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17 CHAPTER 4 Development of the TEAP Framework Building on the best practices from the research synthesis information from the EA, the SE analysis can be completed and literature survey, plus input from numerous transit agen- significantly more quickly and accurately. cies and workshops, the Transit Enterprise Architecture and This chapter is divided into two parts. The first part provides Planning Framework project created the TEAP Framework, an overview of the TEAP Framework. The second part describes which includes guidance and tools for transit for successfully how the TEAP Framework wiki supports transit agencies in implementing IT/ITS projects. The Framework and tools are learning about the Framework and tools, implementing more described in detail on the project's wiki website at www.tcrp- successful IT/ITS projects, and finding other agency-related For each of the five key elements of the work examples. Framework (Enterprise Architecture Planning [EAP], Funding Implementation Methods, Business Case Methodology [BCM], TEAP Framework Overview Systems Engineering [SE], and Post-Implementation Analysis [PIA]), the wiki has a section on the "What, Why, and Benefits" The Framework helps transit professionals understand the of the element, a section on "Best Practices," and a section on financial, operational, and management impacts of technolo- "Additional Resources" such as references, examples, and tools. gies, to help them better meet their enterprise business process In addition, the Framework guidance describes the relationship needs and corporate objectives. The Framework will also help among the Framework areas. As it is defined, the Framework guide an agency's IT/ITS planning process, improve its under- incorporates and supports many aspects of IT governance. standing of risks, better manage the project implementation The TEAP Framework, as illustrated in Figure 2, shows how effort, validate and verify compliance with its needs, and mea- the elements flow and relate to each other at a high level. When sure results and benefits. the Framework elements are used together, the value of the Specifically, the TEAP Framework guides transit in: Framework is much greater than individual elements. In par- ticular, the information modeled in the enterprise architecture Planning how information, services, and technology will (EA) improves the speed and validity of the business case and connect across an enterprise to support business processes, the systems engineering process. It also improves the accuracy solve problems, and measure performance; of the funding and post-implementation analysis efforts. Promoting information sharing across agency and institu- For example, when a business case is needed to implement tional barriers; an asset management/work order system that includes passen- Ensuring that IT/ITS projects are defined and staged in a ger facilities, the EA shows how many applications depend on way that ensures best value and supports successful project the current and up-to-date information contained in the bus implementation, operations, and maintenance; stop inventory that is managed and continuously updated by Ensuring that the benefits and costs of proposed IT/ITS the system. The EA shows the critical functionality of the asset projects are understood across the project's lifecycle (includ- management system, payback in productivity, relationship ing operations and maintenance) and that resources are to corporate objectives, and impact on staff resources and available to support the program; business processes. With respect to the SE process, the sys- Specifying IT/ITS projects to maximize the IT/ITS invest- tem description; needs, roles and responsibilities; interface ment decisions across the organization; requirements; key system requirements; and impact on tran- Ensuring that IT/ITS projects meet stakeholder needs: sition may be generated from querying the EA model. With requirements are explicitly described, risks are identified

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18 EAP Enterprise Architecture INPUTS Performance Potential P o Vision / Mission / Goals Business P r Projects Internal Data External / Regional Applications BUSINESS CASE Technology METHODOLOGY IT/ITS Strategic Plan FUNDING Budget Process Operating & Capital :: Programs POST- IMPLEMENTATION SYSTEMS Approved A ANALYSIS ENGINEERING P Projects KEY Project Flow Supporting Information Flow Figure 2. Transit enterprise architecture and planning framework. and mitigated, and the system development process is man- aged to ensure that correct operations and requirements are met; and Enterprise Describing the leadership and processes that ensure that Architecture the organization's IT group supports and extends corpo- Planning (EAP) rate strategies and objectives. Post- Business Case What are the TEAP Framework elements? Implementation Methodology Analysis The TEAP Framework comprises five elements, shown in Figure 3. They provide tools for planning, developing, deploy- ing, and evaluating the systems and technologies that best meet an organization's objectives. These key elements of the Framework are: Systems Engineering Funding Enterprise Architecture Planning (EAP) and Enterprise Architecture (EA) development process (developing the blueprints); Business Case Methodology (BCM) (how well does this project fit into the stated priorities; what are the risks, Figure 3. TEAP Framework elements.

