UCAR Information Technology Strategic Plan

UCAR Information Technology Council, Boulder CO, September 1997 - September 1998.


EXECUTIVE SUMMARY

UCAR's vision for its information management activity is to develop a corporate-wide information strategy that reflects UCAR's six goals, fosters information sharing effectively and economically across UCAR and the communities it serves, and employs technologies that improve the corporation's efficiency.

The strategic direction recommended for UCAR is to create an information environment that ultimately can support all-electronic operations, effective communications (corporate-wide and external), departmental specialization, and archiving, all with appropriate levels of security. Intellectual artifacts (e.g. papers, software, equipment, ideas, etc.) are among the most important resources and outcomes associated with UCAR's mission and efforts, and this architecture recognizes that such artifacts, along with financial transactions and business documents, are becoming entirely digital at a strikingly rapid rate.

UCAR's strategy for achieving this vision is embodied in eight specific recommendations; primary among these is for the corporation to move toward distributed object-oriented methodologies, to adopt a three-tiered architecture with emphasis on standardized interfaces in the middle, or service, tier, and to adopt widely emerging open standards whenever possible. (The full recommendations are provided in the body of this document.)

The vision and strategy were developed through UCAR-wide workshops (see Appendix A), and by modeling groups who developed case studies of UCAR's varied information dissemination, communication and manipulation needs by functional area (research, education, management etc). These functional sets were derived from preparing a model of how UCAR shares and uses information - research, technical and business - both internally and externally. All of these discussions led, in addition to the specific recommendations, to the very important general conclusion that the handling of these multiple "kinds" of information has significant commonality - this is not to say the information is the same, but rather that the paths of use and transformation in fact are. The importance of this general conclusion is that it provides the rationale for recommending object-oriented methodologies and the three-tiered architecture.

With respect to implementation, UCAR's strategy will be to build incrementally on many efforts across the institution that are consonant with the IT recommendations. This fashion of implementation leverages resources throughout the institution and is likely to be the lowest cost approach. For example, networking as managed in NCAR's Scientific Computing Division, and the plans in UCAR's Finance and Administration group, to examine and meet business needs systematically and in a standard way will be encouraged, expanded where possible, and promoted as examples of better ways to do business.

In times of rapid IT advances, an additional important aspect of UCAR's implementation effort will be to identify and resolve the most pressing "high return" issues first. For example, there is widespread interest, expressed in the workshops, modeling sessions, and e-mail communications from staff, for solving some problems quickly; dominant issues seem to be: transfer of attachments via e-mail, "smart" forms creation, authentication systems, and embedding of business rules within computerized procedures. There is also widespread agreement that a robust, ongoing training program for staff is essential.

The first half of this document describes the rationale for developing the plan, UCAR's Information Technology vision and its attributes, and the ITC's eight specific recommendations. For those readers interested in the underlying technologies, the second half of the plan elaborates upon those strategies; describes the modeling activities, the system architecture and implementation approach, and the strategy for immediately advancing IT at UCAR, specific action items and goals for the next two years, and some conclusions.


1.0 OVERVIEW OF THE STRATEGY

1.1 RATIONALE FOR DEVELOPING THE PLAN

UCAR has been swept along with the rest of the world in the electronic transformation of how we carry out our day to day activities. Virtually every aspect of daily life at UCAR has changed, from transfer of word-processed files, to exchange and manipulation of elaborate research and administrative data sets, to e-mail communications having replaced hard copy transfer of information, to dependence on electronic libraries and the Web for needed information, to real-time data processing leading to operational decisions during field operations. As with most institutions, solutions to the needs particular to each organizational unit of the organization have grown almost at random, reflecting the idiosyncratic (though genuine) needs of each group, as well as their particular tastes and assembly of talents.

It was becoming increasingly obvious to many at UCAR that common solutions to shared needs should be explored and could contribute to increased ease, efficiency and effectiveness of our operations. This realization was echoed by a recommendation of one of the National Science Foundation (NSF) review panels in mid-1997, in which UCAR was enjoined to seek an organization-wide strategy for information technology management, and to do so in such a way as to be a leader for the community. Accordingly, the UCAR President appointed the Information Technology Council (ITC - see Appendix B for the original charter and membership), with the charge to develop a strategic information plan for UCAR and to promulgate it amongst staff, the NSF and interested community-based advisory bodies.

The goal of this institution-wide plan is to make recommendations on using and advancing modern information technology to enhance the effectiveness of all UCAR activities, and provide community-wide leadership.


1.2 THE UCAR IT VISION AND ITS ATTRIBUTES

In accepting the broad strategic direction statement provided at the beginning of this plan, staff participating in both the IT workshop and numerous discussion sessions and working groups, emphasized aspects and ideas of how Information Technology should be reflected in any strategic plan for UCAR. Thus, the UCAR IT vision was developed and includes: Notably, many of the attributes of the vision go well beyond the conventional evaluation, procurement, installation and support of technologies. There were challenges to cut across organizational boundaries, introducing agility and flexibility and developing a strategy that took advantage of UCAR's traditional way of advancing technology: at the division or program level, while promoting innovation and technologies to an institution-wide level.

