business process modeling for eplc facilitated by angela thomas ryan kahn
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Business Process Modeling for EPLCFacilitated By
Angela Thomas
Ryan Kahn
Page 2
Agenda
• The Role of Enterprise Architecture• Significance to EPLC• Review Criteria• Introduction to Business Process Modeling• Methodology and Models• Benefits and Cases of BPM
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 3
Enterprise Architecture (EA)
• Enterprise architecture is a comprehensive framework used to manage and align an organization's – Systems (IT)
– People
– Operations
– Projects
with its operational characteristics
(Office of the Chief IT Architect, NIH, 2009)
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 4
Significance of BPM to the EPLC
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
EPLC BPM Deliverables• Business Case• Requirements
2
Project Selection Review
Project Baseline Review
STAGE GATE REVIEWS
Business Needs Statement
Business CaseProject CharterProject Management Plan
Project Management PlanPrivacy Impact AssessmentProject Process Agreement
DELIVERABLES
Annual Operational AssessmentDisposition PlanContinued Authority to OperatePrivacy Impact Assessment
Project Archives
Non-Phase-Specific Deliverables, including:•Updated Project Management Plan and Schedule•Earned Value Management data•Acquisition activities/deliverables•Periodic Investment Status Reports•Meeting minutes
Non-Phase-Specific Deliverables, including:•Updated Project Management Plan and Schedule•Earned Value Management data•Acquisition activities/deliverables•Periodic Investment Status Reports•Meeting minutes
1
Iterative Development (Optional)
Iterative Development (Optional)STAGE GATE
REVIEW LEGEND:STAGE GATE
REVIEW LEGEND:
Must be performed by IT governance
organization
Must be performed by IT governance
organization
May be delegated
May be delegated
Design DocumentComputer Match AgreementTest PlanContingency/ Disaster Recovery PlanSystem of Record Notice
Test Plan Business ProductO&M ManualSystems Security PlanSecurity Risk Assessment Training PlanTraining MaterialsUser Manual
Requirements Document
F
F
F
P
F
F
F
FD
FD
F
F
FD
FD
FD
FD
F
FD
FD
F
F
F
F
F
DELIVERABLES LEGEND:DELIVERABLES LEGEND:
Preliminary
Final Draft
Final
P
FD
F
DELIVERABLES LEGEND:DELIVERABLES LEGEND:
Preliminary
Final Draft
Final
P
FD
F
Business ProductProject Completion Report SLAs/MOUsContingency/ Disaster Recovery Plan
F
F
F
FD
PROJECT REVIEWS
Architecture Review
Integrated Baseline Review
Requirements Review
Detailed Design Review
Validation Readiness
Review
Independent Verification &
Validation Assessment
Implementation PlanTest Reports
F
F
F
F
F
FD
Authority to OperateSystem of Record Notice
F
F
Authority to OperateSystem of Record Notice
F
F
Post-Implementation
Review
System Re-Certification
System Re-Accreditation
Disposition Review
4
Operational Readiness
Review
4
Operational Readiness
Review
Implementation Readiness
Review
System Certification
System Accreditation
Implementation Readiness
Review
System Certification
System Accreditation
PlanningRequirements
AnalysisDesign TestDevelopment Implementation
Operations & Maintenance
DispositionConceptInitiation PlanningRequirements
AnalysisDesign TestDevelopment Implementation
Operations & Maintenance
DispositionConceptInitiation
O&M ManualSystems Security PlanSecurity Risk Assessment Training PlanTraining MaterialsUser Manual
F
F
F
F
F
F
F
Preliminary Design Review
3
Preliminary Design Review
3
Page 5
Review Criteria for EPLCWhat We Expect To See
• Initiation Phase (Business Needs Statement)• Strategic Alignment• Considered Reuse of Processes and/or Systems
• Concept Phase (Business Case)• As-Is Business Process Model(s)• To-Be Business Process Model(s)• Performance Metrics Identified• Adherence to NIHRFC0027
• Requirements Analysis Phase (Requirements Document)• Traceability to Business Process Models• Traceability to Performance Metrics
NIH Enterprise Information Technology Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 6
Business Process Modeling
What is a Business Process?
