data, application, and
technology). In accordance with best practices as specified by OMB,
federal agencies should have the ability to integrate the architectural
content of all of an agency's constituent organizational units at all layers
of the architecture. Consistent with this best practice, the EPA has further
adopted the concept of architecture tiers. As shown in Figure 1, the EA
Framework now includes enterprise, segment, and solution tiers.
jral Enterprise Archit
FEA
Baseline Architecture
Transition Architecture
EPA Non-Federal Partner Architectures
Technology
Figure 1. EPA Enterprise Architecture Framework
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The Agency EA Team is responsible for development and maintenance of
the enterprise tier of the architecture. The enterprise tier enables the
integration of multiple segment architectures. Segment architectures2 are
individual architecture programs within the EA that are developed around
groups of business or service functions supporting a common goal. In
EPA, these groups can be: 1) programmatic, based on business or service
functions within a program (e.g., Drinking Water Protection architecture);
2) organizational, based on business or service functions within a Program
Office (e.g., Office of Water architecture); and 3) cross-cutting, based on
business or service functions performed across multiple Agency
organizations and programs (e.g., Geospatial architecture). Segment
Architects are responsible for developing segment architectures. However
each segment may use a team of architects to assist in the effort. These
various segment architectures comprise the segment tier as depicted in
Figure 1 above.
Governance structures within segment architectures can be tailored
according to the size and complexity of the segment. An example of an
existing governance structure is the Administrative Systems Architecture
(ASA). The ASA Steering Committee is the standing governance
structure which encompasses the segments of the architecture that relate
to activities within the management of government resources and support
delivery of services areas of the FEA Business Reference Model (BRM).
The common underpinnings for these business areas are the federal
statutes that require appropriate financial and administrative systems
controls in place to ensure compliance with the requirements to provide
sound financial and other administrative services. This governance
structure also ensures an integrated approach to identifying and building
solutions that require cross organizational collaboration to deliver value to
the agency while meeting legislative requirements. SIOs responsible for
segment architectures under their purview are encouraged to establish
governance structures within their segments to ensure synergy between
other segments, particularly in cross-cutting segments that involve
multiple program offices.
The final tier of the EPA EA Framework is the solution tier. A segment
architecture may contain one or more solutions. Solution architectures are
specific investments or initiatives that solve a particular business problem
(typically technology-based solutions). Solutions, if they are investments,
are subject to the Agency's CPIC Procedures and SLCMProcedure. It is
important to note that, while a single segment may contain a solution,
multiple segments may use that solution. In this manner, the Agency's EA
Framework seeks to support the objective of reuse while ensuring clear
lines of responsibility for the architecture and implementation of
solutions. Solution Architects are responsible for developing solution
architectures.
In order to ensure the development and ongoing maintenance of the EPA
EA at all levels in conformance with the EPA EA Framework utilizing a
: The EA Policy uses the term "Component Architectures"
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common methodology, two supporting documents have been developed:
1) the Architecture Development Content Standard, which establishes the
required contents of the EA (i.e., the "what"), and 2) the Architecture
Development Methodology, which provides guidance on a methodology
for developing the EA (i.e., the "how"). The Architecture Development
Tools and Templates have also been developed, which unite the two
documents and facilitate the implementation of the EA development
methodology and the population of the architecture repository via easy-to-
use tools and templates. Additional standards and guidance may be
prepared as deemed necessary.
2. Segment Architecture
2.1 Segment Architecture Development, Review and Approval
This section of the EA Procedure establishes and describes the roles for
developing and the process for reviewing and approving segment architectures
(see Figure 2).
Who: Assistant Administrator (AA), Regional Administrator (RA),
Laboratory Director, CIO, QIC, CTO, SIO, Chief Architect, Segment
Architect
What: EA standards, tools and templates, authoritative architecture repository
(see Appendix A).
How: EA Guidance, tools and templates, authoritative architecture repository
(see Appendix A).
When: As determined by the QIC
Process:
1. Each year, the Chief Architect, in conjunction with the EAWG,
develops recommendations for segment architecture priorities. The
Chief Architect recommends list of priorities to the QIC SC for
review. The QIC SC then recommends segment architecture priorities
and suggested programmatic leads to the QIC, which in turn,
recommends to the CIO for approval.
2. SIOs, or designees, assume accountability for segment architectures
under their purview.
NOTE: SIOs are encouraged to establish governance structures
within their segment architectures. For example, the ASA and
Research and Science Architecture (RSA) segments have established
governance bodies including a workgroup and steering committee
comprised of cross-office representatives.
3. SIO assigns development responsibility for each of their segment
architectures to a Segment Architect and structures governance of
their segment architectures based on the size and complexity of the
segments.
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4. Segment Architect develops the segment architecture, using EA
standards, EA guidance, tools and templates, to accurately address the
business needs of the segment.
5. Segment Architect provides segment architecture to the SIO, or
designee, for validation.
NOTE: Segment Architects are to submit their segment architectures
to the SIO throughout the year as significant portions of them are
developed. This ensures segment architectures are properly
maintained in the Agency EA. Segment Architects are notified by the
Chief Architect four weeks prior to beginning of Annual EA Review
(see section 4.3) so as to allow time for them to update their
architecture information prior to analysis.
