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

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 Group
http://eawg.simnet.org
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Director Emeritus, Information Systems Research Center
Fellow, Texas Center for Digital Knowledge
Information Technology & Decision Sciences Department
College of Business, University of North Texas
Website: http://courses.unt.edu/kappelman/
Email: kapp@unt.edu Phone: 940‐565‐4698 Fax: 940‐565‐4935
EA 101: © 2000-2009 Leon A. Kappelman. All rights reserved. 1
v.15Mar09


1

Society for Information Management
Enterprise 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
• ACG • L-3 Communications
• Allstate Insurance • LiquidHub
• Association of Enterprise Architects • Lockhead Martin
• Atos Origin • Microsoft
• Auxis • Net(net)
• Aviall Services • New Madison Avenue
• y
BAE Systems • nextPression
• BizRules.com • Northwestern Mutual
• Capital One Auto • Pariveda Solutions
• Chateaux Software • Pennsylvania State University
• Chubb & Son • PepsiCo
• CISCO - IBSC Public Sector • Pernod Ricard
• CIT Group • Pinnacle
• Diversifed Technology Services • PNM Resources
• Document Sciences Corporation • Portland General Electric
• EA Directions • Price Chopper Supermarkets
• Eagle Ottawa Leather LLC
Leather, • Russell Reynolds Associates
• EDS, an HP company • Syracuse University
• Forrester Research • Texas Instruments - Education Technology Business
• HCSC • Universidad Catolica del Norte
• IBM • University of Idaho
• Interstate Batteries • Univeristy of Maryland University College
• iRobot • Zachman Framework Associates /
• Information Technology & Decision Zachman International
Sciences Dept @ Univ. of N. Texas • Zale Corporation
EA 101: © 2000-2009 Leon A. Kappelman. All rights reserved. As of 13-Mar-09 4

2

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 y
way they manage change, reduce complexity,
reengineer processes, plan, strategize, govern,
manage projects, and deliver value.

SIMEAWG – What we do
COLLABORATE:
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


3

The SIM Guide to Enterprise Architecture:
Creating the Information Age Enterprise
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
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 • George S. Paras
• Larry Burgess • Alex Pettit
• Ed Cannon • Jeanne W. Ross
• Larry R. DeBoever • Brian Salmans
• Russell Douglas • Anna Sidorova
• Randolph C. Hite • Gary F. Simons
• Leon A. Kappelman • Kathie Sowell
• Mark Lane • Tim Westbrock
• Thomas McGinnis • John A. Zachman


Society for Information Management
Enterprise Architecture Working Group

New members welcomed
Next meeting: Dallas, May 27-28, 2009


4


htt // i t

Enterprise Architecture:
Why Bother?
Y t ff ti l
You 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.

5

An example of EA
An example of EA
in action …



6



7

Organization,
Organization
“know thyself”!
– Socrates


Organization,
Organization
“know thyself”!
– Socrates Socrates
– Consulting


8

What is an Enterprise?

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 in
2006 … the alignment of IT and business at
their companies …according to …survey by
the Society for Information Management. ”
(InformationWeek, 18Sep06)

9

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


What’s wrong with that picture?
• 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,
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.

10

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

11

SIMEAWG IT Management Practices Study
Averages (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
wisdom i the
id is th
definition of terms”
– Socrates


12

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 of
the nature of their
existence; the nature of
what it means to be an
h t t b
enterprise.

13

Enterprise architecture is
ontological examination of a
g
particular enterprise in order
to explain its nature,
essential properties, and the
relationships among them.



Logical

Physical


14

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



15



16



17



18



19


Stephen Hawking


20


Stephen Hawking
"Our models may g closer
y get
and closer, but we will never
reach direct perception of
reality.”
“All we ever know i our
k is
models.”


21


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.

22

Value Chain View

Figure
3-5
35



23



24



25



26



27



Logical

Physical


28

EA is about the creation of a shared language
to communicate about, think about, and
manage the enterprise.
manage the enterprise
If the people in the enterprise cannot communicate
well 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.

