Enterprise Architecture at the USPTOproceedings.ndia.org/3AF6/Doug_Bourgeois.pdf · Enterprise...
Transcript of Enterprise Architecture at the USPTOproceedings.ndia.org/3AF6/Doug_Bourgeois.pdf · Enterprise...
Enterprise Architecture at the USPTOusing
Reusable Architecture Patterns
A framework for Solutions Architecture within the FEA
Doug BourgeoisChief Information Officer
United States Patent and Trademark Office
USPTO Approach to Enterprise Architecture
2
-
Controland
Oversight
USPTO EAConcept
of Operations
Develop aTargetEnterpriseArchitecture
DeveloptheSequencingPlan
EstablishManagementStructureand Control
Define anEnterpriseArchitectureProcess andApproach
UsetheEnterpriseArchitecture
MaintaintheEnterpriseArchitecture
Develop aBaselineEnterpriseArchitecture
ObtainExecutiveBuy-in andSupport
Section 1
Section 2
Section 3
Section 4
Section 5
Section 6
Section 7
Section 8
Establish Management Structure and Control
3
Establish ManagementStructure and
Control
Architecture Roles
Architecture Process
Respond toBusinessChange
Investment Process /Architecture ProjectAssessment Framework
1
AssessBusinessAlignment
2
AssessBusiness Case
ProposalAssess
TechnologyCompliance
Target ITApp.Port /
Infra.Initiatives
Aligned per IT Strategy
AlignmentScorecard
(SELECT)DevelopBusiness
Case
ComplianceAssessment
5
(SELECT)Project
Initialization
Assess Waiver/Exception Request
EnterpriseDesign
Patterns
Acceptable Alignment
Acceptable
Compliance
UnacceptableConformance
Unacceptable Alignment
UnacceptableCompliance
Proposed Concept
Report
TRMStandards
4Evaluate
ArchitectureCompliance
IRBReport
Audit Reports
(EVALUATE)Evaluation
Disapproved
3(CONTROL)
• Define• Build• Implement• Operate
Leadership Council
Management CouncilManagement CouncilIT Review Board
IT Performance Review Board
Business Case Review Committee
Architecture Review Board
Define an Architecture Process and Approach
Define an Architecture Process and Approach
USPTO Enterprise A rchitecture Portfo lio
B usiness andA rchitecture
D river
U SPTO B usinessStrategy
StrategicInform ation
Technology P lan
U SPTO C PIC andO rganization C hange
C onstraints
C ost R eduction/ServiceIm provem entO pportunities
Patent Tradem ark Corporate Policy D issem ination Infrastructure
Conceptual A pp licationA rch itecture
Solution Arch itecture M odels(Portal, W ireless, W eb Services,etc)
R eusable A ssets LibraryA rtifacts , Com ponent, W eb Services
D ata M anagem entP lan
Enterprise D ataR epository
D ata W arehouseA rchitecture
Enterprise D ataA rchitecture
Service A ccess and D elivery
USPTO Security Reference M odel
Service Fram ew ork Infrastructure P latform
Electron ic R ecordsM anagem ent
U EA -Target Enterprise Security A rchitecture
Policy, Procedure and Guideline
C ertification & A ccreditation
C onceptual ApplicationIm plem entation G uideline
U EA C onops UEA C om m unication P lan U EA M aturity A ssessm ent U EA AR B Charter
U SPTO Perform ance R eference M odel
Uni
fied
Mod
elin
g La
ngua
ge (U
ML)
Pattern for E -B usiness
USPTO Enterprise A rchitecture Fram ew ork - Business R eference M odel
B usiness A ctivity M odel B usiness R ules C ross Functional C onsolidation M odel
U SPTO Enterprise A rchitecture Fram ew ork - Service R eference M odel
C onfiguration M anagem entIntegrated D evelopm ent Environm ent Q uality A ssuranceH igh Level A rchitecture LC M
U SPTO Enterprise A rchitecture Fram ew ork - Technical R eference M odel
Policy & Standard H igh A vailability A rchitecture Infrastructure Capability Storage Infrastructure A rchitecture
U SPTO Enterprise A rchitecture Fram ew ork - D ata R eference M odel
Patte
rn fo
r E-B
usin
ess
USP
TO E
nter
pris
e A
rchi
tect
ure
Port
folio
USPTO
Performance R
eference Model
B alanced Scorecard
USP
TO S
ecur
ity R
efer
ence
Mod
el
D ata S tandardization
Develop a Baseline and Target Enterprise Architecture
5
Develop BaselineEnterprise
Architecture
Develop TargetEnterprise Architecture
Develop the Sequencing PlansUSPTO Sequencing Plan Strategy
6
Develop the Sequencing Plan
Define Program Roadmaps
Technology(Dev & Prod Environments)
Components (Applications)
Portfolio (Functional, Project, Product)
(Business Needs)
Standards(Tech and Prod Standards)
To-Be Concept of Operations
“Plan the Transition"
“Implement the Plans"
As-Is Business
Processes
“Assess the Present and Model the
Future"
“Generate Program Plans"
“Provide quality
information products and
services.”
