B08 Attachment 0021 Army Enterprise Service Management Framework.pdf

U.S. Army Enterprise Service Management (AESM) Reference Architecture (RA)

20 May 2015

Version 1.0

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Army Enterprise Service Management Reference Architecture Executive Summary

The LandWarNet 2020 and Beyond vision highlights the need to serve and support an Army trained to deploy on little notice - anytime and anywhere - with the ability to conduct successful unified land operations. To ensure the Army has the capability to deliver the required information technology (IT) enterprise services across the full range of military operations, the Army has established an Army Enterprise Service Management Framework (AESMF). In alignment with the Defense Enterprise Service Management Framework (DESMF), the AESMF is a holistic and integrated approach that relies on people, processes, functions, and technology to deliver effective IT services within a well-defined governance structure. The AESMF will enable Army users to meet strategic and operational mission requirements through the implementation, management, and continual improvement of standard IT Service Management (ITSM) processes across the Army enterprise.

In support of the AESMF and the Army Network Campaign Plan (ANCP), this Army Enterprise Service Management (AESM) Reference Architecture (RA) complements and guides the Army’s existing service management practices and capabilities by providing principles, rules, technical positions, and implementation patterns.

In coordination with the ITSM community across the Department of Defense (DoD), this RA aligns with Army ITSM policies as well as Army, DoD, Joint, and Service Component ITSM operational documents, implementation frameworks, and best practices.

The RA supports the DoD IT Enterprise Strategy and Roadmap and the Secretary of the Army’s IT Management Reform Implementation Plan to publish IT architecture guidance. The RA is a key part of the Army Chief Information Officer (CIO)/G-6 Rules-Based Architecture and ensures alignment with DoD Information Enterprise Architecture and the Joint Information Environment (JIE). It also ensures Army implementations are integrated with and postured to leverage JIE capabilities.

GARY W. BLOHM

Director, Army Enterprise Architecture iii

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Table of Contents

Army Enterprise Service Management Reference Architecture Executive Summary ............................................................................................................... ii

Table of Contents ....................................................................................................... iii

Chapter 1 Introduction

1-1. Architecture Introduction

1-2. Background

1-3. Intended Audience

1-4. Purpose

1-5. Scope

1-6. Alignment with Department of Defense (DoD) and Army Enterprise Network (AEN) Portfolio

1-7. Assumptions and Constraints

Chapter 2 Army Enterprise Service Management (AESM)

2-1. Overview

2-2. AESM End-State Vision

2-3. Army Enterprise Service Management Framework (AESMF) Summary .. 11

Chapter 3 Guiding Principles and Rules

3-1. Introduction

3-2. AESM Service Strategy Rules

3-3. AESM Service Design Rules

3-4. AESM Service Transition Rules

3-5. AESM Service Operations Rules

3-6. AESM Continuous Service Improvement (CSI) Rules

Chapter 4 Implementation Patterns

4-1. Activity Pattern

4-2. Service Desk Pattern

Chapter 5 Summary

Appendix A References

A-1. U.S. Army References

A-2. DoD/JIE References

A-3. Other References

Appendix B Glossary of Acronyms

Appendix C Integrated Dictionary (AV-2)

Appendix D Technical Standards Profiles (StdV-1 & StdV-2)

Appendix E Principles/Rules in Enterprise Reference Architecture iv

Administrative Information ............................................................................ Last Page

Table of Figures

Figure 1. Hierarchy and Context of the IEA Documents

Figure 2. AESM Framework Life-cycle Stages

Figure 3. AESM RA Relationship to Other Documents

Figure 4. Capability Taxonomy (CV-2a): AEN Mapping to the DoD IEA Capabilities 7

Figure 5. Capability Taxonomy (CV-2b): AESMF Mapping to AEN Domains

Figure 6. High Level Operational Concept (OV-1)

Figure 7. Operational Activity Decomposition Tree for Provide AESMF (OV-5a)

Figure 8. Operational Activity Decomposition Tree for Manage AESMF (OV-5a)

Figure 9. Operational Activity Model for Provide AESMF (OV-5b)

Figure 10. Army Enterprise Service Desk Model

Table of Tables

Table 1. AESMF Life-cycle Stages

Table 2. Service Strategy Principles and Rules

Table 3. Service Strategy Measurements

Table 4. Service Design Principles and Rules

Table 5. Service Design Measurements

Table 6. Service Transition Principles and Rules

Table 7. Service Transition Measurements

Table 8. Service Operations Principles and Rules

Table 9. Service Operations Measurements

Table 10. Continual Service Improvement Principles and Rules

Table 11. Continual Service Improvement Measurements

Table 12. Implementation Rules for the Service Desk Process

Table 13. Enterprise Reference Architecture Principle & Rule Illustration

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Chapter 1 Introduction

1-1. Architecture Introduction

a. The Army Information Enterprise Architecture (IEA) is a high level representation of the LandWarNet (LWN) architecture, as it supports the Army’s Enterprise Information Environment, Warfighting, Business, and Defense Intelligence Mission Areas. The IEA is sub-divided into the LWN 2020 and Beyond Enterprise Architecture (EA), and a set of Enterprise Reference Architectures (RAs), all of which the Chief Information Officer (CIO)/G-6 develops.

b. The hierarchy of the IEA, and the context in which it fits, is shown in Figure 1.

Figure 1. Hierarchy and Context of the IEA Documents

c. The overall objective of the documents shown in Figure 1 is to provide the architecture guidance and direction for LWN to achieve the vision in the Army Network Campaign Plan (ANCP). This includes policy, principles and rules, constraints, technical guidance, standards and forecasts, implementation conventions, and criteria. Each of these documents has a unique role in the IEA by providing specific architecture-related information, as described below.