29

“Architecture is
Architecture
politics.”
— Mitchell Kapor


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

“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
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


30

Four Forces of the Information Age


EA is about “modeling” the enterprise
in order to understand, communicate
about, and manage what you cannot
b d h
“see.” EA is all about:
Systems thinking
Mental models
Building shared vision
Team learning


31

EA is all about
creating the
ti th
information age
enterprise.

“We shape our buildings —
thereafter they shape us.”
— Sir Winston Churchill

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


32

What is EA?
US government’s GAO says an EA :
• … provides “a clear & comprehensive picture of
an … organization.”
– Information Technology: Enterprise Architecture Use Across The Federal Government Can Be Improved, GAO‐02‐6, February 2002,
I f ti T h l E t i A hit t U A Th F d l G tC B I d GAO 02 6 F b 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’] and how it intends to operate in the future [th
‘AS IS’] d h it i t d t t i th [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
Target Architecture
ACE Functionality
Drawback declarations and corresponding refunds
Handling bankruptcy-driven events on Customs accounts ACE 17
Admission of merchandise into and withdrawal from foreign trade zones (FTZs)
Control of in-bond merchandise transportation before entry and payment
Designation of examination site different from port of arrival and merchandise tracking between sites
Processing of special category import declarations (e.g., Trade Fairs, Permanent Exhibits, by ACE 16
Government)
Interface with the Automated Export System (AES)
PHASE 4

Full integration with AMS for air imports
Verification of carrier reviews
Processing of inspectors’ physical verification of manifested quantity (PVMQ) reviews
ACE 15
Compliance verification of bonded premises
Full integration with AMS for sea imports
g p
ACE 14
Full implementation of Track 1 import processes
Recording, forwarding to port of entry, and tracking of mail imports
Integration with the Mail Entry Writing System (MEWS)
Problem Resolution Cycle (PRC) to track commercial fraud allegations
ACE 13
Support for Enforce Evaluation Teams’ review and determination of actions on violations
Interface with the Seized Asset and Case Tracking System (SEACATS)

Billing processing for compliance violators
Enforce Evaluation Teams support
ACE 12
Single reconciliation transactions for national-based accounts
Determination and coordination of measures to address alleged non-compliance
Entry summaries for merchandise subject to antidumping and countervailing duties
ACE 11
Provision of entry, payment, and liquidation information to sureties
Import declarations for imports to bonded warehouses and foreign trade zones
Interface with the Laboratory Information Measurement System (LIMS) for analysis and accreditation
Interface with the US Department of Agriculture (USDA)
ACE 10
Input of Track 1 import declaration data elements
PHASE 3

Interface with the US Fish & W ildlife Service
Liquidation processing to provide final determination of classification, admissibility, and duties
Ability for filer to correct import declarations after their acceptance ACE 9
Processing voluntary admissions by filers of transaction mistakes
Processing filers’ disclosures of unintentional long-term non-compliance
Processing corrections that do not produce revenue changes ACE 8
Interface with the Internal Revenue Service (IRS)
Processing filers’ protests of Customs actions and decisions
Processing automatic account payments via debit vouchers
Entry summary, withdrawals, payment, and liquidations of imports to bonded warehouses
Inclusion of express consignment carriers as ACE accounts
ACE 7
Mechanism for release of low-risk, high-volume cargo of pre-approved importers
Electronic bond filing
Consolidation of imports valued at less than $2000

Entry summary, release, and payment for sea and rail imports in Tracks 2 and 3 ACE 6
Integration with AMS for sea and rail imports in Tracks 2 and 3
Daily national statement processing of accounts
Interface with Food and Drug Administration (FDA)
ACE 5
Account reporting to account managers and the trade
PHASE 2

Entry summary, release, and payment for air imports in Tracks 2 and 3
Integration with AMS for air imports in Tracks 2 and 3 ACE 4
Expansion of account-based processing to all business categories (e.g., brokers, sureties, warehouses)
Processing of collections, refunds, deposits, and adjustments
Quota processing
Transparent common interface for Customs users, independent of the processing system (ACS or ACE) ACE 3
Entry summary, release, and payment for truck imports in Tracks 2 and 3
Interface with the Regulatory Audit Management Information System (RAMIS) ACE 2 Sequencing
Account-based periodic statements and payment
Periodic filing of entry summary
Entry and payment simplification for streamlined release of truck imports in Track 4
Availability of detailed account transactions for data review and verification
ACE 1 Plan
PHASE 1

