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Incorporating Directives into 
Enterprise TO-BE Architecture 
Sagar Sunkle, Deepali Kholkar, Hemant 
Rathod, and Vinay Kul...
Motivation 
• Enterprise’s response to change drivers, requires 
– coordinated treatment of what, why, how 
– also necessa...
Mechanism of Directive Compliance 
[From Business Motivation Model 
Specification]
Mechanism of Directive Compliance 
In response to a change driver, an 
enterprise sets on a course of 
action-Includes set...
Mechanism of Directive Compliance 
At the same time, or once the 
course of action has been 
operationalized for some 
dur...
Mechanism of Directive Compliance 
Interpretation and 
implementation of directives 
includes- 
Finding impacted part in 
...
Mechanism of Directive Compliance 
To achieve these steps in 
machine-processable manner 
modeling ability for requisite 
...
Selecting Course of Action on top of AS-IS EA 
• Mapping between EA (ArchiMate) and Intentional metamodels- 
− Enables rep...
Relating Directives to Course of Action 
• Mapping between extended enterprise (EA+i*) and 
BMM concepts 
− Assessments of...
Exemplar- Enterprise Response to Change 
Internal Drivers 
External Driver 
Assessment 
(Hard)Goal 
Alternative Courses 
o...
Exemplar- Enterprise Response to Change 
Internal Drivers 
External Driver 
Assessment 
(Hard)Goal 
Alternative Courses 
o...
Exemplar- Enterprise Response to Change 
Internal Drivers 
External Driver 
Assessment 
(Hard)Goal 
Alternative Courses 
o...
Exemplar- Directive affecting Operational Course of 
Action 
Assessment 
Directive/ 
Policy 
Internal Drivers 
External Dr...
Exemplar- Directive affecting Operational Course of 
Action 
Operationalization 
of workable 
elements on top of 
AS-IS EA...
Analyzing Directives 
Business Rule- Maintain 
$1000 balance for Platinum 
Tier Benefits: To get the 
’Platinum’ tier/cate...
Analyzing Directives- Top Down Queries 
Business Rule- Maintain 
$1000 balance for Platinum 
Tier Benefits: To get the 
’P...
Analyzing Directives- Bottom Up Queries 
Business Rule- Maintain 
$1000 balance for Platinum 
Tier Benefits: To get the 
’...
Further Work 
• No formal compliance checking yet 
– Several approaches focus on regulations [rather than internal 
polici...
Questions? 
I can be reached at sagar.sunkle@tcs.com
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Incorporating Directives into Enterprise TO-BE Architecture

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To stay competitive, enterprises must respond to changes as effectively and efficiently as possible and ensure the employed courses of action, whether in response to change or even to optimize business as usual, fall within the purview of internal and external directives. Often, the traceability from change drivers that led to specific directives being applied to actual business rules implementing the directives is never captured in machine processable and analyzable manner, making compliance to directives hard to track and demonstrate. We present a model-based solution that enables a) modeling directives at various levels of detail on top of extended enterprise architecture-based models of enterprise, b) analyzing the models for compliance, and c) ensuring operationalization of directives. Initial explorations with a real world case study suggest that it might be possible to establish both top-down and bottom-up traceability for directives toward compliance checking.

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Incorporating Directives into Enterprise TO-BE Architecture