(1) LWN 2020 and Beyond EA – Captures CIO/G-6 architecture guidance and direction at the level of detail needed to support the evaluation of potential Information Technology (IT) investments and architecture options for their alignment with the ANCP.

(2) Enterprise RAs – Aid in the resolution of specific recurring problems and explain context, goals, purpose, and the problems being solved.

d. The IEA documents can be found at http://ciog6.army.mil/Architecture/tabid/146/Default.aspx. Those with a Common

Army Network Campaign Plan

Implementation Guidance

Information Enterprise

Architecture

LandWarNet 2020 and Beyond

Enterprise Architecture

Enterprise Reference

Architectures

Implementation Guidance

Near-Term

Implementation Guidance

Mid-Term

Army Network Campaign Plan

Network Modernization

Execution - Execution Order http://ciog6.army.mil/Architecture/tabid/146/Default.aspx

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Access Card (CAC) may also visit the Army Capability Architecture Development and Integration Environment (ArCADIE) site at: https://cadie.tradoc.army.mil/CIO- G6_20Architecture/SitePages/Home.aspx.1

e. The AESM RA is a specific instance of an Enterprise RA. It provides overarching guidance to support Army efforts to achieve Federal and DoD mandates to transition to a holistic and integrated approach for managing IT services.

Successful delivery of the capabilities described herein is coupled with successful delivery of capabilities discussed in the other enterprise reference architectures.

1-2. Background

a. The Army has been managing its enterprise IT services from concept to solution and retirement since 2003, but it lacked a holistic and integrated approach.

This lack of standard processes and inconsistent use of AESM throughout the Army inhibits its ability to deploy, sustain, and make sound strategic and investment decisions to achieve ANCP objectives and vision for the LWN 2020 & Beyond EA.

b. On 17 November 2014, the CIO/G-6 signed the Army Information Technology Service Management (ITSM) Policy establishing and directing implementation of the Army Enterprise Service Management Framework (AESMF) for managing Army IT enterprise services. The AESMF is the Army’s implementation of the DoD Enterprise Service Management Framework (DESMF), which originated from industry best practices such as Information Technology Infrastructure Library (ITIL), COBIT,2 and ITSM. The Army has adopted and adapted many of the concepts and methodologies from these sources as well as elements of the DESMF and from the Navy Process Reference Model (NPRM).

c. The AESMF is the Army’s overarching guidance for conducting integrated AESM. As shown in a high level illustration in Figure 2, it establishes a foundation for the development and implementation of principles and rules based on the concepts and methodologies derived from industry best practices.

Figure 2. AESM Framework Life-cycle Stages

1 First time users may have to request access.

2 COBIT was originally an acronym for Control Objectives for Information and related Technology. It now is used in short form to identify the name of the framework (Information Systems Audit and Control Association, COBIT v5, 2014).

https://cadie.tradoc.army.mil/CIO-G6_20Architecture/SitePages/Home.aspx https://cadie.tradoc.army.mil/CIO-G6_20Architecture/SitePages/Home.aspx

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d. In coordination with the development of other associated guiding AESM documents, this AESM RA provides the guidelines for supporting and facilitating AESMF establishment and implementation.

1-3. Intended Audience

a. The intended audience primarily includes Army AESM participants: Process Owners, Process Managers, Service Providers, Service Owners, and Service Managers. The audience also extends to DoD organizations (e.g., Service Components, Agencies, other Army units) with executive managers, mission area (Warfighting, Business, and Enterprise Information Environment) leads, portfolio leads, architects, and engineers involved in the planning, development, implementation, operation, and maintenance of AESM IT services.

1-4. Purpose

a. The AESM RA is a foundational document providing a common set of principles, rules, and terms aligned with the AESMF to support the implementation of IT service management. The specific purpose of this RA is as follows:

(1) Implement Army ITSM Policy and support associated documents.

(2) Inform the audience of the intent to establish an AESMF.

(3) Guide implementation through principles, rules, technical positions, and implementation patterns.

b. Figure 3 below, the AESM RA relationship to other documents diagram, shows where the AESM RA falls in line with other key document related to the overall management and security of IT services.

Figure 3. AESM RA Relationship to Other Documents

1-5. Scope

a. This version of the RA primarily supports the establishment and transition of AESMF by providing the following:

(1) Codification of AESMF and Vision.

(2) Guiding Principles and Rules (with AESMF alignments).

(3) Initial Technical Positions (Standards) and Implementation Patterns.

(4) Initial Integrated Dictionary.

b. This RA also supports acquisition efforts to improve operational effectiveness, security, interoperability, IT efficiency, and information sharing with standardized enterprise service management practices, tools, and services. Applicable IT services

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are in the Army Command, Control, Communications, Computers, and Information Management (C4IM) Services List.3

c. This RA is an authoritative source that guides AESM efforts by also showing the implementation of industry ITSM best practices. This is evidenced by the identification of processes and functions in each of the AESMF Life-cycle Stages (described in Chapter 2) as well as the establishment of technical positions and implementation patterns (described in Chapter 4).

d. The ANCP – Implementation Guidance, Near-Term 2015-2016 and ANCP – Implementation Guidance, Mid-Term 2017-2021 documents identify key enterprise activities and priorities across the three AEN Domains. These guidance documents are living documents developed on an annual basis to reflect the realities of Army missions, acquisition planning, and resourcing. Although ANCP covers time periods, this RA supports enterprise service management activities (e.g., IT Asset Management, Service Desk, Enterprise Service Management System, Joint Management System, Optimized Network Functions and Resource) identified in both documents.

e. As AESM documents (e.g., AESM Concept of Operations [CONOPS], Implementation Plans, Service Design Packages) become available and mature, the next version of the AESM RA will be updated accordingly to support continuing implementation efforts.