Operational IT Plan
(Update)
Strategic IT Plan
(Update)
IT Investment
Portfolio
Architecture Migration
Plan
Develop the Sequencing PlansPortfolio Migration Plan – Patents Business
7
FY 2004 FY 2005
Q1 Q2 Q3 Q4
FY 2003
Q1 Q2 Q3 Q4Q3 Q4
P-26
Pend
ency
/ O
utso
urci
ng
Pend
enc
y/
Qua
lity P-01 Multi-Track Examination P-05-03 Post Grant Review
P-10-01 Accelerated ExaminationP-11 Simplification of Patent Term (PAIR-FY04, PALM-FY05)
P-17 Expanded Patent Reviews P-40 Enhance the Reviewable RecordP-67 Eighteen Month Publication
Retire POIS/POWER/REPS
Continue to Enhance eDAN to address Business requirementsImage-based electronic end-to-end processing pipeline deployed
Accept follow-on papers via EFS and EFPs
IFW 4.0 IFW 5.0
Develop U.S. National Plug-in
Retire PACR Database
Softscan OACS into IFWSoftscan PALM Pre-Exam correspondence into
IFW
4 5 6 7 8 9 1 2 3 4 5 6 7 8 910 11 12 1 2 3 4 5 6 7 8 910 11 12
P-27 PG Pub ClassificationP-28 PCT Search Activity
P-29 Competitively Source ReclassificationP-36 Mutual Reliance SearchInternational Patent Classification (IPC) Reform
FY 2006
Q1 Q21 2 3 410 11 12
Provide XML-based OACS correspondenceProvide XML-based PALM Pre-Exam
correspondence
Begin to integrate XML-base electronic end-to-end processing pipeline
I-03 PCT Reform
eDAN 1.1 eDAN
1.2eDAN
1.3eDAN 1.4 eDAN 2.0 eDAN 2.1
Begin Developing XML for IFW
IP-in-a-Box
Provide Priority Exchange Documents and Search Results to EPO
JPO White Paper Doc.
Inte
rn’
lC
olla
b.
Revised USPTO/EP
O MOU Signed Continue to Collaborate with EPO with IFW Development
PCT Electronic Transfer to WIPO (IFW to WIPO via EAI/PORTAL)Provide ePatent References
Provide ePostal
Develop the Sequencing Plan
Browser Client
Database Servers
Collaboration
Client tier Middle tier Legacy tier
System management
HTT
P F
irewa
ll
Dom
ain
Fire
wall
PublicInternet
Extranet
(future)Business to
businesspartners
LOAD
BALANCED
Loaddistributionand proxycaching
HTTPServer
HTTPServer
WebApplication
Server(J2EE container)
Business Services
Data abstraction layer
Security
JMS Messaging
J2CJM
SJD
BC
WebApplication
Server(J2EE container)JS
P
Servlet
Web Portal Server -Presentation server
StaticContent
InstanceMessaging
Team Room
Messaging& Router
Workflow
Cool:Gen
LegacyConnector
Queue Mgr
PersonalizationData
CollaborationDatabase
WorkflowDatabase
USPTODatabases
ApplicationDatabase
JDBC andDB-specific
client
JMSEJB/IIOP
Web Application Server
Personalization Server
Directory andSecurity(LDAP)
ContentManagement
Search andIndexing
WebServicesGateway
WebServicesGateway
Integration Server
PALM
E-Phoenix
OACS
RAM
OEMS
RTIS
EAST/West
TCP/IP
USPTO AISs
Face-to-face interaction allows socialization/trust.
Annual Meetings
Birds-of-a-Feather Meetings
Informal Sessions
Community Members
Collaborative tools enable synchronous communication and asset reuse.
Face-to-face interaction allows socialization/trust.
Annual Meetings
Birds-of-a-Feather Meetings
Informal Sessions
Community Members
Collaborative tools enable synchronous communication and asset reuse.