6. SIO, or designee, reviews segment architecture. SIO validates that
segment architecture accurately addresses segment's business needs
OR indicates areas needing modification to Segment Architect.
7. SIO submits segment architecture submission to the Chief Architect
for EA compliance certification (to Section 2.2).
8. Once segment architecture is certified EA compliant (or appropriate
waivers have been obtained), SIO forwards segment architecture to
his/her AA, RA, or Laboratory Director (or a designee) for final
approval.
9. AA, RA, or Laboratory Director approves segment architecture and
uses it to better inform budget and capital planning decisions OR
requests modifications from the SIO (return to Step 6).
10. Once AA, RA or Laboratory Director approves segment architecture,
EA Team integrates it with the Agency EA (see Section 4.1 below)
following change management procedures (See EA Configuration
Management Plan).
Transition: Chief Architect, in conjunction with the EAWG, develops
recommendations for segment architecture priorities. The Chief Architect
recommends list of priorities to the QIC SC for review. The QIC SC then
recommends segment architecture priorities and suggested programmatic
leads to the QIC, which in turn, recommends to the CIO for approval. SIO
identifies Segment Architects to develop segment architectures under their
purview. Segment Architects become members of the EAWG and work in
collaboration with EA Team. The EA Team releases standards, guidance,
tools and templates in a phased approach, working closely with the Segment
Architects phase by phase to 1) assist with architecture development and 2)
fine-tune the standards, guidance, tools and templates in response to Segment
Architect feedback. The EA Team coordinates with the Segment Architects
to set appropriate timelines for collecting architecture information.
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2.2 Segment Architecture Compliance Certification Process
This section of the EA Procedure establishes and documents the process for
certifying segment architecture compliance conducted by the Chief Architect
(see Figure 2).
Who: SIO, Chief Architect, Segment Architect, EA Team
What: EA standards, tools and templates, authoritative architecture repository
(see Appendix A).
How: EA guidance, tools and templates, authoritative architecture repository
(see Appendix A).
When: As significant portions of the segment architecture are developed.
1. Segment Architect provides segment architecture to the SIO, or
designee, for validation.
NOTE: The Segment Architect is to submit segment architectures to
the SIO throughout the year as they are developed. This ensures
segment architectures are properly maintained in the Agency EA.
Segment Architects are notified by the Chief Architect four weeks
prior to beginning of Annual EA Review (see section 4.3) so as to
allow time for them to update their architecture information prior to
analysis.
2. SIO, or designee, reviews segment architecture. SIO validates that
segment architecture accurately addresses segment's business needs
OR indicates areas needing modification to Segment Architect
3. SIO submits the segment architecture to the Chief Architect.
4. Prior to integration with the Agency EA, the Chief Architect (or
designee) conducts a compliance certification review to assess
segment architecture alignment with the Agency EA using
predetermined criteria defined in EA standards.
5. If segment architecture is compliant, the Chief Architect certifies it as
such and provides EA certification documentation to the SIO.
6. If segment architecture is not compliant, the Chief Architect indicates
areas of non-compliance to the SIO. The SIO submits revised segment
architecture OR applies for a waiver (see the "Waivers" section of the
document for a description of the waiver process).
Transition: Segment Architects develop their segment architectures in
collaboration with EA Team. The EA Team releases standards, guidance,
tools, and templates in a phased approach, working closely with the Segment
Architects phase by phase to 1) assist with architecture development and 2)
fine-tune the standards, guidance, tools, and templates in response to
Segment Architect feedback. The EA Team coordinates with the Segment
Architects to set appropriate timelines for collecting architecture information.
The segment architecture compliance certification process will be
implemented once CIO, or a designee, approves and issues EA standards.
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Figure 2: Segment Architecture Review and Approval Process and Compliance Certification Process
o
a
o
o
Determine
Priorities for
Segment
)eyelQpmeni
O
Forward Segment
Arehitecixire to AA,
RA, of Lab Director
for Approval
Review Segment
Architecture for EA
Compliance
(incremental^?)
Submit EA
Compliant
Certification to SIO
11
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3. Solution Architecture
3.1 Solution Architecture Development, Review and Approval
This section of the EA Procedure establishes and documents the roles for
developing, and the process for reviewing and approving solution
architectures (see Figure 3).
Who: Chief Architect, Segment Architect, Solution Architect, EATeam
What: EA standards, tools and templates, authoritative architecture repository
(see Appendix A).
How: EA guidance, tools and templates, authoritative architecture repository,
SLCMProcedure, authoritative information resource inventory and EPA
registries and repositories (see Appendix A).
When: SLC phases, project-level reviews and Control Gates 1 and 2 (see
SLCM Procedure).
Process:
1. Solution Architect develops solution architecture to accurately
address segment's business needs using EA standards, EA guidance,
tools, and templates and the SLCM Procedure for the solution
development process. Solution architectures are required for any
solution meeting CPIC or CPIC Lite criteria (see CPIC Policy and
CPIC Procedures).
