BACKGROUND INFORMATION
EXHIBIT M
TABLE OF CONTENTS
SECTION 1 Background ... 1
1.1 Overview ... 1
1.2 Background... 1
1.3 Business Need ... 3
SECTION 2 Business Capability Model ... 4
2.1 Business Capabilities ... 5
2.2 Technology Components ... 9
SECTION 3 Current Systems Environment ...10
3.1 Overview of the Florida Department of Transportation Information Technology Environment ...10
3.2 Technical Environment ...10
3.2.1 Application Architecture ...10
3.2.1.1 Information Technology Standards ...12
3.2.1.2 Development Tools ...12
3.2.1.3 Application Development Standards ...12
3.2.1.4 Enterprise Services ...13
3.2.1.5 Reports ...13
3.2.1.6 Information Warehouse ...13
3.2.1.7 Security...13
3.2.1.8 Current System Inventory ...14
3.2.2 Integration Architecture ...16
3.2.3 Data Center ...17
3.2.3.1 Environment Availability ...17
SECTION 4 Organizational Change Management ...17
4.1 Leadership Alignment ...18
4.2 Communications Planning and Management ...19
4.3 Stakeholder Inventory and Analysis ...19
4.4 Organizational Readiness Strategy and Plan ...20
4.5 Case for Change ...20
4.6 Job Role Assessment ...20
4.7 Impact Analysis and Mitigation ...21
4.8 Training Strategy and Plan ...21
4.9 Change Champion Network ...22
4.10 Benefits Realization Management ...22
SECTION 5 End-User Support – Help Desk ...22
SECTION 6 End-User Support – Access Control ...23
SECTION 7 End-User Support – Applications Support ...23
SECTION 8 Statistical Information ...24
8.1 Data Record Counts ...24
SECTION 9 Integrations and Interfaces ...26
9.1 Integrations and Internal Interfaces ...26
9.2 Third-Party Interfaces ...26
SECTION 1 BACKGROUND 1.1 Overview
The Work Program Integration Initiative (WPII) is a multi-year Project to re-engineer and modernize the Department of Transportation’s (FDOT or Department) core financial systems.
These systems help FDOT develop and deliver the annual Five-Year Work Program, ensure continued financial integrity, address changing partner demands, and account for the uses of vital state and federal funding. WPII is not just an information technology or finance project; it impacts every office within the Department. The Project ultimately seeks to optimize the conversion of transportation revenue into transportation products, services, and preservation by aligning business processes to a common set of strategic objectives and operational standards, aided by a modernized system Solution.
FDOT is committed to executing a well-planned Project which addresses the Department’s needs in one effort. As part of that commitment, the Department has established a Project team with the seasoned veterans of the development and delivery of the Five-Year Work Program to develop the Business Requirements, establish the As-Is business documentation, To-Be process flows, and inventorying existing computing assets. The Department has organized the Project team in tracks and provides the following Florida Department of Transportation WPII Organizational Chart and Florida Department of Transportation WPII Resource Capacity to depict the current structure and capacity of these team members (https://www.fdot.gov/procurement/work-program- integration-initiative). A change champion network has been established in the Department to support transition to a new Solution.
1.2 Background
FDOT is entrusted by Florida’s taxpayers to deliver a safe, viable, and balanced transportation system serving all regions of the State, and to ensure the compatibility of all components (s.
334.044, F.S.). FDOT works diligently to protect the public’s interest through established policies, procedures, technology systems, and processes.
To provide the financial basis for this mission, FDOT develops and delivers the Five-Year Work Program, by managing over 38,000 transportation projects in various stages of the project lifecycle. Additional functional activities to support the Five-Year Work Program include managing over 15,000 active contractual agreements valued at over $13 billion, implementing $10 billion in current year commitments, planning for almost $50 billion in future year commitments, and monitoring transportation systems and infrastructure performance for critical information inputs into planning activities.
These activities are spread across the broad spectrum of transportation modes including roads, bridges, airports, seaports, rail systems, spaceports, bus transit, and bicycle and pedestrian facilities. Not only does FDOT contribute to Florida’s economy through infrastructure investments, but it also contributes to the traveling public’s safety and quality of life and supports the movement of commercial goods and services.
FDOT has an intricate set of business processes and a diverse set of computing assets to support the core activities of planning for future projects, programming transportation projects within the parameters of the available financial resources, implementing planned commitments, managing and monitoring these projects and associated contracts, and measuring performance for compliance with legal mandates. The related business processes and over 1,800 computing assets to support the development and delivery of the Five-Year Work Program are referred to
as the Financial Management (FM) Suite of Systems and Supporting Financial Applications. The FM Suite and the Supporting Financial Applications are composed of enterprise applications, automated batch jobs and processes, databases, data extracts, interfaces, reports, and other types of computing assets. The FM Suite is a core set of four custom developed sub-systems that were originally implemented in the late 1990s.
These four sub-systems include:
• Work Program Administration (WPA), which supports the development and ongoing management of FDOT’s Five-Year Work Program. WPA is also the tool for establishing and reporting the five-year list of projects which FDOT plans to undertake (s. 339.135, F.S.) and is used to manage the projects in their various lifecycle states.
• Federal Authorization Management System (FAMS), which manages federal apportionments and obligation authority and interfaces with the Federal Highway Administration’s (FHWA) Financial Management Information System (FMIS) to manage the obligation of federal funds to specific projects.
• Project Cost Management (PCM), which is the repository of actual project cost historical information. PCM is FDOT’s primary interface with the State’s accounting system, Florida Accounting Information Resource (FLAIR). PCM stores project-related FLAIR transactions and allocates FLAIR transactions to Work Program funds.
• Federal Programs Management (FPM), which manages and tracks various federal programs, supports and provides the tracking ability and interfaces for federal billing and vouchering, and generates the periodic billing for federal reimbursement from FHWA.
The FM Suite of Systems and Supporting Financial Applications have been modified over time in response to federal and state laws, internal and external partner business needs, and changes in technology solutions and standards. The result is a collection of computing assets requiring multiple interfaces, manual intervention where processes are insufficient, intensive data management, and expert support in order to function together.
The graphic below depicts some, but not all, of the software applications that support the FDOT business processes. The four centered applications labeled “Current FM Suite Components”
(shown in green) are the core sub-systems for the development and delivery of the FDOT Five- Year Work Program. These four sub-systems interface with internal FDOT applications (samples shown in blue) and applications external to the Department (shown in gold). The external applications include connectivity to the Department of Financial Services (DFS) and FHWA.
