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Report of the Information Architecture and Process Innovation Project--Reshapingthe Enterprise: An Overview

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REPORT OF THEINFORMATION ARCHITECTURE AND PROCESS INNOVATION PROJECT

RESHAPING THE ENTERPRISE:AN OVERVIEW

This report presents a "point-in-time" perspective; it marks

a beginning, not an end; and it is intended to change overtime.

By James G. Williams, Dennis J. DeSantis, Nicholas C.Laudato, Maureen R. Moroney, and Michael S. Rissman

June 20, 1994

INTRODUCTION

"The essential means of maintaining institutionalvitality in our rapidly evolving era is for a collegeor university to conceive a strategic vision and thenrealize that vision through purposefully managedorganizational change."

Douglas W. Steeples

The Information Architecture and Process Innovation Projectwas initiated to assess the current processes andinformation systems in the University environment and todevelop a framework and strategy for improving thoseprocesses and systems, enabling them to be useful through

the end of the decade. The scope of the effort encompassesthe entire University, including the regional campuses, butexcluding the University of Pittsburgh Medical Center(UPMC).

The Information Architecture is documented in threepublications at different levels of detail:

* A one-page high level summary of the major componentsand proposals of the architecture,



* An overview documenting the approaches, components, andmajor proposals for the architecture, and,

* A two volume, 500 page, detailed description of thearchitecture and its components, as well as issuesrelated to its implementation.

This document is the overview. Like the architecture, it isintended to be dynamic, that is, to change, grow, andcontract as technology changes. It will act both as a guidefor the future development of information systems at theUniversity of Pittsburgh and as an historical record of thatdevelopment.

In this age of rapid technological change, uncertaineconomic conditions, and increasing demands for customizedinformation services and products, it is fruitless to layoutlong term master plans with projected investment levels. Itis more realistic to have a set of principles, models,patterns, and an overall framework for information systemdevelopment that can be implemented in an organic andpiecemeal manner. The implementation should be based upon aset of priorities established on a year-by-year basis to

satisfy the most pressing needs of the University withinwhat it desires to invest in information system developmentand the benefits that can be derived.

ENVISIONING A NEW ENVIRONMENT

The University Information System (UIS) will provide thenecessary technological infrastructure to support theadministrative information processing requirements forstudents, faculty, staff and other stakeholders. It will becapable of integrating information from multipleapplications and multiple sources into a single coherent

presentation. All systems will provide the user with acommon interface based on a set of guidelines and principlessuch that learning to use one system will transfer to allother systems. All valuable, public information will beacquired in a timely fashion and made available for access.

The envisioned information system will provide widespreadaccess from anywhere in the world to University information.It will provide functionality for all authorized persons ina manner that is flexible and easy to use. Users will havethe capability to manipulate the available information tosatisfy their particular needs without requiring a speciallytrained intermediary. Information creation, access,

retention, ownership, and associated responsibilities willbe well defined and a mechanism to settle disputes will beestablished.

This section provides a few scenarios that show how thearchitecture will impact work at the University. Theseconcrete illustrations describe how the proposed informationarchitecture will actually work and what it can do forindividuals and units within the University when fullyimplemented. These are intended to not only show some of



the functional capabilities of the architecture and howusers may interact with it, but also the relationships amongvarious components.

Faculty Member as Researcher

While professor Paula is waiting for her turn in the showerin the morning she checks her home computer to see whatactivities are on her schedule for the day. From her home,professor Paula has capabilities similar to those availablein her office at Pitt. Her workstation can access anydevice, database, library, computer application or otherfacility within any Pitt campus or Internet location. Sheconnects to the network using a SLIP connection so herwindows environment will look the same as it does from heroffice.

Her display screen is configured with a number of windowstailored to her personal taste. In the messaging window,all her e-mail, voice mail, FAX, scanned letters anddocuments, and other electronic messages have beenprioritized, sorted and colored according to priorities andrules specified by her. In her time management window isher calendar of appointments for the day. She notices she

has a 9:00 a.m. meeting with her research team to check onthe progress of her research project for the automaticindexing of flowering plant images. This reminds her thatshe needs to check the status of the equipment she orderedfor this project and the budget status of the project. Shemakes a note of this in her notebook window. She also seesthat one of the items in her messaging window is red andblinking which means it is highly important. The messageheader indicates that it is from her co-investigator on theresearch project. She points and clicks on this header andthe associated message is displayed in the message window.The message informs her that her colleague will not be ableto attend the 9:00 am meeting but he has attached a document

that outlines a series of algorithms to be used for theimage indexing project. She files the message andattachment in the electronic folder for the project.

Upon arriving at her office, Paula logs into the system viaher desktop personal computer. She is authenticated foraccess to all authorized resources in the system via thissingle login. A series of windows are displayed and shelooks at her notebook window and is reminded that she needsto check on the equipment order and budget status for theresearch project. She looks at the applications window andpoints and clicks on the purchasing entry. A menu ofchoices appears, one of which is to check the status of a

purchase request. She clicks on this entry and is shown awindow with an index of all purchase requests made by her indescending order by date. The index line shows the statusof each purchase order. She clicks on the PO she isinterested in and a history button and is then shown thehistory of actions related to it in reverse chronologicalorder. The display shows that the PO was approved by theDean three days ago and an order was sent to the XYZ companyyesterday and a notification of such was sent to Paula viae-mail late yesterday.



Paula closes this window and scans her messaging windowwhich shows the notification message from purchasing. Shedecides to raise the priority of such messages and colorthem green so she can easily identify them from now on. Todo this, she clicks on the rules button in her messagingwindow and makes the necessary changes. She now goes backto the applications window and clicks on the accountingchoice to check on the budget situation for the researchproject. She is presented with a number of accountingrelated functions, one of which is research accounting. Sheclicks on this choice and is presented with a window whichlists her three current research projects. She clicks onthe Image Indexing project and is presented with the currentbudget items for the project, the amount expended to dateand the amount encumbered at the current time. She noticesthat the equipment on the PO she just looked at has beenencumbered. The budget still has money for personnel leftin it and she wants to discuss this at her 9:00 a.m.meeting. She drags the budget line item on personnel to hernotepad window for future reference.

Paula decides she wants to peruse the algorithms documentsent by her co-PI. She selects the project folder in the

messaging window and selects the algorithms document whichshe brings into an editor so as she reads it she can makecomments about the document. She decides to do a search ofsome databases on the local CD-ROM and the Internet to seeif there is additional information about a couple of thealgorithms. She selects and drags some key words andphrases to her notepad as she continues to read and commenton the document. After she is done with the document she e-mails it to members of the project team along with a shortnote. She then selects the window for information accessand chooses PITT-CD-ROM as the source to search. When thesearch form for PITT-CD-ROM appears, she drags several termsfrom her notepad window onto the form as keywords for

searching. The results of the search shows two documentswhich appear to be relevant. These are saved in the scratchpad area for later reading.

Paula exits the PITT-CD-ROM database and then decides to trythe Internet sources by selecting that menu choice. Thisplaces her in the Mosaic software which guides her through aset of sources from Gopher servers and WAIS servers for thekeywords entered as the search terms. From this Paulaselects two more documents and places them in her scratchpad memory. Paula exits the information access window andselects her word processor from her personal productivitytools window. She imports the documents from her scratch

pad and annotates them for her co-PI. She is then off toher meeting at 9:00 a.m.

Upon arriving back from her meeting Paula must order an HPimage scanner for the research project. She first checksthe equipment budget information by using the researchaccounting choice in the applications window and sees thatthere is money in the equipment budget line. She thenselects the purchase choice from this same applicationswindow. She also clicks on the create a purchase request



button and is shown a purchase request form with informationthe system knows about her filled in. She double clicks onthe account number field and gets a list of account numbersand related project titles which she has authorization tocharge against. She points and clicks on the desiredaccount number and it is placed in the field on the purchaserequest form.

