2004 Data Strategy Primer by gRhp93


									               Data Strategy Project Summary
   “We Help
 “We Help
 Put America
Put America

               April 2004
 Data Strategy Purpose

    Develop an overall approach towards data to ensure that accurate and
     consistent data is available to and exchanged between FSA and our
       customers, partners, and compliance and oversight organization.

“The Right Data to the Right People at the Right Time”
                                                              11 12 1
                                                           10         2
                                                           9           3
                                                            8         4
                                                               7 6 5

    Consolidation of Data    Enterprise Standard     Integrated Student
     into Shared Source        for Student              View
    Focus on Data                                     Integrated School
     Quality                  Integrated Partner       View
                                                       Foundation for
                              Enterprise               more Timely and
                               Routing ID               Efficient
                              Enterprise Access
                               Management                                    2
 Data Strategy in the Press

“The Right Data to the Right People at the Right Time”

                  From the January 2004 issue of “The Greentree Gazette” **

                                           “ FSA’s Data Strategy Initiative
                                           is likely to have a significant
                                           impact on FSA’s ability to serve
                                           its customers. Its objectives
                                           include an enterprise-wide
                                           policy for managing and storing
                                           data and an industry-wide
                                           standard for publication and
                                           dissemination. FSA Staff
                                           commonly refers to the critical
                                           nature of ‘getting the right data
                                           to the right people as the right

                                        ** This article is available for view and download on FSANet

   Data Strategy Desired Outcomes

The Data Strategy defines FSA’s enterprise data vision and strategy for how it will
  combine tools, techniques and processes to handle its enterprise data needs.
  Cross-Program Integration
      Business objective gathering sessions comprised of cross-channel business owners and
       the establishment of Standard Identifiers for Students and Schools

  Improved Data Quality
      Through the execution of a Data Quality Mad Dog and the creation and execution of a
       Quality Assurance and Implementation Plan

  Improved Organization and Distribution of Data
      Creation of an XML Framework and Internal and External Data Exchange Strategy
  Establish a Data Storage Strategy
      Data Warehouse and Data Mart Strategy
      Plan for organizing data to answer broader, deeper business questions
  Establish a Target Vision for FSA
      Develop and refine a conceptual business and data architecture that outlines a Target
       State Vision for the FSA Enterprise.

    Data Strategy Initiatives

Data Strategy has evolved into the integration of five core initiatives.
     Data Framework
        • As-Is and Target State Data Flows
        • Refine Target State Vision                                                              Right Data
        • Data Quality Mad Dog
        • Develop Quality Assurance Strategy
        • Implement Data Quality Assurance Strategy
     XML Framework
        • Develop XML ISIR
        • Develop XML Registry / Repository
        • Production Deployment of XML Registry / Repository

     Common Identification                                                                      Right People
        • Standard Student Identification Method
        • Routing ID
     Trading Partner Enrollment and Access
        • Enrollment and Access Management
     Technical Strategies
        • Data Storage, Web Services, Web Usage and FSA Gateway                                  Right Time
        • Web Consolidation Options                                                                    11 12 1
                                                                                                    10         2
        • Enterprise Analytics Architecture and Operating Guidelines                                9           3
                                                                                                     8         4
                                                                                                        7 6 5

Plain text bullets are initial Data Strategy Scope, Italics represent Data Strategy 2.0 scope.
  Data Strategy Approach

            Vision                                 Target State

     Gather          Strategic                 Target            Target
    Business           Focus                    State             State
   Objectives                                   Draft          Refinement   Roadmap
                                                                            Implementation   Strategy
                As-Is              Quality
                                                     Data Strategy
                                                    Team Findings
                                                      And Input
                     Current State

 Gather Desired Outcomes and Current State

 Create and Refine the Target Vision to reflect Enterprise Data and Process Usage

 Facilitate Paradigm Shift from Current to Target State

Current State Confirmation

    Entity Flow

                             Current State Overview

    Data Flow
Evolution to the Target State Vision

A target state outlines the vision to achieve integration

                                                                                                                                                                                                                                                                    FSA Strategic Objectives
                                                                                                                                                                      Integrate FSA systems and
                                                                                                                                                                        provide new technology                                                   Reduce program administrative             Improve human capital            Improve products and services to provide better customer
                                                                                                                                                                               solutions                      Improve program integrity                     costs                              management                                           service

                                                                                                                                                                                                                                                                      Core Business Driver

                                                                                                                                                                                                               Find the Right Balance Between Efficient Delivery & Effective Oversight
                                                                                                                                                                                                                                                                    Core Business Outcomes

                                                                                                                                                                                                                                                   Maintain Right & Effective Levels of Oversight Through
                                                                                                                                                                   Provide Easier Access to Make it Easier for Our Customers to                                                                                                Run the Business to Enable Right Actions, Right
                                                                                                                                                                                                                                                     Combination of Enhanced Tools & Customer Self-
                                                                                                                                                                                      do Business With Us                                                                                                                             Transactions to the Right People
                         Making the Right Information Available at the Right

                                                                                                                                                                  Easy customer access to required information throughout the                                                                                                Ability to proactively inform regulatory and statutory
                         Support Effective & Informed Decision Making by