Figure M-1: Current Business Process Map and Applications Architecture
1.3 Business Need
The current FM Suite of Systems and Supporting Financial Applications, and its interfaces, present tangible risks to FDOT’s ability to continue supporting its core operations essential to managing its multi-billion-dollar transportation business. This suite and supporting applications are a complex aggregation of business processes and supporting computing assets that are disjointed and brittle, are costly to maintain, and demand significant manual intervention to meet new business needs. Their intricacies often obscure the usefulness of data resulting in duplication in other systems. The computing assets are supported by a small team of functional experts, who each possess singular institutional knowledge and are nearing retirement, which increases the risks and potentially shortens these computing assets’ useful lives.
The operating environment is increasingly more complex, difficult to maintain, and riddled with potential points of failure. To address risks and mitigate potential failures, FDOT staff analyzed and identified challenges that could disrupt the computing software infrastructure and compromise ongoing operations. Immediate action was imperative as replacement of such a complex set of computing assets would take several years. Discounting the situation and waiting for the brittle architecture to break compromises contractual commitments totaling over $13 billion, limits the ability to initiate future projects which contribute almost $10 billion annually to Florida’s economic activity, and weakens the trust placed on FDOT by the public and transportation industry.
Work Program Administration
(WPA)
Work Program Staff RCI
AASHTO WARE Bridge Management
(BrM) Aviation Database TVI
Superfile MADDOG and other FM Reports PSM
Program and Resource
Plan
Federal Authorization Management System (FAMS)
Project Cost Management (PCM)
Authorization ApprovalsFunding Levels, Project Attributes
Legislative Appropriations System / Planning and Budgeting
Subsystem (LAS/PBS)
STIP Amendments Work
Program Amendments
Cash Forecasting
System AASHTOWARE Project
Construction (PrC)
Improvement Plans: JACIP, SeaCIP,
ILCIP, TranCIP
Pavement Marking
Skid Hazard
Pavement Condition
Candidate Projects
PROJECT MANAGEMENT WORK PROGRAM
Federal Program Management
(FPM-Bill)
FHWA FMIS 5.0 Federal Appropriation Category and related
Obligation Authority Type Obligation Authority Balance
Authorization Balance
Authorization Request FHWA Disposition
Total Project Cost & Cost Eligible for Federal Reimbursement
FEDERAL AUTHORIZATION & REIMBURSEMENT BUDGET MANAGEMENT
FLAIR Turnpike Expenditures Redistribution
Valid Financial Projects, Attributes, Codes Programming Levels, Authorizations and Prior Allocations of Actual Commitments to Derive Cost Allocation Ratios
FLAIR Transaction Detail, Cash Transactions Only, YTD for Current Fiscal
Year
Actual Commitments and Future Year Funds Approvals Allocated to Project Cost Levels and Project Cost Estimates
System of Engagement (GIS Layers)
COMMON INFRASTRUCTURE
EEDMS
Reviewed Funds Approvals for Allocation by Cost Allocation Process
Voucher Entered By
OOC for Reimbursement Request for Due
Reimbursement
FLAIR Transaction Detail Cost Allocations and Cost Transfers
Contract Funds Management
(CFM)
Transaction Corrections/Redistributions Payroll Cost Distributions
Indirect Cost Allocations Toll Distributions (TR10)
Receipt Processing
System (RPS) Reimbursement
Entered by OOC as Cash Receipt EIP/IEI
A S S E T S A C Q U I S I T I O N
D E P T A C C O U N T I N G
G E N E R A L A C C O U N T I N G PSEE
Reimbursement Receieved AASHTO
WARE Project Pre- Construction
(PrP)
FM Suite Architecture Sample Revised: 09/22/2020
FDOT must continue its efforts to develop a modern, enterprise-based Solution. The Solution will provide the critical consolidated information base and the flexibility to meet the organization’s requirements, mitigate impacts to potential transportation project production, and avoid financial failures.
SECTION 2 BUSINESS CAPABILITY MODEL
The WPII scope encompasses the Department’s critical business capabilities for developing and delivering the Five-Year Work Program, as supported by the FM Suite of Systems and Supporting Financial Applications. Each capability is required to satisfy the governing statutes that guide the development and delivery of the Department’s Five-Year Work Program. The ten capabilities are categorized into the primary and secondary FDOT business capabilities that must be provided by the modernized business processes, products, and technology solutions and are represented in the graphic below. Each of the approximately 4,500 detailed WPII business requirements listed in Exhibit L – Business Requirements is mapped to a specific combination of primary and secondary capabilities (i.e., Level 0 and Level 1 capabilities). The Department has provided additional information for three capabilities (Project Development to Close, Manage Contractual Commitment to Close, Perform Project Cost Accounting) in Exhibit N - Program a Project Demonstration and Exhibit O - Request Funds Approval Demonstration.
Figure M-2: Work Program Business Capability Model
2.1 Business Capabilities
• Forecast Cash Flow: FDOT is a cash to commitment agency, allowing projects to begin before the total cash needs of the projects are on hand. To ensure the Five-Year Work Program has a balanced financial plan in which forecasted cash outflows are supported by projected revenues and funding reimbursements, it is imperative the Department is able to forecast sufficient cash needs to meet outstanding obligations as they become due.
The Level 1 capabilities listed below include the development of the cash flow assumption variables, calculations of forecasted cash receipts, cash disbursement and monthly cash balances, variance reporting to address the comparison of forecasted to actual results, and the publication of the Cash Forecast deliverables.
o Setup and Maintain Cash Policy Controls and Variables o Create and Maintain Cash Forecast
o Perform Variance Analysis and Reporting
o Communicate Cash Flow Information to Stakeholders
• Manage Funds: To translate forecasted revenues into funding models (and specific fund code allocations), FDOT performs multi-level distributions of financial resources for the eventual assignment of funding to the projects within the Five-Year Work Program. The various funding levels require specific calculations using preconfigured rules.