The ITC chose a unique combination of institution-wide modeling, based on object-oriented methodologies, system architecture evaluations and strategies for implementing and advancing UCAR's IT.

Many UCAR staff participating in these efforts asked questions such as: "what will this mean for me in my daily work life?", followed closely by "how much will this cost me?", and "when will this be done?"


1.3 RECOMMENDATIONS OF THE ITC

After several months of institution-wide consultation through several different fora, the ITC proposed eight recommendations as the bases for the IT stragegy, in two UCAR-wide meetings (March 6 and 7, 1998) to gauge the effectiveness of the planning efforts up to that time. The reactions received from staff and management were uniformly positive, with strong encouragement to continue and complete the Strategic Plan.

The ITC recommendations are:

  1. UCAR IT should move toward distributed, object-oriented methodologies.
  2. These methods should be accompanied by object modeling on an enterprise-wide scale. Anticipated benefits include: more rapid and robust software development; software systems which better match UCAR's needs and which are easily adapted as those needs change; greater reuse of existing software components; and better utilization of the distributed computing capabilities provided by our networks.

  3. Software systems in UCAR should be designed around a three-tier architecture, with emphasis on standardized interfaces in the middle (service) tier.
  4. This architecture allows the separation of both user-interface and data-storage components from the service-provision layer. Hence legacy databases can be encapsulated and made available through the net, and users can more easily perform a wide variety of daily tasks with their favorite applications. A service tier also will facilitate implementing UCAR's business rules and common services (policies, overhead rates, work flows, authentication, etc.) in an appropriately centralized fashion.

  5. UCAR should continue to operate and support a leading-edge network and associated services.
  6. A top-quality network is required infrastructure for IT advances and is increasingly essential for UCAR to fully utilize its intellectual resources. This net must support multi-media applications, such as video conferencing, as well as more traditional data flows. Furthermore, the net is becoming UCAR's primary interface to the external world, ranging from basic Web pages and data access, to complex scientific collaborations and distributed computations.

  7. UCAR should employ open standards whenever feasible.
  8. Open standards provide numerous advantages over proprietary (vendor-specific) standards: implementation choices are increased, multi-vendor hardware and software interoperability is enhanced, and the risk of dependency on a single vendor is reduced. Open standards (including TCP/IP, the World Wide Web, etc.) historically have thrived much longer than proprietary ones.

  9. Continued innovation at the divisional/program level should be encouraged and supported.
  10. Technological progress at UCAR often has been driven by individual programs striving to fulfill their missions. While common standards must be offered and their use encouraged, individual groups will remain free to solve problems in ways they judge to be best. A suitable implementation framework must be put in place to enable groups to take advantage of institution-wide advances as well as to leverage efforts at the division and program level, where warranted.

  11. Continued emphasis must be placed on technical training for staff.
  12. UCAR can exert leadership in the IT arena only if staff are conversant with current technologies and have appropriate tools. The rate of change in these areas requires continual learning. Without adequate and ongoing training, adoption of new tools and techniques is unlikely to be successful.

  13. A standing committee should be formed to coordinate IT efforts in UCAR.
  14. This group should be based on the existing IT Council and include liaisons with the other IT-related committees (DSAC, CSAC, NCAB, etc.), with careful selection from UCAR's research, technical, and managerial staff. This group would: further refine the IT strategy; oversee the development of service layer (and other) standards; and coordinate UCAR's various IT efforts. The committee should report directly to the UCAR President.

  15. UCAR should consider creating new funded engineering groups to design and implement essential service-layer functions.
  16. Key services--such as authentication--which must be developed and administered centrally, would be handled by such groups. Additionally, responsiblity must be assumed for: refining the enterprise-wide object model; developing, disseminating, and maintaining a library of reusable classes and other software to support the model; and addressing other IT-related issues that concern the entire institution, such as e-mail with attachments or tools for network conferencing and collaboration.

    UCAR also should consider appropriate administrative structures for the new engineering groups. While a single administrative entity may eventually be desirable for these groups, the present recommendation is to allow a distributed management structure as indicated in a later section. This compromise represents a practical approach to allow existing engineering groups to continue operating without any significant disruption and at the same time, to develop new groups supported by divisions or programs where needs or opportunities arise.


2.0 COMPONENTS OF THE STRATEGY

2.1 OBJECT MODELING

2.1.1 OBJECT MODELING - A PRIMER

During and following the initial UCAR-wide IT workshop (September 9, 1997) at which the early version of a strategic vision was debated and agreed to, consensus developed that an object modeling approach was suitable to UCAR's IT needs and that a three-tiered architecture should support such a system.