A collection of activities that takes one or more kinds of inputs and creates an output that is of value to the customer.(Hammer & Champy, 1993)
What is Business Process Modeling
The consistent, repeatable and reusable approach to capture, organize, validate, analyze and depict the explicit business information to support all corporate initiatives.(Baker & Tyler, The Discipline of Business Modeling)
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 7
BPM MethodologyDecomposition Method
• Technique used to break down a process into component parts
• Methodology: Business Co-Formulation*Document Co-Formulation (DCF)*
Facilitated Co-Formulation (FCF)*
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
* Source: BusinessGenetics
Page 8
Elements of a Business Process Model
• What activities must the business perform to achieve its purpose?• Who performs each activity (role, organization, system)?• Which information is used to perform each activity and which
information is produced by each activity?
• Where are the activities performed?• When are they performed?
How do all the above interrelate to yield a business processes?
NIH Enterprise Information Technology Architecture Contact: enterprisearchitecture@mail.nih.gov
ActivityStart
System
RoleArtifact
Entity
End
Page 9
WHAT Model
Hierarchical representation of a complete set of business
activities that support the achievement of a specific business
purpose.
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Evaluate the Scientific and Technical Merit of an Application (Peer Review)
2.3
Ensure All Review Materials Are Secured
2.3.6.1
Ensure FACA Compliance
2.3.6.2
Compensate Reviewer
2.3.6.4
Debrief Application Peer Review
2.3.6.3
Communicate Summary Statement to PI (S)
2.3.5.1
Communicate Reasons for Deferral of Application (S)
2.3.5.2
Communicate Editorial Board Decision (S)
2.3.5.3
Evaluate Applications
2.3.3.3
Orient Reviewers
2.3.3.2
Determine Application Action
2.3.3.4
Recommend Application Budget Amount
2.3.3.5
Recommend Applications to Discuss During Peer Review Meeting
2.3.3.1
Determine Application Action
2.3.4.2
Formulate Critique and Score
2.3.4.1
Prepare Applications for Review
2.3.1.2
Prepare for Peer Review Meeting
2.3.1.3
Organize Peer Review Group
2.3.1.1
Ensure Qualified Pool Of Reviewers
2.3.1.4
Formulate Preliminary Critique and Score
2.3.2.2
Share Preliminary Critiques & Scores Among Reviewers
2.3.2.4
Gather Preliminary Critiques & Scores
2.3.2.3
Modify Preliminary Critique & Score Based On Shared Critiques & Scores (S)
2.3.2.5
Evaluate Research Site for Research Resource or Program (S)
2.3.2.1
Obtain Editorial Board Decision (Alternative Method)
2.3.4
Evaluate Scientific & Technical Merit of Application
2.3.2
Wrap Up Evaluation of Scientific & Technical Merit of Application
2.3.6
Prepare for Scientific & Technical Merit Evaluation
2.3.1
Communicate Results of Evaluation of Scientific & Technical Merit of Application
2.3.5
Obtain Consensus on Scientific & Technical Merit of Applications
2.3.3
LEGEND
Automated Activity
Collaborative Activity Partially Automated & Collaborative Activity
Manual ActivityPartially Automated Activity
Partially Collaborative Activity
Page 10
WHAT ModelUse
• To obtain a complete set of business activities necessary to support a specific business purpose (super set of activities)
• To create a foundational framework from which all of the other Decomposition models are based
• To depict business activities in a manner that is simple and easy to understand
• Enables activity structure
• Enables activity leveling
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 11
WHAT ModelRules and Dimensions
If you…
Have you?
In order to… What do you need to do?
Page 12
WHICH Model
Representation of the business information needed to
perform the activities, or that is produced by performing
the activities.