The Level 1 capabilities listed below include the analysis of funding and the feasibility of funding compositions, creation of controls to govern the use of funding on projects, allocation of funding to organizational units within the Department for use in funding projects, and the reporting and communication of funding use and availability to transportation stakeholders.
o Setup and Maintain Fund Controls o Translate Revenues to Funding Models o Allocate and Maintain Department Funds
o Communicate Fund Information to Stakeholders
• Manage Agency Performance: FDOT must implement accountability and monitoring systems to evaluate whether the Department’s goals are being accomplished efficiently and cost-effectively, and ensure compliance with all laws, rules, policies, and procedures.
The Level 1 capabilities listed below provide the functionality and data required to confirm the adherence to all laws, rules, policies, and procedures, address the creation of specific performance measures, and report the Department’s performance results to all transportation stakeholders.
o Convert Agency Goals into Performance Measures o Measure and Report Agency Performance
o Measure and Report Satisfaction of Project Portfolio Targets
• Manage Budget: FDOT is required to submit a Legislative Budget Request (LBR) to obtain budget, or spending authority, for its projects. The LBR includes the budgetary
needs for all projects in the first year of the final Tentative Five-Year Work Program, plus the requested operating budget to cover expenses, contracted services, salary budget, etc., and the budget for the Fixed Capital Outlay (FCO) buildings and grounds.
FDOT has specific statutory authority to allow for re-establishment of appropriation budget authority as part of fiscal year end procedures. This authority is divided into three forms:
o Roll Forward: Where unconsumed appropriation authority is requested for the new fiscal year for specific budget structure definitions.
o Certification Forward: Where appropriation authority for committed budget for outstanding obligations is requested based on the original appropriation budget year for specific budget structure definitions.
o Carry Forward: Where appropriation budget authority for reverted operating budget appropriation is requested up to a percentage of the original approved budget to be available in subsequent years.
The Level 1 capabilities listed below include the activities necessary to develop governing budget structures, complete budget requests, allocate appropriated budget to the various organizational units, closeout and re-establish budget for the subsequent State Fiscal Year, and communicate budget appropriation and use to transportation stakeholders.
o Setup and Maintain Budget Controls
o Develop and Submit Legislative Budget Request o Allocate and Maintain Department Budget o Perform Budget Close
o Communicate Department Budget Information to Stakeholders
• Manage Project Development to Close: To plan for the consumption of funding, budget, and cash, and to demonstrate compliance with a variety of state and federal laws, FDOT requires both standard and user-defined attributes assigned to projects within the Five- Year Work Program at various levels of the project work breakdown structure. FDOT is statutorily required to propose a Five-Year Work Program that consumes available funding and budget resources to accomplish transportation goals of the State and various municipalities. To accomplish this, FDOT must match project characteristics to eligible revenue sources and uses and define all project characteristics required for inclusion in the various versions of the Five-Year Work Program.
Controls must be implemented during the development of the Five-Year Work Program to manage updates due to changes in project scope, schedule, and estimates for all versions of the Five-Year Work Program. As the projects are brought to completion, multiple offices within the Department work to close out the projects, request final reimbursement from funding partners, release funding and budget for use on other projects, and assess lessons learned from the performance measures to include in the next cycle of the development of the Five- Year Work Program.
The Level 1 capabilities below address the establishment of controls to monitor projects throughout the lifecycle, initial creation of the projects, delivery of the projects within the Five-
Year Work Program, and communication of actual project results to transportation stakeholders.
o Setup and Maintain Project Controls o Create Projects
o Deploy and Maintain Projects o Close Projects
o Communicate Project Information to Stakeholders
• Manage Project Portfolio: FDOT develops policies for identifying priority investments and determines how to link policies and goals to future investments in transportation projects to meet future mobility needs based on where and when financial resources are expected to be available. Revenue Estimating Conference projections and forecasted federal apportionments from Federal Transportation Acts are transformed into funding strategies for these transportation improvements. To demonstrate satisfaction of state and federal laws and Department policies, FDOT establishes performance targets that calculate totals against preconfigured thresholds, based on specific project, fund, and contract attributes. Performance targets are represented as either financial or statistical values.
The Level 1 capabilities below address the translation of policies in the form of fund allocations and targets to implement into the Five-Year Work Program, provide the methods to prioritize transportation improvements and supporting projects, and communicate the strategies and project portfolio compositions to transportation stakeholders.
o Translate Department Policy into Project Portfolio Strategy o Prioritize and Maintain Project Portfolio
o Communicate Project Portfolio Information to Stakeholders
• Manage Contractual Commitment to Close: In addition to the management of the technical work for the project, there must be management of FDOT contractual
agreements to ensure all provisions are completed and to address the multiple aspects and issues related to project funding and budget allocations. FDOT must implement accountability and monitoring systems to reflect the contractual impacts of changes during the project lifecycle. FDOT prescribes methods to consume funding and budget for these legal agreements, addresses modifications to contract attributes associated to projects to reflect the scope of the contracts, and ensures the fiscal responsibility and data integrity of the Five-Year Work Program is maintained. Controls must be in place to measure performance against planned contractual commitments established during delivery of the Five-Year Work Program.
The Level 1 capabilities below address the establishment of internal controls to monitor the financial impacts of the contracts throughout the lifecycle, creation of the contractual agreements and supporting attributes, execution of the contracts to deliver the Five-Year Work Program, closure activities for completion of contracts, and communications of relevant contractual activities to transportation stakeholders.
o Setup and Maintain Contract Controls o Establish Contracts
o Execute and Maintain Contracts o Close Contracts
o Communicate Contract Information to Stakeholders
• Manage Federal Programs: FDOT must establish controls to manage grants from federal programs, account for vital federal funding sources, and support the Department’s partnerships with federal agencies. Interfacing with the Department’s federal funding partners is mandatory to obligate (authorize) federal projects at specific intervals in the life of projects. These capabilities also include processes to determine the appropriate use and application of soft match toll credits as a way of satisfying the required non-federal match requirements on projects which use federal revenue sources. FDOT must also implement business rules and processes, systems, and system interfaces to adhere to all applicable state statutes, federal regulations, and other mandates.