She then types "scanner" in the item description field andis presented with a list of scanners of different types fromdifferent manufactures. She uses the scroll bar on the sideof this window to move down the list to HP scanners whereshe again double clicks on the first HP scanner entry on thelist and is shown a brief description of the scanner and itsprice. After reading the description, she decides thisscanner will not meet the requirements for the project andexits back to the list and selects another entry. Thisentry fits the requirements and she clicks on the "OK"button. The information from the entry fills in severalfields on the purchase request form. Paula then completesother needed data and clicks on the "OK" button. The formis sent to the work flow software where it is date and timestamped, and routed to the department chairperson, who isthe next person on the authorization path for approval. The

work flow software also makes an entry in its database ofthe event and actions that occurred. Paula then checks hercalendar window for other appointments and her messagingwindow for new messages.

Faculty Member as Teacher

After arriving at his office Bill logs into the Pitt systemand see that he has several electronic messages and an alarmsignal on his calendar. He clicks on the alarm signal,which informs him that he has a student coming for anadvisement and registration session in an hour. He decidesthat he will send his completed workbook for his course to

the on-line production printing facility offered by CentralPrinting. He clicks on the "Print Services" option in the"Services" window and is presented with a set of printingservices available at the University. He selects the"Production Print Services" option and a form is displayedwhich lets him enter the specifications for his print job,including binding, tabs, color, covers, and any specialhandling of graphics included in his document.

Bill then decides to continue work on his journal articleuntil the student advisee arrives. He activates his wordprocessor and selects the journal article. As he is readingwhat he wrote yesterday, he decides he needs a reference for

a point he is trying to make. He minimizes his wordprocessor window and selects "PittCat" from his informationaccess window. A form is displayed into which he can entersearch terms for searching the library catalog. He entershis search query and a list of items are displayed whichmatch his query. After narrowing his query, he finds abibliographic citation which appears to fit his needs andorders the book sent to his office. He then clicks on thePITT-CD-ROM choice and enters his query to see if he canfind a journal article on the topic. He gets three



citations that appear to fit his needs. He then perusesthese articles on-line and determines that one is worthreading. He imports this article into a file on his desktopdevice for later reading.

A knock at his office door signals that his advisee hasarrived. The student enters and is directed to a seat inthe office. The student tells Bill he needs to register fora natural science course and a humanities course to completehis distribution requirements. He also wants to take twomath courses and a computer science course on compilerdesign. Bill selects the "Registration" option from theapplications window and is shown a menu of choices. Bill isshown a form where he can enter the student ID or thestudent name. He asks the student for his ID and enters it.A display appears which has basic demographic data about thestudent, any service restrictions (holds) for the student,and a series of buttons for getting further information orfor registering the student into courses.

Bill selects the "Academic History by Term" option since hedeems it necessary to see what the student has actuallytaken so far. The courses the student has taken aredisplayed in a window. Bill scrolls through the courses and

sees that the student has an incomplete grade in Biology.He discusses this with the student and they decide that thestudent will need to take two natural science courses tocomplete his distribution. Bill clicks on the "Schedule"button in the registration window and is shown a "CourseSchedule Browser" form on which he may specify what part ofthe course schedule he wants to view. Bill enters Geologyas a subject for courses and is shown the courses offeredfor the next term (the default term) by the Geology andPlanetary Sciences Department. They see a course that looksinteresting and the student wants to find out more about thecourse. Bill double clicks on the course title and is showna description of the course and a course syllabus. They

decide this is a good course for the student and Bill clickson the register button.

A registration form appears on the display next to thecourse schedule window. Bill drags the course scheduleentry for the geology course to a line on the registrationform and the student is registered into the course. Billthen clicks the "Course Schedule Browser" window to make itcome to the foreground and enters "Math" as the coursesubject. The math offerings are displayed and two mathcourses are selected and registered for. The CompilerDesign course is filled and Bill suggests another course.Bill then clicks on the "Advisor Notes" button and is shown

a window with notes he made from the previous advisingsession for the student. He enters some notes about theadvising session and sends the student on his way.

After the student leaves, Bill decides to look at the classroster for the current classes he is teaching. He selectsthe "Class Information" option from the information accesswindow and enters the class ID of one of his classes. He ispresented the basic information on his class and a set ofbuttons for related information. He clicks on the "Roster"



button and is presented with a list of students in hisclass. He decides he will add these to his spreadsheet forkeeping track of grades. He copies the roster to hisscratch pad and then clicks on his spreadsheet icon. Hethen pastes the scratch pad roster data into hisspreadsheet. He repeats this operation for his other class.

FRAMEWORK FOR BUILDING INFORMATION SYSTEMS

The University of Pittsburgh is a moderately-sizedinstitution in an economic, social, and political climatethat demands the ability to respond to local, regional,national and international changes in a timely and relevantmanner. To facilitate such responsiveness, Universityleaders must utilize information about all aspects of theenterprise and must change the way the University communityperforms work, makes decisions, and plans. The Universityis a classical organization attempting to transform itselfinto a modern organization. To accomplish thistransformation, the University administration needs toactively plan for the implementation of essentialinfrastructure components that will provide a consistentdirection guiding the University into the twenty first

century.

The project team employed methods from process reengineeringand architectural approaches for building informationsystems in developing the framework and strategy. Themethodologies were based on the assumptions that: (1)information processing technology empowers users andcustomers to reengineer processes, and (2) reengineeredprocesses determine the need for information technology. Asa result, two parallel efforts were undertaken, one todefine an enterprise-wide information architecture, and thesecond to define a methodology for process reengineering.Because the same group of people were involved in each of

these efforts, the relationships between the two effortswere coordinated.

The information architecture effort articulated a philosophyand set of architectural principles, and developed a set ofworking prototypes to illustrate the architecture. Theprocess innovation effort adopted a methodology and selectedthe procurement process as a prototype to refine and testthe methodology.

Assessment of the Current Environment

The project team led an analysis of 12 administrative areas

of the University, including academic units, business units,and a regional campus. The analysis sought to identify aset of basic information processing tasks common to allapplication areas. In addition, the project teaminterviewed over 80 individuals in other business andacademic units to perform a general information systemassessment. The team also formed three focus groups to helparticulate the basic philosophy and principles for theinformation architecture. These efforts resulted in aphilosophy statement that was individually reviewed by over



100 people in the University and was published in theUniversity Times and in the minutes of several keyUniversity committees for general comment and suggestions.This statement and its associated principles, documented inthe next chapter, form the general framework for thearchitecture and an administrative structure for processinnovation and information system development.

The information processing needs expressed by users fitbroad categories such as information ownership,availability, access, decision support, report generation,work flow, paper flow, ease of use, sharing of information,and functional integration. Users expressed other concernsrelated to organizational structure, work life, services,and information systems, as summarized below.

The University is a functionally-oriented organization whosevertical structure and information systems reflect thisorientation. The process chains (such as procurementprocess chain) are long, convoluted assembly lines that areplagued by inefficiencies, delays, excessive paper, multiplelevels of authorizations, errors, lack of access toinformation and customer dissatisfaction. Personnel arespecialized, lack adequate access to electronic information

and spend too much of their time on work flow and paper flowissues. Processes are badly in need of significantreductions to the costs of delivering services and radicalimprovements to the quality of the services delivered.

Central information systems at the University areproprietary (closed), platform dependent, file oriented,host-centric, and character based. The software is old, nothighly integrated, mostly batch oriented and paper based.The Integrated Student Information System (ISIS) is anexception with on-line inquiry, better integration and on-line entry for some segments of the University. But it isdifficult to use and lacks easy access by end users. In

addition to the central systems, over 140 decentralized(campus, school, and departmental) systems use a file serverarchitecture and duplicate many of the central systemfunctions and data. Many of these systems evolved becausecentral information systems did not adequately meet userneeds.

Application software is specialist oriented (not flexible),highly coupled (logic, data and interface), integrated viabrittle bridging software, functionally limited, notportable (no choices for hardware and system software),difficult to maintain, do not use standard, published API'sand have end-user interfaces that are not compliant with

human information processing and human factors principles.There are many "dumb" terminal devices in use foradministrative applications. The existing intelligentdesktop devices are not integrated into systems and rely onterminal emulation software that does not easily permitincorporating applications into personal productivity toolsand local applications. Some specialized applications thatcould more conveniently service customers (such as publickiosk's for service information and student self-registration) are not available.



