GCN Enterprise Architecture Presentation

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GCN Enterprise Architecture Presentation Powered By Docstoc
					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
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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
How the Applicant finds out about the Summer Stipends program and obtains the application materials.
Summer Stipends Flyers Ad Placed in Chronicle Information posted via listservs

Department Chairs

Newly Interested Scholar

Requests Guidelines be Mailed

or

Gets Guidelines from Web site

Scholar with Application Material

Scholar is only eligible if he/she is: Nominated by Institution Independent or Exempt

or

Scholar eligible to mail in Application materials

Summer Stipends Flowchart Page Two
The paper flow between the applicant, the NEH, and the panelists.

Scholar eligible to mail in Application materials

Scholar Mails in the following materials: Application Cover Sheet (Form) Narrative (text) Sample (only for translations) Bibliography (text) Resume (text)

Referee Mails in the following materials: Reference Letter Form (Form)

Stipends Team Opens Mail Is Application Complete?

Rating Sheet sent back

no

yes

Applications sorted into piles by discipline for panels.

IRM mails Acknowledgement letter to applicant

Application Entered into Wang, 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 Page Three
Once the ratings have been received from the panelists, this page shows how the recommended applications are found and then placed into the committee book.

Stipends Team
receives ratings from panelists, and collates, copies, and gives to Panel Chair along with pile of applications

Panel Chair (one of several)
will now: •resolve splits •call panelist to resolve typos/mistakes •meet with Program Officer to make •final recommendations

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 Will now discuss and come to a consensus of who is recommended and who isn’t.

Division Director & Deputy

Grants Office Stipends Team
Collects face sheets for the rec. applications. Assembles committee book consisting of: •list of applicants by panel •face sheets of recommended app. •index •panelist rosters

Division Directors 5th Floor Staff ASO Staff
Makes bound copies of committee book.

Program Officers Council Committee General Counsel

Summer Stipends Flowchart Page Four
Once the committee book has been distributed, flags are found and eventually resolved. After the Chairman and post-council team makes final decisions, letters are sent to notify the applicants.

PreCouncil Team
(Chairman, Deputy, Div. Directors, OSP, Office Heads, GC, Division Staff) They will read committee book and may flag some of the applications.

Division Staff

Council Committee Mtg
Discusses applications and attempts to resolve flags. May add their own flags.

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
How the Applicant finds out about the Summer Stipends program and obtains the application materials.
Info Sent via E-Mail Information posted via listservs

Department Chairs

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 Institution Independent or Exempt

or

Scholar eligible to apply.

Summer Stipends Flowchart Page Two
The paper flow between the applicant, the NEH, and the panelists.

Scholar eligible to apply via NEH website or via future interagency grants website

Scholar fills in the following materials: Application Cover Sheet (Form) Narrative (text) Sample (only for translations) Bibliography (text) Resume (text)

Referee sends in the following materials: Reference Letter Form (Form)

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
Once the ratings have been received from the panelists, this page shows how the recommended applications are found and then placed into the committee book. Panel Chair (one of several) now
have all the application and rating materials online. They will: • resolve splits •resolves typos/mistakes •meet with program officer to make final recommendations

Giv es i nstr ucti ons

to P ane l Ch air

Give s rec omm enda tions

Program Officer
now has thee types of rec.: 1) Fund 2) Not fund 3) Borderline for Staff Review

r es fo derlin s bor Give

w revie

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

Division Director & Deputy

, ook es b rov App

emo rm ove es c writ

Grants Office Division Directors 5th Floor Staff

ASO Staff
Uses grants database to print out copies of committee book. Due to database, it no longer needs to be created by hand.

Program Officers Council Committee General Counsel

Summer Stipends Flowchart Page Four
Once the committee book has been distributed, flags are found and eventually resolved. After the Chairman and post-council team makes final decisions, letters are sent to notify the applicants.

PreCouncil Team
(Chairman, Deputy, Div. Directors, OSP, Office Heads, GC, Division Staff) They will read committee book and may flag some of the applications.

Division Staff
ore dm e ne ay M o inf

Council Committee Mtg
Discusses applications and attempts to resolve flags. May add their own flags.
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. Ensure that applications can be properly filled out and imported. Work with customers to ensure it meets their needs.



Complete testing of electronic grants website.




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? 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.



Certification of Applicants


Questions??


Contact me at:  Brett Bobley, bbobley@neh.gov


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