Object modeling seeks to create a description ("model") of UCAR and its operations in terms of "objects." Objects are simply "things" that we encounter as we carry out our business. They can be physical items (i.e. "desk", "radar", or "office"), people and the roles they play ("employee", "software engineer"), or logical concepts ("encumberance"). Objects can also represent the processes carried out by UCAR ("operate an observing system," or "buy a new computer").

Describing UCAR in terms of its component objects has a number of advantages. Objects hide within themselves all the complexity of the thing they represent. Just as one can submit a purchase requisition without really knowing what will happen to implement it, one can ask an object to carry out a desired task. Objects can be defined in a hierarchical manner which makes it easy to specify what two objects have in common, and how they differ. Thus, the potential exists to describe financial and scientific data streams in the same manner, and to use many of the same tools to work with them. Finally, since objects form a model of UCAR, any software which implements these objects also models UCAR. That means that the structure of our software matches the structure of our organization. The result is software which is better suited to UCAR's needs, and which is more adaptable as those needs change in the future.

Object models are often developed using the "Use Case" method, whereby particular day-to-day tasks are selected and studied in detail to determine all organization, resource and process components as well as identifying roles that people or computers play, and their key responsibilities.

2.1.2 THE UCAR MODEL

Traditionally, a model of an organization would focus on one aspect of information (i.e. either on data, process, simulation, finance or work flow) and most likely only on one or more organizational units. The ITC model effort spanned the entire organization and considered all views of information. In this sense, object modeling significantly assisted in integrating the abovementioned information and allowed the additional focus of responsibilities to be added. The only restriction that was placed on the initial modeling effort was that it would not attempt to uncover all details, but would concentrate on a broad set of functional requirements and build a high level model (abstract) of those requirements.

The highest level of the model (shown below) was constructed using the most distinct set of entities with which UCAR has relationships. Its purpose was to set the context for the modeling exercise and assist participants in understanding our broader audiences. These factors are important since a particularly useful part of the modeling exercise is the consideration of the extended enterprise and the extent to which relations, collaborations, and interactions with entities at the global level can be modeled effectively, then improvements in internal IT strategies can be logically extended outside of UCAR. The ITC was also motivated by the strong community orientation that UCAR has. At the completion of the modeling exercise, the global level model was revisited and checked for consistency. It was found that it still provides a suitable basis for future modeling efforts.

To accommodate the very broad range of activities at an organization the size and diversity of UCAR, as well as to eliminate the effects of organizational boundaries, the ITC decided to investigate eight high level groupings based on the actual functions being performed. This approach allowed the working groups to uncover potential functional commonalities in distributed parts of the organization, and assisted in the identification of hierarchies, which were later used in the object modeling exercise.

Thus, UCAR's world was divided into functional areas (shown below), which then led to the creation of working groups to deal with the Use Cases, from which commonalities were identified. UCAR's science, technical and business information "world" is populated with people and looks like the following:

2.1.3 FEEDBACK FROM MODELING EXERCISES

Approximately 77 hours of modeling sessions were held, including many staff and representatives from an outside consulting firm. The aims of the working groups were: uncover the next level of detail in the model; discover work flow, processes, resources, current reality and future needs, legacy systems and the current level of computerized information, and interfunction relations/interactions; and finally develop a specific hierarchy for organization, process and resource objects.

All of these aims were achieved. The overall impression from the consultants was that UCAR would be in the top few percent of all organizations undertaking such a comprehensive planning effort. Additionally the working groups built a representative list of Use Cases and their findings provided a strong basis for the Architecture and Implementation planning efforts.

One surprise among the findings was the identification of a startling degree of commonality across the organization: e.g. data analyses for science and finance follow the same process and have the same bottlenecks and problem areas; aggregation of scientific information for general audiences is required in almost every part of the organization,; and strong access authentication for scientific and business information was widely needed.

Another significant aspect of the modeling exercise was the assembly of a list of ``roles'' that people (or computers) are asked to perform in the process of complete specific job tasks (or Use Cases). A complete list of these roles can be found in Appendix C. When combined with an object modeling hierarchy, roles that people play are a resource object for the organization.

To assist participants in the modeling exercise and for readers of this plan, it is useful to know that an object represents a real or an abstract thing, with a name, e.g. Plan, Regulation, Budget, Report, Model, Presentation, Purchase, Approval, Team, etc. Furthermore, objects have hierarchies, e.g. Plan.Strategic, Report.Research.Annual, Presentation.Oral and instances of the class contain the values, e.g. Plan.Strategic(``IT''), Report.Research.Annual(``NCAR''). Objects communicate via messages which are a basic tool in a distributed computing environment and this directly affects choices that were made for the architecture of the information system.