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
LEGEND
Entity Artifact
Page 13
WHO Model
Hierarchical representation of
organizational units, roles, people
and systems involved in
performing business activities.
Council / Board WebsiteCouncil Executive Secretary
Council Member
Council Management
Council Chair
Council
Special Emphasis Panel (SEP)
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 14
WHERE Model
A visual representation of
spatial / geographic
locations where business
activities occur
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
United States NIH Locations
Maryland Washington DC
OCITA Campus 10401 Fernwood Bethesda, MDNIEHS Research Triangle ParkNorth Carolina
North Carolina
IC Research Laboratory
NIH Campus, Bethesda, MD
Applicant Institution
Page 15
WHEN Model
Representation
of time in which
business activities
can occur, that
facilitates an
understanding
of business
time considerations.
Appeal / Dispute Window (30 days)
Grant Termination Date
Grant Termination Date + 90 Days
Grant Termination Date + 30 Days
Application renewal Timeframe
Time Prior to Expiration Date (6-12 Weeks)
Grant Termination Date + 150 Days
Grant Closeout Date + 90 Days
Calendar Year
Calendar Year
Calendar Day
365
Assignment Confirmation Window
3 Business DaysExtended Assignment Confirmation Window
5 Business Days
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 16
HOW ModelSample
START Prepare Critique of Application
2.3.4.1.1
Assign Score To Application
2.3.4.1.2
Reviewer
Enhanced Internet Assisted Review (IAR)
Grant Application
Application Critique
ReviewerGrant Application
Enhanced Internet Assisted Review (IAR)
Application Score
Version
Peer Reviewer Notes Peer Reviewer Notes
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
LEGEND
Entity Artifact
ActivityRole
Stert
Technology / System
Page 17
HOW Model
Defined…• Model that ties everything
together • Used to display workflow on a
single or multiple levels
• Incorporates all other models and dimensions
• Provides a single comprehensive view of the business operation
Modeling Use…• Who does What activities with
Which information• Where the activities are
performed in the process flow• When do the activities take
place along process flow• Different business scenarios• Dimensions
– Activities– Role– Entities– Locate– Time Frame
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 18
Benefits of BPM
• Clarifies processes, roles and definitions• Clearly depicts the contribution of every activity to the overall business
purpose• Allows holistic view of the entire process• Bridges the gap between “IT” and the business• Enables informed and quantitative decisions• Provides a single source of information• Promotes continuous collaborative improvement• Provides framework for use cases and system requirements
NIH Enterprise Information Technology Architecture Contact: enterprisearchitecture@mail.nih.gov
Page 19
Success StoriesMTA: Defining Processes
Issue: Determine business needs for new system to support the
management of materials.
BPM Value: Identified system support similarities between the
inbound and outbound transfers enabling the possibility of re-use during in house system development.
Derived requirements for potential COTS systems.