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19 benefits and costs, and estimated return on investment The business case typically reviews and verifies that: [ROI]); Funding (how to pay for IT/ITS projects); The proposed investment has value and importance Systems Engineering for helping to design and manage an The project will be properly managed IT/ITS Project implementation; and The organization has an adequate plan and the capability Post-Implementation Analysis (PIA) to assess whether the to deliver the benefits implementation met project and agency goals and achieved The organization's resources are working on the highest a meaningful (estimated) ROI and to review the project value opportunities implementation experience for lessons learned. Projects with inter-dependencies are undertaken in the optimum sequence (2). Looking at each element in more detail clarifies the role each plays and how they work together to create a successful TEAP Framework. Funding Implementation Overview IT/ITS Project Funding Implemen- Enterprise Enterprise Architecture Planning (EAP) and tation discusses approaches for obtain- Architecture Planning (EAP) Enterprise Architecture (EA) Overview Post- Implementation ing and making use of various sources Business Case Methodology Analysis of funding for IT/ITS projects. Like IT The Enterprise Architecture Plan- Systems projects in general, transportation IT Enterprise Funding ning (EAP) process is a set of activi- Architecture Planning (EAP) Engineering and ITS projects are delivered through Post- Implementation ties used to develop the Enterprise Business Case public leveraging options like bond Methodology Analysis Architecture (EA) models, diagrams, financing, public-private partnerships, and descriptions. The process relies Systems Engineering Funding co-mingled funding, and a variety of federal, state, and local on stakeholder input to document funding sources. the agency's current performance mea- Transit agencies are using many of these financing mecha- sures, business processes, data, appli- nisms to access the various sources of capital for IT/ITS proj- cations, and technologies, reflecting the organization's "as-is" ects. Historically, buy (pay-as-you-go), borrow (issue bonds), architecture. Next, a "to-be" architecture is developed that or lease were the primary financing mechanisms used by documents where the organization wants to be with respect transit agencies. Since the 1990s, there has been more creative to its business in the future. A 4- to 5-year horizon works best use of these traditional mechanisms and the introduction of here. It consists of the corporate mission, goals, objectives, public-private partnerships. Financing mechanisms, par- and the business processes, data, applications, and technolo- gies that are needed to support that vision. The third step ticularly four categories--debt mechanisms, capital leasing describes the gap between the present ("as-is") and the future financing, equity and partnerships, and credit enhancements-- ("to-be") and how to close it. The EAs, both the "as-is" and have been important. "to-be" architectures, are composed of four or five models Based on a modest survey of transit agencies, it was found (Business, Data, Applications and Technology, plus in some that no single financing method works for all situations; rather, approaches a Performance model) that are depicted in one or financing decisions need to be tailored to the specific project, more diagrams, policy statements, procedures, inventories, region, and financial circumstance. or other pieces of information. The term used to describe these is "artifact." Systems Engineering (SE) Overview Systems Engineering (SE) is a disci- Business Case Methodology (BCM) Enterprise pline that helps ensure that customer Architecture Planning (EAP) Overview Post- Implementation needs are implemented in the system Business Case Methodology Analysis A BCM is a formal analysis used to that is developed. Customer needs are Enterprise Architecture Planning (EAP) justify and capture the reasoning for Systems Engineering defined by those who have a vested Funding Post- Implementation Business Case Methodology initiating a project. The TEAP Frame- interest in the system, such as a user, a Analysis work includes information on how to manager, or someone impacted by the Systems Funding implement a BCM at a transit agency operations of the system (e.g., recipi- Engineering and guidance on how to build an ent of information or process coordination partner). appropriate business case for a tech- Customer needs drive the system requirements, or what the nology project. system should do. For example, if there is a need to measure