EXAMPLE OBJECT

An example of an object that was discussed a number of times in different working groups was the organizational entity (i.e. object) known as a committee. After some discussion of the characteristics of existing committees based on the personal experience of working group members, the following example was constructed. It is to be noted that this object is for demonstration purposes only and is not intended to be complete. The indentation represents a suggested hierarchy for the object. NB: This object may be fractal (i.e. to generate a ``subcommittee'')

2.1.4 USE CASE EXAMPLES

To further emphasize the practical application of the modeling effort for the UCAR staff, the ITC selected 5 specific Use Cases, that have significance for both daily and long term tasks that UCAR undertakes. These Use Cases were developed to a much greater degree than those in the modeling sessions which focused on breadth rather than depth. The five Use Cases are:
  1. Deployment of an observing facility
  2. Data analysis pipeline
  3. Making scientific information accessible to general audiences
  4. Electronic travel procedures
  5. Customized business reports
For the purposes of this document we do not include the details of the models which will be made available through the ITC web pages.

2.2 ARCHITECTURE and IMPLEMENTATION ACTIVITIES

2.2.1 INTRODUCTION

A powerful and important aspect of modern IT is its extraordinary and increasing potential for distributed functionality and responsibility. Beyond the obvious advantages this affords for scientific efforts that span large geographic distances, as do UCAR's programs, distributed computing can change fundamentally the ways UCAR fulfills its mission.

Our strategy is to engage in and encourage such change, both internally exploiting the power of desktop computers and departmental expertise to meet specialized needs and externally enhancing UCAR as a focus for efforts that build on the aggregated resources and expertise of the global geoscience community.

Guided by the model working group discussions and outcomes, several meetings were held on system architecture and implementation strategies.The overall aim for this section is to present key technologies and organizational changes that can create an information environment that ultimately can support all-electronic operations, effective corporate-wide and external communications, departmental specialization, and robust security and archiving.

2.2.2 KEY CONCEPTS OF THE ARCHITECTURE

There are several key concepts related to the developement of an IT architecture:

2.2.2.1 THREE TIERED ARCHITECTURE

Because distinct users' needs can differ markedly for the same underlying data, a key concept for UCAR IT will be to decouple data content from data presentation technologies by employing a three-tiered architecture. This is a generalization of the client-server model, with components defined as follows: Within this three-tiered architectural framework, shared services will be employed where they facilitate appropriate server-to-client data flows. In special cases the shared-services layer of the three-tiered architecture can still be bypassed in order to enhance performance without compromising integrity.

2.2.2.2 PRACTICAL COMMON SERVICES

UCAR will explore opportunities for establishing common services which either reside at the "shared services" layer of the 3-tier architecture or which facilitate effective communication. These include, but are not limited to: Many of these services already exist in some form at UCAR due to practical needs of different groups. Within the IT architecture framework, there is a need for both existing and new common services to transition to a state where they can interoperate with all other services - this interaction being defined as part of the modeling effort. This transition is essential for these services to be implemented and maintained for institutional purposes.

2.3 UCAR Strategy for IT Advancement

While the ITC has made eight specific recommendations for advancing IT, there is a requirement for some immediate and specific action. These actions comprise a small subset of the overall UCAR IT effort and are highlighted here because they depart from current UCAR practice or reflect crucial aspects of the strategy. Additional actions are certain to arise as implementation of the strategic plan and the tools available to us evolve.

2.3.1 Pressing Issues

Driving the immediate actions of the ITC are several topics, enumerated below, that are among the most pressing for UCAR as a whole.
  1. Corporate E-mail Conventions
  2. UCAR's newest standing committee, the Desktop Systems Advisory Committee (DSAC: see Appendix D for a description of UCAR's current standing IT subcommittees) has gathered crucial information and is preparing recommendations on a strategy for improving corporate-wide e-mail capabilities, including specific software options and conventions for "attachments." The ITC will evaluate these recommendations and present them to the UCAR Management Committee or President's Council for action.

  3. Networking Infrastructure and Security
  4. The network is increasingly essential for UCAR to fully utilize its capabilities. To do so, UCAR networks must support multi-media applications, such as video conferencing, as well as more traditional data flows. Furthermore, it must serve as UCAR's primary interface to the external world, with services ranging from basic Web pages and data access, to remote scientific collaboration and distributed computing.

    Two of UCAR's standing IT committees, the Network Coordination Advisory Board (NCAB) and the Computer Security Advisory Committee (CSAC), play crucial roles in meeting the often overlapping and occasionally conflicting needs of the corporation for state-of-the-art networking with adequate security. It is also likely that the DSAC recommendations will have security and networking implications. The ITC will create a forum for debating matters of common concern to these committees, in the context of an overall IT strategy. It also will create an avenue for recommendations on these topics to reach the UCAR Management Committee and/or President's Council as needed.