  1. 1. Incorporating Directives into Enterprise TO-BE Architecture Sagar Sunkle, Deepali Kholkar, Hemant Rathod, and Vinay Kulkarni Tata Research Development and Design Center, Pune, India.
  2. 2. Motivation • Enterprise’s response to change drivers, requires – coordinated treatment of what, why, how – also necessary to comply with all directives  Directives are abstract guidelines- either from regulatory bodies or internal- aimed at improving existing/planned operations  But traceability from change drivers to specific directives to actual business rules is often missing  Even if some trace is maintained, it is document-oriented, often broken, and not machine-processable
  3. 3. Mechanism of Directive Compliance [From Business Motivation Model Specification]
  4. 4. Mechanism of Directive Compliance In response to a change driver, an enterprise sets on a course of action-Includes setting strategic goals, coming up with alternative courses of action, choosing the optimum course of action, operationalizing the course of action [From Business Motivation Model Specification]
  5. 5. Mechanism of Directive Compliance At the same time, or once the course of action has been operationalized for some duration, the assessment of the same driver may also lead to formation of directive/policies- [From Business Motivation Model Specification]
  6. 6. Mechanism of Directive Compliance Interpretation and implementation of directives includes- Finding impacted part in operational course of action and enforcing directives/policies in the form of business rules [From Business Motivation Model Specification]
  7. 7. Mechanism of Directive Compliance To achieve these steps in machine-processable manner modeling ability for requisite concepts is needed [From Business Motivation Model Specification]
  8. 8. Selecting Course of Action on top of AS-IS EA • Mapping between EA (ArchiMate) and Intentional metamodels- − Enables representing alternate courses of action as chains of intentional tasks − Primitively workable elements, i.e., self implementable leaf tasks in strategic rationale models, are operationalized to achieve strategic goals − Operationalization binds tasks to EA behavior elements- existing EA elements may be reused/persisted along with additional behavior elements for selected course of action
  9. 9. Relating Directives to Course of Action • Mapping between extended enterprise (EA+i*) and BMM concepts − Assessments of drivers lead to both goals and directives − A directive is related to a primitively workable element in the form of a policy and then operationalized in terms of modification to existing business process
  10. 10. Exemplar- Enterprise Response to Change Internal Drivers External Driver Assessment (Hard)Goal Alternative Courses of Action • Two wealth management banks- merged (internal driver/response) due to market condition (external driver) − An assessment suggests rationalizing doubled product mix − Possible alternate courses of action are modeled − Label propagation suggests optimum course of action- this course of action is operationalized
  11. 11. Exemplar- Enterprise Response to Change Internal Drivers External Driver Assessment (Hard)Goal Alternative Courses of Action Selected Course of Action
  12. 12. Exemplar- Enterprise Response to Change Internal Drivers External Driver Assessment (Hard)Goal Alternative Courses of Action Operationalization of workable elements on top of AS-IS EA
  13. 13. Exemplar- Directive affecting Operational Course of Action Assessment Directive/ Policy Internal Drivers External Driver Operationalization of workable elements on top of AS-IS EA
  14. 14. Exemplar- Directive affecting Operational Course of Action Operationalization of workable elements on top of AS-IS EA Policy: Encourage more deposits/balance Business Rule- Maintain $1000 balance for Platinum Tier Benefits: To get the ’Platinum’ tier/category benefits, a balance of $10000 needs to be maintained in the client account. Before opening account in this category, make sure the initial deposit is more than $10000.
  15. 15. Analyzing Directives Business Rule- Maintain $1000 balance for Platinum Tier Benefits: To get the ’Platinum’ tier/category benefits, a balance of $10000 needs to be maintained in the client account. Before opening account in this category, make sure the initial deposit is more than $10000.  Model enterprise’s response to change starting from a course of action to its operationalization on top of AS-IS EA to representing a policy over selected course of action and reflecting it in terms of business rules.  All of these models are accessible via ontological representation. Directives are analyzed by querying the models using various SPARQL queries.
  16. 16. Analyzing Directives- Top Down Queries Business Rule- Maintain $1000 balance for Platinum Tier Benefits: To get the ’Platinum’ tier/category benefits, a balance of $10000 needs to be maintained in the client account. Before opening account in this category, make sure the initial deposit is more than $10000.  Given a strategic goal, which directives apply to it? − Get the selected strategy − Query the primitively workable elements for policies reflected in them.  Given a directive, which business processes implement it? − Get the primitively workable elements for given directive. − Query the operationalization elements. − Separate out BusinessProcess instances
  17. 17. Analyzing Directives- Bottom Up Queries Business Rule- Maintain $1000 balance for Platinum Tier Benefits: To get the ’Platinum’ tier/category benefits, a balance of $10000 needs to be maintained in the client account. Before opening account in this category, make sure the initial deposit is more than $10000.  Which directives are realized by a business rule? 1. Get the business processes where the rule is applied 2. Get the primitively workable elements which the business processes realize 3. Query the policies which are reflected in the primitively workable elements.  Which strategic goal does a business rule affect? − Same steps till 2 above. − Traverse actors’ routines [the set of tasks each actor does toward fulfillment of a goal] in reverse with primitively workable elements.
  18. 18. Further Work • No formal compliance checking yet – Several approaches focus on regulations [rather than internal policies] and provide formal treatment of compliance checking, e.g., P-LTL, Formal Contract Language – Regulations compliance requires interpretation of legal texts and logical treatment of obligations, permissions, and violations- deontic logic – But these approaches treat regulations in silo, without considering the enterprise context • Extend the treatment of internal policies with regulations • Bring in formal regulations compliance checking to internal policies
  19. 19. Questions? I can be reached at sagar.sunkle@tcs.com

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