enterprise architecture 101: who, what, where, when, why, how?

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Enterprise Architecture 101: Who, What, Where, When, Why, How?

Leon A. Kappelman, Ph.D.Professor of Information Systems

Chair, Society for Information Management EA Working Grouphtt // i t

EA 101: © 2000-2009 Leon A. Kappelman. All rights reserved. 1

http://eawg.simnet.orgDirector Emeritus, Information Systems Research Center

Fellow, Texas Center for Digital KnowledgeInformation Technology & Decision Sciences Department

College of Business, University of North TexasWebsite: http://courses.unt.edu/kappelman/

Email: [email protected] Phone: 940‐565‐4698 Fax: 940‐565‐4935

v.15Mar09


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Society for Information ManagementEnterprise Architecture Working Group

The SIMEAWG is …… an all‐volunteer group of over 80 EA practitioners, academics, and thought leaders, representing nearly 50 organizations from industry, government, and academia, dedicated to understanding


and academia, dedicated to understanding and improving EA practices, and helping IT professionals and their organizations capitalize on the opportunities of EA.

SIMEAWG Member Organizations• L-3 Communications • LiquidHub• Lockhead Martin • Microsoft • Net(net)• New Madison Avenue• nextPression

• ACG• Allstate Insurance • Association of Enterprise Architects • Atos Origin • Auxis• Aviall Services• BAE Systems

• Northwestern Mutual • Pariveda Solutions • Pennsylvania State University • PepsiCo • Pernod Ricard• Pinnacle • PNM Resources • Portland General Electric • Price Chopper Supermarkets• Russell Reynolds Associates

y• BizRules.com• Capital One Auto • Chateaux Software • Chubb & Son • CISCO - IBSC Public Sector• CIT Group• Diversifed Technology Services • Document Sciences Corporation • EA Directions • Eagle Ottawa Leather LLC


• Russell Reynolds Associates • Syracuse University • Texas Instruments - Education Technology Business • Universidad Catolica del Norte • University of Idaho • Univeristy of Maryland University College • Zachman Framework Associates /

Zachman International• Zale Corporation

As of 13-Mar-09

• Eagle Ottawa Leather, LLC • EDS, an HP company • Forrester Research• HCSC• IBM • Interstate Batteries • iRobot• Information Technology & Decision

Sciences Dept @ Univ. of N. Texas

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Mission of the SIMEAWG(SIM Executive Board Oct‐2006)

• Enable IT organizations to understand, create, and manage EA in partnership with the business;

• Identify and share processes, methods, tools, concepts, and best practices;

• Help IT organizations substantially enhance the


p g yway they manage change, reduce complexity, reengineer processes, plan, strategize, govern, manage projects, and deliver value.

SIMEAWG – What we doCOLLABORATE:

Meet three times a year.

Have three conference calls a year.Have three conference calls a year.

Work together on …

STUDY:Conduct an annual study to determine the “state of EA”.

Sponsor and participate in research to understand and further the practice of EA

SHARE


SHARE:Give presentations at SIMposium, SIM chapters, and other events.

Through http://EAWG.SIMNET.ORG

Publish reports, case studies, collection of articles, & soon OUR BOOK

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A project of the Society for Information Management’s Enterprise Architecture Working Group, to be published in the Fall of 2009, by CRC Press, Taylor and Francis

The SIM Guide to Enterprise Architecture: Creating the Information Age Enterprise

Group, NYC, (www.crcpress.com).

Edited by: Leon A. Kappelman, Ph.D.Foreword by: Jeanne W. Ross, Ph.D.

Contributing Authors, Panelists, & Artists (alphabetically):• Bruce V. Ballengee• Larry Burgess • Ed Cannon

• George S. Paras• Alex Pettit• Jeanne W. Ross


• Larry R. DeBoever• Russell Douglas• Randolph C. Hite• Leon A. Kappelman• Mark Lane• Thomas McGinnis

• Brian Salmans• Anna Sidorova• Gary F. Simons• Kathie Sowell• Tim Westbrock• John A. Zachman

Society for Information ManagementEnterprise Architecture Working Group

http://eawg.simnet.org

New members welcomed


Next meeting: Dallas, May 27-28, 2009

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Enterprise Architecture:Why Bother?

Y t ff ti lYou cannot effectively manage something you cannot reasonably “see”!


Especially if it’s big, complicated, or you think it will grow or be changed at some point in time.

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An example of EAAn example of EA in action …



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OrganizationOrganization,“know thyself”!


– Socrates

OrganizationOrganizationOrganization,“know thyself”!Organization,“know thyself”!