2. The solution architecture (created during the Definition Phase of the
SLC) is evolved through the SLC with more detail added at each
phase. Solution architectures are used by the Chief Financial Officer
(CFO), CIO, IIS, and System Owners to better inform budget and
capital planning decisions throughout the SLC.
NOTE: As part of the Agency's CPIC process, Solution Architects
attach solution architectures to their CPIC and CPIC Lite business
cases to better inform budget and capital planning decisions made by
the CFO, CIO, IIS, and SIOs. Chief Architect uses solution
architecture to certify IT portfolio as EA compliant as part of the
annual CPIC cycle.
3. Throughout the SLC, the solution architecture is reviewed after each
phase of the SLC. There are two types of reviews:
i. Project-level Review: The System Owner and Segment
Architect(s) ensure 1) solution architecture accurately addresses
segment's business need and 2) checks for compliance with the
EA. Project-level reviews occur at the end of every SLC phase (see
SLCM Procedure).
ii. Control Gate Review: The SIO and Chief Architect certify solution
architecture as EA compliant twice during the SLC at Control Gate
1: System Selection and Control Gate 2: EA Compliance
Certification Review. Control Gate 1 occurs at the end of the
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Definition Phase and Control Gate 2 occurs at the end of
Acquisition/Design sub-phase. For details of the compliance
certification process, see Section 3.2 below.
4. Solution Architect submits the solution architecture to the EA Team at
the successful completion of each review described above (both
project-level and control gate).
5. EA Team integrates solution architecture with the Agency EA (see
Section 4.1 below) following change management procedures (See
EA Configuration Management Plan).
Transition: Solution Architects develop their solution architectures using
current EA and SLCM standards relevant to SLC phase. To successfully
complete a project-level or control gate review and move to the next SLC
phase, Solution Architects must complete their solution architectures to the
standard required for the particular SLC phase.
3.2 Solution Architecture Compliance Certification Process
This section of the EA Procedure establishes and documents the process for
solution architecture compliance certification conducted by the Chief
Architect at Control Gate 1: System Selection and Control Gate 2: EA
Compliance Certified Review of the SLCM Procedure (see Step 3ii in Section
3.1 above and Figure 3).
Who: SIO, QTS, Chief Architect, Solution Architect, EA Team
What: EA standards, tools and templates, authoritative architecture
repository, authoritative information resource inventory and EPA registries
and repositories (see Appendix A).
How: EA guidance, tools and templates, authoritative architecture repository,
SLCM Procedure (see Appendix A).
When: SLC Control Gates 1 and 2 (see Attachment 2)
Process:
1. Solution Architect provides the solution architecture to the System
Owner and Segment Architect for EA compliance check during all
SLC reviews. Solution architectures are required for any solution
meeting CPIC or CPIC Lite criteria (see CPIC Policy and CPIC
Procedure).
2. As part of Control Gates 1 and 2, System Owner forwards solution
architecture to SIO, or designee, for review.
3. SIO, or designee, reviews solution architecture and conducts a
compliance certification review to assess solution architecture
alignment with the Agency EA using predetermined criteria defined
in EA standards. SIO validates that the solution architecture
accurately addresses segment's business needs and is EA compliant
OR indicates areas needing modification to Solution Architect.
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4. If solution is following Full Sequential Work Pattern (determined by
SLCMProcedure), SIO forwards the solution architecture to the Chief
Architect for additional EA compliance review during Control Gates
1 and 2 (proceed to step 7)
5. If solution is not following Full Sequential Work Pattern (determined
by SLCMProcedure), SIO certifies solution architecture as EA
compliant and issues documentation of compliance certification to
Chief Architect and Solution Architect.
6. Solution Architect submits the solution architecture to the EA Team at
the successful completion of the control gate review (proceed to step
11).
7. Chief Architect, or designee, conducts a compliance certification
review to assess solution architecture alignment with the Agency EA
using predetermined criteria in EA standards. As part of Control Gate
2: EA Compliance Certification review, the Chief Architect also
forwards solution architecture to QTS for concurrent technical
feasibility review (For Control Gate 1: System Selection reviews, skip
Step 9).
8. QTS reviews the solution architecture for technical feasibility and
CTO either approves technical feasibility OR indicates areas needing
modification to Chief Architect.
9. If the solution architecture is EA compliant, the Chief Architect
certifies it as such and provides EA certification documentation to the
SIO.
10. If the solution architecture is not EA compliant, the Chief Architect
indicates areas of non-compliance to SIO. The SIO resubmits the
revised solution architecture OR applies for a waiver (see the
"Waivers" section of the document for a description of the EA Waiver
process).
Transition: The solution architecture compliance certification process will
be implemented once CIO, through consultation with the QIC Steering
Committee (QIC SC), approves and issues EA standards. Until such time, the
Chief Architect will continue to use the CPIC business cases to certify
solutions as EA compliant as part of the annual EA certification of the IT
Portfolio.
Solution architectures that are developed prior to development of their parent
segment architecture must demonstrate alignment with the EA during
compliance certification reviews.
