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