– Socrates– Socrates Consulting

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What is an Enterprise?

Physical

Logical


Physical

What’s wrong with this picture?• “IT and business alignment remains CIO's top concern.… Some things never change.” (InformationWeek, 3Sept08)(InformationWeek, 3Sept08)

• “Yet again, alignment is the top priority for CIOs.” Business Alignment: The Eternal Priority” (CIO Insight, 22Mar07)

• “top IT management concerns of CIOs in


top IT management concerns of CIOs in2006 … the alignment of IT and business at their companies …according to …survey by the Society for Information Management. ” (InformationWeek, 18Sep06)

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“KEY ISSUES FOR IT EXECUTIVES 2005” MISQuarterly Executive, 2006, Luftman, Kempaiah, & Nash.

• Mis‐alignment and lack of alignment are symptoms of deeper problems. They are not causes.

• The enterprise, all of its resources, and the environment in which it operates (economy,

What’s wrong with that picture?

competition, laws, culture, geo‐politics, etc.) are in a constant state of change.

• Alignment one day is mis‐alignment the next.– Agility may be key to alignment.– Simplicity may be key to agility.

• Alignment, agility, simplicity are just three of many


possible design characteristics management might want (e.g., also secure, cheap, lean, fast, etc.).

• It’s all about managing complexity and change.– That’s why humans invented architecture.– You’ve got to “know it” in order to build or change it.

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“It is not the strongest of th i th t ithe species that survives, nor the most intelligent, but the one that is most responsive to change.”


responsive to change.– Charles Darwin

Fred Brooks got it 34 years ago!“The hardest single part of building a software system is deciding precisely what to build. No other part of the conceptual work is as difficult asother part of the conceptual work is as difficult as establishing the detailed technical requirements…. No other part of the work so cripples the system if done wrong. No other part is more difficult to rectify later.” No Silver Bullet – Essence and Accident in


Software Engineering, 1975.

How can you build IT if you don’t know what IT is?

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SIMEAWG IT Management Practices StudyAverages (1‐5 scale)

• 3.67 Overall average (64 questions)g ( q )

• 3.92 Purpose / function of EA (7 questions)

• 3.90 Potential benefits of EA (20 questions)

• 3.68 ISD CMM practices and capabilities (12 questions)

• 3.53 Use of requirements artifacts (10 questions)


• 3.33 Requirements practices & capabilities (15 questions)

The SIM Guide to Enterprise Architecture: Creating the Information Age Enterprise, 2009, edited by Leon A. Kappelman, CRC Press, Taylor and Francis Group, NYC, (www.crcpress.com).

“The beginning of i d i thwisdom is the

definition of terms” – Socrates


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What is an ontology?• An ontology is a shared understanding of some domain of interest, some subject. This is also referred to as a conceptualization.

• An ontology entails some sort of world view with respect to a given domain. It contains:

– a set of concepts (e.g., representing entities, attributes, processes), together with

– their definitions and


f

– their inter‐relationships.

• In other words, an ontology is an explicit, agreed up specification about something (i.e., the thing of interest).

Applied to enterprises … ontology is the study ofontology is the study of the nature of their existence; the nature of

h t it t b


what it means to be an enterprise.

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Enterprise architecture is ontological examination of a gparticular enterprise in order to explain its nature, essential properties, and the


relationships among them.


Physical

Logical


Physical

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Architecture? What’s that?

•Architecture is“the set of descriptive representations about an object” [John Zachman]

•Architecture is modeling



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18



19



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Stephen Hawking


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Stephen Hawking"Our models may get closer y gand closer, but we will never reach direct perception of reality.”“All k i


“All we ever know is our models.”

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Physical

Logical


Physical

Architecture? What’s that?•Architecture is “the set of descriptive representations about an object” [John Zachman]

•Enterprise Architecture is “the holistic set of descriptions about the enterprise over time“


the enterprise over time“ [SIMEAWG]

•Enterprise Architecture is modeling the enterprise.

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Value Chain View

Figure 3 5


3-5


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25



26



27



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Physical

Logical


Physical

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EA is about the creation of a shared language to communicate about, think about, and manage the enterprisemanage the enterprise.

If the people in the enterprise cannot communicatewell enough to align their ideas and thoughts about the enterprise (e.g., strategy, goals, objectives, purpose),


then they cannot align the things they manage (e.g., applications, data, projects, goods and services, jobs, vehicles)

We need models of the E (i.e., EA), in order to see, communicate, & agree about, and decide, plan & manage where we are going; and verify where we are.