  5. Business Rules and Work Flows
  6. Complementary to concurrent efforts in Finance and Administration (F&A), the ITC will launch and oversee efforts to define and implement electronic business rules and workflow mechanisms on an institution-wide scale. This effort likely will include: authentication; calendars and scheduling; automated workflows for travel, purchasing, time cards, personnel data, scientific reviews; associated rules, such as authorization hierarchies; and other business rules, such as authorizations to modify/access data, spend money, control an instrument, etc.

    To these ends, the ITC will create or recommend the following:

  7. Distributed Computing in Science and Technology
  8. UCAR must position itself for applying distributed computing methods to major challenges facing the geosciences in the next decade. These challenges encompass needs for increased resolution, scale interactions, cross-disciplinary model interactions with feedback, and investigator collaboration utilizing advanced visualization and analysis tools. Solutions will require various forms of problem segmentation, messaging, load balancing, and interface specification, some of which may permit large calculations to be run as community endeavors. Observing systems, especially those that are remote or comprise many instruments at diverse locations, also may be enhanced by UCAR-led efforts in distributed computing. Strategies for distributed computing will be developed by a new task force that investigates object-oriented approaches, including Java.

  9. UCAR-wide WWW Publishing: Organization and Access
  10. Growing amounts of information published via the World Wide Web--coupled with the diverse nature of UCAR's organizational structure, programmatic activities, and technical expertise--have made organizing, coordinating, and finding that information increasingly difficult. Development of a consistent approach to site architecture, navigation, and search capabilities to facilitate access and retrieval is a high priority need identified by numerous visitors to our WWW sites as well as by participants of the Information Model working groups. At its June 1998 meeting, the President's Council approved an effort to investigate design, searching and architecture issues. A Web Advisory Committee will guide this effort and the ITC will coordinate it with related IT activities.

  11. Education and Training
  12. Appropriate and timely education and training are critical to the IT strategy and these must be provided both for IT professionals, to ensure their technical currency, and for users, so they can take maximum advantage of the tools available. Training must encompass unique applications developed at UCAR as well as commonly used commercial packages.

    To this end, the Human Resources department of F&A is establishing a corporate IT training facility, and guidance will be provided by the ITC. This facility will be dedicated to IT training and equipped with appropriate hardware, software and network connectivity. UCAR has identified space for this facility and is in the process of identifying equipment needs.

2.3.2 Coordination and Management

This section discusses means for coordinating and managing the actions described above and future IT efforts yet to be identified. These plans have been reviewed by the UCAR President's Council and accepted. In the case of the first item, the IT Council restructuring was completed in mid-1998.

2.3.2.1 A Restructured IT Council

The ITC aims to provide the appropriate level of technical and strategic focus to fulfill the IT-related requirements of the organization. The ITC will perform this role in a consistent framework (the strategic plan) and will examine issues in sufficient detail (technical, financial, and managerial) to make effective decisions or, where appropriate, to make recommendations for consideration by the UCAR Management Committee or President's Council. Recognizing that divisional innovation in IT remains of high value, the ITC often will employ a coordinated approach to IT development.

The restructured ITC will have representation from the original members involved in the planning stages, and from existing IT committees that have focused on implementation issues for key topics that are relevant to the entire organization. Indeed, the most important IT-related resource at UCAR is the aggregated expertise of the staff, and much of this resource already has been organized and focused on specific IT topics through various UCAR standing committees (NCAB, CSAC, DSAC, LDHwg). The ITC will be able to quickly consider new and changing requirements within the organization, and make decisions to allow UCAR to move forward rapidly. The ITC will consult with and inform the UMC and President's Council on IT related matters. As a result of this action item, UCAR will have a high level technical focal point for all IT related issues and concerns.

Membership of the restructured ITC initially will be: Jack Fellows (chair), Harriet Barker, Lawrence Buja (LDHwg), Jon Corbet, Mike Daniels/Tim Fredrick (DSAC), Peter Fox, Dave Fulker, Karon Kelly, Rebecca Oliva, Pete Peterson, Katy Schmoll, Pat Waukau (NCAB), and Greg Woods (CSAC). The ITC will consist of members from the UCAR staff (appointed by the chair for terms of two years, which may be renewed) and the chairs of the standing IT comittees (whose terms are determined by the committee's rules). Additionally, the ITC will retain at least one member who is also a member of the UCAR President's Council.

The IT Council will report to the UCAR President and be charged:

The IT Council will coordinate discussions and activities related to those aspects of information technology that affect most or all of UCAR, including the "pressing issues" described in the preceding section. This may include their delegation to standing IT committees or as warranted to new committees or task forces.