                                                                                                                                                                                                                              Easy and timely access to required oversight information
                                                                                                                                                                                        delivery cycle                                                                                                                                               changes

                                                                                                                                                                   -CSID implementation across the lifecycle                                       -Enterprise (cross-functions) information and analysis                   -Simplify programs through proactive informing to policy
                                                                                                                                                                                                                                                                                                                            and legislative processes                                            Awareness                           Application                    Origination                         Disbursement                                Servicing
                                     Time to the Right People

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       Proc e s s Pha s e
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Borrowe r c y c le
                                                                                                                                                                   -RID implementation across the lifecycle                                        -RID implementation across the lifecycle

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Applic a nt/ Life -
                                                                                                                                                                   -Better common loan identification                                              -Customer centric buildup for schools across the lifecycle
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Aid Awar eness & Application                                                             Deliver y                                                                                                              Ser vicing
                                                                                                                                                                   -Provide an integrated, cross-lifecycle, web-delivered customer                 -Delivery partner access to information to support self-                                                                                                                                                                                                                                                                                                                                                                                                                                                         Par ticipation
                                                                                                                                                                   view that is system independent                                                 monitoring and decision making
                                                                                                                                                                      -Customer centric buildup for students across the lifecycle
                                                                                                                                                                   -Provide information to prospective students                                                                                                                                                                                                      Application                                            Or igination                                                   Com m on Ser vices
                                                                                                                                                                                                                                                                                                                                    Actionable data to drive decision making                                                                                               & Disbur sem ent                                                  for Bor r ower s                                                     Aid Educ a tion                             Subm is s ion              Eligibility                                                                                                             Re pa y m e nt                       o
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Cons olida ti n        Colle c tions
                                                                                                                                                                                                                                                                                                                            -Right data available at right time and organizational
                                                                                                                                                                                                                                                                                                                            agreement about what is required and when
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Stude nt Aid o t e Web
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    Ca ll Ce nte rs
                                           Provide the Right Security, Tools, Systems, Architecture & Technology to Enable the Business to Achieve its Outcomes

                                                                                                                                                                                          Self-service capabilities                                        Efficient, automated oversight capabilities                      Deployment of technology solutions to meet program
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Inbound Payment Processing               Default Aversion
                                                                                                                                                                   -Clear indication of aid status displayed throughout the enterprise             -Support analytic approach to oversight/problem                          -Timely delivery/deployment of systems                           Application Processing                                   Award Processing                                                                                                                                                                                     Ca s e Tra c king         Re c omme n  d            Ac quis ition &          Enter pr ise Analytics and Resear ch                                 Enterpris e Pe     a
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           rform nc e
                                                                                                                                                                                                                                                   identification, decision making, policy and legislation
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           (Om buds m a   n)         Polic y Cha n s
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  ge          Pla nning Stra gy
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            te                                                                                              e t
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                M a na ge m n                         Ana ly tic s
                                                                                                                                                                                                                                                                                                                                                                                             - Electronic Processing                                                                                                      Consolidations

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  a d
                                                                                                                                                                                                                                                   through data, information and tools

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   Ente rpris e Sh re
                                                                                                                                                                   -Provide enrollment status via the web                                          -Support audit functions to track access to FSA systems                  -Analytic approach to system changes
                                                                                                                                                                                                                                                                                                                                                                                             - Paper Processing & Fulfillment                         School Payments (Pass-Through)                                                                            Performance                                                                                                                                                              Au
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Se n d /Re c e ve fro Ma tch n g AgGe n e ra te /Di t i b t I IR/ AR i t Ch e ck Hi s d i t

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           Ente rpris e Sh re
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             Ena ble rs                                               i      m      i        ci
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           en es          s r ue S S d  Cre                                              n t ri g
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Tra n s fe rM o i o n                       m s ry e
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       Pro c e s s Pro i so No t s                        p rti     EL   mp s     SSCR
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Se rv i c i n g Re o n g (FF & Ca u Ba se d)

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Func tions
                                                                                                                                                                                                                                                   and data.
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Mgmnt*                                                                                                                                                                        to ry
                                                                                                                                                                   -Maximize access to available resources                                                                                                                                                                                                                                             - Student Based Pymnt Calcs                                        Loan Assignment Processing                                                            EAI s                                                                                                                       Com m on Data Ar chitectur e

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              Func tions
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              Ent er pr i e
                                                                                                                                                                                     Automated business processes                                                                                                            Clearly defined ownership and management of data                                                                          - Payments & Tracking                                                                                                                                        i o
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               Appl at i n
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               I nt egr at n
                                                                                                                                                                                                                                                                                                                                                                                             Applicant/Recipient Eligibility                                                                                              Death, Disability & Bankruptcy                                                                                                                                                    Stu d e n ts          Tra d i n g                                                      Wa re hous e t Ma
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               /Da a rts
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        FM S
                                                                                                                                                                   -Uniform business rules across systems                                                                                                                   -Ownership and definition of shared data                                                                                                                                                                                               Delinquency                                    ITA e                                                                                                           Pa rtn e rs
                                                                                                                                                                   -Common edits                                                                                                                                            -Define data related standards (including XML standards)
                                                                                                                                                                                                                                                                                                                                                                                             - Electronic Processing                                   Disbursement                                                                                                                                             I nt egr at d                                                                                                  i n
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    Tran s a c t o s
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Accounting                               Mgmnt                                               c
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Techni al