The Level 1 capabilities below address the establishment of controls to confirm the adherence to all applicable state statutes, federal regulations, and other mandates, management of the authorization process of federal funding sources, participation in specialized federal funding programs, and management of federal grant projects from authorization to closure.
o Setup and Maintain Federal Grant Project and Program Controls
o Consume Annual Federal Obligation Authority for Federal Grant Programs o Manage Authorization of Federal Grant Projects
o Manage Toll Credit Program
o Manage Reimbursement from Federal Grant Projects o Audit and Close Federal Grant Projects
o Maintain Documentary Compliance with Federal Partners o Communicate Federal Project Information to Stakeholders
• Perform General Accounting: As part of the FDOT need to manage agency specific general accounting activities in addition to the budget, treasury, and financial reporting functionality mandated by the statewide accounting system, there are over 3,800 active budget categories and over 600 active fund codes that must be monitored concurrently when planning and tracking the actual consumption of funds and budget on transportation projects. Throughout the life of the project, accounting transactions for the actual financial activities on the project are interfaced to the statewide accounting system for subsequent financial statement reporting and supporting treasury functions performed by the State of Florida Chief Financial Officer. Business capabilities within the general accounting function also require tools to manage funding partner agreements and coordinate the reimbursement activities for project expenditure transactions. At the conclusion of the State Fiscal Year, procedures to close out financial activities for the year are completed, accounting and budget related balances are initialized for the new State Fiscal Year, and supporting control structures for the upcoming State Fiscal Year are established.
The Level 1 capabilities below address the required maintenance of FDOT specific accounting controls and mapping to the statewide chart of accounts, monitoring of funding agreements with other agencies and private partners, management of FDOT cash
receipts, disbursements and accounts receivables, creation of accounting transactions and interfacing to the State of Florida accounting system, execution of core activities for the reimbursement of federal, local, bond and toll-related funds, performance of year-end closing activities, and communication of relevant general accounting results to transportation stakeholders.
o Setup and Maintain Chart of Accounts o Setup and Maintain Accounting Controls
o Monitor and Manage Funding Partner Agreements o Manage Cash Receipts
o Manage Disbursements o Manage Receivables
o Enter and Maintain Accounting Transactions o Manage Interface to Statewide Accounting System o Perform Fiscal Year End Closing
o Communicate General Accounting Information to Stakeholders
• Perform Project Cost Accounting: FDOT must implement accountability and internal control systems to ensure uniform compliance with Generally Accepted Accounting Principles (GAAP) and confirm traceability from source accounting transactions to funding and budget consumption for projects within the Five-Year Work Program. These accounting transactions must be allocated to funding source and budget categories for each individual project. FDOT implements processes to classify and accumulate actual financial activity (direct and indirect) on each project, allowing the determination of the net position of the financial projects at any point in time with respect to the consumption of funds and budget.
The Level 1 capabilities below address the establishment of accountability and internal control systems, allocation of accounting transactions on projects to concurrently consume funds and appropriated budget, management of the FDOT cost distribution function, and communication of project cost accounting results to transportation stakeholders.
o Setup and Maintain Cost Accounting Controls o Allocate Actual Transactions to Projects o Perform Cost Distributions
o Communicate Project Costing Information to Stakeholders 2.2 Technology Components
In addition to the ten business capabilities, the WPII scope includes a technology component to address the technical infrastructure needs to successfully perform the Department’s business functions. Below are the in-scope, technology related capabilities.
• Utilize Technical Architecture: FDOT’s environment is moving from the mainframe to a cloud-based architecture. This architecture mainly consists of Azure, RESTful APIs, Microsoft SQL Server, and Azure Active Directory. In addition, the Department is using
the Informatica Tool Suite to support its data infrastructure needs. The combination of this cloud architecture and tools will be used to support the following Level 1 capabilities.
o Manage Data o Manage Security
o Manage System Integration o Manage System Interfaces
o Manage Workflow and User Interface
o Perform Business Intelligence, Analytics, and Reporting SECTION 3 CURRENT SYSTEMS ENVIRONMENT
3.1 Overview of the Florida Department of Transportation Information Technology Environment
The Florida Department of Transportation’s Office of Information Technology (OIT) supports Department personnel in the use and application of information technology to accomplish the objectives and operations of the Department. OIT activities and resources provide for the processing, storing and retrieval of data, system development and maintenance, statewide computer network management, information security administration, and general information consulting services supporting the Department.
These services are focused on the support of the FM Suite of Systems and Supporting Financial Applications required for the planning, development, and delivery of the Department’s Five-Year Work Program.
The supported systems include a mixture of hardware. A number of the systems are hosted on FDOT’s Z/Server IBM mainframe that is housed at the Florida Digital Services State Data Center (SDC) in Tallahassee, and are scheduled to move to the Northwest Regional Data Center (NWRDC) in early 2021. Many of the computing assets are web-based systems and exist on Microsoft Servers also housed at the SDC. In addition, some of these computing assets are locally maintained desktop systems developed using tools such as Microsoft Excel or Access. These systems run on FDOT standard desktop computers.
3.2 Technical Environment 3.2.1 Application Architecture
A high-level application architecture diagram with a sample of systems is shown below.
Figure M-3: Work Program Business Capability Model
3.2.1.1 Information Technology Standards
The Department is at a pivotal point in the use of technology. With the introduction of the Governor’s Cloud First Initiative (s. 282.206, F.S.), a rapidly evolving data processing landscape, and a data-driven set of business processes, the Department has seen the need for, and has developed, an Florida Department of Transportation Technology Strategic Plan to define clear objectives and goals while modernizing its technology (https://www.fdot.gov/procurement/work- program-integration-initiative). This plan has been augmented with specific architectural principals for the Work Program Integration Initiative to define specific technical goals and benefits for the Project.
3.2.1.2 Development Tools
The systems are developed using a mixture of software, programming languages, databases, and protocols including:
• COBOL
• Customer Information Control System (CICS)
• VB. NET
• Microsoft .NET
• Microsoft Classic ASP
• Microsoft Visual Studio
• Microsoft Excel
• Microsoft Access
• Microsoft SharePoint Server
• TN3270 Plus Terminal Emulator
• Web Focus (Reporting Tool)
• Mainframe Focus (Reporting Tool)
• Web Focus Maintain (Programming Language)
• CA-Gen (formerly AllFusion Gen, CoolGen) Case Tool
• File Transfer Protocol
• Simple Mail Transfer Protocol (SMTP)
• DB2 Database
• Oracle Database
• SQL Server Database
• Mongo DB
• Primavera
• ArcGIS
• IBM Resource Access Control Facility – User Authentication
• Microsoft Active Directory – User Authentication
The core business applications, including Work Program Administration, Federal Programs Management, Federal Authorization Management System, and Project Cost Management, are developed and maintained with the CA-Gen CASE tool. This tool is used to design, maintain, and deploy several of the Department’s mainframe applications including 99% of the COBOL/DB2 code generation for the mainframe platform. It currently generates approximately 1,000 batch and CICS online transactions comprised of 5,250 COBOL/DB2 modules.