1-6. Alignment with Department of Defense (DoD) and Army Enterprise Network (AEN) Portfolio

a. This RA describes AESM and its alignment with the DESMF, DoD IEA (and Joint Information Environment [JIE]) and the AEN Portfolio Domains.

b. DoD Enterprise Service Management Framework (DESMF). The AESMF is aligned with the DESMF in the following areas:

(1) Purpose and Goals.

(2) Guiding Principles.

(3) Life-cycle Stages (Structure).

(a) Five Stages (Strategy, Design, Transition, Operations, and Continuous Service Component [CSI]).

(b) Standard Processes and Functions (Twenty-seven processes and five functions under the five Life-cycle Stages).

(4) Roles and Responsibilities (Provider, Owners, and Managers).

(5) Standards (International Standards).

c. DoD Information Enterprise Architecture (IEA) and AEN Portfolio. The JIE is envisioned as a secure environment comprising shared information technology

3 The C4IM Services List is the foundation for the LandWarNet Services Catalog, which is the customer-facing document that identifies standards for delivery of services based on funding constraints. It can be accessed from here:

http://ciog6.army.mil/Leadership/LeaderBlog/tabid/108/EntryId/18/Update-to- LandWarNet-LWN-Services-Catalog.aspx.

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infrastructure, enterprise services, and cybersecurity architecture to achieve full spectrum superiority, improved mission effectiveness, increased security, and the realization of IT efficiencies. Operation and management of JIE is in accordance with the Unified Command Plan using enforceable standards; specifications; and common tactics, techniques, and procedures described in DoD IEA v2.0. The DoD IEA describes a vision of required information enterprise capabilities, as follows:

(1) End User Capabilities: Connect, Access, Share.

(2) Enable Capabilities: Operate, Defend.

(3) Users & Operations Requirements (Govern): Processes, Policy, Compliance.

d. The Army’s framework for managing network modernization is the Army AEN portfolio, which manages the Communications and Computers Joint Capability Area (JCA 6.0). The portfolio comprises three AEN Domains: Network Capacity, Enterprise Services, and Network Operations & Security. Each domain is further divided into capabilities as follows:

(1) Network Capacity Domain (NCD). The NCD portfolio includes the physical infrastructure necessary for all services and information based activities to traverse the network. The portfolio encompasses the foundational infrastructure upon which the Enterprise Services and Network Operations & Security solutions reside. Capabilities within this domain include Information Transport and Computing Services.

(2) Enterprise Services Domain (ESD). This portfolio oversees delivery of an easy-to-use, integrated suite of globally available, adaptable solutions that seamlessly support the Total Force while working with Unified Action Partners (UAPs). These services, both user-facing and enabling, provide the Total Force awareness of and access to information. Capabilities within this domain include:

Core Enterprise Services and Position, Navigation & Timing.

(3) Network Operations & Security Domain (NSD). The NSD is responsible for providing a secure, seamless, and continuous network environment with protected critical data and information for the Total Force and UAPs. To meet this objective, NSD will provide capabilities that will improve the Army’s ability to protect, detect, respond, restore, and manage information and systems. NSD will also pursue capabilities that support the management of underlying physical assets that provide end user services for a continuous network environment. Capabilities within this domain include Net Management and Cybersecurity.

e. The alignment between DoD IEA and AEN Domains is depicted in a Capability Viewpoint (CV-2a). As noted in Figure 4, this is a first-level mapping to identify the capabilities associated with AESM. It is provided to support the crosswalk from delivered capabilities back to the DoD IEA capabilities.

Figure 4. Capability Taxonomy (CV-2a): AEN Mapping to the DoD IEA Capabilities

f. The second level of mapping, as depicted in Figure 5, pertains to the AESM-specific capability aligned with the AEN Domains (as described in the ANCP). As shown, the capability of AESM relates to the six JCAs in the AEN Domains.

Figure 5. Capability Taxonomy (CV-2b): AESMF Mapping to AEN Domains

1-7. Assumptions and Constraints

a. AESM is enabled through the synchronization, integration, and interoperability of a number of other Army IT capabilities (e.g., Unified Capabilities, Network Security). Accordingly, several high-level assumptions are as follows:

(1) The AESM end-state will be achieved through implementation and operation of other DoD and Army IT capabilities (e.g., DoD Enterprise Email, Unified Capabilities, Army Network Security) as well as the maturation of AESM via AESM CONOPS, AESM RA, Process Management Plans (PMP), Service Design Packages (SDPs) and Service Management Plans (SMPs).

(2) The AESM RA will be used to inform, guide, and support AESM processes and implementation plans across the Army.

(3) Intended organizations will use this RA as enterprise guidance for standardizing methods, benchmarking, architecture, and developing Critical Success Factors (CSF) with supporting Key Performance Indicators (KPI) and related metrics.