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          a d
                                                                                                                                                                   -Automate internal/system interfaces                                                                                                                                                                                      - Paper Processing/Fulfillment                            Processing                                                                                                                                              Ar chi ect ur
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     t      e
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Ed i t Ch e c ks SSIM L o g i
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    c      M a tc h Ag i st CDA (F Di s tri b u te El g i i iCo m p u ta t o n Ed t - EF M a p p i n Au th e n ti ca t o &Acc e M a a ePan e r Pa yme n Ca l cu a t o /P Po CDRn
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      an          AH)               i bl t   y           i       is    RID
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        C           gs               i n       ss n g me rtn
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          t            t                     l ti
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               l i n re p u a o
                                                                                                                                                                   -Single, secure external gateway for file exchange
                                                                                                                                                                   -Automate identity and management processes
                                                                                                                                                                                                                                                                                                                                                                                                                                                       Funding Level Management                                           Borrower Refund Processing                Collections
                                                                                                                                                                   -Configure security to minimize and simplify user interfaces
                                                                                                                                                                                                                                                                                                                                                                                                                                                        - Award Processing                                                                                                                                       VDC
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 Vi t ual
                                                                                                                                                                                                                                                                                                                                                                                             Performance Mgmnt*                                                                                                                                                                                                D a C e
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                at     ent r                                 Application                           Or igination & Disbur sem ent                                                                                           Com m on Ser vices for Bor r ower s
                                                                                                                                                                                                                                                                                                                                                                                                                                                        - Calc & Monitor Funding Chngs

                                                                                                                                                                                                                                                                                                                              Consistent and accurate data across the enterprise
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    Aid        Es ta blis h Aid Eligibil ty
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       i                         Awa rd & Dis burs m Sc hool Aid P y e &
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   e ent         a m nts                                                                                   Se rv ic e                Re
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Cons olida te c ov e ry &
                                                                                                                                                                                                                                                                                                                            -Continuous data quality verification                                                                                                                                                                                                                                            ut        in
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            A hent i cat o &      Awa re ne s s Pe c ord De te rm ina ti n
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   rs on               o                             Proc e s s ing   Funding Le e Mgm
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 v l   t                                                                                   Loa ns         Loa ns     Re s olution CSB
                                                                                                                                                                                                                                                                                                                            -Establish and follow common data definitions to facilitate                                                                P-Note Processing                                                                                                                                      Access Tools
                                                                                                                                                                                                                                                                                                                            the exchange of data internally and externally                   Student Authentication & Access Mgmnt                                                                                        Student Authentication & Access Mgmnt
                                                                                                                                                                                                                                                                                                                                   Maintain appropriately secured information
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  Applic a tion Pa rtne r            Tra ding Pa rtn rM a ge e
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    e    na m nt                                  b i Re            p
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    Pa rtne r Eligi il ty la tions hi
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 B ness
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  usi                                                                              Proc e s s Enrollm e nt                                                           & Ov e rs ight       M gm t
Core Business Enablers

                                                                                                                                                                                                                                                                                                                            -Defined, secure access points
                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Par tner Managem ent                                                                                                                          g e s
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            I nt el l i encTool

                                                                                                                                                                                                                                                                                                                               -Right access to right person/entity at right                       Application for Participation                                                                                                    Oversight                                                                                                                                                                                 e t
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              Pa rtne r Pa y m n Pa rtne r Pa y m n Ma g m n
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 e t na e e t                           Pa y Age nc
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Sta te m e nt y
                                                                                                                                                                                                                                                                                                                                point in time                                                                                                                                                                                                                                                                                                                                                                      Adm in                                                              Proc e s s ing
                                                                                                                                                                                                                                                                                                                                 Flexible standards, technologies and services
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     - Closed School Processing                                              nci      e ie
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            A l l ar ySr vcs
                                                                                                                                                                                                                                                                                                                                                                                                   Partner Eligibility                                           Enrollment/Access Mgmnt                                             - Ongoing Monitoring                                                                                                                                            AR M a na ge m nt
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   e         Proc e s s          Funds & Inte l
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             rna        Financial Managem ent                    Ex te rna l Fi a n i l Budge ting
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              n ca                             GL
                                                                                                                                                                                                                                                                                                                            -Balance between COTS procurement and enterprise
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             Pa y m e nts          Controls                                                         Re porting                              Ac c ounting
                                                                                                                                                                                                                                                                                                                            technology standards                                                                                                                                                                                     - Risk Management
                                                                                                                                                                                                                                                                                                                                                                                                  Participation Management                                           Performance Mgmnt*                                              - Oversight Reviews/Actions
                                                                                                                                                                                                                                                                                                                            -Define data access authorization standards                                                                                                                                                                                                                                                                                                                                                                         FSA Gateway
                                                                                                                                                                                                                                                                                                                            -Infrastructure capacity that is secure, scalable and flexible
                                                                                                                                                                                                                                                                                                                            to meet the changing needs of FSA
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     - Accountability For Funds
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Sc hools Port l
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     - Default Rate Calculations
                                                                                                                                                                  System-independent, integrated services to customers across
                                                                                                                                                                                                                                                                                                                          Tailored and relevant business services for all customer                                                                                                                                                                                                                                                                                                                                                                             rtne orta
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Fina nc ia l Pa rs P l
                                                                                                                                                                                          the lifecycle                                                          Effective and balanced oversight
                                                                                                                                                                                                                                                                                                                                             lifecycle activities
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     He lp De s k