3.2.1.3 Application Development Standards
Applications developed by OIT Application Support, the application development section of the OIT, are developed following a Project Development Methodology. This methodology (https://www.fdot.gov/it/docs/pdm.shtm) is based on the Project Management Institute’s methodology, which includes standard phases, tools, steps, and sign-off processes. It is made available to all development staff working within FDOT to ensure consistent steps are followed.
In addition, standards for .NET coding, web development, accessibility, and multimedia development are also maintained by OIT. Reviews against these standards are part of the standard methodology.
3.2.1.4 Enterprise Services
The following Azure services are supported and are required to be used for certain system interactions:
• Staff Service – RESTful API for accessing FDOT staff information
• DOT Codes Service – RESTful API for accessing enterprise codes
• Org Code Service – RESTful API for accessing FDOT organizational information
• EDMS Service – RESTful API for document management through the Enterprise
Document Management System (EDMS) [The Department requires the use of OpenText eDocs 16.x for the storage, indexing, and management of all enterprise application electronic documents]
3.2.1.5 Reports
The core computing assets provide approximately 1,000 different ad hoc and batch reports to a variety of users. Mainframe FOCUS, WebFOCUS, and .NET reporting are the primary tools supported by OIT for reporting. WebFOCUS is one of the primary tools in that it provides data from both the mainframe DB2 environment as well as data from ORACLE and SQL Server via the iWay connector.
Some business offices within the Department have Managed Reporting Environments (MRE) configured for their data. These environments usually have a set of standard reports, as well as the ability for specific “power users” to create, run, and share custom reports. These reports can be generated anytime or scheduled on a recurring basis using the Report Caster function within the MRE environment.
To augment the Department’s reporting capabilities, take advantage of modern technology, and facilitate the effective use of data, OIT is in the initial stages of supporting several small reporting pilot projects including the installation of a Power BI service, and a SAS Tableau BI/DW initiative.
3.2.1.6 Information Warehouse
Financial data to support the development and delivery of the Five-Year Work Program is Extracted, Transformed, and Loaded (ETL) nightly from the Mainframe DB2 platform and stored in multiple ORACLE and SQL Server platforms throughout the Department. Users can access the information on all these platforms through several methods:
• Standard reports and queries available through online access
• Web FOCUS MRE allowing users to build, save, and run a FOCUS query
• Open Database Connectivity (ODBC) compliant PC Tools (e.g., MS Access, MS Excel, Power BI)
3.2.1.7 Security
The Department’s current approach to Identity and Access Management is a combination of several connected systems. The relevant systems for the identity platform are SailPoint IdentityIQ, Azure Active Directory (Azure AD), On-Premise Active Directory, and Resource Access Control Facility (RACF) on the mainframe.
• SailPoint IdentityIQ: The Department will begin utilizing SailPoint IdentityIQ for identity governance in summer of 2021. This platform will facilitate the security workflows for
FDOT’s customers to be put into relevant security groups within on-premise Active Directory. Integrators can leverage these groups to control authorization to the whole or individual components of the integrated application.
• Active Directory: The Department utilizes an on-premise Active Directory Forest with 13 domains as a primary identity directory. FDOT is currently working towards the consolidation of these domains, where almost all users, groups, and computers will exist under one domain in the forest. This consolidation effort is only relevant if the integrator does not leverage Azure Active Directory as the identity provider.
• Azure AD: The Department utilizes Azure Active Directory (Azure AD) for all new applications. Azure AD users and groups exist in a single tenant and are synchronized with FDOT’s on-premise Active Directory at least every two hours. Azure AD integrates with applications as an identity provider utilizing OpenID Connect/OAuth 2.0 and SAML.
The Department’s preference for new application integrations is with OpenID Connect/OAuth 2.0 workflows. If OpenID Connect is not an available option, the Department can fall back to a SAML integration. Custom identity claims, including group memberships, are available as potential integration options, giving integrators the ability to leverage Azure AD for both authentication and authorization.
• Azure AD B2C: The Department utilizes Azure Active Directory Business-to-Consumer (B2C) for applications needing to serve the public when there is a need for public customers to be authenticated. The Department's Azure AD B2C tenant is different from its Azure AD tenant, and it is a detached (but similar) system.
• RACF: The Department utilizes RACF to protect resources on the mainframe platform via user IDs and passwords. Additional role-based security is controlled through RACF profiles to facilitate functional controls built into the legacy applications.
• Legacy Authentication Providers: The Department leverages and maintains several legacy identity providers, which are not used for any new development or integration.
o Internet Subscriber Account (ISA): Custom directory for applications needing public authentication. The directory has deprecated in favor of Azure AD B2C.
o Common Login: Used for legacy systems to authenticate utilizing COM-based service calls through CICS to RACF on the mainframe. Replaced by Azure AD and Azure AD B2C.
o FDOT.STS: Used for legacy systems to authenticate utilizing the Windows Identity Framework or OpenID. Supported Active Directory, RACF, and ISA.
o Integrated Windows Authentication (IWA): Although IWA still has its place in the Department, it is not relied on as a default authentication method.
3.2.1.8 Current System Inventory
In 2019, COMPASS was developed to maintain a dynamic inventory of the Department’s computing assets. The inventory within the tool is constantly being enhanced and updated, however an extract of the computing asset inventory has been generated and stored as Florida Department of Transportation Information Technology Assets
(https://www.fdot.gov/procurement/work-program-integration-initiative).