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Solution Architecture: Review and Approval Process and Compliance Certification Process
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4. Enterprise Architecture
4.1 Integration of Segment and Solution Architectures
This section of the EA Procedure establishes and documents the process for
integrating certified segment and solution architectures with the Agency EA
(see Sections 2.2 and 3.2 above).
Who: EA Team
What: EA standards, tools and templates, authoritative architecture
repository, authoritative information resource inventory and EPA registries
and repositories (see Appendix A).
How: EA guidance, tools and templates, authoritative architecture repository
(see Appendix A).
When: Throughout the year as certified submissions are received
1. EA Team performs a quality assurance (QA) check on released EA-
compliant solution and segment architectures
2. EA Team integrates quality-approved, EA-compliant segment and
solution architectures with the Agency EA by enabling population of
the architecture repository with the solution and segment artifacts
(bottom-up management of EA).
3. EA Team updates and maintains the Agency EA architecture as
needed.
4.2 Enterprise Baseline Maintenance
The baseline EA is maintained through periodic segment and solution
architecture submissions (see sections 2, 3, and 4.1). As the segment and
solution baseline architectures are incorporated into the enterprise model, the
baseline EA is populated with up-to-date information.
Architecture information that is inherent to the enterprise tier (i.e. EPA
reference models) is incorporated by the EA Team following the EA Program
Management Document Review and Approval Process (see section 5.0).
4.3 Annual EA Review
This section of the EA Procedure establishes and documents the annual
Agency EA review process.
Who: Chief Architect, EAWG, EA Team
What: EA Baseline, EA Target, EA standards, tools and templates,
authoritative architecture repository, authoritative information resource
inventory and EPA registries and repositories (see Appendix A).
How: EA guidance, tools and templates, authoritative architecture repository
(see Appendix A).
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When: Annually, beginning in October
1. Chief Architect, EAWG, and EA Team use decisions made during the
Agency's strategic planning process (Agency's strategic architecture)
to perform a review of the integrated Agency EA, including the
baseline "as is" architecture and the target "to be" architecture. EA
review includes analysis across all baseline and target segment
architectures. As a result of the Annual EA Review, the Chief
Architect may or may not elect to update the target enterprise
architecture in response to new Agency Strategic Plan, Government
Performance and Results Act (GPRA) goals, Agency initiatives,
legislation, OMB mandates, FEA guidance, data and metadata
standards, records management requirements, security requirements,
and emerging technologies.
2. Chief Architect, EAWG, and EA Team re-visit and refine Agency
target architecture for business, data, applications, and technologies
(top-down management of the EA).
4.4 Target Architecture Review and Approval
This section of the EA Procedure establishes and documents the process for
reviewing and approving the enterprise target architecture (see Figure 4).
Who: CIO, QIC, QTS, CTO, Chief Architect, National Program and Regional
Managers, Segment Architects/EAWG, and EA Team
What: EA standards, tools and templates, authoritative architecture
repository (see Appendix A)
How: EA guidance, tools and templates, authoritative architecture repository
(see Appendix A).
When: As appropriate based on 1) the importance and impact of the changes
submitted by the Segment Architects and 2) the results of the analysis
conducted during the Annual EA Review (see Section 4.3 above).
1. EA Team works with Segment Architects in conjunction with the
EAWG and National Program and Regional Managers to redefine and
update the Agency target architecture based on the analysis conducted
during the Annual EA Review (see Section 4.3 above).
NOTE: The target EA refers to the target enterprise, target segment
and target solution architectures collectively. Target segment and
solution architectures 1) are developed in alignment with the
Agency target EA and 2) serve to populate the target EA. The Target
Architecture Review and Approval process manages change at the
enterprise level —the target to which all segment and solution
architectures will be built. This process is driven by analysis
performed across segment and solution architectures and by the
Annual EA Review which serves to identify external and internal
initiatives that necessitate a change in the target EA.
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2. Chief Architect reviews target EA and concurs OR indicates areas
needing modification to the EAWG and EA Team.
3. Chief Architect presents target EA to QTS and CTO.
4. QTS and CTO review technology and security architecture.
5. QTS and CTO concurs with technology and security architecture OR
indicates areas needing modification to Chief Architect.
6. Chief Architect presents target EA to QIC.
7. QIC reviews the target architecture.
8. QIC concurs with the target architecture and recommends to the CIO
OR indicates areas needing modification to Chief Architect.
9. CIO reviews, approves, and issues the authoritative target architecture
OR indicates areas needing modification to Chief Architect.
10. Target Architecture is used to better inform Agency budget and
capital planning decisions.
4.5 Transition Strategy Review and Approval
This section of the EA Procedure establishes and documents the process for
reviewing and approving the Agency transition strategy (see Figure 4).
Who: CIO, QIC, QTS, CTO, Chief Architect, National Program and Regional
Managers, EAWG, EA Team
What: EA standards, tools and templates, authoritative architecture repository
(see Appendix A).
How: EA guidance, tools and templates, authoritative architecture repository
(see Appendix A).