Face-to-face interaction allows socialization/trust.
Annual Meetings
Birds-of-a-Feather Meetings
Informal Sessions
Community Members
Collaborative tools enable synchronous communication and asset reuse.
Annual Meetings
Birds-of-a-Feather Meetings
Informal Sessions
Community Members
Collaborative tools enable synchronous communication and asset reuse.
Knowledge Coordinator
Knowledge Coordinator
Support staff to free community members to focus on work.
Community Newsletter
Knowledge Coordinator
Knowledge Coordinator
Support staff to free community members to focus on work.
Community Newsletter
Knowledge Coordinator
Knowledge Coordinator
Support staff to free community members to focus on work.
Community Newsletter
Classroom Content
USPTO University
Distance Learning Content
Classroom Content
USPTO University
Distance Learning Content
Knowledge Worker
USPTO Portal
Knowledge Worker
Knowledge Worker
USPTO Portal
USPTO Portal
Discussion Database
Patent Examiner
Community Content
External Content
Applications(AIS)
Discussion Database
Discussion Database
Patent Examiner
Community Content
External Content
Applications(AIS)
1
Office of PublicRecords
(Pat Rowe)
Office of DataArchitecture & Services
(Holly Higgins)
Office of CustomerSupport Services(Robert Cobert)
Office of ElectronicInformation Products
(Mike Moore)
Office of Technical Plans & Policy
(Brooks Hunt Acting)
Chief Information Officer
(Doug Bourgeois)
Executive forSystems Development
& Maintenance Services(Connie Davis)
Executive forArchitecture, Engineering
& Technical Services(David Shearer)
Executive for ITOperations & Customer
Support Services(Ron Hack)
Executive for Customer Information
Services(Kay Melvin)
Office ofAcquisition
Management(Larry Cogut)
Office of ApplicationsArchitecture & Services
(Kent Craig)
Office of Systems & Network
Management(Tom Kenton)
IT Security ProgramOffice
(Joel Hurford)
Office of System Product Assurance
(Jeff Wolfe)
Office of Public Information Services
(Martha Sneed)
Office of TechnologyArchitecture &
Engineering Services(Jeff Baer)
Deputy CIO(Wes Gewehr)
Patent SearchSystems Division
(Brooks Hunt)
Trademark & E-Gov Business Systems
Division (Alan Axthelm)
Corporate SystemsDivision
(Tanya Piper)
Patent Re-engineeringSystems Division
(Wil Atkinson)
Web ServicesDivision
(Glen Brown)
COE for TechnicalSolutions & Services
(Phong Ly)
SEPG Chair(Vacant)
CIO Chief of Staff(Susan Callis)
Office of PublicRecords
(Pat Rowe)
Office of DataArchitecture & Services
(Holly Higgins)
Office of CustomerSupport Services(Robert Cobert)
Office of ElectronicInformation Products
(Mike Moore)
Office of Technical Plans & Policy
(Brooks Hunt Acting)
Chief Information Officer
(Doug Bourgeois)
Executive forSystems Development
& Maintenance Services(Connie Davis)
Executive forArchitecture, Engineering
& Technical Services(David Shearer)
Executive for ITOperations & Customer
Support Services(Ron Hack)
Executive for Customer Information
Services(Kay Melvin)
Office ofAcquisition
Management(Larry Cogut)
Office of ApplicationsArchitecture & Services
(Kent Craig)
Office of Systems & Network
Management(Tom Kenton)
IT Security ProgramOffice
(Joel Hurford)
Office of System Product Assurance
(Jeff Wolfe)
Office of Public Information Services
(Martha Sneed)
Office of TechnologyArchitecture &
Engineering Services(Jeff Baer)
Deputy CIO(Wes Gewehr)
Patent SearchSystems Division
(Brooks Hunt)
Trademark & E-Gov Business Systems
Division (Alan Axthelm)
Corporate SystemsDivision
(Tanya Piper)
Patent Re-engineeringSystems Division
(Wil Atkinson)
Web ServicesDivision
(Glen Brown)
COE for TechnicalSolutions & Services
(Phong Ly)
SEPG Chair(Vacant)
CIO Chief of Staff(Susan Callis)
Architecture Roles
Architecture Process
Respond toBusiness Change
IMP/Architecture Project Assessment Framework
1
Assess Business Alignment
2
Assess Business Case
Proposal
3
Assess Technology Compliance
Target IT App.Port /
Infra. Initiatives
Aligned per IT Strategy
Alignment ScorecardAlignment Scorecard
(SELECT)Develop Business
Case
Compliance Assessment 5
(SELECT)Project
Initialization
(SELECT)Project
Initialization
Assess Waiver/ Exception Request
Enterprise Design
Patterns
Acceptable Alignment
Acceptable Compliance
Unacceptable Conformance
Unacceptable Alignment
Unacceptable Compliance
Proposed Concept
Report
TRMStandards
4Evaluate
Architecture Compliance
ARBReport
Audit Reports
(EVALUATE)
Evaluation
(EVALUATE)
Evaluation
Disapproved
(CONTROL)• Define• Build • Implement• Operate
(SELECT)Project
Authorization
Process -
Use and Maintain the Enterprise Architecture
8
Use and Maintain the Enterprise
Architecture
UEAOrganization
TechnologyPeo
ple
Proces
s
Solutions Architecture Example: Using the Patterns for e-business, we identify the appropriate architecture patterns required for the solution.
