STRATEGIC ENTERPRISE ARCHITECTURE DESIGN AND IMPLEMENTATION PLAN FOR THE MONTANA DEPARTMENT OF TRANSPORTATION 16 / FHWA/MT- -007 8238-001 Final Report prepared for THE STATE OF MONTANA DEPARTMENT OF TRANSPORTATION in cooperation with THE U.S. DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION August 2016 prepared by Robert C. Cooney Mark C. Paxton eVision Partners, Inc. Raleigh, NC RESEARCH PROGRAMS You are free to copy, distribute, display, and perform the work; make derivative works; make commercial use of the work under the condition that you give the original author and sponsor credit. For any reuse or distribution, you must make clear to others the license terms of this work. Any of these conditions can be waived if you get permission from the sponsor. Your fair use and other rights are in no way affected by the above. STRATEGIC ENTERPRISE ARCHITECTURE DESIGN AND IMPLEMENTATION PLAN FOR THE MONTANA DEPARTMENT OF TRANSPORTATION FINAL REPORT Prepared by: Robert C. Cooney, PMP President Mark C. Paxton, CGCIO Managing Consultant eVision Partners, Inc. 9660 Falls of Neuse Road Suite 138 #256 Raleigh, NC 27615 Additional contributions made by: Kevin Green, PMP, eVision Partners, Inc. Keyur Shah, PMP, Parsons Brinckerhoff Kirt Clement, P.E., eVision Partners, Inc. August 2016 MDT Strategic EA Final Report TECHNICAL REPORT DOCUMENTATION PAGE 2. Government Accession No. 3. Recipient's Catalog No. 1. Report No. FHWA/MT-16-007/8238-001 4. Title and Subtitle 5. Report Date August 2016 STRATEGIC ENTERPRISE ARCHITECTURE DESIGN AND IMPLEMENTATION PLAN FOR THE MONTANA 6. Performing Organization Code DEPARTMENT OF TRANSPORTATION 7. Author(s) 8. Performing Organization Report No. eVision Partners, Inc. 9. Performing Organization Name and Address 10. Work Unit No. eVision Partners, Inc. 11. Contract or Grant No. 9660 Falls of Neuse Road RFP Number 15-3109T Suite 138 #256 Contract # 8238-001 Raleigh, NC 27615 12. Sponsoring Agency Name and Address 13. Type of Report and Period Covered Research Programs Final, 6/2015 – 8/2016 Montana Department of Transportation (SPR) http://dx.doi.org/10.13039/100009209 2701 Prospect Avenue 14. Sponsoring Agency Code 5401 PO Box 201001 Helena, MT 201001 15. Supplementary Notes Research performed in cooperation with the Montana Department of Transportation and the US Department of Transportation, Federal Highway Administration. 16. Abstract The purpose of this research report is to develop a Strategic Enterprise Architecture (EA) Design and Implementation Plan for the Montana Department of Transportation (MDT). Information management systems are vital to maintaining the State’s transportation infrastructure and are critical components for activities such as asset management, forecasting, QC/QA efforts, and data collection and analysis. In order for MDT to carry out its mission successfully, it is essential to appropriately incorporate and utilize technology. The development of a Strategic EA design provides a technology and data roadmap to help MDT align its technology investments to deliver the greatest business value, identify and resolve system and data inconsistencies that interfere with the sharing of data and information, and ultimately support MDT’s evolving IT needs and strategies. MDT’s existing information systems in some areas are fragmented or narrowly focused in support of a single business unit’s needs within the agency. A relevant number of MDT’s systems are technology silos limiting MDT’s Information Services Division’s (ISD) ability to provide responsive support and service to the MDT business community. Many primary business systems are based upon technologies near or beyond end of technical life, limiting service life. Lastly, ISD must remove impediments and recommend business process improvements for a strategic data management and governance approach. This report provides a Strategic Enterprise Architecture addressing these concerns aligned to MDT business drivers and strategic initiatives, along with an EA Implementation Plan, Recommendations by EA layer, along with estimated costs, benefits, risks, and risk mitigation strategies for the EA. 17. Key Words 18. Distribution Statement Asset Management, Benefit Cost Analysis, Best Unrestricted. This document is available through the Practices, Computer Science, Cost Effectiveness, Data National Technical Information Service, Springfield, Management, Guidelines, Information Management, VA 21161. Information Technology, Risk Management, Strategic Planning, System Architecture, System Analysis, Technology Analysis, Transportation System Management, Enterprise Architecture, Industry Best Practices, Data Governance, Technology Governance, IT Strategy, and Business Software Applications 19. Security Classif. (of this report) 20. Security Classif. (of this page) 21. No. of Pages 22. Price Unclassified Unclassified 220 MDT Strategic EA Final Report ii DISCLAIMER STATEMENT This document is disseminated under the sponsorship of the Montana Department of Transportation (MDT) and the United States Department of Transportation (USDOT) in the interest of information exchange. The State of Montana and the United States assume no liability for the use or misuse of its contents. The contents of this document reflect the views of the authors, who are solely responsible for the facts and accuracy of the data presented herein. The contents do not necessarily reflect the views or official policies of MDT or the USDOT. The State of Montana and the United States do not endorse products of manufacturers. This document does not constitute a standard, specification, policy, or regulation. ALTERNATIVE FORMAT STATEMENT MDT attempts to provide accommodations for any known disability that may interfere with a person participating in any service, program, or activity of the Department. Alternative accessible formats of this document will be provided upon request. For further information, call (406) 444-7693, TTY (800) 335-7592, or Montana Relay 711. ACKNOWLEDGEMENTS We recognize and thank the numerous Montana Department of Transportation (MDT) staff members and external stakeholders listed in the appendices who participated in the data collection and validation aspects of this project through interviews and attending validation and To-Be design workshops. We would also like to give special recognition and thanks to Kris Christensen, MDT Project Manager and the Technical Review Panel for their project guidance and assistance in identifying stakeholders to participate in interviews and workshops and Jack Dartman, along with the Information Systems Division (ISD) Architecture team for their assistance in obtaining documentation and project guidance, as well as tireless assistance in coordinating the multitude of meetings, workshops, and interviews. MDT Strategic EA Final Report iii TABLE OF CONTENTS A. EXECUTIVE SUMMARY ...................................................................................................................... 1 B. INTRODUCTION ................................................................................................................................... 9 C. MDT EA PROJECT ............................................................................................................................ 12 C.1 PROJECT OBJECTIVES ................................................................................................................................... 12 C.2 SITUATION ANALYSIS ..................................................................................................................................... 15 C.2.1 Stakeholder Interviews ........................................................................................................................... 15 C.2.2 Validation Workshops ............................................................................................................................. 16 C.2.3 Document As-Is Environment ................................................................................................................. 18 C.2.4 Situation Analysis Interim Report ........................................................................................................... 18 C.3 STRATEGIC ENTERPRISE ARCHITECTURE DESIGN AND IMPLEMENTATION PLAN ................................................... 18 C.3.1 Enterprise Architecture Design ............................................................................................................... 19 C.3.2 Enterprise Architecture Implementation Plan ......................................................................................... 19 C.3.3 Strategic Options and Initiatives ............................................................................................................. 20 C.3.4 Enterprise Architecture Final Report ...................................................................................................... 20 D. OVERVIEW OF BASELINE ARCHITECTURE .................................................................................. 21 D.1 BUSINESS ARCHITECTURE ............................................................................................................................. 22 D.1.1 MDT Business Functions ....................................................................................................................... 22 D.1.2 MDT Business Environment ................................................................................................................... 23 D.1.3 MDT Business Drivers and Critical