When: As appropriate based on the Annual EA Review (see Section 4.3
above) and the issuance of the authoritative Agency target architecture (see
Section 4.3 above).
1. EA Team works with Segment Architects and National Program and
Regional Managers to redefine and update the Agency transition
strategy based on the analysis conducted during the Annual EA
Review (see Section 4.3) and the redefinition of the Agency target
architecture (see Section 4.4 above).
2. Chief Architect reviews transition strategy and concurs OR indicates
areas needing modification to EAWG and EA Team
3. Chief Architect presents transition strategy to QTS and CTO.
4. QTS and CTO review transition strategy for technical feasibility.
5. QTS and CTO concurs with transition strategy OR indicates areas
needing modification to Chief Architect.
6. Chief Architect presents transition strategy to QIC.
7. QIC reviews the transition strategy.
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8. QIC concurs with the transition strategy and recommends to the CIO
OR indicates areas needing modification to Chief Architect.
9. CIO reviews, approves, and issues the transition strategy OR indicates
areas needing modification to Chief Architect.
10. Transition strategy is used to better inform Agency budget and capital
planning decisions.
4.6 Sequencing Plan Review and Approval
This section of the EA Procedure establishes and documents the process for
reviewing and approving the Agency sequencing plan (see Figure 4).
Who: CIO, IIS, QTS, CTO, Chief Architect, EAWG, EA Team
What: EA standards, tools and templates, authoritative architecture
repository (see Appendix A).
How: EA guidance, tools and templates, authoritative architecture repository
(see Appendix A).
When: As appropriate based on 1) issuance of transition strategy (see Section
4.5 above) and 2) significant changes affecting sequence of milestones.
Process:
1. As appropriate (see "When" above), EA Team works with Segment
Architects on the EAWG to revise sequencing plan.
2. Chief Architect reviews sequencing plan and concurs OR indicates
areas needing modification to EAWG and EA Team.
3. Chief Architect presents sequencing plan to QTS and CTO.
4. QTS and CTO review sequencing plan for technical feasibility.
5. CTO concurs with sequencing plan OR indicates areas needing
modification to Chief Architect.
6. Chief Architect presents sequencing plan to the IIS.
7. IIS reviews the sequencing plan.
8. IIS concurs with sequencing plan and recommends to the QIC OR
indicates areas needing modification to Chief Architect.
9. QIC reviews the sequencing plan
10. QIC concurs with sequencing plan and recommends to the CIO OR
indicates areas needing modification to Chief Architect.
11. CIO reviews, approves, and issues the sequencing plan OR indicates
areas needing modification to Chief Architect.
12. Sequencing Plan is used to better inform Agency budget and capital
planning decisions.
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Figure 4: Enterprise Architecture Review and Approval Process
Yes- if Change to Target Arch / Transition Strategy
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5. EA Program Management Document Review and Approval Process
This section of the EA Procedure establishes and documents the process for
reviewing and approving EA Program documents (see Figure 5). EA Program
Management documents include EA Governance (policies, procedures,
standards and guidance), EPA Reference Models and the EA Program
Management Plan.
Who: QIC, QIC SC, QTS, Chief Architect, EAWG, EA Team
What: EA Program Management Documents
How: EA Program Configuration Management Plan
When: Ongoing as needed
1. As it receives FEA guidance, senior management direction, and
change requests, the EA Team develops new or updates existing EA
program management documents.
2. EA Team submits EA documents to the EAWG for review and
recommendation of approval.
3. EAWG reviews EA documents and submits them to the Chief
Architect with its recommendation OR indicates areas needing
modification to EA Team.
4. Chief Architect reviews EA documents and either concurs or non-
concurs. If Chief Architect concurs, he or she may decide to elevate
documents for additional review. If Chief Architect non-concurs, he
or she indicates areas of non-concurrence to EAWG (Step 1).
5. If Chief Architect does not elevate document for additional review,
Chief Architect approves and issues document.
6. If Chief Architect elevates the document for further review, he or she
submits the document to either the QIC SC, QTS, or other governing
body depending on the nature of the document (i.e. EA policies and
procedures go to the QIC SC, technology standards go to the QTS and
all other governance documents follow a review and approval process
set forth by the CIO).
7. QIC SC, QTS or other governing body reviews the documents and
either concurs OR indicates areas needing modification to Chief
Architect.
8. QIC SC, QTS or other governing body submits approved documents
to the QIC for review (unless otherwise directed by CIO in Step 5).
9. QIC reviews the documents and concurs OR indicates areas needing
modification to Chief Architect.
10. CIO reviews the documents and approves OR indicates areas needing
modification to Chief Architect. The CIO may also choose to not
approve the document.
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EA Program Management Document Review and Approval Process
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EA Governance Procedure
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Waivers
Requests for waivers from the EA Procedure are addressed to the CIO or his/her
designee through the IT Waiver Process (See Attachment). Offices have the right to
appeal a CIO decision to the Deputy Administrator as outlined in the QIC Charter.