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Pa rtne rs &
                                                                                                                                                                   -Right time data exchange between systems

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Se rv ic e rs
                                                                                                                                                                   -Right time data exchange with delivery partners

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       Tra ding
                                                                                                                                                                   -Easier and more accurate external exchanges that meet the                                                                                                                                                                       Bulk Payment Calcs                                          Par tner Paym ent Pr ocessing
                                                                                                                                                                   needs of delivery partners
                                                                                                                                                                                                                                                                                                                                                                                                     - ACA Payments to Schools                                                                                                       Payments & Tracking                                                                                                                                                                                                   Le nde rs (L e n d e r Se ce rs)
                                                                                                                                                                   -Easier for FSA to support customers by providing views across
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Sta te Age nc s
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             ie                                s
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         Sc hool ( Sc h o o l Se rvi ce )
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       rs                                           rvi                   Gua ra nty Age i s
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        nc e
                                           Improve & Integrate Business Processes Into Delivery Solutions

                                                                                                                                                                   the person and entity
                                                                                                                                                                      -Establish a common method and process for transition that is
                                                                                                                                                                   easy and accurate for administering trading partner enrollment
                                                                                                                                                                   and access to FSA systems and resources
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Other Exter nal Par tner s
                                                                                                                                                                   -Defined roles and responsibilities of FSA in supporting delivery
                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Suppor t Functions

                                                                                                                                                                   partners driven by what they need, what should be provided and
                                                                                                                                                                                                                                                                                                                                                                                             Financial Management                                                                                                                   Enterprise Performance Management                                                                                                                                                                                                                                                                                To-Be Financial
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 FM SS                                  Depar tm ent of Education                                            GAPS
                                                                                                                                                                   -Reduce reporting requirements (use the data we have)                                                                                                                                                                      - Accounting                                                                                                                           - Contract Management                                                                                                                                                                                                                                                                                            Aid Life Cycle

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Proc e s s
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Tra ding
                                                                                                                                                                                                                                                                                                                                                                                              - External Financial Reporting

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Pa rtne r
                                                                                                                                                                                    Standardized business processes                                Streamlined processes for routine oversight functions                    Actionable information to inform business processes
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     - Acquisition & Planning Strategy                                                                                                     Bus ine s s F tio
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        unc n                                                                             ai
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Pa rtne r Applic ton
                                                                                                                                                                                                                                                                                                                                                                                              - Funds Control                              Business Process Awareness                  Portfolio Data Management                     - Performance Analytics & Reporting
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  Inte rna l Tra fe r                                                                                                                                                                                                    DRAFT
                                                                                                                                                                   -Uniform business rules across functions                                                                                                                 -Include customer input and feedback
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  Ex terna l Tra fer
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                ns                                                                                                                                                                                                                    ine   e
                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     High-Le v e l Bus s s Vi w
                                                                                                                                                                   -Common edits                                                                                                                                            -Analytic approach to process changes
                                                                                                                                                                                                                                                                                                                                                                                              - Budget                                      - Counseling                                - Aggregated Recipient Data                                                                                                                                                                                                Origina tion &                                                   Ov e rs ight
                                                                                                                                                                                                                                                                                                                           Effectively & efficiently manage organizational financial
                                                                                                                                                                                                                                                                                                                                                                                                                                            - Awareness                                 - Program Analytics & Reporting                                                                                                                                                                                            Dis burs e m ent
                                                                                                                                                                                                                                                     Timely identification of risk-based non-compliance                                             well-being                                - Internal Controls
                                                                                                                                                                                                                                                                                                                            -Easier financial internal exchange
                                                                                                                                                                                                                                                                                                                            -Smarter contracting for customer service
                                                                                                                                                                                                                                                                                                                            -Strategic contracting/acquisition strategy supporting
                                                                                                                                                                                                                                                                                                                            business objectives
                                                                                                                                                                                                                                                                                                                             Right skilled/trained workforce aligned with business

                                                                                                                                                                                                                                                                                                                            -Maximize access to available resources
                                                                                                                                                                                                                                                                                                                                                                                                   Eligibility                       Participation                      Oversight                          Monitoring                            Management
                                                                                                                                                                                                                                                                                                                                Maximize effectiveness of program based goals

                                                                                                                                                                                                                                                                                                                            -Greatest return in collections
                                                                                                                                                                                                                                                                                                                            -Effectively deliver financial aid to recipients

                                                                                                                                                                  Assumption 1: It is presumed an Enterprise Plan will be in place to support the vision (resource allocation, budgeting, training, QA processes).
                                                                                                                                                                  Assumption 2: Customers are defined as Students, Schools, Financial Partners, DoED, FSA Employees, External/Internal Audit Groups, Delivery Partners and Budget Services.