2.3.2.2 A Coordination and Management Structure

UCAR has had both positive and negative experiences with implementing plans that required engaging institution-wide participation and agreement. During the IT workshop and in other contexts, the pattern of an advisory committee with a responsible engineering group has emerged as an effective model. For example, networking at UCAR has been successfully guided and implemented through the alignment of NETS (an engineering group in SCD) with NCAB. Within the IT Strategic Plan are several key concepts related to the developement of an IT architecture: Modeling, Technology and Responsibilities; to achieve each of these in an appropriate balance, the ITC will strive for a coordination/management structure that resembles the diagram below, in which are indicated the advisory and managerial relations among IT-related committees and engineering groups:

In this diagram: The top layer denotes the high level advisory and policy making Councils. At the level below the ITC are the IT advisory committes; DSAC, CSAC and NCAB are existing committees (blue), BRAC is the proposed Business Rules Advisory Committee (green), IMAG is the Information Model Advisory Group (for refinement of the UCAR-wide model efforts and specific science and data applications; red), WAC is the Web Advisory Committee (green). The engineering groups are listed at the next level, including existing groups for security, networking and training, as well as proposed groups for business rules, desktop applications, modeling and web development. In the lower layer, the administrative or supervisory entities associated with each engineering group are indicated. Not all of the entities shown have been defined or agreed upon.

2.3.2.3 The Coordination Role of the ITC

The ITC will delegate important IT related issues to the standing IT subcommittees, act as an advocate for recommendations that are proposed, and resolve conflicts at an appropriate level. Engineering group support will enable the policies and services developed by advisory bodies to actually be implemented at an institution-wide level. The distributed structure should allow UCAR to make rapid IT enhancements without creating a large administrative entity. The ITC will encourage interdivisional and interprogram cooperation and funding, including uses of overhead or Corporate funds as appropriate.

To enhance effectiveness in the context of such distributed management, especially in cases where concerns and responsibilities overlap, the ITC will promote feedback and interaction among the engineering groups and advisory committees. The ITC also will seek to ensure adequate participation and representation from all parts of UCAR to capture the full range of needs that must be meet, including those of the external community.

2.3.2.3.1 New Coordinated efforts
As indicated in the foregoing sections, the ITC intends to create three new IT committees/task forces: an object modeling task force, a business rules advisory committee, and a Web advisory committee. Additionally, centrally funded efforts will be proposed in the areas of desktop commonalities, business rules and workflows, Web indexing and categorization, and education and training.
2.3.2.3.2 ITC-Sponsored Seminars
Commencing with the IT workshop in September of 1997, various groups within UCAR have promoted educational efforts in the arena of object oriented methods and tools. Seminar and vendor demonstrations have been presented by David Leberknight of Software Federation (OO design and modeling), Wayne Brazille (NOAAServer using CORBA), Peter Cornillon (DODS), Select Software Tools (OO modeling), FORTE (OO based development and production tools), and Computer Associates (Jasmine/JADE). The ITC will promote combinations of seminar and vendor based presentations as a way of informing the UCAR community of evolving technologies and products.

2.3.3 Pilot Efforts and Opportunities

The ITC envisions sweeping changes in UCAR's IT over the next several years, and these will entail significant costs in personnel time as well as hardware and software outlays. Since no major budget increments have been identified for these purposes, UCAR must exploit incremental moves being made toward the complete solution, especially the excellent and compatible accomplishments and plans already underway in several groups. The ITC will serve as a focus for activity which extends the results of individual groups efforts to benefit the entire institution, especially where those benefits support the objectives of UCAR's IT Strategy. This concept already is reflected in the fact that ITC is furthering several efforts that were initiated, with NSF funding, by the IITA group in UOP. Other examples are included in the following (partial) list: Of fundamental importance in each of these innovative efforts is the three-tiered architecture, which separates the user and data tiers with a service or middleware tier.

2.4 CONCLUSION

UCAR views its modern, future information management system with a mix of optimism and caution. Changes in the technologies available to manage information are so rapid, and more often than not so unpredictable, that long-term planning requires constant evaluation and reconsideration. Given that, it will be critical for UCAR to remain flexible, open to new opportunities, willing to make decisions and commit to certain choices, constantly observant of the field and requirements to stay abreast (such as for qualified staff), all at the same time.

The ITC, with extensive staff participation, has developed a Strategic Plan that promises important and beneficial IT advances for all of UCAR. This is a non-trivial management challenge, and the goal of the ITC is to oversee, inform, advise, and guide the corporation on this important path. In doing so, the ITC also identified issues needing immediate attention and organizational approaches that appear effective for resolving them. The ITC encourages feedback and exchange of information with respect to this plan with its community, oversight committees, and sponsoring agencies. The ITC recommends that this strategic plan be re-evaluated in three years.


Appendix A. UCAR IT Workshop

Roughly 120 UCAR staff participated in the workshop held on September 7, 1997, with about half of the attendees (by show of hands) considering themselves data providers. There was a very good mix of people responsible for a range of scientific, technical and administrative functions.

