EA 202: Bridging the Chasm Between Strategy & Execution

10/30/2011

Enterprise Architecture 202:
Creating the Information Age Enterprise
and
Bridging the Chasm Between Strategy & Execution

1-November-2011
11:00 AM – 12:30 PM EST

1
ITMPI005

Leon A. Kappelman, Ph.D.
pp ,
Professor of Information Systems
Director Emeritus, Information Systems Research Center
College of Business, University of North Texas
Fellow, Texas Center for Digital Knowledge
Founding Chair, Society for Information Management EA Working Group
kapp@unt.edu

Michael Mil i
Mi h l Milutis
Director of Marketing
Computer Aid, Inc. (CAI)
Michael_milutis@compaid.com

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10/30/2011

About the Presenter
Leon A. Kappelman, Ph.D. is a research scientist, teacher, author, speaker,
and consultant dedicated to helping organizations better manage their information,
systems,
systems and technology assets He is Director Emeritus of the IS Research Center
assets.
and a Professor of Information Systems in the Information Technology & Decision
Sciences Department of the College of Business at the University of North Texas,
where he is also a Fellow of the Texas Center for Digital Knowledge. Dr. Kappelman
is founding chair of the Society for Information Management’s (SIM) Enterprise
Architecture Working Group. He has assisted many public and private organizations
with technology management activities including strategic planning, governance,
software development, project management, enterprise architecture, continuity of
operations, and IT workforce management. He has given presentations and written
a t c es on these and other
articles o t ese a d ot e IT management top cs, a d test ed be o e t e US
a age e t topics, and testified before the
Congress on technology legislation and IT management practices. Professor
Kappelman has published several books, over 100 articles, and has lectured and
conducted seminars and workshops on many management, business, and
technology topics in North America, Europe, and Asia. His work has been reported in
the Wall Street Journal, New York Times, BusinessWeek, Newsweek, Washington
Post, LA Times, and scores of other newspapers and magazines; he has appeared
on CNN, CNBC, PBS, ABC World News Tonight, as well as regional television and
3
radio stations. He brought nearly $2.5 million in research contracts to the university.

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10/30/2011

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10/30/2011

Enterprise Architecture 202:
Bridging the the Information Age Enterprise
Creating Chasm Between Strategy and Execution

Information Technology & Decision Sciences Department
Website: http://courses.unt.edu/kappelman/
Email: kapp@unt.edu Phone: 940-565-4698 Fax: 940-565-4935

EA ITMPI005 2000-2011 Leon A. Kappelman. All rights reserved.
202: ©

Enterprise Architecture:
Why Bother?
If you can’t “see” it, then
it
you can’t effectively
change it or manage it.
Especially if it’s complicated or
f
big, or will grow, evolve, or
change at some point in time.
EA 202: © 2000-2011 Leon A. Kappelman. All rights reserved.

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10/30/2011

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


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


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What is an Organization?

Logical

Physical


“The beginning of
e beg go
wisdom is the
definition of terms”
– Socrates


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Ontology
The metaphysical study of the nature of
being and existence.
Ontology applied to
enterprises:
• Study of the nature of their existence.
y
• Answers questions like:
• What is an enterprise?
• What does it mean to be an enterprise?
• What do I need to know about an organization if I want to
know it?

The practice of Enterprise
Architecture is the ontological
g
examination of a particular
enterprise in order to know its
nature, essential properties,
and the relationships among
them.

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10/30/2011

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“. [SIMEAWG]
time
• Enterprise Architecture is
modeling the enterprise.

Stephen Hawking

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

• Every model is imperfect.
• But models are all we have.
• Even language is a model.


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10/30/2011

In terms of the whole organization…
EA is about the creation of a shared language (of
words, images, and so on) to communicate
about,
about think about, and manage the enterprise.
about 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
(e.g.,
applications, data, projects, goods and services,
jobs, vehicles, people, …).


“Architecture is
politics.” — Mitchell Kapor


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10/30/2011

“Information Age
Organization
Organization”
EA is all about Peter Senge’s “technologies” of a Learning
Organization “where people are continually learning to see
the whole together”:
• Holistic/systems thinking (big picture & connections)
• Team learning (collaboration)
i ( i )
• Shared mental models (shared language & models)
• Building shared vision (shared goals)
• Personal mastery
(Senge, The Fifth Discipline, 1990)


Do we really need a
“shared language”?