When a solution or segment architecture is determined to be non-compliant with the
EA, the Solution or Segment Architect may apply for a compliance waiver via the IT
Waiver Process. If the waiver is not approved, the Solution Architect or Segment
Architect develops an EA compliance plan for approval by the Chief Architect or
designee.
Waivers are not permanent. Waiver terms are documented for each waiver specifying
1) a time period after which the solution or segment architecture must comply with
the Agency EA, 2) the modifications that shall be made to the Agency EA to
accommodate the solution, or 3) some combination of the two approaches specified.
Whenever an EA requirement is waived, the Chief Architect and EAWG will
determine if a change to the Agency architecture is necessary. If such a change is
necessary, the Chief Architect initiates measures as may be necessary to
accommodate the non-compliant architecture. The changes are subsequently
approved by the CIO during the next annual update of the Agency architecture.
Roles and Responsibilities
The Chief Information Officer (CIO) (who also is the AA for the Office of
Environmental Information (OEI)) is responsible for:
• Approving and issuing the EA Procedure, EA technical standards, and
guidance.
• Ensuring Agency compliance with the EA Policy and EA Procedure.
• Approving and issuing the enterprise architecture, transition strategy, and
sequencing plan.
• Approving waivers to the EA Policy, EA Procedure, and standards.
The Assistant Administrators (AAs), Chief Financial Officer (CFO), General
Counsel, Inspector General (IG), Deputy Chief of Staff to the Administrator,
Associate Administrators, and Regional Administrators (RAs) and Laboratory
Directors are responsible for:
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• Ensuring compliance, within their organizations, with EA policy, procedures,
and standards.
• Providing business expertise to target enterprise architecture and transition
strategy development efforts.
• Approving segment architecture submissions and using architecture to better
inform budget and capital planning decisions.
The Chief Technology Officer (CTO) is responsible for:
• Approving technical feasibility of solution architectures following Full
Sequential Work Pattern during Control Gate 2: EA Compliance Certified
Review.
• Approving technical feasibility of transition strategy and sequencing plan.
• Concurring on technology and security layers of the target EA.
• Concurring on EA technology standards.
The Chief Architect is responsible for:
• Leading the development, maintenance, review, and approval of the
Agency's EA, including the baseline architecture, target architecture,
transition strategy, and sequencing plan.
• Notifying Segment Architects of upcoming Annual EA Review four weeks
prior to commencing.
• Facilitating the Annual EA Review.
• Certifying and providing documentation of EA compliance for segment
architectures.
• Certifying and providing documentation of EA compliance for solution
architectures following Full Sequential Work Pattern during Control Gate 1:
EA Compliance Review and System Selection and Control Gate 2: EA
Compliance Review.
• Certifying IT Portfolio as EA compliant during annual CPIC cycle.
• Providing templates, guidance, and toolsets to support segment and solution
architecture submissions.
• Ensuring timely response to OMB annual assessments and quarterly progress
reports.
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• Approving EA program management documents (except for EA policies,
procedures, and standards).
• Developing segment architecture priorities, in conjunction with EAWG, and
recommending priorities to the QIC SC.
• Communicating and implementing approved EA documents.
The Chief Acquisition Officer (CAO) is responsible for:
• Ensuring the EA Policy and the EA Procedure are incorporated, as
appropriate, in requests for proposals (RFPs) and contracts.
The Senior Information Officials (SIOs) are responsible for:
• Ensuring compliance with the EA Policy and the EA Procedure.
• Maintaining segment architectures under their purview and validating that
segment architectures accurately address the business needs of the segment.
• Validating that solution architectures accurately address the business needs
of the segment.
• Ensuring EA compliance of segment and solution architectures (during
Control Gates 1 & 2 of the SLC) prior to inclusion in the Agency EA.
• Forwarding solution architectures to the Chief Architect for EA compliance
review during Control Gates 1 & 2 of the SLC (SLCM Procedure).
• Certifying and providing documentation of EA compliance for solution
architectures not following Full Sequential Work Pattern during Control Gate
1: EA Compliance Review and System Selection and Control Gate 2: EA
Compliance Review.
• Assigning Segment Architects to segment architectures.
The Information Management Officers (IMOs) are responsible for:
• Supporting SIOs in ensuring compliance with the EA Policy and the EA
Procedure
• Coordinating with Senior Budget Officers (SBOs) to ensure consistency of
IT Portfolio during the annual CPIC process.
The Quality and Information Council (QIC) is responsible for:
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• Reviewing and concurring on the EA, including, but not limited to the target
architecture, transition strategy and sequencing plan.
• Ensuring compliance with the EA Policy and the EA Procedure.
• Recommending segment architecture priorities and suggesting programmatic
leads to the CIO for approval.
The Quality and Information Council Steering Committee (QIC SC) is
responsible for:
• Reviewing and concurring on the EA Policy and the EA Procedure.
• Reviewing and concurring on EA compliance standards.
• Reviewing and recommending segment architecture priorities and suggesting
programmatic leads to the QIC.
The Information Investment Subcommittee (IIS) is responsible for:
• Ensuring compliance with the EA Policy and the EA Procedure.