Data and documents are extremely difficult to find andaccess, and ad hoc queries from desktop devices to centraldata sources have been virtually non-existent. Ad hocqueries require writing custom software or getting downloadsof central data to a database where the ad hoc queries canbe processed. This inability to permit end-users toformulate ad hoc queries to be processed against centraldata is costly in terms of its consequent duplication ofpersonnel, data, and technology. Permitting authorizedusers direct access to all central system data for ad hocqueries and locally developed or acquired applications wouldeliminate a significant amount of software customization andad hoc report generation by Administrative InformationSystems (AIS).

Data and document management by AIS and the library systemis performed quite well, but represents at a maximum onlyabout 50% of all the data and documents generated andacquired by units within the University. Policies,procedures, minutes, brochures, syllabi, vitae, reports,schedules, floor plans, wiring diagrams, maps, etc. are dataand documents that represent the other half of theinformation that needs to be managed. The use of

information directories, message handling systems and workflow technologies will become essential to an integratedworkplace.

The network and communications infrastructure of theUniversity is the strongest part of our technology base. Ithas been keeping pace with new technologies, standards anduser demands. This infrastructure is essential to networkedapplications, messaging, multimedia documents and aclient/server architecture. The investment in thesetechnologies must continue.

All units in the University have an information system,

whether it is automated or manual. Each of these systemshas an architecture that has gradually evolved over theyears in an attempt to meet the information needs of itsusers. Unfortunately, there are still misfits between thesesystems and the information needs of users due to a lack ofresources, lack of access to needed information, lack ofcontrol over information processing, and other factors.

Creating a New Environment

In order to create a new environment, the principle focimust be on the customers, the quality of the services andproducts provided, the cost effectiveness of providing

services and producing products, making informed decisions,and the quality of work life afforded those who perform workand manage activities. There are two highly inter-relatedefforts required to support these foci, namely,reengineering processes and building an informationarchitecture to support the processes.

Process Orientation and Reengineering

To succeed at reengineering its work, the University must be



viewed as a set of inter-related core processes rather thana set of isolated functional activities or work tasks. Eachof the core processes must be analyzed and reengineered insuch a manner that the benefits of modern informationsystems and information technology can improve quality andreduce overall costs. The core processes, sub-processes andhigh level analyses of these processes are presented interms of process maps and other diagrams.

The process innovation approach taken for this project isone that requires discarding old ideas and attitudes andevaluating and re-thinking how work is done at theUniversity. It requires adopting radical changes and relieson the capability of information technologies to supportthese changes. The approach provides a methodology forimplementing process innovation at the University. Thismethodology is based upon successful implementations inother organizations and was refined and tested during aprocess reengineering experiment for the procurement processconducted as part of this project. The approach alsoprovides an organizational structure to manage processreengineering, with roles and responsibilities outlined.

Information Architecture

The project takes an architectural approach to designing newinformation systems at the University. An architecturalapproach simply means that all systems and relatedapplications implemented to support process-relatedactivities follow a set of principles and a technologicalpattern that is consistent and structured. An informationarchitecture is a statement of how information technologycan be organized to serve multiple functions. Thearchitecture for process reengineering is a statement ofwhat processes exist in an organization, how these processescan be changed and the impact of change on the economic,management, human resource and information systems.

Unlike the architecture of a bridge or building, anarchitecture for information and process reengineering ismore of a process than a product. The architecture resultsin a set of documents that should act as a "living document"which is updated on a continuous basis as the Universityenvironment and the technology changes.

Organizational Components

Three organizational units will play a prominent role in theimplementation of the proposed architecture and processinnovation initiatives. The first, an advisory committee,

will be formed to provide overall guidance, direction, andpriority setting. The second, an Advanced Technology Group,will be formed within CIS to investigate and implementemerging technologies, as well as to develop the technicalcapabilities for staff in AIS and other CIS units. Finally,CIS will assume the ongoing responsibilities of theInformation Architecture and Process Innovation Project,ensuring that the architecture evolves and grows withchanging technology and that the process reengineeringefforts are related and refined.



* University Information System Advisory Committee(UISAC): The basic organizational structure proposedfor policy formation and implementation of theinformation architecture centers around the creation ofthe University Information System Advisory Committee(UISAC). The UISAC will be composed of representativesfrom the University community, including academicunits, administrative units, regional campuses, CIS,the Board of Trustees, and one outsider. The committeewill be approximately ten people but a much largernumber of representatives from academic and businessunits will be included on its working groups.

The UISAC will be given responsibility for creating anenterprise-wide business and information systemstrategy, and for making policy and fundingrecommendations for information system andreengineering projects proposed by academic andadministrative unit design teams and by CIS. An equalnumber of users and administrators will comprise themembership on the UISAC. The UISAC will report to theSenior Vice Chancellor for Business and Finance.

* Advanced Technology Group: One of the criticalelements for any information systems organization inthis age of rapid technological development is to keepa staff trained in the use of new and productivetechnologies and techniques. The recommended approachto this issue is to form a group whose function is todevelop applications using the newest technologies andtechniques available on a prototype scale. This groupcould attract faculty and advanced students to workwith CIS personnel on projects that are developmentalin nature but have a potential payoff for theUniversity. Such a group could also begin to attractexternal funding as well as become a beta site for

hardware and software vendors.

The UISAC will act as the steering committee for guidingprocess innovation at the University. CIS staff will act asthe Reengineering Project Facilitators at the University.The UISAC will develop priorities and initiate plans forprocess reengineering projects in conjunction with CIS.

Figure 1: Organizational Structure and Implementation

Implementation of the Information Architecture will be basedupon a set of principles taken from the Oregon Experimentrather than a master plan approach. Such principles were

found to be highly successful in designing and building theUniversity of Oregon over the last 20 years. Theseprinciples are:

1. Organic order: The planning and implementation of theinformation architecture will be guided by a processthat allows the whole to emerge gradually from localimplementations, guided by the proposed informationsystem philosophy and structure.



2. Participation: All decisions about what will be built,and how it should behave will be in the hands of theusers at various levels. This is based on theassumption that users help shape the environment andknow their needs best.

3. Piecemeal growth: The implementations undertaken ineach budgetary period will be weighted overwhelminglytowards small projects since large scale developmenthinges on a view of the environment that is static anddiscontinuous. Piecemeal growth hinges on dynamic andcontinuous growth.

4. Patterns: All design and implementation will be guidedby a collection of communally adopted designprinciples, called information processing patterns,that will guide the design of everything. The patternsmay be very large ones or very small and specific ones.Some patterns will deal with the behavior of computerinterfaces, some with the distribution of data, somewith hardware configurations, some with networkprotocols, and others with database access methods.

5. Diagnosis/Evaluation: The well being of the

architecture and the envisioned information system willbe protected by an annual diagnosis/evaluation systemwhich will explain, in detail, which information systemactivities are alive and which are dead, at any givenmoment in the history of the system. The feeling forwork life will always outstrip the current patterns forprocessing information.

6. Coordination: The slow emergence of organic order inthe whole will be assured by a funding process thatregulates the stream of individual projects put forthby users. The use of a standard template to fundprojects, describe projects, describe patterns of

information processing, perform diagnosis and estimatecosts will aid in prioritizing projects.

PHILOSOPHY AND PRINCIPLES

The architecture articulates a philosophy and set ofprinciples to establish a set of basic patterns fordesigning and implementing systems to support current andreengineered processes. This set of principles is basedupon an assessment of information systems currently in useat the University and the information system requirementspresented by users as part of the analysis phase of the

project. The principles specify a distributed computingenvironment, an open systems environment, sharing ofinformation, adherence to standards, use of modelingtechniques, making information visible, utilizing consistentinterfaces based on human factors, distributed systemsmanagement, client/server computing, process orientedapplication program structure and a focus on end-usercomputing.

The philosophy and related principles provide a framework



for the information architecture by articulating theobjectives and quality characteristics that the architectureshould follow. These, in turn, are intended to guide theanalysis, design and decisions made relative to all aspectsof information systems and processes at the University. Thequality characteristics stated in the philosophy determinethe technological approach taken in defining components ofthe architecture and how they must operate. The principlesare meant to provide a set of patterns by which informationsystem design decisions can be made.

