Enterprise Architecture at the USPTO using

Reusable Architecture Patterns A framework for Solutions Architecture within the FEA Doug Bourgeois Chief Information Officer United States Patent and Trademark Office

USPTO Approach to Enterprise Architecture Section 1

Section 8

Section 7

Obtain Executive Buy-in and Support Maintain the Enterprise Architecture

Use the Enterprise Architecture

Develop the Sequencing Plan

Section 2 Establish Management Structure and Control

-

USPTO EA Concept of Control and Operations Oversight

Develop a Target Enterprise Architecture

Define an Enterprise Architecture Process and Approach

Section 3

Develop a Baseline Enterprise Architecture

Section 4

Section 6 Section 5 2

Establish Management Structure and Control Investment Process /Architecture Project Assessment Framework Respond to Business Change

Proposed Concept Unacceptable Alignment

Assess Business Alignment

• • • •

Define Build Implement Operate

(EVALUATE) Evaluation

4

Acceptable Compliance

3

Develop Business Case

1 Alignment Scorecard

Assess Business Case Proposal

2 TRM Standards

Audit Reports

Enterprise Design Patterns

(SELECT) Project Initialization

Leadership Council

Report Compliance

Evaluate Architecture Compliance

IRB Report

Assess Technology Compliance

Target IT App.Port / Infra. Initiatives

(SELECT)

Acceptable Alignment

(CONTROL)

Aligned per IT Strategy

Establish Management Structure and Control

Assessment

Unacceptable Conformance

Unacceptable Compliance

Disapproved

5 Assess Waiver/ Exception Request

Management Council Architecture Roles

IT Review Board

Architecture Process

Business Case Review Committee

IT Performance Review Board

Architecture Review Board 3

Define an Architecture Process and Approach B u s in e s s a n d A rc h ite c tu re D rive r

S tra te g ic In fo rm a tio n T e c h n o lo g y P la n

U S P T O B u s in e s s S tra te g y

U EA C onops

U E A C o m m u n ic a tio n P la n

U S P T O C P IC a n d O rg a n iza tio n C h an g e C o n stra in ts

C o s t R e d u c tio n /S e rv ic e Im p ro v em e n t O p p o rtu n ities

U E A M a tu rity A s s e s s m e n t

U E A -T a rg e t E n te rp ris e S e c u rity A rc h ite c tu re

U E A A R B C h a rte r

C e rtific a tio n & A c c re d ita tio n

U S P T O E n te rp ris e A rc h ite c tu re F ra m e w o rk - B u s in e s s R e fe re n c e M o d e l C o rp o ra te

P o lic y

D is s e m in a tio n

B u s in e ss R u le s

B u sin e ss A ctivity M o d el

Pattern for E-Business

Unified Modeling Language (UML)

T ra d e m a rk

In fra s tru c tu re

C ro s s F u n ctio n al C o n so lid atio n M o d el

U S P T O E n te rp ris e A rc h ite c tu re F ra m e w o rk - S e rvic e R efe re n c e M o d e l C o n c ep tu al A p p lica tio n A rch itec tu re

C o n ce p tu a l A p p lic atio n Im p lem e n tatio n G u id e lin e

In teg ra te d D eve lo p m e n t E n v iro n m en t

S o lu tio n A rch itec tu re M o d els (P o rtal, W ireles s, W e b S e rv ic es ,e tc )

C o n fig u ratio n M an a g em en t

R eu sa b le A ss ets L ib ra ry A rtifac ts , C o m p o n e n t, W e b S erv ice s

H ig h L e ve l A rch itec tu re

Q u a lity A ss u ran c e

LCM

U S P T O E n te rp ris e A rc h itec tu re F ra m e w o rk - T e c h n ic a l R e fe re n c e M o d e l S e rv ic e A c c e s s an d D e liv ery P o lic y & S ta n d a rd

S e rv ice F ra m e w o rk

H ig h A va ila b ility A rch ite c tu re

In fra stru c tu re P la tfo rm

In fra s tru c tu re C a p a b ility S to rag e In fra s tru c tu re A rc h ite c tu re

U S P T O E n te rp ris e A rc h ite ctu re F ra m e w o rk - D a ta R e fe re n c e M o d e l D ata M an a g em en t P lan

E n terp rise D ata R e p o s ito ry

E n te rp rise D ata A rch ite ctu re

E le ctro n ic R e co rd s M a n a g e m en t

D ata S ta n d ard iza tio n

P a tte rn fo r E -B u s in e s s B a la n c e d S co re c a rd

U S P T O P e rfo rm a n c e R e fere n c e M o d el

U S P T O S e c u rity R e fe re n c e M o d e l U S P T O E n te rp ris e A rc h ite c tu re P o rtfo lio