• Ensuring projects are certified EA compliant before approving inclusion into
the IT investment portfolio.
• Reviewing and concurring on the Agency's sequencing plan.
The Quality Technology Subcommittee (QTS) is responsible for:
• Reviewing and concurring on EA technical standards.
• Reviewing and concurring on technical feasibility of solution architectures
following Full Sequential Work Pattern during Control Gate 2: EA
Compliance Certified Review.
• Reviewing and concurring on technical feasibility of technology and security
layers of the target EA.
• Reviewing and concurring on technical feasibility of the transition strategy
and sequencing plan.
The Enterprise Architecture Coordination Workgroup (EAWG) is responsible
for:
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• Leading segment architecture efforts, including developing and maintaining
baseline and target segment architectures, and transition strategies using EA
standards and EA guidance.
• Reviewing and concurring on EA management documents.
• Analyzing across segment architectures during the Annual EA Review and
reviewing and recommending solutions to issues identified during the Annual
EA Review as appropriate.
• Assisting Chief Architect in the Annual EA Review; evaluating internal and
external business drivers that may influence change in the target EA.
• Reviewing and recommending segment architecture priorities to Chief
Architect.
• Communicating and implementing approved EA management documents.
The Segment Architects are responsible for:
• Developing and maintaining their segment architecture using EA standards
and EA guidance and ensuring alignment with the EA..
• Reviewing solution architectures with System Owners during project-level
reviews (see SLCM Procedure) and ensuring solution architectures reflect the
best practical solution to serving the business needs of the segment while
remaining in alignment with the Agency EA.
• Participating as a member of the EAWG.
• Assisting Chief Architect in the Annual EA Review; evaluating internal and
external business drivers that may influence change in the target EA.
• Providing their segment architecture to the SIO for periodic validation and
EA compliance check.
• Obtaining waivers from the EA Procedure and the EA as appropriate.
The Solution Architects are responsible for:
• Developing and maintaining their solution architecture using EA standards
and EA guidance and ensuring solution architectures reflect the best practical
solution to serving the business needs of the segment while remaining in
alignment with the segment architecture and Agency EA.
• Providing their solution architecture for EA compliance check during SLC
project-level and control gate reviews.
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• Forwarding their solution architecture to the EA Team upon completion of
project-level and control gate reviews.
• Obtaining waivers from the EA Procedure where appropriate.
NOTE: Solution Architects are responsible for developing solution
architectures; however Project Managers can also be designated as having the
responsibility for solution architecture.
The System Owners are responsible for:
• Assigning Solution Architects.
• Ensuring solution architectures reflect the best practical solution to serving
the business needs of the segment.
• Ensuring compliance with the EA Policy and the EA Procedure.
• Performing EA compliance checks (with Segment Architect) on solution
architectures during project-level reviews.
The Enterprise Architecture Team (EA Team) is responsible for:
• Day-to-day functions of managing the EA Program including developing,
updating, and facilitating review of EA management documents.
• Integrating segment and solution architectures with the Agency EA following
change management procedures.
• Maintaining EPA's EA using EA standards and EA guidance.
• Providing templates and tools to support architecture submissions for
integration with the Agency EA.
• Facilitating and managing Agency EA business processes (including the
Annual EA Review), and development of and updates to the Agency target
architecture, transition strategy, and sequencing plan.
• Performing analysis across segment architectures and evaluating internal and
external business drivers that may influence change in the enterprise target
architecture.
• Responding to OMB annual assessments.
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Communicating and implementing approved EA program management
documents.
Definitions
Architecture: 1) A structure representing an orderly arrangement of parts; 2) a
method of design and construction; 3) a blueprint for design and construction (i.e., a
description of structure and method); 4) a discipline dealing with the principles of
design and construction.
Architecture Repository and Tool: ART is the authoritative reference for the EPA
EA, comprising the baseline, target, and transition (transition strategy and sequencing
plan) architectures for the Agency. ART supports development and maintenance and
can be accessed at http://intranet.epa.gov/architec/art.html.
Baseline: The current or "as-is" state of the architecture.
Baseline Architecture: Representation of the current state or "as is" for the
architecture.
Enterprise: An organization supporting a defined business scope and mission. An
enterprise is composed of interdependent resources (people, organizations, and
technology) that should coordinate their functions and share information in support of
a common mission (or set of related missions).
Enterprise Architecture: A strategic information asset base; which defines the
business, the information necessary to operate the business, the technologies
necessary to support the business operations, and the transitional processes necessary
for streamlining business processes and implementing new technologies to improve
service to citizens. It is a representation or blueprint.
Enterprise Lifecycle: The integration of management, business, and engineering life
cycle processes that span the enterprise.
External Partners: Entities, external to EPA, with relationships within EPA's EA.
Examples of external partners include: the FEA, other federal departments and
agencies, states, tribes, industry and academia.
Federal Enterprise Architecture Framework: An organizing mechanism for
managing development, maintenance, and facilitated decision making of a Federal
EA. The Framework provides a structure for organizing Federal resources and for
describing and managing Federal EA Activities.