One of the primary goals of the project was to establish aunifying philosophy for future information services at theUniversity. The philosophy encompasses both technology(information architecture) and practice (processinnovation).

The discussion below describes the objectives for the newUniversity Information System (UIS), a system concept forsatisfying those objectives, and a set of principles forguiding implementation of the UIS.

Objectives

An information system is designed to satisfy specificrequirements. The objectives are the high-levelrequirements that have the most direct impact on the system.The objectives for the UIS are put forth as goals for UISactivities and applications. An activity is a use of theUIS to accomplish a specific outcome. Examples includepaying for a purchase, determining the implications of achange in strategy, registering a student, and preparing amailing to a specific population. An application supports aset of related activities. Examples include a generalledger system, a decision support system, a studentinformation system, and a human resources system.

* Focus on Activities: Users should be able to focus onthe activity they are performing, rather than on thesystem they are using to perform the activities. TheUIS will allow users to focus on activities by:

1. Organizing applications around activities;

2. Delivering the information needed to perform theactivity, and filtering out information not needed;

3. Providing on-line help and explanations of policiesgoverning the activity;

4. Standardizing the look and feel of user interfacesacross applications; and,

5. Standardizing the information processing tasks thatmake up an activity.

* Sharing of Information: Local units (operating units,schools, and campuses) should be able to shareinformation. The UIS will promote sharing ofinformation by:



1. Aggregating data needed by individual units withinformation central to the University, without undueconstraints to the individual units;

2. Distributing applications independent of how data isdistributed;

3. Providing information about the data availablethrough the UIS in a way that facilitates viewing,retrieval, reporting, and analysis; and,

4. Providing means for controlling access toinformation as privacy considerations dictate.

* Quality of Information: Information must be timely,reliable, and accurate. The UIS will assure thequality of information by:

1. Providing the means of establishing ownership ofprocesses and their associated data, and the meansfor assigning authority to enter or modify data;

2. Checking the consistency and completeness of data at

its entry point, and assuring the consistency andcompleteness of data throughout its lifetime; and,

3. Eliminating single points of hardware failure.

* Reduction of Effort: The UIS will reduce the manualeffort required to perform information processingactivities, including archival activities, and willreduce the use of paper to store and distributeinformation. The UIS will allow the University toreduce manual effort and paperwork by:

1. Eliminating the keying of data available elsewhere

in electronic form;

2. Providing a user interface that facilitates theentry and modification of data;

3. Providing the means to approve transactionselectronically;

4. Providing systematic archiving of data toinexpensive storage media, and the means to accessarchived data for review; and,

5. Capturing records of activities performed, and

making the records available for subsequent analysis

* Flexibility: The UIS should be easy to adapt tochanges in policy, to incremental improvements inprocesses, to specific needs of local units, and toadvances in technology. The UIS will be flexible by:

1. Allowing the addition of new data fields withoutrequiring changes to programs that don't use the newdata;



2. Facilitating changes in where activities areperformed, when activities are performed, howactivities are performed, and who is authorized toperform activities;

3. Facilitating changes to processing details such aschanges in course prerequisites, redesign of reportformats, and extensions to the data produced by anactivity;

4. Reducing dependence on specific hardware andoperating systems;

5. Allowing economical, incremental additions ofnetwork and computing capacity; and,

6. Integrating autonomous local systems with theoverall UIS.

System Concept

A system concept is a high-level description of the designof a system, specific enough to communicate the nature of

the system to users. It establishes the strategies andframework that will serve as a reference point forsubsequent design decisions.

* Architectural Overview: To its users, the UIS willappear as a single set of applications automating theinformation processing activities the user performs.All activities will involve a familiar set ofinformation processing tasks, each with a standardinterface. The system will create the illusion thatall data is stored and processed at the user'slocation.

The UIS architecture will be distributed and layered.Eventually, all applications will be constructed andintegrated using foundation software, including a datamanagement system, common utilities, a user interfacelibrary, and network software. Each will conform withemerging industry standards for distributed informationsystems. Such standards facilitate the use of commontools such as spreadsheets and statistical packages,facilitate electronic data interchange withorganizations outside the University, and promoteindependence from individual vendors. In the interim,existing systems and commercial packages will beevaluated on their ability to meet functional needs,

their compatibility with UIS data management andnetwork standards, and the ease of integrating themwith the UIS interface library and common utilities.

* Data Management System: The UIS data management systemwill standardize the description, storage, andretrieval of all UIS data. All applications willaccess data through services provided by the UIS datamanagement system. Furthermore, applications will usethe data management system to determine whether a user



has privileges to perform activities. The datamanagement system will:

1. Implement a natural model of the data and willminimize constraints on physical characteristicssuch as the size of fields and the number of linksamong records;

2. Integrate central data with local data (data ofinterest only to individual campuses, operatingunits, and schools) without requiring users todifferentiate between the two;

3. Allow distributed access to data and providemechanisms for purposeful control of access to data;

4. Provide user-friendly navigation of UIS data, and astraightforward language to define subsets of datafor decision support tools such as spreadsheets andstatistical packages;

5. Allow both real-time and batch updates of data;

6. Provide archiving services; and,

7. Allow replication and partitioning of data.

* Common Utilities: The UIS common utilities willprovide applications with consistent services common tomost UIS applications. Use of the common utilities byall UIS applications will help standardize the wayusers perceive and perform activities, and will reducethe effort required to create and integrateapplications. The UIS common utilities will includesoftware that:

1. Provides on-line help and on-line access to policy,

both in context of the activity being performed;

2. Checks the completeness and consistency of inputs,allowing exceptions according to policy;

3. Allows a user to select an activity to be performed;

4. Notifies users when an activity has been triggered;

5. Logs descriptions of activities; and,

6. Schedules the distribution of results of activities.

* User Interface Library: The UIS user interface librarywill allow an application to interact with a variety ofinterface devices. Applications will obtaininteractive input and present interactive outputthrough routines in the user-interface library.Consistent use of library routines will standardize thelook and feel across UIS applications. The userinterface library will:

1. Be based on window environments featuring the use of



menus, control buttons, dialog boxes, command keys,and click-and-drag and cut-and-paste operations toinitiate and perform activities; and,

2. Support the variety of access devices in use at theUniversity, with lower-capability devices emulatinghigher-capability devices within limits imposed bythe lower-capability devices.

* Network Software: The UIS network software will tietogether the configuration of computer processors,access devices, data storage devices, and otherhardware employed by the UIS. The network softwarealso will connect the UIS to information systems usedby University suppliers, contractors, and customers.The UIS network software will:

1. Support client-server technology as the basicparadigm for providing information services;

2. Provide a bridge allowing electronic interchange ofdata with outside systems;

3. Support single sign-on security; and,

4. Support network management.

Architectural Principles

The following architectural principles are intended toprovide a framework for implementing the informationarchitecture. These principles should guide the analysis,design and decisions made relative to all aspects ofinformation systems and processes at the University. Theyare meant to provide a set of patterns by which informationsystem design decisions can be made.

1. Regard information as a University asset: Although itis a commonly held view that information is animportant organizational asset, the costs of creating,acquiring, maintaining, and managing information has ahigh degree of uncertainty. If every item of data andevery document in the University is considered anasset, then all data and documents can be treatedequally. However, data and documents are not all ofequal value and some criteria must be formulated todetermine what data and documents will be treated as anasset to the enterprise and which will not. This isnot unlike other items created and acquired by theUniversity.

2. Treat information technology and infrastructure as aUniversity asset: The University's computing hardware,software and networking investment is an asset and willbe treated as such. This requires managing allinformation technology from the desktop to themainframe in a manner similar to other Universityassets.

3. Use functional capability and cost effectiveness as



investment criteria: Investments in informationtechnology must provide the functional capabilitiesrequired by users and support the services demanded bycustomers. Information technology must be shown to becost effective and fit the architecture before aninvestment will be made.