Provide seamlessaccess to services
provided bymultiple
application
Provide users direct access toautomated business services
Aggregate information frommultiple individual applications
Integration with WIPO, EPO,International Bureau business
processes
Integratemultiple
USPTO legacyapplications
Self-Service
Collaboration
Information Aggregation
Extended Enterprise
Acc e
ssIn
tegr
ati o
n
Appl
icatio
nIn
t egr
atio
n
Allow users to (indirectly) communicatewith each other (e.g. an email notifying
someone of change in application status)
9
Self Service
Acce
ss In
tegr
atio
n
Appl
icat
ion
Inte
grat
ion
Collaboration
Extended Enterprise
Information Aggregation
Composite Pattern for Electronic Commerce Solutions Composite Pattern for Portals
Self Service
Acce
ss In
tegr
atio
n
Appl
icat
ion
Inte
grat
ion
Collaboration
Extended Enterprise
Information Aggregation
Appl
icat
ion
Inte
grat
ion
Composite Pattern for Enterprise Intranet Portal
Self Service
Acce
ss In
tegr
atio
n
Collaboration
Information Aggregation
Composite Pattern for a Collaboration ASP
Acce
ss In
tegr
atio
nCollaboration
Blue – Mandatory Business Patterns
Red – Optional Business Patterns - Variations
Composite patterns represent a combination of business patterns which together form a specific solution.
ElectronicAuthoring
(PASAT, PatXML,EFPs, PCT Safe)
ElectronicSubmission/
Retrieval(EPAVE)
Patent Attorneys /Individual Applicants
ElectronicFilingServer(EFS)
Document Management
(ePhoenix)
PaymentProcessing
(RAM)
SearchingSystems
(EAST/WEST)
NationalSecurity
Screening(PACR)
ConsolidatedElectronic
File WrapperView
(EFW GUI)
Patent Examiner
INTRANET
Extended Enterprise::ManagedPublic Process
InformationAggregation::Summarization
SelfService::DecompositionAccess
Integration::RoleBasedPersonalization
ApplicationIntegration::Broker
INTERNET
OfficeCorrespondence
Generation(OACS)
ApplicationIntegration Hub
(EAI Hub)
This Solution Overview Diagram for the Patents Electronic Government strategic initiative consists of a composite set of reusable architecture patterns.
11
Patent Tracking Systems(PALM)
Collaboration::Messaging
h
ElectronicAuthoring
(PASAT, PatXML,EFPs, PCT Safe)
ElectronicSubmission/
Retrieval(EPAVE)
Patent Attorneys /Individual Applicants
ElectronicFilingServer(EFS)
Document Management
(ePhoenix)
PaymentProcessing
(RAM)
SearchingSystems
(EAST/WEST)
ConsolidatedElectronic
File WrapperView
(EFW GUI)
Patent Examiner
INTRANET
Extended Enterprise::Exposed BusinessService
InformationAggregation::Summarization
SelfService::Decomposition
AccessIntegration::RoleBasedPersonalization
ApplicationIntegration::Broker
INTERNET
OfficeCorrespondence
Generation(OACS)
ApplicationIntegration Hub
(EAI Hub)
The reusable architecture patterns can be mapped back to the FEA SRM to indicate clear alignment and integration as well as to guide component development and reuse decisions.
