A Practical Guide to Enterprise Architecture by donovantatehe

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									 A Practical Guide to Enterprise
          Architecture




Brett Bobley, CIO, National Endowment for the Humanities
          Co-Chair, Small Agency CIO Council
                   bbobley@neh.gov
                   Introduction
 My goal is to show you how a small
  agency/bureau can easily create a useful
  Enterprise Architecture (EA) that will help you
  plan for the future.
 For the purposes of this demonstration, I will be
  using examples from my CY2001 EA.
 Why am I using an old version of my EA? In
  order to demonstrate that an EA really works!
  As of 2004, I have already reached the goals in
  my 2001 target architecture.
        Step 1: What is Your Mission?
 What does your agency/branch/whatever
  actually do?
 Don't describe it in computer terms.
 Do your best to describe it from a business
  perspective.
            Step 1: Mission Example

   Example: At the NEH, our core mission is
    making grants. Accomplishing this mission
    involves advertising our grants, receiving
    applications, reviewing them, making awards,
    and doing post-award tracking.
        Step 2: Put Together a Team
 Doesn't have to be huge! <g>
 But you need to get the key players from your
  business together in a room to have good
  discussions.
 Don't forget that you'll need people from both
  program and administrative sides of the house.
 You need a combination of people from different
  levels of the agency. Often the secretaries know
  a lot more about the business process than your
  executives!
          Step 2: Team Member Examples
   For my EA, I got the following folks together for
    my team:
       Representatives from each grant-making program
        office.
       Reps from our Grants Management office.
       Reps from our Publications and Public Affairs staff.
       Reps from our Strategic Planning staff.
       Reps from our Administrative Services staff.
       Reps from our General Counsel staff.
       Our Deputy Chairman.
            Step 3: Customers

 Define your customers. Who are they?
 What do your customers need? What role do
  they play in your business?
 How do they interact with your agency?
              Step 3: Customer Examples
   The NEH's customers are scholarly institutions like
    universities, libraries, and museums.

   They interact with us as follows:
       They must learn about grant opportunities.
       They must fill out and submit grant materials.
       Those materials go through a merit review process.
       Some applications are awarded a grant. Some are not.
       Those awarded a grant will receive monies and will also
        complete certain post-grant tasks like submitting reports.
             Step 4: Business Vision
   You can use this step to talk about where you
    want to go. How might you improve your
    business going forward?
      Step 4: Business Vision Examples
 We want our customers to be able to apply
  online. This will be a big time and cost-saver for
  both the applicant and the agency.
 We want to replace many of our mail out peer
  reviews with online peer review. This will save a
  great deal of time, paper, and postage.
 We want to be able to create committee books
  automatically rather than having to manually
  assemble them from photocopied application
  materials. This will save weeks of work for our
  staff.
Step 5: Write up Your Baseline Architecture
   Now the fun begins!
   For the chosen mission area, figure out, step by
    step, your business process!
   Flow charts are an easy way to make this
    happen. (I used the lines and boxes in
    Powerpoint).
   Put your flowcharts up on a white board and ask
    your team to go through it step by step.
   I guarantee that you will learn new things about
    your business process you never knew before.
    Summer Stipends
    Flowchart

Page One                  Summer Stipends Flyers       Ad Placed in Chronicle        Information posted via
                                                                                     listservs

How the Applicant finds
out about the Summer              Department Chairs
Stipends program and
obtains the application
materials.                                            Newly Interested Scholar




                                           Requests Guidelines                Gets Guidelines from
                                           be Mailed                or        Web site




                                                        Scholar with Application
                                                        Material




                                                         Scholar is only eligible if he/she is:


                                              Nominated by                      Independent or
                                              Institution                or     Exempt




                                                   Scholar eligible to mail in
                                                   Application materials
  Summer Stipends
  Flowchart                                              Scholar eligible to mail in
                                                         Application materials
Page Two


The paper flow between               Scholar Mails in the following materials:     Referee Mails in the following materials:
the applicant, the NEH, and          Application Cover Sheet (Form)                Reference Letter Form (Form)
the panelists.                       Narrative (text)
                                     Sample (only for translations)
                                     Bibliography (text)
                                     Resume (text)



                                                       Stipends Team Opens Mail                         Rating Sheet sent back


                                                                  Is Application Complete?

                                                                  no               yes


                                                          Applications sorted into piles by discipline for panels.