4. Guarantee choice via an Open Systems Environment: AnOpen Systems Environment (OSE) consists of a computinginfrastructure that facilitates the acquisition anddevelopment of application software having thefollowing characteristics:

* Can be executed on any vendor's platform;

* Can use any vendor's operating system;

* Can access any vendor's database;

* Can communicate and interoperate over any network;

* Are manageable;

* Are secure; and,

* Interact with users through a commonhuman/computer interface.

Such an environment supports portable, scaleable, andinter-operable applications through the use of standardservices, interfaces, data formats, document formatsand protocols. Openness means commercially open,technologically open, operationally open, and useropen.

5. Allow shared access to information via adherence todatabase standards: The most important capability

demanded by users is access to data that is required tooperate and manage their responsibilities. Theadherence to database standards for storing, processingand accessing data and documents is necessary toguarantee sharing of data by multiple users.

6. Base information processing on policies, standards, andmodels: The acquisition of data and its subsequentprocessing and use will be guided by a set ofinformation policies and procedures which reflect theadherence to industry, national and internationalstandards. Information processing will be based uponmodels such as an enterprise data model, a

client/server processing model, a hierarchical, datawarehouse storage model, a distributed computing modeland process models, among others.

7. Establish data ownership and stewardship policies: Theownership of information is an issue for allorganizations that strive to manage and eliminate theduplication of information.The main questions are whoowns the information and who should have theresponsibility for its creation, modification,



accuracy, reliability, consistency, security, andtimeliness. In many cases, information is duplicatedbecause multiple units in the enterprise believe theyhave ownership of information and are responsible forit in attempting to service their customers (students,faculty, funding agencies, etc.).

The owners of data and documents should have the majorvoice in its identification, creation, indexing,storage, retrieval, reporting, and security as long asit is congruent with enterprise-wide informationpolicy. A data and document administration functionwill be responsible for ownership and stewardshippolicy and procedures.

Along with ownership goes a set of responsibilitieswhich the owners must assume. The owners areresponsible for the accuracy, integrity, security,reliability, versions and timeliness of their data anddocuments. Although the actual implementation of theseresponsibilities may be fully or partially relegated tothe stewards of the information, the ultimateresponsibility lies with the owners.

8. Ensure data and document integrity via a dataadministration function: A data and documentadministration function is responsible for proposingand implementing policies and procedures related to allaspects of the data and document management activity.Primary among these responsibilities are:

* Maintaining enterprise-wide data and documentstandards;

* Identifying and defining data and documentsources;

* Analyzing documents and defining Document TypeDefinitions (DTD);

* Standardizing naming conventions;

* Defining a data model in conjunction with users;

* Resolving data and document ownership issues;

* Tracking the content of the University databasesand data repositories;

* Designing and implementing training and

informational programs; and,

* Evaluating and recommending data and documentmanagement hardware and software.

9. Make data and documents visible: Provide a means foreasily determining and identifying from anygeographical location what data, documents, services,people, equipment, buildings and other resources areavailable across the University enterprise using



information processing technologies. The establishmentof an information resources repository based upon aninventory of all information will accomplish thisobjective.

10. Provide flexibility via a client/server architecture:Client/server is an alternative information systemarchitecture to the mainframe-centric architecturesthat have dominated computing in large organizationsfor the last 30 years. The client/server modelprovides information services that attempt to maximizethe benefits of low-cost, high-performance, opensystems computing devices without risking criticalmainframe-based applications and without wasting theinvestment in mainframe application and informationsystem development skills.

A client is a computer attached to a network that auser needs to access network resources such as othercomputers, printers, FAX's, or databases. A server isa machine that provides client machines with servicesand resources such disk storage, databases, applicationprograms, or network connections. Servers can bemainframes, minicomputers, workstations, powerful

microcomputers or other specially-designed networkeddevices.

11. Establish ease of use via an intuitive graphical userinterface (GUI): An easy-to-use and easy-to-learngraphical user interface will allow end users to accessinformation, technology and systems in such a mannerthat the majority of their effort will be spent inperforming the intended task without the technology andsystems interfering with this objective.

12. Integrate applications and workflow via a processorientation: By viewing the University enterprise as

comprised of a series of processes supported byfunctional units working together rather thanindividual functional units in an assembly line, workflow and integration of applications can be achieved.The end result is higher quality and more efficientservice for customers.

13. Make seamless interconnections: The ability to access,send and receive data and documents without regard tophysical location will be possible via networkingcapabilities and a highly integrated information systemenvironment.

14. Reduce paper by capturing data one time, at its source:Acquiring data in a digital form at the time it is madeavailable and storing it in a standard database thatcan be accessed by all who are authorized to utilize itwill reduce the creation of paper documents andeliminate the physical flow of paper within theorganization.

15. Provide workflow assistance: The implementation ofworkflow software will assist information workers in



their work through the use of work flow knowledge,automatic alerting, electronic forms routing, andelectronic authorization.

16. Ensure effective use of information technology viaeducation and training: Investing in technology withoutinvesting in the people who use the technology is notcost effective. The University will educate and trainits users to enable them to become the mosttechnologically literate University staff of its sizein the United States.

ARCHITECTURAL OVERVIEW

An architecture is built based upon the intended use ofinformation, the information technology, and the contextwithin which it will exist. Information systems have alwaysstressed the need for exhaustive user requirements as thedriving force behind the design of systems. Of course, theevidence shows that this approach has failed for largesystems every time.

In this project, the approach taken was to develop patterns

of information use so as not to be overwhelmed by the volumeof small details necessary to implement a specific task fora specific function for a specific application. This isbetter done using prototyping at detailed design time, notat the architectural phase of an information system. Theproject staff therefore developed a set of commoninformation processing tasks based upon an analysis of userrequirements plus interviews with people within theUniversity. The architecture is a response to thesepatterns of information use across all University activitiesand related processes which are found in every application.The list of these basic information processing tasks andtheir definitions are found in Volume 2, Chapter IX:

Information Processing Tasks.

A series of prototypes were built as part of the project toensure that the critical technically-based recommendationswere valid and feasible. These prototypes were designed tovalidate that the client/server mode of computing wasfeasible, that data from a combination of file servers,remote databases and desktop databases could be integratedon a desktop device in a transparent manner to present aunified look to the user. A prototype was also built thatdemonstrated the ability to put a graphical user interfaceon the front of a mainframe application as an interimmeasure to provide enhanced access to legacy systems.

One prototype was also developed that demonstrated theability to generate applications representing commoninformation processing tasks (finding, browsing and viewing)with a user-defined interface based upon a template. Thisapplication generator demonstrates the feasibility ofdeveloping tools that end users could utilize to developtheir own applications based on guidelines and standards forinterface design. Prototypes were also designed to test thefeasibility of an on-line data dictionary, on-line name



service and business applications using the client/servertechnology and databases following industry standards.

The prototypes were tested with end users to see if agraphical, mouse-based, point and click interface could bequickly and easily learned by novice users and whether userspreferred this interface over a character-based interfaceavailable on the mainframe. Not only did the prototypesdemonstrate the technical feasibility of providing access toinformation stored on distributed sources and the preferenceby users of the graphical interface, but they also providedend users with the capability to integrate data from thesesources with personal productivity tools such a spreadsheetfor class roster data.

The large scale components of the architecture are shown inthe illustration below. These components are discussed infive categories, called architectural views. Each view issummarized in this section and documented in detail inVolume 2: Technical Supplement.

Figure 2: Components of the Information Architecture

* The client/interface view describes what is required at

the user's desktop to provide access to the informationprocessing functionality and improve productivity andwork life. It presents software components as well asguidelines and standards for implementing a userinterface to information and functionality.

* The application view shows how common applications withtheir resultant high level data flows must beintegrated to support the core processes in theUniversity. It provides an evaluation of currentapplications from a process oriented view. It alsopresents some expected benefits to be derived byacquiring and enhancing common application software.

Local, specialized application software was notconsidered part of this project although a sample listof such applications is included.