12
Patent Tracking Systems(PALM)
Collaboration::Messaging
Customer Services::Customer Initiated Assistance::Self Service
Process Automation Services::Tracking & Workflow,
Routing & Scheduling
Back Office Services::Integration, Financial
Management
NationalSecurity
Screening(PACR)
Support Services::Security Management, Collaboration, Search, System Management
Digital Asset Services::Document Management, Record Management
Back Office Services::Integration::Legacy
Integration
Backend Application 2
Read-write
Exposed Business Services Tier Backend
Application 1
Read-write
Read Only
Partner Tier
Partner A Partner B
Asynchronous,Mutually agreedmessage format
1:N
Private and Public processes
N:1
Synchronous,Asynchronous
Extended Enterprise::Exposed Business Services
PresentationTier
Read-Only
Synchronous PrimaryApplication Tier
Read-Only
Drill-ThroughApplicationTier
Synchronous
Write
Write
Population ApplicationPatterns
Information Aggregation::Information Access – Read Only
Decomp
Pres2
Pres1 synch synch/
asynch
App 2
App1
Application Pattern::Self Service::Decomposition Tier
Work in Progress
Broker Rules Tier
Read-write
ApplicationTier
Read-write
Read-write
ApplicationTier
ApplicationTier
1 : N
Application Integration::Broker
Single Sign-On & Role
Based Access tier
Synchronous
Application 1
Application 2Client
Read-Write
Synchronous
Access Integration::Role-Based Personalization
Each application pattern can be depicted in an n-tier solution diagram which serves as a transition step towards the development of the logical run-time topology.
This view depicts the logical run-time topology, which provides a complete solution architecture that adheres to the composite patterns.
14
Browser Client
Database Servers
Collaboration
Client tier Middle tier Legacy tier
System managementH
TTP
Fire
wal
l
Dom
ain
Fire
wal
lPublic
Internet
Extranet
(future)Business to
businesspartners
LOAD
BALANCED
Loaddistributionand proxycaching
HTTPServer
HTTPServer
WebApplication
Server(J2EE container)
Business Services
Data abstraction layer
Security
JMS Messaging
J2CJM
SJDBC
WebApplication
Server(J2EE container)JS
P
Servlet
Web Portal Server -Presentation server
StaticContent
InstanceMessaging
Team Room
Messaging& Router
Workflow
Cool:Gen
LegacyConnector
Queue Mgr
PersonalizationData
CollaborationDatabase
WorkflowDatabase
USPTODatabases
ApplicationDatabase
JDBC andDB-specific
client
JMSEJB/IIOP
Web Application Server
Personalization Server
Directory andSecurity(LDAP)
ContentManagement
Search andIndexing
WebServicesGateway
WebServicesGateway
Integration Server
PALM
E-Phoenix
OACS
RAM
OEMS
RTIS
EAST/West
TCP/IP
USPTO AISs
This view depicts the solution architecture mapped to the specific products and standards from the USPTO TRM.
15
Browser Client
Database Servers(Oracle 9i)
Collaboration
Client tier Middle tier Legacy tier
System management
HTT
P F
irew
all
Dom
ain
Fire
wal
lPublic
Internet
Extranet
(future)Business to
businesspartners
EdgeServer
Loaddistributionand proxycaching
IBMHTTPServer
IBMHTTPServer
WebsphereApplication
Server(J2EE container)
Business Services
Data abstraction layer
Security
JMS Messaging
J2CJM
SJDBC
WebsphereApplication
Server(J2EE container)JS
P
Servlet
Websphere PortalServer - Presentation
server
StaticContent
IM - Sametime
Team RoomQuicklplace
MQ/MQSI
MQWorkflow
Cool:Gen
LegacyConnector
Queue Mgr
PersonalizationData
CollaborationDatabase
WorkflowDatabaseOracle 9i
USPTOOracle 9i
Databases
ApplicationDatabase
JDBC andDB-specific
client
JMSEJB/IIOP
Websphere Application Server
Personalization Server
Directory andSecurity(Active
Directory, IBMSecureway
(LDAP))
ContentManagementInterwoven
Search andIndexing
WebServicesGateway
WebServicesGateway
Integration Server
PALM
E-Phoenix
OACS
RAM
OEMS
RTIS
EAST/West
TCP/IP
USPTO AISs
Summary and Conclusions
• USPTO utilizes a reusable solution architecture framework to avoid EA “shelf-ware”.
• The solution architecture approach jump started the USPTO EA implementation.
• EA facilitates business transformation and requires transformation of the IT organization.
• Without a governance process, EA will fail to deliver.
• If EA establishes the standards and targets, then solution architecture delivers them.
• A solution architecture framework can integrate with the FEA SRM.
16