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Chapter 2 Army Enterprise Service Management (AESM)

2-1. Overview

a. AESM is the Army’s approach to managing IT enterprise services. It ensures Army investments in services meet user needs by standardizing a holistic and integrated approach to delivering IT services. This approach implements the AESMF in a way that continually increases effectiveness, improves security, and gains efficiencies in Army IT services by standardizing the service delivery process. The AESMF has adopted and adapted the DESMF, which is based on best business practices and the International Organization for Standardization/International Electrotechnical Commission (ISO/IEC) 20000 standards.4

b. A key characteristic of Army IT services is that they must be developed based on the standards specified by the LWN 2020 and Beyond EA, Appendix C to Annex A. Army Standards Profile Guidance In Support of Common Operating Environment (COE) v3. Services will leverage shared IT capacity, security, and commodity service, and they need to be easy to use, globally available, adaptable, and user-facing to provide the Army with the awareness of and access to information on any trusted device anywhere in the world. Developed and provided as an integrated suite of tools, these services will be designed to seamlessly support the Total Force.

Services range from a core set of services provided and funded by CIO/G-6 to mission-funded services spanning war-fighter and business functions.

c. As shown below in Table 1, AESM is depicted in a framework of five Life-cycle Stages. Each stage includes a number of best practice processes or functions. A process is a structured set of activities designed to accomplish a specific objective.

Each IT life-cycle stage contains several processes and each process contains several activities. The Life-cycle Stages enable the Army’s IT support organizations to leverage capabilities in the most effective and efficient manner. The Life-cycle Stages provide structure, stability, and strength to IT service management capabilities with durable principles, methods, and tools. This serves to protect IT investments and provide the necessary basis for measurement, learning, and improvement.

d. A function is a team, organizational unit, or group of people that specializes to perform certain activities or types of work. They typically have the similar skill sets and resources to carry out their duties to achieve specific outcomes. The function is responsible for defining the standards and procedures to be followed when operating within the function. The AESM CONOPS describes each process and function in more detail. Chapter 3 of this RA provides the CSFs and KPIs for each process and function.

4 An international standard that promotes the adoption of an integrated process approach to effectively deliver managed services to meet business and mission partner requirements; ISO/IEC 20000 is well recognized as the world-wide standard for IT service management.

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Table 1. AESMF Life-cycle Stages

AESMF Life-cycle Stages Processes and Functions

Service Strategy (SS)

Strategy Generation Management (SGM)

Business Relationship Management (BRM)

Demand Management (DM)

Financial Management for IT Services (FM)

Service Portfolio Management (SPM)

Service Catalog Management (SCM)

Service Design (SD)

Design Coordination (DC)

Availability Management (AvM)

Capacity Management (CapM)

Information Security Management (ISM)

IT Service Continuity Management (ITSCM)

Service Level Management (SLM)

Supplier Management (SUP)

Engineering (Function) (ENGF)

Service Transition (ST)

Transition Planning and Support (TPS)

Asset Management (AM)

Change Management (ChM)

Change Evaluation (EVAL)

Configuration Management (CfM)

IT Services Knowledge Management (ITSKM)

Release and Deployment Management (RDM)

Service Validation and Testing (SVT)

Service Operations (SO)

Access Management (AcM)

Event Management (EM)

Incident Management (IM)

Problem Management (PRM)

Request Fulfillment (RF)

Service Desk (Function) (SDF)

Application Management (Function) (AMF)

IT Operations Management (Function) (ITOMF)

Technical Management (Function) (TMF)

Continual Service Improvement

(CSI)

7 Step Improvement Process

e. Service Strategy. SS aligns the needs of Army’s Warfighting, Business, and Defense Intelligence Mission Areas with those of the Enterprise Information Environment Mission Area along with Army mission partners and the objectives of Army IT support organizations. It postures decision-makers to understand and manage the costs and risks associated with the IT service portfolio. It also provides the foundation for operational IT effectiveness as well as provides guidance to ensure IT services are well understood during the Service Design life-cycle stage. A service strategy plan will be created from over-arching Army and Army IT strategy documents and the culture of the organization that the service provider supports.

f. Service Design. SD is the blueprint for designing appropriate IT services, processes, policies, and documentation to meet current and future agreed-upon requirements. It begins with a new or changed service requirement and ends with the development of an IT service solution designed to meet the needs of customers.

g. Service Transition. ST uses the blueprints provided by SD to build, test, and deploy the solution to service operations. It encompasses the project side that is a

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temporary endeavor designed to produce a unique product or service for operational use. Successful service transition rests on effective understanding and use of change management, quality assurance, and risk management as well as effective program and project management.

h. Service Operations. SO delivers agreed service levels to all users and strives to ensure uninterrupted services by monitoring events and resolving incidences, issues, and problems. SO coordinates and executes activities needed to deliver and manage IT services and supporting applications as well as the technologies and infrastructure needed to observe performance, collect operational data, make assessments, and report on prescribed service metrics.

i. Continual Service Improvement. CSI is concerned with maintaining value through the continual evaluation and improvement of service quality. CSI monitoring focuses on the effectiveness of services, tools, and processes. It identifies where improvements can be made to the existing level of service and IT performance. The 7 Step Improvement Process is as follows:5

(1) Define what to measure.

(2) Define the areas that you can measure.

(3) Collect the data.

(4) Process the data.

(5) Analyze the data.

(6) Make data usable and present the data.

(7) Implement change.

2-2. AESM End-State Vision

a. The end-state vision of AESM, as illustrated in Figure 6, High Level Operational Concept (Operational Viewpoint [OV]-1), is to establish a standardized management framework to ensure services efficiently and effectively meet customer needs. Ultimately, this will provide Army Service Component Commands (ASCCs), Army Commands (ACOMs), Army Staff (ARSTAF), Direct Reporting Units and supported Combatant Commanders efficient management and process improvement of enterprise IT services. In addition, AESM vision will ensure the availability of resources to detect and respond to global threats while supporting regional and functional commands.

b. To achieve this vision, the Army will leverage applicable ITSM best practices as guided by DESMF and AESMF. The Army will develop documents such as the AESM RA, AESM CONOPS, Service Design Package, and Process Management Plan to continuously improve service management processes for improving mission effectiveness while strengthening cybersecurity and gaining efficiencies across the Army.