* The data and document view describes the need formaking information widely available and what isrequired to make this possible. This view outlines abasic architecture for making information accessiblefor different purposes. It proposes a set ofactivities and technical components and describes howthey can be organized to ensure awareness,identification, accessibility, authentication andauthorization of access, and the efficient and

effective processing of data and documents by AIS andend-users. It also recommends that a data and documentadministration function be created and charged withdeveloping an inventory of data and document types andan enterprise-wide data model. A high level data modelis provided as a starting point for this activity. Theissues of ownership, stewardship and security of dataare also covered with a set of guidelines forconsideration.



* The system management view makes recommendations forhow management of a distributed system can be supportedvia hardware and software products. This includesmanaging desktop assets, servers, software distributionand installation, software licenses, networks,security, data, and hardware configurations.

* The platform view presents recommendations for hardwareand system software that adheres to standards and openand distributed system products. It also suggests theuse of standard protocols and a standard look and feelas a platform for desktop devices.

Mission

The purpose of all components of the University is tosupport its mission. The mission encompasses education,research and service areas that are influenced by economic,cultural and political factors.

Figure 3: Mission and Constraints

The University attempts to meet its mission at the highestaffordable quality. The work of the University is primarily

information based and as a result requires the most costeffective information systems that can be implemented.These information systems impact the users who provideservices and the customers who receive services. Customersare both internal to the University as well as external tothe formal organization. The work performed by theUniversity community and the services provided should allsupport the mission.

The mission defines the desired outcomes and the level ofquality desired for these outcomes. The organization ofUniversity resources into processes for producing thedesired outcomes is the dynamic that reflects what work we

do and how we do it to support the mission.

Processes

The Information Architecture and Process Innovation Projectidentified four core processes (as shown below) and definedthe components related to each process. A process isdefined by the inter-related outcomes that it produces interms of services and products and the events that triggerthe activities required to support the process. The flowthrough a process represents the data and documents thatenter into and exit from the activities for a process. Eachof the core processes have a set of sub-processes which act

as threads of inter-related activities.

These core processes represent the workflow of theUniversity and the services provided by administrativesystems to support the mission of the University.

Figure 4: Core Processes

The focal point of these processes is the set of customersthat the process is intended to support. The data and



document processing required to provide service to customersmust be supported by the information architecture. Thepurpose of process reengineering is to make the processes asstreamlined as possible and provide a high level of serviceto customers. Part of the streamlining requires the use ofinformation technology to permit sharing of data, parallelactivities, increased responsiveness and improved quality.

Because process reengineering can pose radical changes inthe way work is performed, information technology is theonly viable mechanism to support the changes. The manner inwhich application software is structured and the way dataand documents are acquired, stored, accessed and processedis based on a process oriented view of the University ratherthan the traditional function-oriented view. These viewsare represented by flow diagrams and other models within therelevant sections of the architecture as shown in Volume 2:Technical Supplement.

User Interface View

Users perform a number of information processing tasks inorder to fulfill their responsibilities at the University.The term "users" refers to faculty, staff, students,

administrators, vendors and other stakeholders in theUniversity enterprise. Information processing tasks refersto such activities as identifying, finding, browsing,selecting, sorting and creating data (see Volume 2, ChapterIX: Information Processing Tasks, for a full list anddefinitions).

A critical aspect of the interaction between users andinformation technologies is the interface through whichusers "see" the information resources and information systemfunctionality available for performing their information-related work. This interface must be intuitive, easy touse, consistent, helpful, and take advantage of natural

human capabilities such as visual processing. Interfacesbetween work tasks, systems, and processes control the flowof data and documents which determine the efficiency andeffectiveness of services and products delivered. Thearchitecture indicates that the users will be able to "see",via the interface on their desktop device, all theinformation resources available within the University andwill also be able to select any resource by simply pointingat it using an interaction device which could be a keyboard,mouse, or even a finger.

The architecture also indicates that the user will be ableto "see" the functionality available from the desktop device

interface. Functionality such as requisitioning items,registering students, authorizing requests, reading andsending mail, creating documents, responding to studentinquiries, payroll, scheduling meetings, scheduling classes,ordering books, etc. will be made visible based upon thosefunctions a user has been authorized to utilize.

* Desktop Device: The architecture suggests that usersshould be capable of performing nearly all theirinformation related tasks via an intelligent,



programmable desktop device such as a personalcomputer, workstation, Personal Digital Assistant(PDA), or a laptop computer. In special cases, even atelephone may be used to complete certain types ofinformation processing tasks. A desktop device may bean IBM PC or compatible, a Macintosh, Unix workstationor X-Windows device. These devices are referred to asthe desktop hardware platform. Through the interfaceon the desktop device, users will be able to identifywhat information resources are available and whatfunctionality exists for performing their informationrelated work.

The architecture suggests that all individuals who mustperform information based activities will require theuse of a desktop device in order to achieve thebenefits of the end-to-end flow of digital data throughprocesses. This implies that all users will have adesktop device.

Figure 5: Desktop Device

Every desktop device must have system software. Systemsoftware refers to the software required to manage the

hardware, personal productivity software, commonapplication software, data and communications availableon a computer.

* Graphical and Iconic Interfaces: The architecturerecommends that all desktop devices support a graphicaluser interface (GUI) and that all software utilize aGUI. A GUI is an interface that provides the abilityto display pictures, icons and images on the screen aswell as the ability to move the cursor to anyaddressable location on the display screen. Thearchitecture recommends the use of color displayscreens so that color can be used as part of the

display. A GUI permits the user to perform operationssuch as cut and paste, drag and drop and point andclick using an interaction device such as a mouse.This improves the productivity of the user byeliminating keystrokes and reduces the cognitive loadand number of errors that occur when users have toremember commands.

The architecture proposes a set of guidelines andtemplates for developing user interfaces toapplications and information access software. Thepurpose of such guidelines and templates is to ensureconsistency across application software and hardware.

This consistency is intended to provide reducedtraining time, fewer errors, higher levels ofproductivity and the substitutability of personnelacross application areas. Initially, support will beprovided for the Microsoft Windows GUI and subsequentlyexpanded to include the Macintosh, OS/2, and X-Windowsinterfaces.

* Personal Productivity Aids: The architecture indicatesthat users will have access to personal productivity



and common application software. Personal productivitysoftware will include such tools as word processing,spreadsheet, graphics, calculator, time management,message handling (e-mail) and local database managementsoftware. The ability to send and receive messages (email) in a transparent manner is one of the mostimportant capabilities for the desktop client.Application software has begun to include e-mailinterfaces for immediate notification to end users ofstatus, actions and errors related to functions thesoftware is expected to perform. The architecturespecifies that data and documents stored in centralsite and remote databases can be incorporated intopersonal productivity tools such as a word processor orspreadsheet. It also indicates that personalproductivity tools can be used to create data anddocuments that can be fed to common applications and adocument management system. The architecture suggeststhat the desktop environment should support group workvia software such as e-mail, conferencing, groupauthoring, group calendar management and data sharing.

* Common Applications: Users will have access to allauthorized common application software from their

desktop device. A common application is software thatprovides the functionality to perform activities suchas purchasing, financial management, asset management,human resource management, student registration,student admissions, student advising, student housing,financial aid, etc. These are common to the entireUniversity in that they are required to supportservices provided by all units within the Universityand generate data required to manage the University.

* Middleware: Desktop devices also need a type ofsoftware called middleware. This software provides thecapability for the desktop devices to send and receive

messages over the network, access data on othercomputers, share data among applications, and managethe desktop hardware and software itself.

* Data Access: Data access software is required topermit users to find and retrieve data for ad hocqueries so that customized displays, reports and filescan be generated on an "as needed" basis. The dataaccess software will include the capability to find andretrieve data and documents that are both within theUniversity as well as those that available anywhere inthe world. This requires that data, documents andfunctionality within the University enterprise must be

defined, described and stored in database(s) that canbe retrieved, displayed and managed for the user by thedesktop environment.

* Ad Hoc Queries and Reports (End-User Tools): The needto make ad hoc inquiries and produce customizeddisplays, reports and local data files requiresfunctional software that has powerful, flexiblecapabilities. Software that utilizes data accessstandards are required for this purpose. All



application software will adhere to industry andnational data access standards so as to provideconsistency across applications and provide access forad hoc query and reporting.