Cook, M. (Speaker). (26 February 2005). Scorecards and Behavior Checklists as a Method of Measuring Process Deployment Across the Organization [presentation]. Plano, TX: SEI Software Engineering Process Improvement Workshop, EDS Auditorium.

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“Architecture isArchitecture is politics.”

— Mitchell Kapor


Mitchell Kapor

“Where people continually expand their capacity to create the results they truly desire, where new and expansive patterns of thinking are nurtured where people are continually learning to see the whole

Peter Senge: “The Learning Organization”(The Fifth Discipline, 1990)

nurtured, …where people are continually learning to see the whole together.”

Characterized by the mastery of five basic disciplines or ‘component technologies’. They are:– Personal mastery– Systems thinking– Mental models


– Building shared vision– Team learning

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Four Forces of the Information Age


EA is about “modeling” the enterprise in order to understand, communicate

b d habout, and manage what you cannot “see.” EA is all about:

Systems thinkingMental models


Building shared visionTeam learning

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EA is all about ti thcreating the

information age


enterprise.

“We shape our buildings —thereafter they shape us.”

— Sir Winston ChurchillSir Winston Churchill

“We shape our enterprises and their systems — thereafter they shape us.”


— Leon Kappelman

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US government’s GAO says an EA : • … provides “a clear & comprehensive picture of an … organization.”

I f ti T h l E t i A hit t U A Th F d l G t C B I d GAO 02 6 F b 2002

What is EA?

– Information Technology: Enterprise Architecture Use Across The Federal Government Can Be Improved, GAO‐02‐6, February 2002, http://www.gao.gov/new.items/d026.pdf.

• “… is a blueprint for organizational change defined in models [of words, graphics, & other depictions] that describe (in both business and technology terms) how the entity operates today [the ‘AS IS’] d h it i t d t t i th future [th


‘AS IS’] and how it intends to operate in the future [the ‘TO BE’]; it also includes a plan for transitioning to this future state [‘TRANSITION STATES & TRANSISTION PLANS’]” ([text] or emphasis added)

– Enterprise Architecture: Leadership Remains Key To Establishing And Leveraging Architectures for Organizational Transformation, GAO‐ 06‐831, August 2006, http://www.gao.gov/new.items/d06831.pdf.

Example: EA Transition States => Major Milestones of Transition Plan

ACE 14ACE 15

ACE 16

ACE 17ACE Functionality

Drawback declarations and corresponding refundsHandling bankruptcy-driven events on Customs accounts

Admission of merchandise into and withdrawal from foreign trade zones (FTZs)Control of in-bond merchandise transportation before entry and paymentDesignation of examination site different from port of arrival and merchandise tracking between sitesProcessing of special category import declarations (e.g., Trade Fairs, Permanent Exhibits, byGovernment)Interface with the Automated Export System (AES)

Full integration with AMS for air importsVerification of carrier reviewsProcessing of inspectors’ physical verification of manifested quantity (PVMQ) reviewsCompliance verification of bonded premises

Full integration with AMS for sea imports

PHAS

E 4

Target Architecture

ACE 5ACE 6

ACE 7

ACE 8ACE 9

ACE 10

ACE 11ACE 12

ACE 13

Entry summary, release, and payment for sea and rail imports in Tracks 2 and 3Integration with AMS for sea and rail imports in Tracks 2 and 3

Billing processing for compliance violatorsEnforce Evaluation Teams supportSingle reconciliation transactions for national-based accounts

Determination and coordination of measures to address alleged non-complianceEntry summaries for merchandise subject to antidumping and countervailing dutiesProvision of entry, payment, and liquidation information to sureties

Import declarations for imports to bonded warehouses and foreign trade zonesInterface with the Laboratory Information Measurement System (LIMS) for analysis and accreditationInterface with the US Department of Agriculture (USDA)Input of Track 1 import declaration data elements

Interface with the US Fish & W ildlife ServiceLiquidation processing to provide final determination of classification, admissibility, and duties

Ability for filer to correct import declarations after their acceptanceProcessing voluntary admissions by filers of transaction mistakesProcessing filers’ disclosures of unintentional long-term non-complianceProcessing corrections that do not produce revenue changesInterface with the Internal Revenue Service (IRS)Processing filers’ protests of Customs actions and decisionsProcessing automatic account payments via debit vouchers

PHAS

E 3

Entry summary, withdrawals, payment, and liquidations of imports to bonded warehousesInclusion of express consignment carriers as ACE accountsMechanism for release of low-risk, high-volume cargo of pre-approved importersElectronic bond filingConsolidation of imports valued at less than $2000

g pFull implementation of Track 1 import processesRecording, forwarding to port of entry, and tracking of mail importsIntegration with the Mail Entry Writing System (MEWS)