5 Details of the 7 steps are located at:

http://itilcontinualserviceimprovement.blogspot.com/2008/09/itil-csi-7-step-improvement-process.html.

Figure 6. High Level Operational Concept (OV-1)

2-3. Army Enterprise Service Management Framework (AESMF) Summary

a. The AESMF is largely a structure of processes and functions that provide the necessary support for efficient and effective delivery and management of IT services for the Army. As adopted and adapted from the DESMF, it is a five-stage IT service life-cycle approach designed to monitor, manage, and improve services throughout the LWN, the Army’s component of the DoD Information Network (DoDIN). The Life-cycle Stages and key processes/functions are depicted in Table 1 followed by an overview of each life-cycle stage. All Army IT enterprise service development, fielding, and retirement will follow this life-cycle.

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Chapter 3 Guiding Principles and Rules

3-1. Introduction

a. Guiding principles and rules represent the highest level of guidance for IT planning and decision making. They are high-level statements that apply to specific warfighting and business requirements, and they are intended to serve as enduring guidelines that describe how AESM enables the Army to accomplish its mission.

They express the intent of capabilities and fundamental values to be applied within AESM. Principles strengthen and support the Army’s strategic goals as outlined in the ANCP and the LWN 2020 & Beyond EA. Rules are definitive statements that provide design tenets while constraining and guiding implementation efforts.

b. The following sub-chapters show the principles, rules, gaps, outcomes, risks, and mitigations collectively in five tables. These tables correspond one-to-one with the AESMF Life-cycle Stages.

c. Following each table is a second coordinating table, a listing of CSFs and KPIs.6 The CSFs and KPIs were developed in coordination with AESM/ITSM stakeholders. CSFs are specific goals (or thresholds) that must be achieved if an IT service is to be deemed successful. KPIs are measures that characterize the performance of activities and services necessary to produce the outcomes. CSFs and KPIs are key factors used in Continuous Process Improvement. In addition, there is a listing of processes and functions (e.g., SGM, BRM) to show corresponding applicability of CSFs and KPIs.

d. A generic template and a more detailed description of the tables with principles, operational rules, gaps, risks and mitigations can be found in Appendix E.

6 In the context of this RA, the term “performance” will be used to generally refer to both CSFs and KPIs (not to be confused with referring to only KPIs).

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3-2. AESM Service Strategy Rules

Table 2. Service Strategy Principles and Rules

Guiding Principle

DoD IEA Guiding Principle (GP) 01 - DoD CIO-governed resources are conceived, designed, operated, and managed to address the mission needs of the Department.

AESM 1.1, Under the Service Strategy life-cycle stage, the Army will:

1. Document the AESM Strategy.

2. Establish clear definitions of IT services for the customer.

3. Define criteria for measuring the value of IT Services.

4. Institute and enforce a governance framework.

DoD IEA/JIE Capability AEN Capability

Enabling Capabilities Users/Operations Requirements (Govern)

Network Capacity Enterprise Services Network Operations and Security Governance

JCA [or Army] Capability Gap(s)

JCA 6.2.3 Core Enterprise Services:

1. The Army lacks a holistic and integrated approach (e.g., IT governance, processes, monitoring) for developing and managing its enterprise IT service strategy from concept to solution and retirement.

Architectural or Business Rule(s) that Mitigate Gaps Desired Outcome(s)

AESM 1.1.1 - Establish, implement, and manage AESMF efforts to ensure a holistic and integrated approach in IT service management.

AESM 1.1.2 - Establish strategic objectives for Army Enterprise Service Management.

AESM 1.1.3 - Define governance required to address emerging and sustaining capabilities and associated services for baseline and operational support.

AESM 1.1.4 - Identify standardization for projections and validation of existing and new services; ensure services are aligned with the C4IM Services List.

AESM 1.1.5 - Define business models for Enterprise Services (e.g., Defense Security Service, Baseline, Mission Funded).

AESM 1.1.6 - Ensure applicable Business Case Analysis is used in the selection of AESM services and solutions.

AESM 1.1.7 - Develop mechanisms to ensure all processes in the service life-cycle are integrated; ensure common definitions and terms across all processes in the AESMF Life-cycle Stages.

Strategic direction for IT Services is being followed via key activities and/or documents including the following: AESM Strategy, Portfolio Management, AESM RA, and AESM

CONOPS.

See Table 3, Service Strategy Measurements, for additional information.

Known Risk(s) with Mitigation

Risk:

1. As the development of service management progresses in an iterative manner, there is the potential for misalignment due to improper coordination.

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Mitigation:

1. Development and continued refinement of detailed implementation guidance and plans.

2. Educate key stakeholders on the benefit of a standardized, Army-wide approach to

IT service management.

Table 3. Service Strategy Measurements

SS CSF SS KPI

Process/Function

Applicability

SS-CSF 1: The Service Strategy is clear, has concrete short term goals that are derived from, and are traceable back to, specific long-term plans.

SS-KPI 1.1: Services are prioritized and resourced in accordance with the IT Strategy.

SGM

SS-CSF 2: Corrective actions are taken and implemented based on the Business Relationship data collected.

SS-KPI 2.1: Customer satisfaction goals are met or exceeded.