                                                                                                                       FSA Integration                                                                                                                                                                                                                                                                                                                    FSA Business                                                                                                                                                                                                          FSA Enterprise Target
                                                                                                                      Vision Framework                                                                                                                                                                                                                                                                                                                     Architecture                                                                                                                                                                                                                State

                                                                                                                                                                                              Business architecture drives technology solution
     Data Integration Strategy

 Determine overall Data Integration Strategy by considering a Business Process
 and Data Integration Continuum.
   Business: System Focused                                                                      Business Process Focused

   Data:            Unique                                                                                      Integrated
   Cost:            Implement Lower, Operate Higher                                       Implement Higher, Operate Lower
                 Stand Alone                Common Data                   Shared Source                   Common Access

     Independent solutions             Independent solutions        Enterprise data, metadata,          Common data and
     No automated sharing                                           and business rules                  methods shared via
                                       Sharing of information       integrated in one database          Data Access Objects
     of information                    for analytical purposes in                                       (DAO) or Web service
                                       transactional system         Business process and
     Sharing only possible             acting as a warehouse        application workflow                Single System
     through one-off efforts                                        centrally controlled                Integrated Application
     to integrate for analysis                                                                          Suite and Data
     & research                                                     Operational Data Store
                                                                    (ODS) used to feed DW
Target State Vision

 Data Quality Mad Dog and Methodology

Improving Data Quality results in better information enabling better decisions.

                                        Data Quality “Mad Dog”
                                         highlights the high priority data quality
                                         issues facing FSA data owners and users.

                                        Data Quality Assurance Strategy
                                         plan for the continual improvement of FSA
                                         data quality and the maintenance and
                                         refinement of data across the enterprise.

                                        Key Concepts
                                           • Fewer data stores = less redundancy
                                           • Standardized Definitions and
                                             Terminology via XML Framework

 XML Framework

            FSA will use XML, via a single set of enterprise and
            community standards, to simplify and streamline
            data exchange across postsecondary education.

 Data Exchange Standard – Standardize                                                          XML Maturity Model for FSA
  FSA’s data exchange using XML as the                                                                                                                                  Managed/
  data exchange technology standard.                            Initial                                   Repeatable                       Defined

 Consistent Accurate Data – The
                                                    - Ad-hoc development.                          - Some defined processes.       - Processes are well defined   - There is a cycle of
                                                    - Occasionally chaotic.                        - Tracking of cost, schedule,     and documented.                continuous improvement to
                                                    - Few defined processes.                         and functionality.            - Both functional and            the processes.
                                                    - Rely on individual efforts.                  - Application of lessons          technical processes are      - Innovative ideas and
  framework will define data standards, as                                                           learned.                        addressed.
                                                                                                                                   - Standards are set and
                                                                                                                                                                    technologies are introduced
                                                                                                                                                                    and integrated with the

  XML Core Components, for data exchange                     Basic Schema
                                                                                                         Intermediate Schema
                                                                                                             Development                     XML Vision

  to achieve consistent and accurate data.                      (COD)

                                                          Basic Internal XML

                                                                                                                                       XML Core Components
                                                                                                                                                                      XML Core Components

 Data Cleanup and Maintenance – Enable
                                                                                                       Initial Component-based                                          Data Reconciliation
                                                          Message Exchange                                                                  Analysis and
                                                                                                        Schema Development                                                 and Cleanup
                                                              Capability                                                                Definition Standards

  data cleanup and maintenance activities.                Basic External XML
                                                          Message Exchange
                                                                                                       Analysis of ISIR and COD
                                                                                                      Schema modeling concepts
                                                                                                                                     XML Messaging Document
                                                                                                                                       Assembly Standards
                                                                                                                                                                     XML-based Web Services

 Standard Data Tools and Processes –                                                                 Discussion and analysis of
                                                                                                        Schema approaches to
                                                                                                       determine best practices
                                                                                                                                       XML Toolset Standards
                                                                                                                                                                      Presentation Capability

  Establish standard data tools and                                                                                                    Registry and Repository
                                                                                                                                                                      XML-based Messaging
                                                                                                                                                                         Business Rules

  processes, to support consistently
                                                                                                                                                                       and Edits Standards

                                                                                                                                                                       Centralized Parsing /
                                                                                                                                         Initial Governance

  performed data/XML modeling.                                                                                                                Standards
                                                                                                                                                                       Processing Facilities
                                                                                                                                                                          and Standards

 System Flexibility – Provide system
                                                                                                                                          Coordinate With               Message Validation
                                                                                                                                        Other XML Initiatives              Standards

  flexibility to simplify future interface                                                                                           XML Technical Knowledge

  changes and support new application and        * Each level builds upon the principles of the previous levels.

  data exchange requirements, through XML-   Last Updated: June 25, 2003

  based data modeling.                                                                                                                                                                            12
 Standard Student Identification Method (SSIM)

The Standard Student Identification Method seeks to establish a simple framework by
which FSA and Delivery Partners can consistently identify students/borrowers across
all phases of the Student Aid Lifecycle.                                                          FSA