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Manage Biological Materials / Information for NIH
Distribute Outbound Materials
2.5
Secure Approval of Material Transfer for Outbound Requests
2.3
Request Transfer of Materials for Outbound Requests
2.1
Evaluate Outbound Request
2.2
Manage Agreement for Outbound Requests
2.6
Transfer Data for Outbound Requests(S)
2.4
Search For Available Material for Inbound Requests
1.1
Request Transfer of Material for Inbound Requests
1.2
Secure Approval For Inbound Material Request
1.3
Receive Inbound Materials
1.5
Manage Agreement for Inbound Requests
1.6
Procure Material
1.4
Manage Outbound Transfer Requests of Research Materials or Information
2
Manage Inbound Transfer Requests of Research Materials or Information
1
Page 20
Success StoriesHSPD-12: Proving Compliance
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Initiate Application Process
New Applicants
OPM
Appeals Process
5.Adjudicate Fingerprint Check
6. Adjudicate Background Investigation
7. Issue NIH PIV Card 3.Register NIH Applicant
2. Sponsor NIH Applicant
X/OR
X/OR
Unfavorable Investigation Adjudication
Favorable Fingerprint Adjudication
8. Establish Physical Access Start X/OR
4.Initiate Background Investigation
End
OPM AppealsProcessResults <= 5 days
Results <= 6 months
Favorable Investigation Adjudication
1B.3New Applicants:Other Non-FTE
1ANIH BadgedApplicants(Non-PIV)
X/OR
Unfavorable Fingerprint Adjudication
Within120 days aftersending fingerprintsto OPM
Assign NIH Physical Resources & ServicesSecurity Awareness Training and Assign IT accounts
- Issue Parking Permit-Transhare
AND
LEGEND
Defined by FIPS 201Operational Processes Influenced byFIPS 201
1B.2New Applicants:Contractors
1B.1New Applicants:FTE ANDEstablish ITAS and EHRP Profiles
AND
Create Data Record Issue Badge Request Release BadgeHHSIDMSProcessing HHSIDMSProcessing
HHS-NEDFuture Interface
AND
End
End End
End
AND
Inclusive And: Process must flow in all possible connected paths simultaneouslyInclusive And/Or: Process may flow in one or many of possible connected pathsExclusive Or: Process must flow in one and only one of possible connected paths
AND/ORX/OR
Outside Process Sync or Information Source
AND
Indicator of Level III How Model
1
Fingerprints
Background Investigation on-file or initiated
Denotes Primary Path
Denotes Exception Path
Denotes Future HHS Interface
Issue: Prove HSPD-12 compliance, eliminate data quality errors, and improve manual processes.
BPM Value: Proved HSPD-12 compliance.
Reduced data errors.
Page 21
Ongoing InitiativesEnroll Non-local Organization
Issue: Manual intervention, duplicating processes, multiple data checks.
BPM Value: Suggested an automated QC check and eliminating duplicative, manual checks.
Demonstrated similarity in business processes between enrolling vendors & organizations.
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
Register Institution with Central Contractor Registry (CCR)
1.2
Enroll in eRA Commons Create an Institution Profile
2.1
Validate Institution Profile
2.2
User Support Data Quality
Review Institution Registration
2.3
Approve Institution Registration
2.4
User Support
DUNS Number
Register for DUNS Number
1.1
Institutional Representative Institutional Representative R
eRA Commons eRA Commons eRA Commons eRA Commons
Institutional Profile (IPF)
R R R R
Institutional Profile (IPF)Institutional Profile (IPF) Institutional Profile (IPF)
RInstitution / Company Data
Institution / Company Data
CCR Registration
Institution / Company DataInstitutional Representative
Person DataeRA Commons
RInstitutional Representative
DUNS Number
TIN
Review Institution Registration
2.3
M-PIN
DUNS Number
Institutional Profile (IPF)
Email Notification
Electronic Funds Transfer (EFT) Info
Dunn and Bradstreet Website CCR Website
Registration Hyperlink
eRA Registration eRA Registration
Approve Institution Registration
2.4
eRA Commons
Institutional Profile (IPF)
Data Quality
Similar Data X 3Similar Validation X 2
(Could be automated)
Page 22
BPM for EPLC Support Contact Information
• We’re here to help you! We can provide guidance and assistance to projects in meeting the requirements of EPLC.
• Class http://training.cit.nih.gov/ Course IT800 - Business Process Modeling
• Website http://EnterpriseArchitecture.nih.gov
• Email EnterpriseArchitecture@mail.nih.gov
• Rules for submitting BPM: NIHRFC0027http://enterprisearchitecture.nih.gov/NR/rdonlyres/1886FFBF-72D8-4BE6-AEEC-37D81915072D/0/NIHRFC0027BusinessProcessModeling.pdf
• Subscribe to the EA LISTSERV: http://list.nih.gov/archives/enterprise_architecture.html
• BPM Contacts Angela Thomas Ryan Kahn(301) 451-3766 (301) 435-8190angela.thomas@nih.gov ryan.kahn@nih.gov
NIH Enterprise Architecture Contact: enterprisearchitecture@mail.nih.gov
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