BRM

SS-CSF 3: Service Owner proactively understands the customer's workload (demand) with the available resources (supply) through analysis, trending, and forecasting.

SS-KPI 3.1: The number of Capacity issues identified is not due to poor demand management procedures.

DM

SS-CSF 4: Effective Stewardship of IT Finances will be provided.

SS-KPI 4.1: Financial Management Process Maturity - execute financial management to a high level of process maturity.

Evaluated as a COBIT capability level.

FM

SS-CSF 5: Effective IT service offerings will be provided.

SS-KPI 5.1: Percentage customer satisfaction with current IT service offerings (survey results)

SPM

SS-CSF 6: An accurate service catalog will be maintained.

SS-KPI 6.1: Service Catalog accuracy and completeness.

SCM

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3-3. AESM Service Design Rules

Table 4. Service Design Principles and Rules

Guiding Principle

DoD IEA GP 03 - Data assets, services, and applications on the Global Information Grid (GIG) shall be visible, accessible, understandable, and trusted to authorized (including unanticipated) users.7 DoD IEA GP 04 - DoD CIO services shall advertise service level agreements (SLAs) that document their performance, and shall be operated to meet that agreement.

DoD IEA Secured Availability Principles (SAP) 02 - The globalization of information technology, particularly the international nature of hardware and software (including supply chain) development and the rise of global providers of Information Technology (IT) and communications services presents a very new and unique security challenge. GIG resources must be designed, managed, protected, and defended to meet this challenge.

DoD IEA Shared Infrastructure Business Rules (SIR) 02 - GIG infrastructure capabilities shall be designed, acquired, deployed, operated, and managed in a manner which enables continuity of operations and disaster recovery in the presence of attacks, failures, accidents, and natural or man-made disaster to support customer SLAs.

AESM 1.2, Under the Service Design life-cycle stage, the Army will:

1. Design effective IT Services, and ensure incremental improvements as required during the life-cycle.

2. Ensure Service solutions and designs provided are effective (quality).

3. Recognize shifting trends in the environment.

DoD IEA/JIE Capability AEN Capability

Enabling Capabilities Users/Operations Requirements (Govern)

Network Capacity Enterprise Services Network Operations and Security Governance

JCA [or Army] Capability Gap(s)

JCA 6.2.2 Computing Services:

1. Lack of standardized processes to ensure effective access to hosted information and data centers across the enterprise.

JCA 6.2.3 Core Enterprise Services:

1. Lack of clarity or specificity of the set of Enterprise Services to design to.

2. Lack of metrics and processes to accurately depict the effectiveness and efficiency of LWN.

JCA 6.1.2 Net Management:

1. Lack of ability to monitor end-to-end IT services.

Architectural or Business Rule(s) that Mitigate Gaps Desired Outcome(s)

AESM 1.2.1 - Develop design documents that ensure All IT Services have

7 Although usage of the term “Global Information Grid” has been replaced by “DoD Information Network (DoDIN),” the term will be used in the principles and rules cited in this RA because they are stated verbatim from DoD IEA V2.0, Jul 2012.

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services are interoperable, accessible, discoverable, available, sharable and protected.

AESM 1.2.2 - Develop design documents and SLAs to ensure customer needs are met and metrics support

CSI.

AESM 1.2.3 - Ensure design document address end-to-end IT services, project availability and capacity planning; ensure security services (e.g., monitoring) protect the information with security controls defined in NIST SP 800-53, Revision 4.

AESM 1.2.4 - Develop implementation plans to ensure service federation, regional transition, and system/application termination.

AESM 1.2.5 - Ensure design document definitions/terms are consistent; ensure architecture (e.g., services, capabilities, activities, processes) is integrated.

accurate SDPs.

See Table 5, Service Design Measurements, for additional information.

Known Risk(s) with Mitigation

Risk:

1. CSFs are not met.

2. A coordinated interface is not provided between IT planners and business planners.

Mitigation:

1. Understanding service strategy requirements and priorities and ensuring they are included when designing service package.

Table 5. Service Design Measurements

SD CSF SD KPI

Process/Function

Applicability

SD-CSF 1: Maintain an accurate Service Design Package.

SD-KPI 1.1: Service Design Package accuracy and completeness.

DC

SD-CSF 2: Availability and reliability of IT services are managed.

SD-KPI 2.1: Percent of time IT Service meets or exceeds its availability and reliability SLAs.

AvM

SD-CSF 3: Availability and reliability of accurate business forecasts.

SD-KPI 3.1: Accuracy of the forecasted capacity based on business trends.

CapM

SD-CSF 4: Service Designers will be able to identify and manage risks so that they can be avoided or mitigated.

SD-KPI 4.1: Average time lag between identification of enterprise risks and mitigation action(s).

ISM

SD-CSF 5: Continuity test results and associated changes based on the testing are available.

SD-KPI 5.1: Number of open issues and risks since last test.

ITSCM

SD-CSF 6: Availability and reliability of IT services.

SD-KPI 6.1: Percent of time IT Service meets or exceeds its availability and reliability

SLM

UNCLASSIFIED

SLAs.

SD-CSF 7: Ability to monitor and manage supplier service activities.

SD-KPI 7.1: Time between a requisition for a Supplier and a successful negotiation with the researched and selected Supplier.

SUP

SD-CSF 8: Ability to monitor and manage engineering support requests.

SD-KPI 8.1: Time between a requisition for an engineering activity and the response from the appropriate engineering tier.

ENGF

3-4. AESM Service Transition Rules

Table 6. Service Transition Principles and Rules

Guiding Principles

DoD IEA Operational Reference Architecture (ORA) - Derived Operational Rules (OPR) 26 - Develop a common set of functional policies so that all components of each IE program or system are developed, tested, certified, and deployed with an emphasis on end-to-end enterprise commonality.