                                                                                                                        SSIM Matching

                                                                                                                                                          SSIM Matching

                                                                                                                                                                                          SSIM Matching

                                                                                                                                                                                                                         SSIM Matching

                                                                                                                                                                                                                                               SSIM Matching
                                                                                                                        Algorithm Logic                   Algorithm Logic                 Algorithm Logic                Algorithm Logic       Algorithm Logic
                                                                                                                                      Valid                             Valid                        Valid                             Valid              Valid
                                                                                                                        Alias                             Alias                            Alias                         Alias                 Alias
                                                                                          For flow of student           Table
                                                                                                                                                                        Edits              Table
                                                                                          records through the
                                                                                          from one FSA system
                                                                                          to another

                                                                                                                                                                                              SSIM Data Changes and
                                                                                                                                                                                              Corrections for Students

                                                                                          Centralized Routing

                                                                                          For changes and
                                                                                          corrections to                                                                              SSIM Centralized Routing (EAI)

  Key Identification Problems in the Current Environment
                                                                                          student SSIM data                                                                     Correction Processing and Error Notification
                                                                                          that must be
                                                                                          across the enterprise

                                                                                                                  Files containing SSIM change records
                                                                                                                  and error notifications

                                                                                                                  Student files progressing through FSA

        Unique customer records can be inappropriately merged creating privacy concerns.
        A customer’s records cannot be linked appropriately preventing FSA from viewing data
         about a customer across all phases of the lifecycle.

  Three-Pronged SSIM Solution:
  Each part leverages effective, proven identifier solutions already being used in some parts of the
  FSA lifecycle. Roll-out of these tools and processes consistently shall tighten controls and
  improve data integrity/consistency.

  1.   Primary Identifier Verification with the Matching Algorithm: The primary identifier is the Social
       Security Number, verified through enterprise-wide business rules and tolerances with additional
       data fields: First Name, Date of Birth, and Last Name.
  2.   Additional SSA Verification: When new, unverified identities enter the FSA systems, it is
       appropriate to compare the record with the Social Security Administration.
  3.   Consistent Correction Processing and Error Notification

Routing ID (RID)


   Management      RID Provisioning
                                                RID                  Attribute       Relationship
                   and relationship          Management             Management       Management
                                             Generate RID           Add/Maintain        Assign
                                                                     Attributes      Relationships
    Management     Trading Partner           Add/Maintain      Identity Manage         Maintain
                   entity and relationship      Roles                  Identifiers
                                                            information,             Relationships
                   information for Access                    credentials,
                   Management                               access rules
   and Delivery      Attribute and           Audit                    Reporting

                                                             Communicate RID Data

    Enrollment & Access Management (EAM)

•   Manage security functions across environments and platforms                        • Reduce number of User IDs and passwords for
•   Reduce the number of passwords (simplified sign-on)                                  web based applications (Single Sign-On).
•   Provides self-service functions (registration, password reset, etc.)               • Provide tools to implement Web Services
•   Allow delegated security administration of selected tasks                            Security standards.
•   Synchronizes passwords across multiple systems and platforms                       • Provide flexible authentication methods for web

                                          Enrollment                                           Access Management

                                                                                       Identity                            Access
                                         Consolidated                                Management                            Control
                      RID                Data Data
                  provisioning           Collection
                                                                                     Enterprise User                         Web
        RID                                                                          Administration                      Authentication
                                         Eligibility & &
                                              Approval                 Enrollment                         Identity
                                         Process                       information                     information,
                                                                                     Delegated          credentials,     Authorization
                                                                                     Administration    access rules
    • Provide single                                                                                                   Authorization
      management point                  Partner
      for enrollment data                    Partner
    • Manage security at
      the enterprise level.
    • Eliminate
      specific or system-                        Eligibility and approval                                         User provisioning
      specific anomalies                               information                                                   and account
                                                                                                                  configuration data
      in user sign up or
      user permissions.
                                                                Enrollment & Security Workflow

                                                 • Automate enrollment and access data flow between systems
                                                 • Route requests and manage approval processes
Integrated Partner Management System (IPMS)

                                                                            Integrated Partner Management Framework
      (Schools, Guaranty Agencies, Lenders, Third Party Servicers, State Agencies, Software Developers and Auditors)

                                                                           Enrollment          Eligibility            School On-Going            Financial Partner On-
                                                                          Management          Management                 Oversight                  Going Oversight
                                                                          Integrated         New Trading          Program Eligibility             Program Eligibility
                                                                           Application         Partner               Oversight: Audits,               Oversight: Audits,
          Web                                                              and                 Applications          financial statements,            financial
       Application                                                         Enrollment         Initial RID           default rate calculations        statements,
       Interfaces                                                          Processing -        Assignment           Compliance Reviews:             Compliance
                                                                           Process            Re-                   Risk assessment,                 Reviews: Risk
                                                                           Requests,           certifications        accreditation, student           assessment,
                                                                           Determine          Program               complaints, funding              referrals
                                                                           Access              Participation         parameters, referrals           Appeals
                                                                          Institution-        Management           Appeals                         Proactive Oversight,
                                                Data Access Service

                                                                           level System
                     Integrated View Services

                                                                                              Appeals              Proactive Oversight,             Monitoring, and
                                                                           Enrollment         Proactive             Monitoring, and Support          Support
                                                                           and Single          Eligibilty                                                                    Enterprise
                                                                           Sign Up             Management
                                                                           (SSU)                                                                                               Routing
                                                                                              Eligibility                                                                    Identifier
         Portals                                                                               Actions (FPRD,
                                                                                               Fines, LOC,
                                                                                               LS&T,                                                                          Services