Problem Resolution Cycle (PRC) to track commercial fraud allegationsSupport for Enforce Evaluation Teams’ review and determination of actions on violationsInterface with the Seized Asset and Case Tracking System (SEACATS)


NCAP

ACE 1

ACE 2ACE 3

ACE 4

ACE 5

Account-based periodic statements and paymentPeriodic filing of entry summaryEntry and payment simplification for streamlined release of truck imports in Track 4Availability of detailed account transactions for data review and verification

National account-based information and performance dataNational integrated log of contacts between Customs and the Trade

Entry and payment simplification for streamlined release of air, sea, and rail imports in Track 4Integration with the Automated Manifest System (AMS) for air, sea, and rail imports in Track 4Interface with Department of Transportation (DOT) and Immigration and Naturalization Service (INS)Refinements to NCAP based on experience with the prototype

PHAS

E 1

Transparent common interface for the trade, independent of the processing system (ACS or ACE)

Daily national statement processing of accountsInterface with Food and Drug Administration (FDA)Account reporting to account managers and the trade

Entry summary, release, and payment for air imports in Tracks 2 and 3Integration with AMS for air imports in Tracks 2 and 3Expansion of account-based processing to all business categories (e.g., brokers, sureties, warehouses)Processing of collections, refunds, deposits, and adjustmentsQuota processing

Transparent common interface for Customs users, independent of the processing system (ACS or ACE)

PHAS

E 2

Entry summary, release, and payment for truck imports in Tracks 2 and 3Interface with the Regulatory Audit Management Information System (RAMIS)

Baseline Architecture

SequencingPlan

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“An architect is theAn architect is the drawer of dreams”

—Grace McGarvie


Why do we need plans?


Failure to plan is a plan for failure

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EA is about “modeling” the enterprise in order to understand, communicate about, and manage it."The Blind Men and the Elephant"

J h G df S (1816 1887)John Godfrey Saxe (1816-1887)



J h G df S (1816 1887)

WallFan

SnakeTree

John Godfrey Saxe (1816-1887)


Rope

HoseTree

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J h G df S (1816 1887)

WallFan

SnakeTree



Rope

HoseTree

Current state of affairs in most enterprises.

The act of discovery consists not inconsists not in finding new lands but in seeing with


but in seeing with new eyes.

– Marcel Proust

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Physical

Logical


Physical

An Enterprise is …


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Physical

Logical


y


Physical

Logical


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“The system is the“The system is the enterprise.”

– John Zachman


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EA 101: © 2000-2009 Leon A. Kappelman. All rights reserved. 79http://zachmaninternational.com

Zachman’s Enterprise Framework …… is an ontology, a data model (schema) for all the knowledge about the enterprise.… is process and method agnostic. It doesn’t care how you do it.… posits that if you want to be aligned, agile, optimized, or whatever your enterprise design objectives, then these are the data you must capture & use in order to effectively:


capture & use in order to effectively: • achieve those objectives;• manage change and complexity;• manage the enterprise & all its resources

including its technologies.

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WHO

HO

WH

WHY

WH

WHA O

?W?

EN?

Y?

ERE?

AT?


Context


Out of ContextFunctioning Enterprise

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Strategist’s VisionBusiness/Executive Model

Logical ModelPhysical Model


Subcontractor’s View

Functioning Enterprise

EA 101: © 2000-2009 Leon A. Kappelman. All rights reserved. 84http://zachmaninternational.com

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J h G df S (1816 1887)

WallFan

SnakeTree



Rope

HoseTree

Current state of affairs in most enterprises.

Defense VisionDefense

Procreation

Suction

Procreation

Materials Processing & Distribution

Cooling


Locomotion

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Support

Pump

Cooling

Fuel Input

Solid Waste Output

Vision


Food processing

Information processing

Support & Locomotion Internal distribution of materials

Skeletal/ Support

Circulatory:

Information processingEars:

Cooling & sound

processing

internal distribution & logistics

Eyes:Vision/Light Processing

Heart:

Elimination: Solid & Liquid Waste

OutletsMouth/Teeth:Input: Preliminary

processing of nutrients


Digestive: Chemical breakdown of

nutrients

Pumpprocessing of nutrients

Support & Locomotion

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• EA is all about a different way of seeing, communicating about, and managing the enterprise and all of its assets, including its technologies.

• EA includes many things you are already do; such as

What is EA?

• EA includes many things you are already do; such as requirements analysis, system design, strategic planning, network design, standard setting, knowledge management, data warehousing, SOA, BPR, etc.–BUT EA is much, much more than that.