D ata W a reh o u se A rch itec tu re

Policy, Procedure and Guideline

USPTO Security Reference Model

P a te n t

USPTO Performance Reference Model

USPTO Enterprise Architecture Portfolio

Define an Architecture Process and Approach

Develop a Baseline and Target Enterprise Architecture

Develop Baseline Enterprise Architecture

Develop Target Enterprise Architecture

5

Develop the Sequencing Plans USPTO Sequencing Plan Strategy

“Assess the Present and Model the Future"

“Plan the Transition"

“Generate Program Plans"

Develop the Sequencing Plan

“Implement the Plans"

Define Program Roadmaps As-Is Business Processes

Portfolio (Functional, Project, Product) (Business Needs)

Components (Applications)

To-Be Concept of Operations

Standards (Tech and Prod Standards)

Technology (Dev & Prod Environments)

Strategic IT Plan (Update) Operational IT Plan (Update)

“Provide quality information products and services.”

Architecture Migration Plan

IT Investment Portfolio

6

Develop the Sequencing Plans Portfolio Migration Plan – Patents Business FY 2004

FY 2003 Q3 4

5

6

7

Q4

Q1

Q2

8

9 10 11 12 1

2 3

FY 2005

Q3 4

Develop the Sequencing Plan

5

6

7

Q4

Q1

Q2

8

9 10 11 12 1

2 3

Revised USPTO/EP O MOU Signed

IFW 4.0 IFW 5.0 Retire POIS/POWER/REPS Retire PACR Database eDAN eDAN eDAN eDAN 1.4 eDAN 2.0 eDAN 2.1 1.1 1.3 end-to-end processing pipeline deployed 1.2 electronic Image-based

FY 2006

Q3 4

5

6

7

Q4

Q1

Q2

8

9 10 11 12 1

2 3

4

Continue to Collaborate with EPO with IFW Development

Continue to Enhance eDAN to address Business requirements

Accept follow-on papers via EFS and EFPs

P-26

Develop U.S. National Plug-in Begin Developing XML for IFW Softscan OACS into IFW Softscan PALM Pre-Exam correspondence into Provide Priority Exchange Documents and Search Results to IFW Provide ePatent References

Begin to integrate XML-base electronic end-to-end processing pipeline Provide XML-based OACS correspondence Provide XML-based PALM Pre-Exam correspondence

PCT Electronic TransferEPO to WIPO (IFW to WIPO via EAI/PORTAL)

Pendenc y/ Quality

Pendency/ Outsourci ng

Intern’ l Collab .

Provide ePostal I-03 PCT Reform IP-in-a-Box JPO White Paper Doc.

P-27 PG Pub Classification P-28 PCT Search Activity P-29 Competitively Source Reclassification P-36 Mutual Reliance Search International Patent Classification (IPC) Reform

P-05-03 Post Grant Review P-10-01 Accelerated Examination P-11 Simplification of Patent Term (PAIR-FY04, PALM-FY05) P-17 Expanded Patent Reviews P-40 Enhance the Reviewable Record P-67 Eighteen Month Publication P-01 Multi-Track Examination

7

Use and Maintain the Enterprise Architecture Support staff to free community members to focus on work.

Knowledge Coordinator

Knowledge Coordinator

Knowledge Worker Community Newsletter

Classroom Content

Executive for Systems Development & Maintenance Services (Connie Davis)

Annual Meetings

Discussion Database

Pe op

Trademark & E-Gov Business Systems Division (Alan Axthelm)

Community Members

Office of Electronic Information Products (Mike Moore)

Deputy CIO (Wes Gewehr)

Office of Systems & Network Management (Tom Kenton)

Office of Technical Plans & Policy (Brooks Hunt Acting)

Office of Applications Architecture & Services (Kent Craig)

Office of Customer Support Services (Robert Cobert)

Office of System Product Assurance (Jeff Wolfe)

Office of Data Architecture & Services (Holly Higgins)

Web Services Division (Glen Brown)

Office of Acquisition Management (Larry Cogut)

IT Security Program Office (Joel Hurford)

n

Corporate Systems Division (Tanya Piper)

Collaborative tools enable synchronous communication and asset reuse.