Methodology: A documented approach for performing activities in a coherent,
consistent, accountable, and repeatable manner.
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Segment: Individual architecture programs within the EA that are developed around
groups of business or service functions that supporting a common goal. In EPA, these
groupings can be: 1) organizational, based on business or service functions within a
Program Office (e.g., Office of Water architecture); 2) programmatic, based on
business or service functions within a program (e.g., Drinking Water Protection
architecture); and 3) cross-cutting, based on business or service functions performed
in multiple organizations and programs across the Agency (e.g., Geospatial
architecture).
Segment Architecture: An architecture that represents a selected portion (i.e., a
segment) of the enterprise. A segment architecture provides the business and
technical context for one or more related solution architectures. A segment
architecture represents an independently developed architecture. Rather than
necessarily representing an organization, it represents functions and processes that
cross multiple organizations.
Solution: An answer to part or all of a specific business problem. A solution
generally, but not necessarily, involves IT Solutions are funded through investments
to solve a designated business problem or performance gap.
Solution Architecture: Specific investments or initiatives that solve a particular
business problem (typically technology-based solutions). Solutions, if they are
investments, are subject to the Agency's CPIC Procedures and SLCMProcedure. It
is important to note that, while a single segment may contain a solution, multiple
segments may use that solution.
Target: The future or "to-be" state of the architecture
Target Architecture: Representation of a desired future state or "to be built" for the
architecture within the context of the strategic direction.
Transition Strategy: Identifies the gaps between the baseline and target architecture,
specifies alternative approaches to fill the gaps, establishes priorities, assesses
dependencies, and includes the sequencing plan.
Recertification Date
Additional Information
For further information about this procedure refer to http://intranet.epa.gov/architec/
or contact the Chief Architect in the EPA Office of Environmental Information
(OEI), Office of Technology Operations and Planning (OTOP), Mission Investment
Solutions Division (MISD).
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APPENDIX A: RELATED DOCUMENTS
Updated: March 2006
Federal Laws and Guidance
a) The Government Performance and Results Act of 1993 (GPRA) (Pub. L. 103-62);
b) The Chief Financial Officers Act of 1990 (31 U.S.C. 3512 et seq.);
c) The Federal Information Security Management Act of 2002 (which amends the Computer
Security Act of 1987 (Pub. L. 100-235);
d) The Paperwork Reduction Act of 1995 (Pub. L. 104-13);
e) The Government Paperwork Elimination Act of 1998 (Pub. L. 105-277, Title XVII);
f) The E-Government Act of 2002 (Pub. L. 107-347);
g) The Rehabilitation Act of 1998 (Pub. L. 105-220);
h) The Federal Managers Financial Integrity Act (FMFIA) of 1989 (Pub. L. 97-255);
i) The Federal Financial Management Improvement Act (FFMIA) of 1996 (Pub. L. 104-
208);
j) The Privacy Act, as amended (5 U.S.C. 552a);
k) The Budget and Accounting Act, as amended (31 U.S.C. Chapter 11);
1) The Federal Acquisition Streamlining Act (FASA) of 1994;
m) The Chief Financial Officers Act of 1990;
n) The President's Management Agenda, Office of Management and Budget, Fiscal Year
2002;
o) OMB Circular A-94, Guidelines and Discount Rates for Benefit-Cost Analysis of Federal
Programs, revised January 22, 2002;
p) OMB Circular A-123, Management Accountability and Control, dated June 21, 1995;
q) OMB Circular A-127, Financial Management Systems, dated July 23, 1993;
r) OMB Circular A-l 19 Federal Participation in the Development and Use of Voluntary
Consensus Standards and in Conformity Assessment Activities
s) Federal Enterprise Architecture Program EA Assessment Framework 2.0
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Agency Plans. Policies and Procedures:
t) EPA Strategic Plan
u) EPA Capital Planning and Investment Control (CPIC) Policy & Procedures
v) EPA System Life Cycle Management (SLCM) Policy & Procedures
EA Standards1:
w) Enterprise Architecture Development Content Standard
EA Guidance:
x) EPA Reference Models
y) Federal Enterprise Architecture (FEA) Reference Models
z) Architecture Repository and Tool (ART) Metamodel Training and Guidance Materials
aa) Enterprise Architecture Procedure Flow Integration Diagram
bb) Enterprise Architecture Program Configuration Management Plan
Charters:
cc) Charter of the Quality Information Council (QIC)
dd) Charter of the Information Investment Subcommittee (IIS)
ee) Charter of the Quality Technology Subcommittee (QTS)
ff) Charter of the Enterprise Architecture Coordination Workgroup (EAWG)
Waivers:
gg) OEI Waiver Process (Obtaining a Waiver from an EPA IT Requirement Procedure)
Authoritative Repositories and Registries:
hh) Architecture Repository and Tool (ART)
ii) Electronic Capital Planning and Investment Control (eCPIC)
jj) Registry of EPA's Applications and Databases (READ)
kk) Extensible Mark-up Language Registry (XMLR)
11) Environmental Data Registry (EDR)
1 Additional standards and guidance are in development and this section will be updated as necessary.
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