                              IRM mails Acknowledgement                Application Entered into Wang,
                              letter to applicant                      app # generated



                                                   Reference letters copied, stapled to applications and filed in folders

                                                         Use Wang and WP to create a panel agenda document

                                                    Mail panelists large envelope with application materials

                                                       After 2 weeks, Mail panelists late arriving documents
                                                                                                                                 Panelist
                                                       After 1 month, panelists mail back rating sheets

                                                                          Panelists are paid
  Summer Stipends
  Flowchart                    Stipends Team
                               receives ratings from
                               panelists, and collates,
Page Three                     copies, and gives to
                               Panel Chair along with
                                                                Panel Chair (one of several)
                               pile of applications
                                                                 will now:
Once the ratings have been                                      •resolve splits
received from the panelists,                                    •call panelist to resolve typos/mistakes
this page shows how the                                         •meet with Program Officer to make
recommended applications                                        •final recommendations
are found and then placed
into the committee book.                                                                                         Program Officer
                                                                                                                 now has thee types of rec.:
                                                                                                                 1) Fund
                                                                                                                 2) Not fund
                                                                                                                 3) Borderline for Staff Review




                                                                       Staff Review Team
                                                                        (Prog. Off + 2 Chairs)
                                                                                                       Gives input   Division Director & Deputy
                                                                       Will now discuss and come to a
                                                                       consensus of who is recommended
                                                                       and who isn’t.
                                                                                                                          Grants Office


                                   Stipends Team                                                                          Division Directors
                                   Collects face sheets for the rec.
                                   applications. Assembles committee
                                   book consisting of:                                                                    5th Floor Staff
                                   •list of applicants by panel                  ASO Staff
                                   •face sheets of recommended app.              Makes bound copies
                                                                                                                          Program Officers
                                   •index                                        of committee book.
                                   •panelist rosters
                                                                                                                          Council Committee


                                                                                                                          General Counsel
  Summer Stipends
  Flowchart                      PreCouncil Team
                                 (Chairman, Deputy, Div. Directors,                                                   Division Staff
Page Four                        OSP, Office Heads, GC, Division
                                 Staff)
                                 They will read committee book and
                                 may flag some of the applications.
Once the committee book
has been distributed, flags
are found and eventually                                                    Council Committee Mtg
resolved. After the                                                         Discusses applications and
Chairman and post-council                                                   attempts to resolve flags. May
team makes final decisions,                                                 add their own flags.
letters are sent to notify the
applicants.




                                              Full Council
                                              Discusses and makes
                                              recommendations to
                                              chairman.




                                                                  Chairman & Post-Council
                                                                  Team
                                                                  Make the final decision on
                                                                  who to fund/not fund.




                                                 Funded Applicant                              Not Funded Applicant
    Step 6: Write up your Target Architecture
 Now take your baseline flowchart and have fun
  with it.
 Work with your team to explore ways of
  removing some of the boxes to make the
  process faster or less complex.
 With the end business goals in mind, brainstorm
  on ways in which you can dump the current
  process entirely and come up with a better one!
 Look at ways that technology can help you
  achieve these goals.
    Summer Stipends
    Flowchart

Page One                                        Info Sent via E-Mail                 Information posted via
                                                                                     listservs

How the Applicant finds
out about the Summer      Department Chairs
Stipends program and
obtains the application
materials.                                     Newly Interested Scholar




                                      Scholar reads application materials on the NEH
                                      website




                                                  Scholar with Application Material




                                                   Scholar is only eligible if he/she is:


                                        Nominated by                           Independent or
                                        Institution                    or      Exempt




                                              Scholar eligible to apply.
  Summer Stipends
  Flowchart                                            Scholar eligible to apply via
                                                       NEH website or via future
Page Two                                               interagency grants website

The paper flow between
the applicant, the NEH, and   Scholar fills in the following materials:               Referee sends in the following materials:
the panelists.                Application Cover Sheet (Form)                          Reference Letter Form (Form)
                              Narrative (text)
                              Sample (only for translations)
                              Bibliography (text)
                              Resume (text)


                                                     Data automatically entered
                                                     into grants database

                                                                   Is Application Complete?

                                                                   no                 yes



                                                                   System automatically generates app #
                                                                   and sends electronic acknowledgement
                                                                   letter to applicant.




                                                           Panels are formed and application materials and panel agenda
                                                           posted on the web for the panelists to read.




                                                           Panelist submit ratings online where they are automatically
                                                           entered into the grants database.
                                                                                                                                  Panelist

                                                                           Panelists are paid
  Summer Stipends
  Flowchart

Page Three
                                                     Panel Chair (one of several) now
Once the ratings have been                           have all the application and rating                Giv
                                                                                                           es i
received from the panelists,                         materials online. They will:                              nstr
                                                                                                                   ucti
this page shows how the                              • resolve splits                                                  ons
                                                                                                                             to P
recommended applications                             •resolves typos/mistakes                                                    ane
                                                                                                                                    l Ch
are found and then placed                            •meet with program officer to make                                                 air
into the committee book.                             final recommendations
                                                                             Give                                       Program Officer
                                                                                 s rec
                                                                                      omm                               now has thee types of rec.:
                                                                                         enda
                                                                                             tions                      1) Fund
                                                                                                                        2) Not fund
                                                                                                                        3) Borderline for Staff Review