Executive for IT Operations & Customer Support Services (Ron Hack)

Office of Technology Architecture & Engineering Services (Jeff Baer)

io

Community Content

at iz

External Content

Patent Examiner

Office of Public Information Services (Martha Sneed)

Patent Re-engineering Systems Division (Wil Atkinson)

SEPG Chair (Vacant)

Executive for Architecture, Engineering & Technical Services (David Shearer)

Office of Public Records (Pat Rowe)

an

USPTO Portal

le

Informal Sessions

Distance Learning Content

Executive for Customer Information Services (Kay Melvin)

Patent Search Systems Division (Brooks Hunt)

rg O

Birds-of-a-Feather Meetings

Applications (AIS) USPTO University

Chief Information Officer (Doug Bourgeois)

CIO Chief of Staff (Susan Callis)

Face-to-face interaction allows socialization/trust.

Use and Maintain the Enterprise Architecture

COE for Technical Solutions & Services (Phong Ly)

UEA

1

IMP/Architecture Project Assessment Framework

System management

no

Browser Client

Legacy Connector

Queue Mgr

HTTP Server

E-Phoenix

Messaging & Router

Web Application Server

Business Services

OEMS JMS

Data abstraction layer Web Portal Server Presentation server

Security JDBC

JMS Messaging Personalization Server

Load distribution and proxy caching

Directory and Security (LDAP)

JDBC and DB-specific client Personalization Data

TCP/IP

Integration Server

EJB/ IIOP

OACS

Respond to Business Change

Proposed Concept Unacceptable Alignment

• • • •

RTIS EAST/West

USPTO Databases

Alignment Scorecard

Define Build Implement Operate

(SELECT)

Evaluation

Project Authorization

Database Servers

Application Database

Workflow

Workflow Database

ARB Report

Evaluate Architecture Compliance Audit Reports

Assess Business Case Proposal

2

Enterprise Design Patterns

(SELECT)

TRM Standards

(EVALUATE)

4

Develop Business Case

Acceptable Alignment

(CONTROL)

Target IT App.Port / Infra. Initiatives

(SELECT)

1

RAM

JMS

Web Application Server (J2EE container)

Web Application Server (J2EE container)

J2C

Web Services Gateway

Domain Firewall

Static Content Web Services Gateway

gy

PALM

JSP

HTTP Firewall

Cool: Gen

Team Room

Servlet

B A L A N C E D

Search and Indexing

lo

Extranet

(future) Business to business partners

Instance Messaging

HTTP Server

L O A D

Content Management

Collaboration Database

Collaboration

Public Internet

USPTO AISs

Pr oc

Legacy tier

ch

Middle tier

es s

Te

Client tier

Aligned per IT Strategy

Assess Business Alignment

Project Initialization

Assess Technology Compliance Acceptable Compliance

Compliance Assessment

3

Report

Unacceptable Compliance Unacceptable Conformance

Disapproved

5

Assess Waiver/ Exception Request

Architecture Roles Architecture Process

8 Process -

Solutions Architecture Example: Using the Patterns for ebusiness, we identify the appropriate architecture patterns required for the solution.

Provide seamless access to services provided by multiple application

Access Integration

Provide users direct access to automated business services

Self-Service Collaboration Information Aggregation Extended Enterprise

Aggregate information from multiple individual applications

Application Integration

Allow users to (indirectly) communicate with each other (e.g. an email notifying someone of change in application status)

Integration with WIPO, EPO, International Bureau business processes

Integrate multiple USPTO legacy applications

9

Self Service

Information Aggregation

Extended Enterprise

Access Integration

Self Service Collaboration

Information Aggregation

Application Integration

Composite Pattern for Enterprise Intranet Portal

Collaboration

Information Aggregation

Extended Enterprise

Composite Pattern for a Collaboration ASP

Access Integration

Collaboration

Access Integration

Self Service

Application Integration

Composite Pattern for Portals

Access Integration

Composite Pattern for Electronic Commerce Solutions

Application Integration

Composite patterns represent a combination of business patterns which together form a specific solution.

Collaboration

Blue – Mandatory Business Patterns Red – Optional Business Patterns - Variations

This Solution Overview Diagram for the Patents Electronic Government strategic initiative consists of a composite set of reusable architecture patterns. Patent Attorneys / Individual Applicants

Application Integration:: Broker

Patent Tracking Systems (PALM)

Electronic Authoring (PASAT, PatXML, EFPs, PCT Safe)

Electronic Submission/ Retrieval (EPAVE)

Document Management (ePhoenix)

I N T E R N E T

Access Integration:: Role Based Personalization

Collaboration:: Messaging Electronic Filing Server (EFS)

Application Integration Hub (EAI Hub)

Office Correspondence Generation (OACS)

Consolidated Electronic File Wrapper View (EFW GUI)

National Security Screening (PACR)

I N T R A N E T

Patent Examiner

Payment Processing (RAM)

Extended Enterprise:: Managed Public Process

Self Service:: Decomposition

Searching Systems (EAST/WEST)