Examples of the computing assets include:
• Enterprise systems which interface to the FM Suite of Systems and Supporting Financial Applications for the management and execution of elements of the FDOT Five-Year Work Program include:
o Long Range Estimating System, supporting the development of conceptual estimates
o Design Quantities Estimate application, which generates detailed cost estimates during preconstruction
o Estimate Report Tracking System, which tracks the history of changes to estimates on projects
o Primavera P6 and Project Scheduling and Management which support the development and ongoing monitoring of project schedules
o Project Suite Enterprise Edition which is designed to provide FDOT project managers a one-stop shop for critical project financial and schedule information o AASHTOware Suite which supports the preparation of specifications, the letting
and award of construction contracts, and the management of those construction contracts through a series of interrelated modules
o Right of Way Management System, which supports all aspects of the acquisition of right of way in support of transportation projects
• Various mode or discipline-specific systems which support the identification of needs and the development, prioritization, and selection of candidate projects for inclusion in the FDOT Five-Year Work Program
• Various Central Office or District developed standalone or offline applications which support managing, tracking, and executing activities for the development and delivery of the Five-Year Work Program
In addition to the replacement of the current FM Suite of Systems and Supporting Financial Applications components, WPII will impact the current operations of several FDOT computing assets which utilize the Department’s financial related data. The Statewide Remediation Program (SWR), an established WPII Project track, coordinates the efforts to identify, assess, plan, and execute the remediation to computing assets supported by OIT - Application Services, business offices, and districts. The SWR will ensure all required remediation efforts are complete before each FDOT WPII implementation deployment.
The complete set of impacted IT assets is quantified in the graphic below and includes applications, automated jobs/processes, interfaces, reports, databases, and other data extracts.
To date, over 1,800 computing assets are identified as impacted by WPII that will require changes, by their responsible groups, to integrate or interface with the data within the WPII Solution. Over 200 of these assets are enterprise applications which read or update the Department’s financial related data. The remaining impacted assets are automated jobs/processes, interfaces, reports, databases, and other data extracts. The chart below depicts the impacted assets categorized by type.
Inventory Type Replaced by WPII
Some Level of WPII Impact
Assessment Pending
Total
Application 27 159 44 230
Automated Job/Process
5 82 237 324
Database 3 11 0 14
Interface 9 26 8 43
Report 44 652 373 1,069
Other 2 45 107 154
Totals 90 975 769 1,834
Table M-1: IT Asset Types By Count 3.2.2 Integration Architecture
The Department’s financial related computing assets have hundreds of data dependencies, both integrations within the FM Suite of Systems and Supporting Financial Applications and interfaces with the Department’s operational applications. Additionally, there are several flat-file external interfaces with the Statewide accounting system (FLAIR) and the FHWA FMIS system. Within the Department’s financial and operational systems, there are very few flat file interfaces. These operational systems share data through a tightly coupled set of DB2 tables with referential integrity. Real-time data is shared via direct database reads, and in some cases, updates. The internal integration is partially depicted below with the lines showing database relationships.
Figure M-4: Financial Systems DB2 Integration
The systems external to the FM Suite of Systems and Supporting Financial Applications either have read access to the FM DB2 tables, use a data store that is refreshed nightly to one of three database environments (DB2, Oracle, or SQL Server), or in the case of the DFS FLAIR system, transmit flat files using FTP.
The integration limitations of the Department’s FM Suite of Systems and Supporting Financial Applications have created many challenges, and over the years, the effort and overhead to maintain the technical components have continued to increase. To address the integration issues,
a hybrid integration platform (HIP) strategy was developed, and the Informatica Tool Suite was acquired to address tightly coupled architecture and the related data challenges.
3.2.3 Data Center
The Department currently uses the Florida Digital Service (FLDS) State Data Center to provide management and support for centralized computer processing for all of FDOT’s mainframe applications and most of FDOT’s Windows servers. The Department is in the process of transitioning from FLDS to the Northwest Regional Data Center (NWRDC) for these services with an anticipated completion date in early 2021.
FDOT is also in the process of transitioning from physical servers in these data centers to the Azure Commercial cloud environment and will continue over time.
3.2.3.1 Environment Availability
FLDS and NWRDC maintain a computing environment that offers availability of processing resources 24 hours a day, 7 days a week. Current Department processing requires 99.9% system availability, including time periods for CICS online, batch processing, and database maintenance.
An availability summary is depicted in the following table.
Process Monday – Friday Saturday Sunday
CICS Online 6:00 AM – 9:00 PM 6:00 AM – 7:00 PM Noon – 8:00 PM Batch Processing 1:00 AM – 11:59 PM 1:00 AM – 7:00 PM Noon – 11:59 PM DB2 and System
Maintenance
Midnight – 1:00 AM Midnight – 1:00 AM Midnight - Noon Table M-2: Mainframe Standard Hours of Availability
This environment also supports emergency events, such as hurricanes, when the CICS online environment is active 24 hours a day, 7 days a week until the emergency ends.
Applications and services not dependent on the mainframe are usually available 24 hours a day, however they are only supported during the following timeframes:
Application/Service Monday – Friday Saturday Sunday Email and Network 6:00 AM – 11:59 PM 6:00 AM – 7:00 PM Noon – 8:00 PM Reporting, Databases,
Internet/Intranet Applications
6:00 AM – 11:59 PM 6:00 AM – 7:00 PM Noon – 8:00 PM
Table M-3: Non-Mainframe Standard Hours of Availability
SECTION 4 ORGANIZATIONAL CHANGE MANAGEMENT
The WPII Organizational Change Management (OCM) Track leverages the FDOT Transportation Technology (Trans Tech) OCM framework and guidance to develop and execute a tailored approach for the WPII Project, to ensure the Department’s needs, as they relate to people, process, technology, and governance, are identified and addressed. The WPII OCM Track will leverage Vendor OCM resources and expertise to assist Project teams in providing a smooth transition from the current business and technical environments to the future state. OCM functions are performed throughout the Project lifecycle.
The Trans Tech OCM framework and guidance includes ten Core OCM components, provided below, with related activities, Deliverables, and/or tasks. Each OCM component informs other key elements to facilitate successful transformation throughout the change journey, leading to adoption. Various OCM components or activities may require reassessment and/or reengagement throughout the Project lifecycle based on need and the design, development, and implementation approach of the Vendor. Core OCM components are:
• Leadership Alignment
• Communications Planning and Management
• Stakeholder Inventory and Analysis
• Organizational Readiness Strategy and Plan
• Case for Change
• Job/Role Assessment
• Impact Analysis and Mitigation
• Training Strategy and Planning
• Change Champion Network
• Change Metrics/Adoption Scorecards
The WPII Project has an OCM Plan and Activity Schedule and a Communications Plan and Calendar that is reviewed and updated regularly to meet the OCM needs of the Project. The Project artifacts relating to this topic, along with the Florida Department of Transportation OCM Trans Tech Framework, will be provided for review to provide additional background information (https://www.fdot.gov/procurement/work-program-integration-initiative).