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No EA = no shared language = you get …

• “IT and business alignment remains CIO's
top concern.… Some things never
change.” (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
2006 … the alignment of IT and business at
their companies …according to …survey by
the Society for Information Management. ”
(InformationWeek, 18Sep06)

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


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Top IT Management Concerns 1980-2010
1980-
IT Management 201 200 200 200 200 200 200 200 199 199 198 198 198 198
Concerns 0 9 8 7 6 5 4 3 4 0 6 5 3 0

Business productivity & cost
1 1 7 4
reduction
Business agility and speed to
2 3 13 17 7 5 7
market
IT and business alignment 3 2 1 2 1 1 1 1 9 7 5 2 7 9
IT reliability and efficiency 3 6
Business Process Reengineering 3 4 18 15 11 5 10 10 2
IT Strategic planning 6 7 3 8 4 4 4 2 10 3 1 1 1 1
Revenue generating IT
6 8
THIS IS SYMPTOMATIC OF NOT SUFFICIENTLY
innovations
IT cost reduction 8 5 7 4

UNDERSTANDING THE “REQUIREMENTS”):
Security and privacy 9
10
9
15
8 6 3 2 3 3 19 18 6 14 12
Globalization

• SPECIFIC DETAILS OF A PARTICULAR
Change management
Outsourcing/vendor management
11
12
14
11
6 7 3 2 3 3 19 18 6 14 12

OBJECTIVE, ACTIVITY
OBJECTIVE ACTIVITY, AND/OR PROCESS.
Enterprise architecture PROCESS13
13
11
17
11 33 15 15 9 8 4 1 8
IT human resource considerations

• OVERALL CONTEXT – THE BIG PICTURE OF
Knowledge management
Project management
13
13
17
11 10 23 5 10
HOW IT ALL FITS TOGETHER.
Sourcing decisions 13 17
10 16 10
CIO leadership role

• OR BOTH
IT organization design
Societal implications of IT
15
20


Moreover,


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10/30/2011

• “Alignment,” “flexibility,” “nimbleness,” “simplicity,”
“agility,” and so on are design objectives or goals.
They answers questions like “what do we want it
to look like?”
• The answer to the question “how do we
accomplish it?”
– Most call “planning” or “strategic planning” and
“execution” or “implementation”;
– A few, but only those thinking in a very
comprehensive and holistic sense of the term,
call it “enterprise architecture.”
– It will be called ……?...... in 20 years.


How does a EA
ow an
shared language help
IT perform better?


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10/30/2011



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Artwork by Russell Douglas in The SIM Guide to Enterprise Architecture: Creating the Information
Enterprise Architecture As Press, Taylor and Francis Group, NYC, (www.crcpress.com).
Age Enterprise, 2010, CRC Strategy: Creating a Foundation for Business Execution, Jeanne
Ross, Peter Weill, & David Robertson, Harvard Business Press, 2006.

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Artwork by Russell Douglas in The SIM Guide to Enterprise Architecture: Creating the Information
Enterprise Architecture As Press, Taylor and Francis Group, NYC, (www.crcpress.com).
Age Enterprise, 2010, CRC Strategy: Creating a Foundation for Business Execution, Jeanne
Ross, Peter Weill, & David Robertson, Harvard Business Press, 2006.

“We shape our buildings —
t e ea te t ey s ape us.
thereafter they shape us.”
— Sir Winston Churchill

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


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10/30/2011

System Requirements?
We know how to do
t at o t e
that! Don’t we?


INDUSTRY DATA ON DEFECT ORIGINS
Because defect removal is such a major cost element, studying defect
origins is a valuable undertaking.

IBM Corporation (
p (MVS)
) SPR Corporation (
p (client studies)
)
45% Design errors 20% Requirements errors
25% Coding errors 30% Design errors
20% Bad fixes 35% Coding errors
5% Documentation errors 10% Bad fixes
5% Administrative errors 5% Documentation errors
100% 100%

TRW Corporation Mitre Corporation Nippon Electric Corp.
60% Design errors 64% Design errors 60% Design errors
40% Coding errors 36% Coding errors 40% Coding errors
100% 100% 100%

Copyright © 2009 by Capers Jones. All Rights Reserved. SWQUAL0834


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10/30/2011

Brooks on the difficulties of software
development …
“The hardest single part of
building awhat rate of progress
“To see software system is
one can expect in software
deciding precisely what to
technology, let us examine the
gy
build.
build No other part of the
difficulties of that technology.
conceptual work is as difficult
Following Aristotle, I divide
asthem into essence, the
establishing the detailed
technical requirements…. No
difficulties inherent in the
other part of the work so
nature of software, and
cripples the system if done
accidents, those difficulties
wrong. No attend its
wrongtoday other part is more
that
difficult to rectifyare not
production but later.”
inherent.”
"No Silver Bullet - Essence &
Accidents of Software Engineering”
1986 in Information Processing 86. H.J. Kugler, ed., Elsevier,
1069-1076. (Invited paper, IFIP Congress '86, Dublin) Reprinted
in The Mythical Man-Month, 20th Anniversary Edition, Frederick
P. Brooks, Jr., Addison-Wesley, 1995.