Information Aggregation:: Summarization

11

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. Patent Attorneys / Individual Applicants

Process Automation Services::Tracking & Workflow, Routing & Scheduling Application Integration:: Broker

Electronic Authoring (PASAT, PatXML, EFPs, PCT Safe)

Electronic Submission/ Retrieval (EPAVE)

I N T E R N E T

Back Office Services:: Integration, Financial Management Electronic Filing Server (EFS)

Application h Hub Integration (EAI Hub)

Digital Asset Services::Document Management, Record Management Document Management (ePhoenix)

Patent Tracking Systems (PALM)

Collaboration:: Messaging Office Correspondence Generation (OACS)

Access Integration:: Self Role Service:: Based Personalization Decomposition Back Office Services::Integration::Legacy I Integration N Consolidated Electronic File Wrapper View (EFW GUI)

Patent Examiner

Payment Processing (RAM)

Extended Enterprise:: Exposed Business Service Customer Services::Customer Initiated Assistance::Self Service

National Security Screening (PACR)

T R A N E T

Searching Systems

Information Aggregation:: (EAST/WEST) Summarization Support Services::Security Management, 12 Collaboration, Search, System Management

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. Extended Enterprise::Exposed Business Services Partner A

Information Aggregation::Information Access – Read Only

Partner B

Backend Applicatio n2 Backend Applicatio n1

1:N

N:1

Exposed Business Synchronous, Services Asynchronous Tier

Partner Tier

Asynchronous, Mutually agreed message format

Presentation Tier

Synchronous

Primary Application Tier

Synchronous

Drill-Through Application Tier

Write

Read-write

Read-Only

Read Only

Read-write

Read-Only Population Application Patterns

Write

Private and Public processes

Application Pattern::Self Service::Decomposition Tier Application Integration::Broker

synch/

synch

Pres1

1:N

App 2

Pres2 Decomp

asynch

App1

Application Tier

Broker Rules Tier

Application Tier

Read-write

Work in Progress

Read-write

Application Tier

Read-write

Access Integration::Role-Based Personalization Application 1 Synchronous Client

Single SignOn & Role Based Access tier

Read-Write

Synchronous Application 2

This view depicts the logical run-time topology, which provides a complete solution architecture that adheres to the composite patterns. Client tier

Middle tier

Legacy tier

System management Browser Client

Public Internet

Legacy Connector Queue Mgr

PALM E-Phoenix

Messaging & Router

Web Application Server Static Content

Business Services

OEMS JMS

Data abstraction layer Web Portal Server Presentation server

Security

JDBC

JMS Messaging Personalization Server

Load distribution and proxy caching

Directory and Security (LDAP)

JDBC and DB-specific client Personalization Data

Integration Server

EJB/ IIOP

RAM

JMS

Web Services Gateway

Web Application Server (J2EE container)

Web Application Server (J2EE container)

OACS

J2C

Web Services Gateway

Servlet

HTTP Firewall

Cool: Gen

HTTP Server

JSP

B A L A N C E D

USPTO AISs

Search and Indexing

Team Room

Domain Firewall

L O A D

Extranet

(future) Business to business partners

Instance Messaging

HTTP Server

Content Management

Collaboration Database

Collaboration

RTIS EAST/West

USPTO Databases

Database Servers

Application Database

Workflow

Workflow Database

14

TCP/IP

This view depicts the solution architecture mapped to the specific products and standards from the USPTO TRM. Client tier

Middle tier

Legacy tier

System management Browser Client

IBM HTTP Server

USPTO AISs

Search and Indexing

Cool: Gen

Team Room Quicklplace

Domain Firewall

Business Services

JMS

EJB/ IIOP

RAM OEMS JMS

Data abstraction layer

Websphere Portal Server - Presentation server

Security

JDBC

JMS Messaging

Personalization Server

Load distribution and proxy caching

Directory and Security (Active Directory, IBM Secureway (LDAP))

JDBC and DB-specific client Personalization Data

TCP/IP

Integration Server

Websphere Application Server (J2EE container)

J2C

Websphere Application Server (J2EE container)

OACS

MQ/MQSI

Websphere Application Server

Web Services Gateway

Queue Mgr

E-Phoenix

Static Content Web Services Gateway

Legacy Connector

PALM

IBM HTTP Server

Servlet

E d g e S e r v e r

IM - Sametime

JSP

HTTP Firewall

Extranet

(future) Business to business partners

Collaboration Database

Collaboration

Public Internet

Content Management Interwoven

RTIS EAST/West

USPTO Oracle 9i Databases

Database Servers (Oracle 9i)

Application Database

MQ Workflow

Workflow Database Oracle 9i

15

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