4.1 Leadership Alignment
The WPII OCM Administrator/OCM Track Lead has been responsible for the overall coordination, delivery, and execution of organizational change management with the impacted stakeholders in the Districts and Central Office Organizational Units, under the general direction of the FDOT Organizational Change Manager.
The intended outcome is to provide leaders at necessary levels across the organization with a common vision of the Project and how they will demonstrate their commitment through actions.
The benefits of this leadership alignment are to build a coalition to drive, facilitate, and own change, and establish a governance structure with clear roles and responsibilities.
The Project’s change network includes:
• Key Sponsors (Assistant Secretaries; Chief Technology Officer, Engineering & Operations (E&O), Finance & Administration (F&A), Strategic Development, District Secretaries, and Turnpike Enterprise Executive Director)
• Executive Project Sponsor (Asst. Secretary for F&A)
• Management Steering Team (Director of Office of Work Program & Budget (OWPB), Comptroller, Chief Information Officer, Trans Tech OCM Manager, District 3 Representative, E&O Representative, Strategic Development Representative, District 4 Representative)
• Project Management Team (PMT) (Deputy Comptroller – Financial Management Office, Supervisor of Financial Management and Strategic Operations, District 3 Representative, District 4 Representative, District 7 Representative, OIT Application Services Manager, Contract Manager, Organization Change Management Administrator).
• WPII Liaisons (District 1-7, Turnpike Enterprise, Office of Comptroller, E&O, Strategic Development, OWPB, Trans Tech)
• Change Agents (District 1-7, Turnpike Enterprise, Central Offices).
4.2 Communications Planning and Management
The WPII Project Communications Lead is responsible for the overall coordination, delivery, and execution of Project communications for the Department, under the general direction of the FDOT Organizational Change Manager and in collaboration with the WPII OCM Administrator/OCM Track Lead, other Track Leads, and Vendor.
The Project has an existing Florida Department of Transportation WPII Communications
Strategy and Plan and Calendar that are designed to coordinate, provide, track, and confirm the following types of information (https://www.fdot.gov/procurement/work-program-integration- initiative):
• Communication Activity, Frequency, Request/Target Release Date, Activity Date, and Status
• Stakeholder Audience, Purpose of Communication, Delivery Channel, Materials Required, Responsibility, Final Reviewers and Delivery Responsibility
• Comments (Feedback) and Meeting Outcomes
• Communications Analysis Method, Communications Analysis Schedule, and Communications Analyst
• Success Criteria, Pass/Fail, and Remediation
The activities are reviewed and updated regularly to meet the communication needs of the Project; a sample of an activity listing is provided entitled Florida Department of Transportation 20-21 WPII Communications Calendar (https://www.fdot.gov/procurement/work-program- integration-initiative).
4.3 Stakeholder Inventory and Analysis
The WPII Project Communications Lead is responsible for the overall coordination, delivery, and execution of Stakeholder Inventory and Analysis, under the general direction of the FDOT Organizational Change Manager and in collaboration with the WPII OCM Administrator/OCM Track Lead, other Track Leads, and WPII Change Champion Network.
The Project has an existing Stakeholder Inventory and Analysis that includes the following types of information:
• Organization Name, WPII Liaison, Key Sponsor, Sponsor, and Change Agent
• Stakeholder Name, ID (RACF ID), Stakeholder Title, Stakeholder Office, Stakeholder Group, and Stakeholder Category
• Cost Center, Office Phone, Cell Phone (FDOT assigned), and Email Address
• Communication Preference
• Stakeholder (FDOT) Tenure, Deferred Retirement Option Program (DROP) indicator, DROP eligibility, and Stakeholder Backup
• District Comments and OCM Notes
The Stakeholder Inventory is reviewed and updated regularly to ensure the Project can readily identify Stakeholders timely and accurately; a sample of a validated Stakeholder listing is provided: Florida Department of Transportation WPII Stakeholder Validation Sample (https://www.fdot.gov/procurement/work-program-integration-initiative).
4.4 Organizational Readiness Strategy and Plan
The WPII OCM Administrator/OCM Track Lead is responsible for the overall coordination, delivery, and execution of the Organizational Readiness Strategy and Plan, under the general direction of the FDOT Organizational Change Manager and in collaboration with the WPII Project Communications Lead, WPII Project Network, and Vendor. The Project does not have an existing Organizational Readiness Strategy and Plan.
4.5 Case for Change
The WPII Project Communications Lead is responsible for the overall coordination, delivery, and execution of the Case for Change, under the general direction of the FDOT Organizational Change Manager and in collaboration with the WPII OCM Administrator/OCM Track Lead, WPII Project Network, and Vendor.
The Project has an existing Florida Department of Transportation WPII Case for Change (https://www.fdot.gov/procurement/work-program-integration-initiative) framework that is
designed to provide guidance in the development of Case for Change resources and addresses the following aspects of the Project for Stakeholders:
• What the Project or change is
• What the Project or change is meant to achieve
• Why the Project is being performed
• How it relates to other projects or initiatives
• What the benefits, challenges, and next steps are for Stakeholders
The Case for Change effort is executed multiple times for each FDOT WPII implementation deployment to keep Stakeholders engaged and informed; samples of previous Florida Department of Transportation Case for Change Work Products are provided for reference (https://www.fdot.gov/procurement/work-program-integration-initiative).
4.6 Job Role Assessment
The WPII OCM Administrator/OCM Track Lead is responsible for the overall coordination, delivery, and execution of the Job Role Assessments, under the general direction of the FDOT Organizational Change Manager and in collaboration with the WPII Project Communications Lead, WPII Project Network, and Vendor.
The Project has initiated an effort to create job role assessments for the WPII Project Network, designed to provide basic information about the existing roles and responsibilities of affected
stakeholders, as known to date; a sample of this information will be provided will be provided during the Project for reference.
4.7 Impact Analysis and Mitigation
The WPII OCM Administrator/OCM Track Lead is responsible for the overall coordination, delivery, and execution of the Impact Analysis and Mitigation Plan aimed to facilitate a smooth transition to the new Solution, avoid possible business interruption, and achieve the full benefits enabled by process and technology changes to be implemented through the WPII Project under the general direction of the FDOT Organizational Change Manager and in collaboration with the WPII Project Communications Lead, WPII Project Network, Stakeholders, and Vendor.