U.S. AVERAGES FOR
SOFTWARE QUALITY
(Data expressed in terms of defects per function point)

Defect Removal Delivered
Defect Origins Potential Efficiency Defects

Requirements 45% 1.00 77% 0.23 56%
Design 1.25 85% 0.19
Coding 1.75 95% 0.09
Documents 0.60 80% 0.12
Bad Fixes 0.40 70% 0.12

TOTAL 5.00 85% 0.75
(All defect sources - not just coding defects)



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10/30/2011

BEST IN CLASS SOFTWARE
QUALITY
(Data expressed in terms of defects per function point)

Defect Removal Delivered
Defect Origins Potential Efficiency Defects

Requirements 40% 0.40 85% 0.08 77%
Design 0.60 97% 0.02
Coding 1.00 99% 0.01
Documents 0.40 98% 0.01
Bad Fixes 0.10 95% 0.01

TOTAL 2.50 96% 0.13
50% of 17% of
US avg. US avg.

OBSERVATION: Most often found in systems software > SEI CMM Level 3


SIMEAWG IT Management Practices Study
Averages (Scale: 1[=awful] to 5 [=superior])

• 3.67 Overall average (64 questions)

• 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 q
q ( questions)
)
• 3.33 Requirements practices & capabilities (15 questions)

The SIM Guide to Enterprise Architecture: Creating the
Information Age Enterprise, 2010, edited by Leon A.
Kappelman, CRC Press, Taylor and Francis Group,
NYC, (www.crcpress.com).

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10/30/2011

What is an Enterprise?

Logical

Physical


LOGICAL

PHYSICAL


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10/30/2011


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

Functioning Enterprise

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RESOURCES BEHAVIORS


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

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10/30/2011


| Behaviors Things
|
|
|
Logical |
|
___________________________________________
|
|
Physical |
|
|
|
|

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10/30/2011


Architecture/Requirements
A hit t /R i t
(Strategy, Design, & Plans)

Project Management (Execution & Implementation)
Instantiation / Operations
(Functioning Enterprise)


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10/30/2011

Strategy

Execution
E ti


Zachman’s Framework for EA …
… 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 get the knowledge.
… posits that if you want to be aligned, agile,
optimized, or whatever your enterprise design
objectives, then these are the data you must
have and 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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10/30/2011

EA 202: © 2000-2011 Leon A. Kappelman. All rights reserved. http://zachman.com

By whatever means you get them, these
are the data you must have and use …

http://zachman.com

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10/30/2011

By whatever means you get them, these
are the data you must have and use …

“Someday you’re
going to really wish
you had all those
models; so you
might as well get
started now.”– John Zachman

http://zachman.com

What is EA?
• EA is a different way of seeing, communicating about, &
managing the enterprise & all of its assets, including IT.
• EA gets to essence of IT success: Knowing &
communicating the organization’s requirements.
• EA is key to:
– achieving & keeping business-IT alignment & other objectives.
– helping the organization create value.
• 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., etc., …
– BUT EA is much, much more than that.
– Still, you can build your EA practice on what
you are already doing

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10/30/2011

Some graphical concepts for
communicating with Zachman’s
Enterprise Ontology
• Scope about something is depicted by width
in a cell.
– A “sliver” is indicative of narrow or limited scope –
as in a stovepipe or a particular application.
– Example: Run
• Level of detail about something is depicted
by depth in a cell.
cell
– It depicts how much you know about it
– What you don’t know you must assume.

ntation12-2



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10/30/2011

Enterprise Architecture for
Integration: Rapid Delivery Methods
and Technologies, Clive Finkelstein,
(2nd Edition, June 2011).