                                                                                                  Profile & Demographics Management

                                                                                                          Demographics Management
         FSA                                                                                              Relationship and Affiliation Management
        Gateway                                                                                                     - Enterprise RID Management

                                                                                                             Access Management

                                                                                                          Individual User Access Management
                                                                                                          Roles based Single Sign On (SSO)
                                                                                                          Trading Partner Self-Administered Access
                                                                                                             Customer Support
                                                                                                  Workflow & Document Management
                                                                                                         Reporting & Audit Services
                                                                                                            Enterprise Analytics
                                                                                                   FSA; Other Government Agencies

                                                                                   = User Access Points
Technical Strategies

Internal Data Exchange
The way in which internal systems transmit and receive data with one
another, including the type/format of data exchanged.
 Qualities and Features:
  Improve business services accessibility
  Enable standards based access and communications

Web Usage (Portals)
Customer experience and data exchange through the Students Portal,
Schools Portal, Financial Partners Portal and other FSA websites
 Qualities and Features:
  Access - The individual user groups’ ability to access various FSA
   websites and the login features that provide a unique user experience.
  Content Presentation – The FSA websites’ patterns for design layout and
   navigational structure including the use of graphics, links, fonts and colors.
  Content Management – The publication and distribution of web content
   including customization, personalization and search capabilities.
  Technical Architecture – How the FSA supporting architecture enables
   web content delivery through Web Application Servers and facilitating
   Web Services.
 Technical Strategies

Web Services
Software components that use open standard communication protocols to interact
with other applications over the Internet for service orientated architectures.
 Qualities and Features:
  Provide a straightforward, low entry cost mechanism for system-to-system interaction
   between trading partners.
  Based on a set of industry standard protocols and technologies available on all
  Support the reuse and extension of existing components/applications

External Data Exchange (FSA Gateway)
The means by which FSA extends Enterprise data and business capabilities to
trading partners
 Qualities and Features:
  Extending FSA Enterprise data and business capabilities to the external community.
  Provide single virtual entry point for exchanging data with external trading partners.

 Technical Strategies

Data Storage, Management and Access
The technical components and business processes that define the ability to collect,
analyze, access and disburse data.
 Qualities and Features:
      Data Architecture – The technical enabler for data             Business Intelligence
       storage, management and access to enterprise
      Data Warehouses – A collection of data designed to          Data Mining       Data Analytics
       support enterprise data relationships. Data warehouses
       contain a wide variety of data that present a coherent
       picture of business conditions at a single point in time.                 Data
      Data Marts – A database or collection of databases,
       designed that contain a “slice” of data for a specific             Data Warehouse
       business view or purpose.
      Data Mining– Database applications that facilitate data          Data Architecture
       investigation and pattern discovery.
      Data Analytics – The process of analyzing different
       dimensions of data to facilitate forecasting and trend

Data Strategy Key Findings To Date

 The Data Strategy teams have confirmed several key findings:

  Data should be organized by business process, not by system.

  Providing data access to business experts is the key component of
   improving the enterprises’ ability to make informed business decisions.

  Verified that using a Matching Algorithm with SSN, First Name, Last
   Name, and DOB is the most flexible and tolerant way to identify

  Need to develop an single Enterprise solution for all Trading Partner
   Identification and Access.

  “As-Is” Data Flow Discussions have facilitated a broader understanding of
   End-to-End Business Processes across all FSA program areas.

Data Strategy 2.0

Where We Are

   Gathered Business
   Drafted Target Data Flows                              Student, FAA,
                                                            & Financial
                                                           Partner Users
                                                                                                                        Web Access (G2C & G2B)

                                                                                                                 Student Aid
                                                                                                                                FSA Web Site

                                                                                                                                                                            FSA Target Conceptual Architecture Guiding Principles

                                                                                                                                                                       1. Shift to business process focus from system-based operation.
                                                                                                                                                                       2. Consolidate data to a centralized storage environment.
                                                                                                                                                                       3. Standardize interaction with external customers.
                                                                                                                                                                       4. Improve FSA architecture response to business change.
                                                                                                                                                                                                                                          Governance and
                                                                                                                                                                                                                                                                                        Internal Users

                                                                                                                                                   FP Services
                                                                                                                 on the Web         Services                           5. Eliminate redundancy to promote the reuse of business functions. Management

   Created a Vision of “What it
                                                                                                                    Portal           Portal

                                                                                                             Borrower                                                                                                                          Trading Partner and Internal User
                                                                                                         Access Management                                                                                                                           Access Management
                                                                                           Management                          Web Applications                                   Common Data Architecture                                                      Analytics and
                                                                                                                                                                                                                                                               Research Tools
                                                 Government                System Access                                                                                                                                                                            Views
                                                  Systems                   (G2G & G2B)
                                                                                                                Integration Services

    should look like”
                                                                                                                                                                                                                                                                   Query /                        (Interacts with
                                                                                                                                                                                                                                                                  Reporting                        all Business
                                                                                                                    Web Services                            Students                  Trading                        FMS                                                                             Capability
                                                                                                                                                                                      Partners                                                                      OLAP /
                                                                                                                                                                       Transactions                                                                                Analytics
                                                                                                                 Real-Time Transfer
                                                                                                                                                                                      Extract - Transform - Load                                                  Knowledge/
                                               School/Servicer                                                     Batch Transfer

