Business Process Modeling for EPLC Facilitated By Angela Thomas Ryan Kahn

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: [email protected]

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)


Page 4

Significance of BPM to the EPLC


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: [email protected]

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)


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)*


* 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?


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.


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


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.


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)


Page 14

WHERE Model

A visual representation of

spatial / geographic

locations where business

activities occur


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


Application renewal Timeframe

Time Prior to Expiration Date (6-12 Weeks)


Grant Closeout Date + 90 Days

Calendar Year

Calendar Year

Calendar Day

365

Assignment Confirmation Window

3 Business DaysExtended Assignment Confirmation Window

5 Business Days


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


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


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


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.


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


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.


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


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


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 [email protected]

• 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) [email protected] [email protected]


Documents

Business Process Modeling for EPLC Facilitated By Angela Thomas Ryan Kahn