                                                                                                            w
                                                                                                   r   revie
                                                                                              es fo
                                                                                        derlin
                                                                               Gives bor


                                                          Staff Review Team
                                                           (Prog. Off + 2 Chairs)
                                                                                                          Gives input          Division Director & Deputy
                                                          Will now discuss and come to a
                                                          consensus of who is recommended
                                                          and who isn’t.
                                                                                                    emo
                                                                                                  rm                                 Grants Office
                                                                                               ove
                                                                                           es c
                                                                                   ,   writ
                                                                                ook
                                                                         roves b                                                     Division Directors
                                                                      App

                                                                                                                                     5th Floor Staff
                               ASO Staff
                               Uses grants database to
                               print out copies of                                                                                   Program Officers
                               committee book. Due to
                               database, it no longer
                                                                                                                                     Council Committee
                               needs to be created by
                               hand.
                                                                                                                                     General Counsel
  Summer Stipends
  Flowchart                      PreCouncil Team
                                 (Chairman, Deputy, Div. Directors,                                                                           Division Staff
                                 OSP, Office Heads, GC, Division                                                                          o
Page Four                                                                                                                              inf
                                 Staff)                                                                                          ore
                                 They will read committee book and                                                            edm
Once the committee book          may flag some of the applications.                                                         ne
                                                                                                                        May
has been distributed, flags
are found and eventually
resolved. After the                                                                    Council Committee Mtg
Chairman and post-council                                                              Discusses applications and
team makes final decisions,                                                            attempts to resolve flags. May
letters are sent to notify the                                                         add their own flags.
applicants.
                                                                                   n
                                                                               otio
                                                                           al M
                                                                        Fin



                                                Full Council
                                                Discusses and makes
                                                recommendations to chairman.




                                                                       Chairman & Post-Council Team
                                                                       Make the final decision on who
                                                                       to fund/not fund.




                                                    Funded Applicant                                          Not Funded Applicant
         Step 7: Technology Forecast
 Once you have a target architecture you are
  comfortable with, it is time to get "real" and look
  at how you might accomplish this.
 In your technology forecast section, you can
  describe your baseline technology and then talk
  about where you'd like to go to get to your target
  architecture.
    Step 7: Technology Forecast Example
 We currently use a Wang mainframe for storing
  grants data. It doesn't speak to other
  computers, so we can't exchange data with the
  web or export data to any modern COTS tools.
 We want to move to a platform that can talk to
  websites, that can use web services and XML,
  and can allow us to import/export data to other
  products.
              Step 8: Standards Profile
   In this section, you'll get a little more specific and
    talk about the technology standards you use at
    your agency and what you'll be using to get to
    your target architecture.
       Slide 8: Standards Profile Example
   At this time, we're moving away from the Wang
    mainframe. We are standardizing our
    databases on SQL Server; our web servers on
    Internet Information Server; ASP.NET as our
    web programming environment; Crystal Reports
    for reporting.
         Step 9: Sequencing & Migration
   Now for the actual plan for getting to our goal!
   Lay out a timeline of milestones in order to reach
    the target architecture.
   Don't be super-detailed. You will later expand
    on these milestones in your IRM Strategic Plan,
    your business case, and other documents.
   Keep it simple. This document will be useful
    when it comes time to brief OMB, your budgeting
    office, your upper management, etc.
   The idea is for all your team (and your agency)
    to get behind this plan as an important strategic
    goal.
Step 9: Sequencing & Migration Examples
   Complete testing for SQL based grants
    database and begin processing live data.
       Once conversion is complete, we will be able to
        import/export data to e-grants systems on the web.
   Complete testing of electronic grants website.
       Ensure that applications can be properly filled out and
        imported. Work with customers to ensure it meets
        their needs.
   Begin accepting electronic grant applications for
    1 - 2 test programs.
       Concentrate first on those with simpler requirements.
        Get best bang for the buck.
       Step 10: Risk and Gap Analysis
 What are the risks, issues, and gaps that might
  throw up roadblocks?
 By documenting these risks, you'll be able to
  come up with ways of mitigating or even
  eliminating them.
          Step 10: Risk Analysis Examples
   Collecting Information Electronically
       Some parts of the application will be easy to receive
        electronically (like the narrative or cover sheet). But
        what about videotapes? Or catalogs? Or books?
        What policy decisions might have to be made to deal
        with this mixture of analog and digital application
        submissions?
   Certification of Applicants
       Currently, applications are certified by an institution
        via a pen and ink signature. How will we handle this in
        the digital domain? We must work with general
        counsel to ensure digital signature is used
        appropriately.
                  Questions??
 Contact me at:
 Brett Bobley, bbobley@neh.gov


 Slides and materials available at:
 www.neh.gov/whoweare/cio.html

								
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