The workshop was structured in four parts; (1) two keynote addresses to discuss, in conceptual terms, the challenges of implementing business and science IT strategies, (2) an open discussion to identify relevant information needs, successes, and challenges at UCAR, (3) presentations on new IT methods characterized as "middleware," and (4) four parallel breakout sessions to discuss what was learned during the morning sessions and to consider the draft IT principles. The workshop also included a presentation by Cliff Jacobs of the National Science Foundation (NSF) on the importance of an IT strategy for UCAR. Cliff stressed a community leadership role for UCAR regarding IT, and he pointed out the potential relationship between such a role and the NSF's new Knowledge and Distributed Intelligence (KDI) initiative, which seeks "to develop networks across disciplines via heterogeneous databases."

The workshop was effective, with participants gaining an overview of the importance of an IT strategy, hearing about design and implementation opportunities and pitfalls, learning about one another's information issues, and gaining a rough sense of how these issues might be addressed with new technologies. The organizing group got excellent feedback in the breakout sessions on the draft IT principles, as described in the next section.

The full Workshop Summary is available online.


Appendix B. Original Information Technology Council and Its Charter

TO: UCAR/NCAR/UOP Staff

FROM: Rick Anthes

SUBJECT: Information Technology Council (ITC)

Attached you will find the charter for the ITC. I would like to thank all of you who participated in the September 9, 1997 Information Technology Workshop. The feedback provided at the workshop will be extremely important input to the ITC's activities. I would also like to thank the members of the ITC in advance for agreeing to participate in this important process.

It was challenging to select the membership of the ITC. There were many people who could serve effectively on this council. I felt it was extremely important to keep the number of members small, yet ensure that its membership reflected the broad range of UCAR/NCAR/UOP views. I know that the ITC members will be drawing heavily on UCAR-wide staff during its activities. My hope is that the ITC will be able to develop a draft strategy for our collective review in the early December timeframe.

Information Technology Council (ITC)

ITC Charter. At the September, 1997 UCAR Information Technology Workshop (ITW), a cross section of UCAR staff identified important principles to guide the creation of a UCAR-wide information technology (IT) strategy. The function of the ITC is to develop a roadmap for gaining a robust and flexible IT systems that employs these principles and serves UCAR (i.e., UCAR, NCAR, and UOP) and its associated communities effectively, now and for years to come. Components of the strategy will include:

Information Model (IM). The ITC will create an information model--reflecting UCAR's organizational structure, its processes, and resources consumed and generated--as the basis for enhancing UCAR's information systems, emphasizing institution-wide IT services and practices that will help UCAR and its members meet their goals (i.e., science data, administrative functions, libraries, etc.). The IM will employ a broad, multi-media definition of information.

System Architecture (SA). The ITC will identify candidate IT architectures, components, and tools with which to design, construct, and test enhancements to UCAR's information system, according to the IM and the ITW principles. This effort will incorporate lessons learned by organizations that have implemented institution-wide IT systems on scales comparable to UCAR's.

Implementation Process (IP). The ITC will recommend how to implement the IT strategy--including responsibilities, schedules, and incentives, as discussed in the ITW--within reasonable resource constraints.

ITC Structure and Schedule. The IM will be defined first at the macro level and then successively refined to embody greater levels of detail across the entirety of UCAR. After an initial model, which identifies the most crucial needs at present, successive refinements will be realized through design, construction, and testing activities. In this way, change will occur incrementally, address the most immediate needs, and inform the model-refinement effort. Thus the IM is the linchpin for the IT strategy; at each stage the IM will clearly and simply describe the current understanding of UCAR's information needs, and it will form the basis for subsequent SA and IP activities. As the model becomes more detailed, it will show increased specialization, such as distinctions between systems for science data and business data.

The ITC will be structured--with co-chairs for IM, SA, and IP--to initiate this cyclical process, and most of its early effort will be focused on developing the initial IM. The ITC will report to the UCAR President and abide by the following schedule:

ITC Membership. The ITC must be small enough to be agile, but it also must have technical and organizational depth. The ITC will synthesize the IM, SA, and IP analyses into an integrated strategy. The co-chairs will use ad hoc working groups, existing committees, etc. to ensure broad and balanced input from the UCAR divisions and IT-related functions. The initial ITC members are:

Jack Fellows (chair), Peter Fox (IM co-chair), Rebecca Oliva (IP co-chair), Dave Fulker (SA co-chair), Harriet Barker, Katy Schmoll, Bill Buzbee, Karon Kelly, Jon Corbet, Jim Hurrel, Steve Williams


Appendix C. List of Roles for UCAR Staff

These roles were identified from the modeling working group sessions and represent the majority of the tasks that UCAR personnel undertake as part of their job.

Appendix D. Current IT Standing Committees

Each of UCAR's standing committees has a specified charter and these are included for reference.

Appendix E. Timetable Presented at March 1998 Briefings

This timetable was presented at the UCAR-wide briefings on March 6 and 7, 1998 and is reproduced here for completeness.