* Electronic Messaging (e-mail): Sending messages thatcan include any type of media (text, graphics, images)to others within and outside the University is arequisite for the architecture. Message handlingsystems include e-mail as well as other componentswhich make it possible to send and receive messages.These components should adhere to standards such asX.400 and the Simple Mail Transfer Protocol (SMTP) toensure interoperability. Since not all existing e-mailcurrently adhere to these standards, it will benecessary to provide mail gateways to achieve the goalof seamless inter-connectivity for electronicmessaging.

* Desktop System Management: Desktop devices are assetsto the University and as such must be managedappropriately. Software to perform desktop assetmanagement, configuration management, licensemanagement, security, backup and recovery, and software

installation from a remote site is critical in managinga distributed computing environment. The architecturerecommends the acquisition of such software so as toprovide secure, reliable and manageable desktopsystems. The architecture also recommends thatstandard configuration and naming conventions beadopted so as to reduce management difficulties.

* Desktop Network Connection: The architecturestipulates that all user desktop devices be connectedto a Local Area Network (LAN) along with other users intheir workgroup. A workgroup is a set of people whoperform the same or highly related set of work

activities. All the people in a department generallyperform highly related work and therefore may beconsidered a workgroup. An individual can belong tomultiple workgroups for providing different services.

All LAN's in the University system should be based onthe ethernet technology. Ethernet is a standardizedand reliable method of permitting computers tocommunicate with each other by sending data packetsback and forth. This communication between the desktopclient and a server must follow a communicationsprotocol to ensure the accurate, reliable andsynchronized sending and receiving of messages.

Because it is a widely accepted industry standard, theprotocol of choice for the University InformationSystem will be TCP/IP (Transmission ControlProtocol/Internet Protocol).

* Single Signon: It is recommended that the users have asingle signon regardless of how many computer systemsthey may use during a session. A session refers to allthe functions performed by the user from the time oflogging on the system until logging off. At the time



of logon the user will be authenticated by securitymechanisms that guarantee a cost effective level ofrisk against intruders.

Common Applications View

A common application is one that is common to the needs ofthe University as a whole as opposed to a local applicationwhich is only needed by a workgroup such as a department,school or business unit. Purchasing and studentregistration are considered common applications because theyare necessary to the basic functioning of the University andaffect a large number of people. A specific reportgenerated for recruiting engineering students is considereda local application.

Figure 6: Common Application Software

According to the information architecture all applicationswill operate in a client/server mode as defined above.Every application will be designed with three relativelyindependent parts, namely, a graphical user interface (GUI)at the front-end, an SQL compliant database at the back-end,and application logic as the middle part.

* Application Structure: The architecture recommendsstructuring applications around processes rather thanfunctions. The work and data should follow the processflow from end-to-end rather than follow a functionflow. This means that data, documents andfunctionality are designed to support processes ratherthan a particular function. To users, this means thatavailable functionality is broadened and theirresponsibilities for work become multidimensionalrather than a small set of isolated tasks. To aid theuser in managing the increased work responsibilities,workflow software is recommended as discussed above.

* Application Integration: The architecture suggeststhat applications be naturally integrated within andacross processes such that the need for bridgingsoftware to feed one application program or databasefrom another is minimized. Therefore, when atransaction from one application is generated thatcarries data required for other applications, theupdates for the other application's databases is madeat the time the transaction is generated rather thanwriting separate update programs that must bemaintained.

* Application Acquisition: The question of when to buyand when to build software for applications is not easyto answer. The architecture provides some guidelinesthat can help make this decision. Making this decisionbased on cost alone is a sure road to failure.Software development should be undertaken when nosatisfactory commercial product is available to meetthe needs of the University. This development shouldfollow an accepted methodology and utilize state-of-the-art software development tools as discussed below.



Figure 7: Application Development

* Application Development: Although most of the commonapplications will be purchased from commercial vendors(with required customization), there will always be aneed to develop applications for local system needs(departments, schools, programs, business units) aswell as for specialized common needs for whichcommercial software does not meet the specifications,e.g. Information Resources Directory and Dictionary.Software should be acquired that permits applicationdevelopment in a client/server mode that can be easilylearned and rapidly performed. The use of fourthgeneration languages (4GL) and visual languages arerecommended.

Data and Documents View

In order to provide the information services andfunctionality required by users, data and documents withinthe University must be managed as though they are assets.Data and documents originate from within the University aswell as outside the University. These data and documents

form the backbone for an information system. Thearchitecture specifies the need for an inventory of allclasses of data and documents of value within the Universityas well as a set of related policies and procedures toensure the continued acquisition, storage and access to allvaluable information.

The architecture recommends that a data and documentadministration function be developed to manage theseinformation resources and make them known and available tothe user community in electronic form. The architecturespecifies that industry and national standards be adoptedfor the structure, format, access and processing of data and

documents.

* Data Ownership: An important aspect of thearchitecture is the need to clearly define who ownsdata, who is authorized to have access to data, who hasstewardship of data and what the responsibilities ofownership, stewardship and access are. It recommendsthat policies regarding these issues be reviewed andamended as necessary.

Figure 8: Data and Documents

* Data Capture: The architecture advocates that all data

and documents of value to the University mission becaptured one time, at their source, in digital form,and made available to all who are authorized to use it.This will reduce much of the redundancy of recording,storing, and managing the same data by multiple unitsin the University. It will require the capability toconvert paper documents and data to electronic formthrough the use of scanners. This is especially truefor data and documents that originate external to theUniversity. The use of hand-held devices such as



personal digital assistants in conjunction withwireless communication technology is seen as necessaryfor some applications.

* Workflow Assistance: Users generally have workroutines which they follow in order to accomplish theirresponsibilities in a timely, effective and efficientmanner. But some work tasks occur sporadically andrequire special knowledge of procedures, forms,policies, codes, destinations, etc., which can causefrustration and errors. The architecture advocates theuse of workflow software to help in these situations.The workflow software also monitors all the work in thesystem and captures statistics which can be analyzed todetermine where bottlenecks occur so that the processcan be reengineered.

* Data Model: The architecture requires that anenterprise data model be developed and maintained as amechanism for managing the information resources of theUniversity, developing information system applications,and providing access to information.

The data model is stored and maintained in a data

directory/dictionary and is used by all data anddocument related activities. A high level data modeland a list of data objects is presented in Volume 2,Chapter VII: Data Model, as a starting point forbuilding the data model.

* Information Resources Repository and Dictionaries: Thearchitecture specifies that data describing theinformation resources of the University (metadata) bemanaged through the use of an information resourcesrepository which will contain a data directory anddictionary, a services directory and dictionary, ahuman resources directory and dictionary, a data model,

and other descriptive information about the Universityenterprise.

* Database Management System: The architecture specifiesthat all data will be managed by an automated databasemanagement system (DBMS) that adheres to industrystandards. The main industry standard that applies inthis area is the Standard Query Language (SQL) and thatall databases will be SQL compliant. This provides theability to share data by having a standard accessmechanism. The architecture suggests that the databasemodel to be used is the relational model but thatexperimentation with an object oriented database model

should begin immediately.

* Document Management System: The architecture specifiesthat a document management system be acquired ordeveloped in order to ensure the integrity of documentsas an asset for the University. Managing documents hassome characteristics that require software designedspecially for this purpose.

* Authorization: The architecture recognizes that the



authorization/approval of documents and events isimportant to the legal, regulatory and financialobligations of the University and its personnel.Therefore, an electronic approval mechanism is part ofthe architecture. This is implemented in the form of amatrix of electronic documents and personnel who mustauthorize specific documents.

* Data Storage and Retrieval: Data storage and retrievalcan be operationally defined as belonging to threecategories, namely, current, historical and archival.Current data is that which is both temporally the mostrecent and is also accessed the most frequently. Thisdata will be stored on high speed, direct accessstorage devices. Historical data records the temporalaspects of entities and events in the Universityenvironment and is typically used for longitudinalstudies, verification, decision support and planning.This data is accessed less frequently than current dataand can be stored on slower, less expensive directaccess storage devices. Archival data is infrequentlyaccessed and is usually retained to meet legal andregulatory requirements but may also be retained aspart of the organizational history and culture. This

data can be stored on cheap storage devices with slowaccess time.