• EA gets to essence of IT success: Knowing &


communicating the organization’s requirements.

• EA is key to achieving AND KEEPING business-IT alignment, any other objectives, and helping the organization succeed at creating value.

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Every model is imperfect• The map is not the highway.

– Every model contains assumptions, enunciated or not. – Every model filters reality, whether you realize it or not.y y, y– "Our models may get closer and closer, but we will never reach direct perception of reality.” Stephen Hawking

• Important truths: – “All we ever know is our models.” Stephen Hawking– Data are a model.– Language is a model. – News media, pundits, and talking heads represent models.


News media, pundits, and talking heads represent models.– Architecture is models.

• The important questions are: – Is the model useful for the purposes at hand? – Do we understand & acknowledge its shortcomings?

“Someday you’re going to y y g greally wish you had all those models; so you might as well get started now.”


g– John Zachman

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• It’s a revolution• It’s all about …

– a new way of thinking, and doing.– communications and “language.”

What is EA?

communications and language.– change in culture, hearts, minds of those in the enterprise.– the process, not a project.– the journey, not a task.– the big picture, and the little picture.– the long‐term, and the short‐term.– balance between the whole & the parts.– capturing & managing all the knowledge about enterprise

“ d li ” d ll f th t i


– “modeling” any and all of the enterprise.– using those models to communicate about the enterprise.– using those models to manage complexity and change.– using those models to manage the enterprise.

“A little rebellionA little rebellion now and then is a good thing.”


g g– Thomas Jefferson

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Implementation Guidelines: Getting Started• Use collaborative approaches to doing and governing EA:

– Organize an EA working group.– Develop understanding and agreement about language, models, & methods.

• Get participation & commitment from IT & business management:– At all levels (but start as high as possible). D i h l f d i i i• Determine the goals, focus, scope, and priorities:– Aim for completeness & comprehensiveness

• Embrace change and learning:– Remember, it’s a journey and a process.– Communicate, communicate, communicate!!!!!

• Start small and show early success: – Identify EA initiatives of most value to organization.– Success creates champions and wins hearts and minds.


Success creates champions and wins hearts and minds.• Monitor, evaluate, and improve on a continuous basis:

– Quantify the benefits– Regularly take a hard look at its cost and value, and make it better.

• Use EA in IT to continuously improve development, security, operations, and support to better serve enterprise needs … AND TO COMMUNICATE WITH YOUR CUSTOMERS & STAKEHOLDERS.

Road to the Future: Institutionalizing EA• This is a new way of life: There is no quick fix; no silver bullet.• This will take time and determination, as well as vision, courage and

commitment: Do not underestimate the difficulty and complexity of architecting and engineering one of humankind’s most complex objects the Enterpriseobjects – the Enterprise.

• Do not get discouraged: This is a revolution in thinking, a discipline, an engineering process. Change of this magnitude takes time and perseverance.

• Set realistic expectations: Things have to be implemented and modified periodically so you have to accept some risk of “scrap and rework." Progress trumps perfection.

• Don't assume anything: Make executive education and technical


• Don t assume anything: Make executive education and technical training a continuous process. It is easy to forget long‐term issues in the short‐term stress of daily life.

• Learn!: The state of the art is only about 25 years old and the "playing field" still pretty level – there is still much to learn & discover, & many opportunities to create advantage & value.

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“N h t h“No one has to change. Survival is optional.”

– Dr. W. Edwards Deming


“Enterprise Architecture”?


Leon Kappelman, “Bridging the Chasm,” in The SIM Guide to Enterprise Architecture: Creating the Information Age Enterprise, 2009, CRC Press, Taylor and Francis Group, NYC, (www.crcpress.com).

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A project of the Society for Information Management’s Enterprise Architecture Working Group, to be published in the Fall of 2009, by CRC Press, Taylor and Francis

The SIM Guide to Enterprise Architecture: Creating the Information Age Enterprise

Group, NYC, (www.crcpress.com).

Edited by: Leon A. Kappelman, Ph.D.Foreword by: Jeanne W. Ross, Ph.D.

Contributing Authors, Panelists, & Artists (alphabetically):• Bruce V. Ballengee• Larry Burgess • Ed Cannon

• George S. Paras• Alex Pettit• Jeanne W. Ross


• Larry R. DeBoever• Russell Douglas• Randolph C. Hite• Leon A. Kappelman• Mark Lane• Thomas McGinnis

• Brian Salmans• Anna Sidorova• Gary F. Simons• Kathie Sowell• Tim Westbrock• John A. Zachman