Some specific steps are identified for the next two years. Some of the shorter term of these have been realized (reconstitute the ITC, for example); others are yet to be tackled (carry out survey of existing IT systems, including of non-UCAR groups, develop specific cost-benefit analysis). The original steps were:

E.1 Immediately

  1. Hold Mesa and Foothill ITC briefing sessions to explain the ITC draft recommendations and schedule and get needed feedback from UCAR staff.
  2. Transition the ITC from the assessment/planning stage into the implementation phase by restructuring its membership to include representatives from existing IT-related working groups, including the DSAC (Desktop Systems Advisory Committee), CSAC (Computer Security Advisory Committee), NCAB (Network Coordination Advisory Board), and the LDHwg (Large Data Handling working group).
  3. Survey existing IT systems and problems and prioritize which ones should be considered for central support, including email, calendars, authentication, network-conferencing, manipulating large data sets, travel approval, and purchase orders.
  4. Reflecting the UCAR feedback, surveys, and the new ITC membership, transform this summary and draft recommendations into a corporate wide information technology strategy and implementation options (with appropriate benefit/cost analysis) by October, 1998 that (1) reflects UCAR's goals, (2) fosters information sharing across UCAR and the communities it serves and (3) employs technologies that improve the corporation's efficiency.
  5. Initiate a technical subgroup to plan the refinement a three-tier, distributed IT implementation plan for the report.
  6. Develop a set of specific IT milestones to be used to measure the progress and productivity improvements of implementing the UCAR IT strategy and include them in the final report.
  7. Where feasible, begin implementation of highest priority IT needs.
  8. Implement the data warehouse project to be as consistent with the UCAR IT strategy as possible.
  9. Take a first step of applying object modeling and a three-tiered architectural design by applying them to a current or pending prototype information system projects (e.g., DODS, UniData Java transition and IDD, KDI, etc.).
  10. Reconfiguration of ITC. One of the first steps to move from vision through strategy to implementation is to reconstitute the ITC, bringing on board the chairs of the existing UCAR-wide advisory group. This has been done.
  11. The next step is to identify and create "engineering" groups to bring about the actual implementation plans; these exist in some cases (the NETS group in SCD and the IT group in F&A, for example) and don't in others.

E.2 Next 12-24 Months

  1. Where feasible, begin implementation of other IT needs not indicated above.
  2. Determine needs for and prioritize staff training opportunities in IT, including systems, object modeling, etc.
  3. Begin development of highest priority service layers.

E.3 24 Months and Beyond

  1. Continue implementation of UCAR IT strategy.
  2. Measure progress toward achieving identified milestones and goals, evolving IT capabilities, and adjust as needed.

GLOSSARY

UCAR - University Corporation for Atmospheric Research
NCAR - National Center for Atmospheric Research
UMC - UCAR Management Committee
PC - President's Council
NSF - National Science Foundation
IT - Information Technology
ITC - Information Technology Council
F&A - Finance and Administration, within UCAR
SCD - Scientific Computing Division, within NCAR
DSAC - Desktop Systems Advisory Committee
CSAC - Computer Security Advisory Committee
NCAB - Network Coordination and Advisory Board
LDHwg - The Large Data Handling working group
NETS - Network Engineering Technology Section, within SCD
IITA - Information, Infrastructure and Technology Assessment, within in UOP.
OO - Object-oriented, develops a definition of some process or entity considering all attributes
Modeling - Use of object oriented techniques to understand institutional resources, processes and organization.
Three-tier architecture - Definition of a separation between data (lower tier), common services (middle tiers), and the user (top tier)
Client/server architecture - Specific case of a tiered architecture
Middle tier - Also known as service layer, component layer, middleware
Interfaces - Definition of what information and protocols may be exchanged between tiers
Encapsulate - To hide information behind an interface, within an object or class
Business rule - Description of financial and legal restrictions on business processes, e.g. application of indirect cost rate
Open standards - Written guidelines for the development of computer systems that are not owned, licensed or restricted to one organization or entity. Systems developed using open standards are able to interoperate with other systems which conform to that standard.
TCP/IP - Transmission Control Protocol/ Internet Protocol used in Internet communication and application development
Web - World Wide Web
Browsers - Application program that accesses Web servers
Roles - The set of distinct tasks that a person or computer may take on as part of their regular job
Use Cases - Notation for developing specific scenarios for science, technical or business processes; assists in defining objects/classes, sequences, and responsibilities.
Resource object - An object that produces or consumes a resource (physical, intellectual, etc.)
Attributes - Characteristics of an object which define its position within a heirarchy
Hierarchies - Nested grouping of object classes with greatest commonality highest in the heirarchy
DBMS - Data Base Management System
Authentication - The process of electronically identifying and verifying the identity of an originator of an transaction
Java - A platform independent, object oriented language developed by Sun Microsystems
DODS - The Distributed Ocean Data System
OOCIT - The Object-Oriented Community Information Tools project
KDI - Knowledge and Distributed Intelligence, an NSF initiative