National account-based information and performance data
National integrated log of contacts between Customs and the Trade
Entry and payment simplification for streamlined release of air, sea, and rail imports in Track 4
NCAP
Integration with the Automated Manifest System (AMS) for air, sea, and rail imports in Track 4
Interface with Department of Transportation (DOT) and Immigration and Naturalization Service (INS)
Refinements to NCAP based on experience with the prototype
Transparent common interface for the trade, independent of the processing system (ACS or ACE) Baseline Architecture

33

“An architect is the
An architect is the
drawer of dreams”
— Grace McGarvie


Why do we need plans?

Failure to plan is a plan for failure

34

EA is about “modeling” the enterprise in order to
understand, communicate about, and manage it.
"The Blind Men and the Elephant"
John Godfrey S
J h G df Saxe (1816 1887)
(1816-1887)


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

Wall
Fan

Snake
Tree
Hose
Rope

35

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

Wall
Fan

Snake
Tree
Hose
Rope
Current state of affairs in most enterprises.

The act of discovery
consists not in
finding new lands
but in seeing with
new eyes.
– Marcel Proust

36


Logical

Physical


An Enterprise is …


37


Logical

Physical
y



Logical

Physical


38


“The system is the
enterprise.”
– John Zachman


39

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

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:
• achieve those objectives;
• manage change and complexity;
• manage the enterprise & all its resources
including its technologies.

40

W H W W W W
H O H H H H
A W E O E Y
T ? R ? N ?
? E ?
?


Context

Out of Context
Functioning Enterprise

41

Strategist’s Vision
Business/Executive Model
Logical Model
Physical Model
Subcontractor’s View

Functioning Enterprise

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

42

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

Wall
Fan

Snake
Tree
Hose
Rope
Current state of affairs in most enterprises.

Vision
Defense

Procreation

Materials
Cooling
Processing &
Distribution

Suction

Locomotion


43

Cooling
Support
Pump

Vision

Solid
Waste
Fuel Output
Input
Information
processing
Food
processing
Support &
Locomotion Leon A. Kappelman. All rights reserved.
EA 101: © 2000-2009 Internal distribution of materials 87

Information Skeletal/
Ears:
Cooling & processing Support
sound
processing

Circulatory:
Eyes: internal distribution &
Vision/Light logistics
Processing

Elimination:
Solid & Liquid Waste
Mouth/Teeth: Outlets
Input: Preliminary
processing of nutrients Heart:
Pump

Digestive:
Chemical breakdown of
nutrients
Support &
Locomotion Leon A. Kappelman. All rights reserved.
EA 101: © 2000-2009 88

44


What is EA?
• 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
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.

45

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
yy g g
really wish you had all those
models; so you might as well
g
get started now.”
– John Zachman


46

What is EA?
• It’s a revolution
• It’s all about …
– a new way of thinking, and doing.
– communications and language.
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
– “modeling” any and all of the enterprise.
“ d li ” d ll f th t i
– 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 rebellion
A
now and then is a
g
good thing.”
g
– Thomas Jefferson


47

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
Determine the goals, focus, scope, and priorities:
i h l f d i ii
– 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 Enterprise.
objects 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.

48

“No
“N one h t change.
has to h
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).


49

The SIM Guide to Enterprise Architecture:
Creating the Information Age Enterprise
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
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 • George S. Paras
• Larry Burgess • Alex Pettit
• Ed Cannon • Jeanne W. Ross
• Larry R. DeBoever • Brian Salmans
• Russell Douglas • Anna Sidorova
• Randolph C. Hite • Gary F. Simons
• Leon A. Kappelman • Kathie Sowell
• Mark Lane • Tim Westbrock
• Thomas McGinnis • John A. Zachman



htt // i t

50

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

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