AESM 1.3, Under the Service Transition life-cycle stage, the Army will:

1. Plan and manage the changes in the Service effectively and efficiently.

2. Manage risks that are related to new, changed, or retired Services.

3. Deploy the release of the Service into the production environment successfully.

DoD IEA/JIE Capability AEN Capability

Enabling Capabilities Users/Operations Requirements (Govern)

Network Capacity Enterprise Services Network Operations and Security

JCA [or Army] Capability Gap(s)

JCA 6.2.3 Core Enterprise Services:

1. Lack of definition of service and associated metrics to ensure measurable outcomes.

JCA 6.1.2 Net Management:

1. Lack of a management plan to ensure available resources to support the service employment.

2. Inadequate implementation of change process to ensure tracking and monitoring of service changes.

3. Incomplete configuration management and audit plans to ensure successful transition.

Architectural or Business Rule(s) that Mitigate Gaps Desired Outcome(s)

AESM 1.3.1 - Develop governance and control processes (IT governance and/or standard processes [configuration control] for the build, test, and acceptance when transitioning into the operational environment) that ensure services are effectively transitioned; ensure the transition results in services being visible, Services or changes to a service are controlled via a standard process for ensuring successful transitioning into the operational environment.

UNCLASSIFIED

accessible, understandable, and trusted.

AESM 1.3.2 - Ensure updates of portfolios and assets within designated portfolio/asset management systems (e.g., Army Portfolio Management Solution or other AESM platform); ensure information from these management systems is reviewed during the planning and execution of the termination and retirement of applicable systems and applications.

AESM 1.3.3 - As identified in the ANCP - Implementation Guidance, Near-Term 2015-2016, ensure IT Asset Management addresses strategy, process, and repository to provide visibility of IT assets across the network.

AESM 1.3.4 - Ensure plans addressing the termination of systems and applications are in place and appropriately implemented as new enterprise services are transitioned.

See Table 7, Service Transition Measurements, for additional information.

Known Risk(s) with Mitigation

Risk:

1. Transitions occur without the guidance of a mature configuration, change management plans, and transition processes.

2. Fiscal constraints impacting ability to transition in a timely manner.

3. Transition efforts fail to terminate and retire redundant or obsolete systems and application in a timely manner.

Mitigation:

1. Ensure service transition is governed by an agreed upon and coordinated management plan; ensure plan identifies resources and is designed to meet complex and changing requirements.

Table 7. Service Transition Measurements

ST CSF ST KPI

Process/Function

Applicability

ST-CSF 1: Effective planning to properly prepare users, environment, and support teams for scheduled Deployments.

ST-KPI 1.1: Increased client and end-user satisfaction regarding plans and communications.

TPS

ST-CSF 2: An accurate and complete asset management system is established and maintained.

ST-KPI 2.1: Increased quality and accuracy of asset information.

AM

ST-CSF 3: Changes are made efficiently and effectively.

ST-KPI 3.1: Change success rate – how effectively is change managed.

ChM

ST-CSF 4: Major changes are routed through the proper command and control channels.

ST-KPI 4.1: Percent of unsuccessful changes that were not properly evaluated by the appropriate command and control channels.

EVAL

UNCLASSIFIED

ST-CSF 5: Maintain a complete and comprehensive Configuration Management Plan.

ST-KPI 5.1: Percent of managed Configuration Items (CIs) to known unmanaged CIs.

CfM

ST-CSF 6: High rate of search results delivering usable solutions.

ST-KPI 6.1: Percentage increase in first contact resolution incidents.

ITSKM

ST-CSF 7: The new or changed service has been tested against the Service Design.

ST-KPI 7.1: Number of incidents attributed to deployment.

RDM

ST-CSF 8: Design Validation.

ST-KPI 8.1: Percentage of designs rejected by Customer.

SVT

3-5. AESM Service Operations Rules

Table 8. Service Operations Principles and Rules

Guiding Principles

DoD IEA GP 04 - DoD CIO services shall advertise SLAs that document their performance, and shall be operated to meet that agreement.

DoD IEA SIR 02 - GIG infrastructure capabilities shall be designed, acquired, deployed, operated, and managed in a manner which enables continuity of operations and disaster recovery in the presence of attacks, failures, accidents, and natural or man-made disaster to support customer SLAs.

AESM 1.4, Under the Service Operations life-cycle stage, the Army will:

1. Ensure that IT services are delivered effectively and efficiently.

2. Include fulfilling end-user requests, service failure resolution, fixing problems, and performing routine operational tasks.

DoD IEA/JIE Capability AEN Capability

Enabling Capabilities Users/Operations Requirements (Govern)

Network Capacity Enterprise Services Network Operations & Security Governance

JCA [or Army] Capability Gap(s)

JCA 6.2.3 Core Enterprise Services:

1. Lack of collaborative tools, policies, and procedures across the DoD and

Federal enterprise.

JCA 6.1.2 Net Management:

1. The lack of end-to-end visibility hinders the effective delivery, management, protection, and oversight of IT services.

Architectural or Business Rule(s) that Mitigate Gaps Desired Outcome(s)

AESM 1.4.1 - Ensure SLAs are consistent with SDPs, SMPs, and AESM CONOPS.

AESM 1.4.2 - Ensure SLAs include metrics to support mission effectiveness and continuous process improvement.

AESM 1.4.3 - Develop tools that integrate with and

Services are in the operational environment with the applicable measures in place to ensure customer needs are being met.