                                                                           FSA Gateway
                                                                                                                                                                                                                                                                                   Enterprise Analytics and
                                                                                                                                                         NSLDS                                                                                                                            Research
                                                                                                                  Business Process
                                                                                                                                                                                                                        Enterprise Content
                                                                                                                    Management                      Warehouse/Data Marts                Metadata Repository
                                                   (Some Systems)

                                                                                                                                                                 Enterprise Shared Functions
                                                                                                                       Technical Functions                                         Business Functions
                                                                                                                     Capability Discovery                 Audit History                                Partner Payment Calculation/                                                 Common Services for
                                                                                                                                                          Authentication & Access Mgmt.                  Pre-Population                                                                 Borrowers
                                                                                                                     Data Tracing and Visibility          CDR                                          Process Promissory Notes
                                                                                                                                                          Computation Edits - EFC                      RID Legacy Identifier Crosswalk                                                                      CSB
                                                                                                                     Data Transformation                  Credit Check                                 Send/Receive from Matching Agencies
                                                                                                                                                          Distribute Eligibility                       Service Reporting (FFEL & Campus-
                                               Lender/Servicer                                                       Data Validation                      Edit Checks                                    based)
                                                                                                                                                          Generate/Distribute ISIR/SAR                 SSCR
                                                                                                                     Error Handling                       Match Against CDA (FAH)                      SSIM Logic
                                                                                                                                                                                                       Transfer Monitoring
                                                                                                                                                                                                                                                                                    Financial Management

                                                  Systems                                   Partner

What We Need To Do
                                                                                                                                       Trading Partner                                                                                       Origination and                          Payment Partner
                                                                                                                                        Management                                                                                           Disbursement                              Management

   Explore options for new questions raised during Target
    Vision Discussions and Retreats
   Implement XML Registry / Repository of Core
    Components to the Internet
   Enact the Data Quality Assurance Methodology for the
    Enterprise.                                                                                                                                                                                                                                                                                               21
Data Strategy 2.0 Functional Gap Activities

Data Strategy 2.0 Deployment Activities

                                                                Deploy XML Registry /
                                                                 Repository to the Internet
                                                                 • Makes FSA standardized
                                                                    Title IV Aid definitions and
                                                                    Core Components
                                                                    available for both FSA and
                                                                    Community usage
                                                                 • Provides a vehicle to drive
                                                                    consensus on data
                                                        Prioritization                 Assessment                 Improvement                     Oversight
                                                           Phase                         Phase                       Phase                         Phase

                                                           1. Verification of As-Is     1. Pre-Assessment           1. Solution Definition and    1. Enterprise Analytics
                                                              State and Quality            Planning (As-Is)            Assessment Stage              Stage
                                                              Issues Stage                 Stage                    2. Data Quality               2. Enterprise Audits


                                                           2. Determine Criteria        2. Initial Data                Implementation Pilot          (Financial) Stage

    Enact Data Quality
                                     PR O U M M A R

                                                              for Ranking Stage            Assessment Stage            Testing Stage              3. Enterprise Quality
                                                           3. Rank Quality Issues
                                      GE S

                                                                                        3. Pilot Testing Data       3. Data Quality                  Report Stage
                                                              Stage                        Assessment Stage            Implementation             • Transfer Report
                                         C ES

                                                           • Assign Project

    Assurance Strategy
                                                                                        • Transfer to                  Production Stage              results back to
                                                              Managers, request            Improvement Phase        • For pilot testing,             Prioritization Phase
                                                              further research, or

                                                                                                                       transfer back to
                                                              transfer to Enterprise                                   Assessment Phase,
                                                              Quality Assurance

    • Establishes Repeatable
                                                                                                                       otherwise go to
                                                              program                                                  Oversight Phase

                                                            • Quality Report              • Develop Business           •   Brainstorming              • Quality Report

       processes for identifying,                           • Failure Modes and
                                                              Effect Analysis (FMEA)
                                                            • Voice of the
                                                                                            Case, project plan,
                                                                                            and objectives.
                                                                                          • Create a
                                                                                                                           Decision Matrix
                                                                                                                           Risk Assessment
                                                                                                                                                        (High level

                                                              Customer (VOC)                communication plan.        •   Change Leadership            quality health-with

       correcting and maintaining                           • Quick Win                   • Document Inputs and        •

                                                                                                                           Implementation Plan          drill down for
                                                              Determination                 Outputs.                   •   Pilot testing                quality issue/or
                                                            • Cost of Poor Quality        • Voice of Customer /        •   Control and Response         system level)
                                                              Analysis                      Critical to Quality            Plan                       • Best Practice

       data within the Enterprise                                                         • Histograms, Pareto
                                                                                          • Fishbone Diagram,
                                                                                            Failure Modes and
                                                                                                                                                        analysis and

                                                                                            Effect Analysis
                                                                                          • “To-Be” Vision


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