The Project has conducted a high-level change impact analysis to assess the impacts on the organization and the degree of impact from the initially drafted business requirements.
Additional efforts, in close collaboration with the Vendor, to address impacts will be necessary for successful implementation of the WPII Solution. The Florida Department of Transportation WPII High Level Change Impact Assessment Sample is provided for reference
(https://www.fdot.gov/procurement/work-program-integration-initiative).
4.8 Training Strategy and Plan
The WPII OCM Administrator/OCM Track Lead is responsible for the overall coordination, delivery, and execution of the Training Strategy and Plan, under the general direction of the FDOT Organizational Change Manager and in collaboration with the WPII Project Communications Lead, Central Office Organizational Development Office, District and Turnpike Training Offices, and Business Area’s Training Providers and Coordinators, WPII Project Network, and Vendor.
The Project does not have a comprehensive Training Strategy and Plan, as it relates to how the Solution will impact the Department but will be developing this in close collaboration with the Vendor to outline the necessary steps in building and executing an effective training program, which addresses both process and system training (as appropriate) for successful deployment of the WPII Solution.
The Department’s Statewide Training Program (https://www.fdot.gov/procurement/work- program-integration-initiative) is a decentralized function. The Central Office Organizational Development Office oversees training development and delivery standards, while individual Business Areas throughout the Department oversee the content development and delivery for their individual expertise. Statewide Training Resources are made up of Statewide Trainers and Coordinators and web-based applications, as defined below
(https://www.fdot.gov/procurement/work-program-integration-initiative):
• Organizational Development/Training Development Offices: Central Office (1), Districts (7), and Turnpike (1)
• Provider Offices: Offices responsible for providing and approving courses within their functional area (Business Areas): 92
• Trainers/Instructors: Certified Instructors are individuals who are certified to develop and deliver training courses for the Department. Qualified Instructors are certified instructors who are qualified to teach a specific course as approved by the Provider Office: 196
• Training Coordinators: An employee who assists in the coordination of training and professional development activities for their work unit(s): 352
• Learning Management System: Learning Curve (accessible by Staff Members only): This is FDOT’s official system to deliver and record activities related to training and professional development. The Learning Curve hosts all training including Computer Based Training, Live Training Sessions, and LinkedIn Training. The Learning Curve will track a user’s progress of all training that is taken within the Learning Management System and maintain a transcript that can be used for reporting purposes for management and for the user’s personal use.
• Web-Based Training Server (WBTS): FDOT’s external server that hosts Computer Based Training that is accessible by FDOT Staff, Staff Augmentation, Contract, and Consultant Staff Members, but does not provide training delivery or completion traceability. The WBT does not track a user’s progress but does provide certificates when a CBT is completed.
4.9 Change Champion Network
The WPII Project Communications Lead is responsible for the overall coordination, delivery, and execution of the Change Champion Network, under the general direction of the FDOT Organizational Change Manager and in collaboration with the WPII OCM Track Lead, WPII Project Network, and Vendor.
The Project has an existing Change Champion Network and project network, known as the WPII Network, that is designed to engage leadership, subject matter experts (SMEs), and
stakeholders in the Project and serve as a communication and decision-making structure throughout the lifecycle of the Project; the Florida Department of Transportation WPII Change Network Map Sample and the Florida Department of Transportation WPII Project Network is provided for reference (https://www.fdot.gov/procurement/work-program-integration-initiative).
4.10 Benefits Realization Management
The Vendor will be responsible for the overall coordination, delivery, and execution of the Benefits Realization Management work effort, under the general direction of the FDOT Organizational Change Manager and in collaboration with the Business, Functional, and Technical Track Leads.
The Project does not have Benefits Realization Management Strategy or Plan, as it relates to how the Department should, and is, adopting the new aspects of the Solution, but will be developing this in close collaboration with the Vendor to promote full Solution adoption and OCM Benefits Realization.
SECTION 5 END-USER SUPPORT – HELP DESK
The Department has a Help Desk that supports users of all managed systems, including the financial applications. The Help Desk utilizes the Cherwell Service Management System to record tickets and manage requests and issues for enterprise computing assets. The Help Desk staff are located in Orlando and provide Tier 1 support for basic customer issues (e.g., password resets and fielding questions). For more in-depth issues requiring analysis, tickets are routed to the appropriate Tier 2 and Tier 3 teams for desktop, application, or other mission-critical support.
The Cherwell Service Management System also monitors, notifies, and reports on Service Level Agreement measurements to provide a high level of customer satisfaction and quality of service.
Additionally, the FM Suite of Systems and Supporting Financial Applications is supported by technical staff within the Office of Work Program and Budget (OWPB) and the Office of Comptroller (OOC). These specialized staff members have a detailed understanding of the business use cases and the technical architecture expertise to maintain and adjust the existing, non-enterprise technology resources to meet the needs of the user base. These resources may be contacted through the Cherwell Service Management System but are more commonly contacted through centralized team email accounts and local service ticket applications.
The distinction between when a Cherwell Service Management System ticket versus when a local service ticket is used is primarily decided based on whether the request pertains to an enterprise or non-enterprise computing asset.
SECTION 6 END-USER SUPPORT – ACCESS CONTROL
Access to the Department’s resources, including the financial applications, is established through an Automated Access Request Form (AARF). This form is part of a workflow system used to automate computer security access requests, approvals, and authorizations. After a completed form receives all authorizations, appropriate security controls are manually or automatically adjusted to add or remove access to resources.
SECTION 7 END-USER SUPPORT – APPLICATIONS SUPPORT
The Applications Support group within OIT provides development, maintenance, database, infrastructure, and operational support for the enterprise applications within the Department including the financial applications. Of the 100 full-time positions within Applications Support, 20 are dedicated to the support of the 30 financial applications. Enhancements to enterprise applications are requested and tracked through a proposal intake process and form. This process evaluates, approves, prioritizes, and schedules the enhancements within Applications Support.
The Division of Finance and Administration also has dedicated technical staff who support the financial-related computing assets used by the Office of Work Program and Budget and Office of Comptroller. Their focus is on the detailed data analysis, reporting, State and Federal Year-End transition activities, performance monitoring, and supplementary office desktop systems needed to supplement the financial enterprise applications in order to support the development and delivery of the Department’s Five-Year Work Program.
Several other business offices and Districts within the Department also have dedicated technical staff that support office desktop applications and end-user reporting needs.