* Data Backup and Recovery in a Distributed Environment:The central site system (IBM) that currently retainsall the data related to common applications has highlyreliable capabilities for backup and recovery ofessential data. Data and documents that reside onother systems in the University must be assuredreliable backup and recovery as well. Since thearchitecture advocates a distributed processing anddata environment, capabilities must be acquired thatwill permit network backup and recovery of data and

documents.

System and Network Management View

The architecture requires that all components of theUniversity Information System be integrated such that itappears to the user that they are seamlessly interconnected.This means that applications are connected via the data anddocuments they generate and the messages they send to eachother. Users are also connected by the data they haveaccess to and the messages they e-mail and FAX to eachother. It means that applications must be integrated andthat messaging services must be available for sending,

receiving and routing messages as well as translating usernames to device addresses.

This means that a data communications network must beavailable everywhere and that all users are connected to it.

Figure 9: Networks

Desktop devices are connected to a local area network (LAN)which is, in turn, connected to the University backbone



network, which is further connected to wide area networks.This gives users the ability to connect their desktop deviceto their local server for local applications and data, tosuper servers for common applications and data and to theInternet for interacting with data, individuals andorganizations external to the University. This must bepossible in a transparent manner such that the user cansimply indicate what service, data or functionality isdesired and be automatically connected to it.

* Network Print Services: Network print services providethe ability to print on any network printer from anylocation on the network. This provides users with theability to print data and documents on a printer thatmeets the requirements of the situation. Likewise, asproduction printing services such as those provided byCentral Printing, are placed on the network, users willhave the capability to submit Central Printing jobsfrom their desktop device or local server and receivethe same printing services as currently performed in amanual mode.

* Network Management: The management of the networkrequires good software management tools and

communication devices that adhere to the Simple NetworkManagement Protocol (SNMP). As the message load on thenetwork increases, newer and faster communicationstechnologies will need to be implemented as thecapacity on some segments of the network are reached.These increases will be due to an increased number ofusers as well as an increased volume of network trafficdue to multimedia communications. Following standardsin the networking area is critical because it canguarantee connectivity among devices, applications anddatabases. It is also recommended that newertechnologies such as fast ethernet and ATM beinvestigated.

* Network Security: Security at the network level mustbe such that only users that have been authenticatedcan access available network services. This requiresnetwork authentication services which have the abilityto support a single signon for users and customers. Acommercial product that provides authenticationservices should be acquired. It is also recommendedthat a single ID card for all users become the basisfor security.

Platforms View

A platform is a combination of hardware, system software,networking and related services that support applicationsand user access to information system resources. This viewof the information architecture (IA) provides an overallframework for the infrastructure necessary to accomplish theobjectives of the other architectural components andprovides a basis for determining hardware and systemsoftware acquisitions. It is intended to provide desirableplatform objectives using standards and industry forces asimportant factors for achieving an open systems environment.



An open system, client/server architecture is proposed forthe IA in order to achieve its goals and objectives. Theclient/server architecture is a basic framework fordesigning and acquiring computer system configurations,networks, applications and databases. Servers are computersthat provide some type of service to the devices connectedto them. These services are many and varied but the mostcommon types of services are application program execution,authentication of users, database management, file storage,messaging (e-mail), FAX, gateways for mail and databases,system and network management.

Figure 10: Servers

The architecture suggests that servers can be classified aslocal servers for local workgroups, super servers for commonapplications, common data and documents and mega servers fora data warehouse. The data warehouse is an informationrepository where all versions of all data and documents arestored. It is a log of all transactions at the Universityand is intended to be used for decision support, planning,and institutional research where historical data isrequired.

The system software on servers should adhere to industrystandards and utilize open systems features, capabilitiesand products as specified by Open Software Foundation (OSF),X/Open group and Institute of Electrical and ElectronicEngineers (IEEE). Server system management software isrequired to provide security, communications, configuration,license monitoring, user accounting, backup, etc.

* Client/Server Mode of Operation: It is alsorecommended that the desktop devices and the computersthat serve them operate in a client/server mode. Aclient/server mode of operation is one wherein the

desktop device and the server divide up a computingtask such that each is utilized in an optimal mannerrather than one device performing all the computingfunctions. The client/serve mode permits theflexibility of acquiring inexpensive computers that aresized to fit the needs of the applications for whichthey will be used. This is in contrast to thetraditional mainframe mode where all computing tasksare performed on one very large and expensive computersystem.

* Peripheral Devices: The architecture recommendsspecialized devices that provide services for acquiring

data and documents, interacting with the desktopdevice, tracking and monitoring assets, archiving andstoring data and documents in all media, andinteracting with individuals with handicaps. Theimportance of acquiring data and documents inelectronic form requires the use of scanners that canacquire text as well as graphic and image data. Thecapability to print digital information using color isrecommended where it is appropriate.



Figure 11: Peripheral Devices

* Printers and Plotters: It is recommended that allprinters utilize laser technology and be capable ofprocessing the industry standard page descriptionlanguage, PostScript, or the HP PCL Level 5 printercontrol language. These will provide the ability toprint electronic information generated by nearly allsoftware packages on all printers at the University.

A high speed, high capability, networked productionprinting capability is required whereby users cansubmit electronic documents over the network bycompleting an on-line specification for the print job

* Optical Scanners: Optical scanning can provide severalbenefits for information systems. It reduces the needfor keying data that originates in paper form. Itpermits the electronic acquisition of data anddocuments that contain graphic and image information.It permits the use of digital technology for thearchiving of data and documents in an efficient andeffective manner.

* Bar Code Technology: The use of bar code technology toidentify University assets, including documents, isrecommended. Bar code technology is currently used bythe library system to track their information assets.Other assets are also identified and tracked using barcode technology. This should be extended to otherassets where it is cost effective.

* Adaptive Technology: In order to provide handicappedindividuals with the same access to information andfunctionality as others, adaptive technologies forcomputers must be part of the system. The use of largeprint, Braille, voice synthesis and voice recognition

must be available for those users who have a need forsuch capabilities.

* Storage: As more and more data is acquiredelectronically and as a larger proportion of that databecomes images, voice, and video, the demands forelectronic storage will continue to grow at a fastrate. The increased capacity and speed of opticalstorage technologies such as WORM (Write Once, ReadMany) and optical jukeboxes will satisfy this need.The acquisition of packaged information on CD-ROM's(dictionaries, encyclopedias, almanacs, journals,books, vendor catalogs, etc.) requires that CD-ROM

devices must be available and network accessible.

Summary

The Information Architecture and Process Innovation Projectdetermined that the current University administrativeprocess environment can benefit from drastic improvements inquality and efficiency by employing the methods availablethrough process reengineering as demonstrated by theexperimental Procurement Process Innovation Project. The



project also determined that modern information processingtechnologies and systems are required to support theflexibility, rapid response time and information accessrequirements needed by end users to perform their work,deliver quality services and make informed decisions.

The architecture is a set of interrelated organizational andtechnological components that are defined and described at ahigh level, but with enough detail to guide designers andimplementers. The project presents a set of specifications,potential benefits and an implementation strategy over asix-year period to transform the University from its currentstate to the envisioned state.

During the first year, activities will be devoted tobuilding the infrastructure necessary to implement theremainder of the project. Succeeding years ofimplementation attempt to balance two competing needs: (1)the need for wide spread access to information managed bycurrent systems, and (2) the need to acquire and develop newsystems.

The implementation strategy is driven by business processreengineering projects, but, at the same time, these new

system implementation projects must be balanced withprojects to improve access to information using the currentsystems. The implementation strategy is based upon theprinciples of the Oregon Experiment which does not use amaster plan approach but is based upon process owners,system owners and end user initiatives for projects thatfollow the architectural principles and the naturalrelationships between activities of a process and the inter-relationships between and among processes.

REFERENCES:

Christopher Alexander. The Oregon Experiment (New York:

OxfordUniversity Press, 1975)