UNCLASSIFIED

support processes under the Life-cycle Stages. See Table 9, Service Operations Measurements, for additional information.

Known Risk(s) with Mitigation

Risk:

1. Potential network changes and related risks will not be adequately assessed before changes are transitioned or provisioned.

2. Security breaches from incidents or events.

3. DoD and Federal Agencies will be unable to communicate across a common, standards based, collaborative IT environment.

Mitigation:

1. Network changes should be verified in applicable development environment before provisioning.

2. Service Operations will have a capability to report security risks to system and service developers.

Table 9. Service Operations Measurements

SO CSF SO KPI

Process/Function

Applicability

SO - CSF 1: Ability to verify the identity of a user.

SO-KPI 1.1: Number of users logging in with an authoritative credential (e.g., CAC).

AcM

SO-CSF 2: Use appropriate tools for Event and Alert Monitoring supporting automated monitoring of systems and services.

SO-KPI 2.1: Number of events that resulted in Incidents and Problems.

EM

SO-CSF 3: Resolve incidents quickly.

SO-KPI 3.1: Percentage of incidents resolved by first call to 1st Line Support.

IM

SO-CSF 4: Minimize the impact of problems.

SO-KPI 4.1: Percentage of repeat incidents.

PRM

SO-CSF 5: Define standard fulfillment procedures and models.

SO-KPI 5.1: Total number of service requests (as a control measure).

RF

SO-CSF 6: Satisfied customers.

SO-KPI 6.1: Percentage of satisfied customers.

SDF

SO-CSF 7: Successfully resolve Level 2 incidents.

SO-KPI 7.1: Percentage of incidents assigned to Application Management `for resolution.

AMF

SO-CSF 8: Minimize impact of major incidents.

SO-KPI 8.1: Percentage of major incidents resolved within specified time.

ITOMF

SO-CSF 9: Successfully resolve Level 2 incidents.

SO-KPI 9.1: Percentage of incidents assigned to TMF for resolution.

TMF

UNCLASSIFIED

3-6. AESM Continuous Service Improvement (CSI) Rules

Table 10. Continual Service Improvement Principles and Rules

Guiding Principle

DoD IEA GP 01 - DoD CIO-governed resources are conceived, designed, operated, and managed to address the mission needs of the Department.

DoD IEA GP 02 - Interoperability of solutions across the Department is a strategic goal. All parts of the DoDIN must work together to achieve this goal. Information is made interoperable by following the rules for net-centric sharing of data and services across the enterprise. The DoD achieves infrastructure interoperability through definition and enforcement of standards and interface profiles and implementation guidance.

AESM 1.5, Under the CSI life-cycle stage, the Army will:

Continually align IT services to changing Army mission needs.

Identify and implement improvements throughout the service life-cycle.

Determine what to measure, why to measure it, and define successful outcomes.

Implement processes with clearly defined goals, objectives, and measures.

Review service level achievement results.

Ensure quality management methods are used.

DoD IEA/JIE Capability AEN Capability

Enabling Capabilities Users/Operations Requirements (Govern)

Network Capacity Enterprise Services Network Operations & Security Governance

JCA [or Army] Capability Gap(s)

JCA 6.2.3 Core Enterprise Services; Architecture, Policy and Compliance:

1. Lack of implementation of processes, procedure, and change with clearly defined goals, objectives, and measures.

Architectural or Business Rule(s) that Mitigate Gaps Desired Outcome(s)

AESM 1.5.1 - Implement the 7 Step Improvement Process: Opportunities for improvement throughout the IT Service life-cycle will be identified via the implementation of the seven step process.

IT services are continually and efficiently managed for improvement to ensure mission security and effectiveness.

See Table 11, Continual Service Improvement Measurements, for additional information.

Known Risk(s) with Mitigation

Risk:

1. Costs of enterprise service improvements exceed planned budgets.

Mitigation:

1. Ensuring the Army’s path to continual service improvement is aligned with the

7 Step Improvement Process.

2. Service improvements designed to ensure they meet desired service requirements.

3. Service improvements flexible enough to absorb non-critical problems without

UNCLASSIFIED

impacting service levels.

Table 11. Continual Service Improvement Measurements

CSI CSF CSI KPI

Process/Function

Applicability

CSI-CSF 1: Identify improvement opportunities.

CSI-KPI 1.1: Number of improvement opportunities logged in the CSI register.

7 Step Improvement Process

UNCLASSIFIED

Chapter 4 Implementation Patterns

a. Implementation patterns are a collection of perspectives, descriptions, models (e.g., DoDAF), and views that guide and support activities for transition and implementation. It is anticipated that these patterns will be used for such activities as follows:

(1) Development of life-cycle stage/processes (e.g., event sequencing).

(2) Establishment of governance (e.g., roles and responsibilities).

(3) Definition and integration of architecture.

(4) Development of solution architecture (e.g., System of Systems RA, Common Operation Environment RA).

(5) Management of service maturity.

b. For this version of the RA, two patterns are provided:

(1) The Activity Pattern (using DoDAF models) applies to all Life-cycle Stages and is provided to support overall architecture integration.

(2) The Service Desk pattern is a result of the application of principles and rules identified under the Service Operations life-cycle stage; it is provided to guide the development and implementation of Service Desk processes.

c. As other patterns are identified and developed during the establishment and implementation of AESMF efforts, they will be documented in updated AESM RAs as applicable.

4-1. Activity Pattern

a. Figure 7 below shows the four main first-level activities involved in the establishment of the framework as well as the execution of processes under AESMF.

Th…