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Perfect World


More often than we’d like to admit practice: IT System Acquisition


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Typical Practice: IT System Acquisition



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Assessment: Strategic Alignment




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Audit of Controls & Compliance





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What is EA?
• EA is a different way of seeing, communicating about, &
managing the enterprise & all of its assets, including IT.
• EA gets to essence of IT success: Knowing &
communicating the organization’s requirements.
organization s
• EA is key to:
– achieving & keeping business-IT alignment & other objectives.
– helping the organization create value.
• 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., etc., …
– BUT EA is much, much more than that.
– Still, you can build your EA practice on what
you are already doing

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10/30/2011

So how do you build
an EA practice on
what you are already
doing?

EA ITMPI005 2000-2011 Leon A. Kappelman. All rights reserved.
202: ©

Software Architecture
Systems Analysis
Systems Design
So t a e o t o o
Software Portfolio


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10/30/2011

Strategic Planning
Business Modeling
Business Architecture
us ess c tectu e


Disaster Recovery
Continuity of Operations (COOP)
Continuity of Government (COG)

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Human Resources
Organization Design
g g
Job Design


Business Process Reengineering
Process Improvement

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Network
Net ork Design
Network Architecture


Data Design
Data Architecture
Data Warehousing


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Rules Management
Business Rules
Expert Systems


“Someday you’re
going to really
wish you had all
those models.
– John Zachman
http://zachman.com

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Road to the Future: Institutionalizing EA
• This is a new way of life: There is no quick fix; no silver bullet.


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Example of an EA governance integrated
into all governance structures …
VA Executive
Board

Organizational
Change
Management
Strategic Management
Council
Office of
Cyber Security

Capital Information Technology
Board
Investment
I t t
Council

Project
Management
Office EA Architecture Council


“Integrated Business Technology Landscape”
Armstrong Process Group, Inc. http://www.aprocessgroup.com/offerings/index.asp

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10/30/2011

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
humankind’s most complex objects – the Enterprise
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
Don t
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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10/30/2011

You will also need
some EA processes
and governance
bodies that integrate
EA into the
processes and
governance activities
for everything else
(IT and business).

Example of an EA development
process: TOGAF Architecture
Development Method (ADM) cycle
http://pubs.opengroup.org/architecture/togaf8-doc/arch/chap03.html

Implementation Guidelines: Getting Started
• Build on what you’re already doing (including projects).
• Use collaborative approaches to doing & governing EA:
– Organize an EA working group or EA council.
– Learn together & work toward agreement about language, models, methods
• Get participation & commitment from IT & business
p p
management:
– At all levels (but start as high as possible). Leadership counts!
• Determine the goals, focus, scope, and priorities:
– Aim for completeness & comprehensiveness. Deal with day-to-day needs.
• Embrace continuous change, learning, & communication:
– Remember, it’s a journey and a process.
– Evangelize. Have an “elevator speech”. Get your “converters” one at a time.
• Start small and show early success. Then build on it.
y
– Identify EA initiatives of most value to organization.
– Help the value creators, it creates champions and wins hearts and minds.
• Monitor, evaluate, and improve on a continuous basis:
– Quantify the benefits
– Regularly take a hard look at EA cost-value proposition, and make it better.
• Use EA in IT for CONTINUOUS IMPROVEMENT and to
COMMUNICATE WITH YOUR CUSTOMERS & STAKEHOLDERS

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10/30/2011

“No one has to change.
Survival is optional.”
– Dr. W. Edwards Deming


SIM Guide to Enterprise Architecture
A project of the Society for Information Management’s
EA Working Group (SIMEAWG). Free shipping & 40%
discount with code “542KA” for purchase at
http://www.crcpress.com.
All author royalties go to further the work of the not-
for-profit SIMEAWG.
Edited by: Leon A. Kappelman, Ph.D.
Foreword by: Jeanne W. Ross, Ph.D.
Contributing Authors, Panelists, & Artists (alphabetically):
40% discount • Bruce V. Ballengee • George S. Paras
• Larry B rgess
Larr Burgess • Alex
Ale Pettit
code = 542KA
d • Ed Cannon • Jeanne W. Ross
at • Larry R. DeBoever • Brian Salmans
• Russell Douglas • Anna Sidorova
CRCPress.com • Randolph C. Hite • Gary F. Simons
• Leon A. Kappelman • Kathie Sowell
• Mark Lane • Tim Westbrock
• Thomas McGinnis • John A. Zachman

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Questions?

89

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pp ,
kapp@unt.edu

Michael Milutis
Director of Marketing
Computer Aid, Inc. (CAI)
Michael_milutis@compaid.com
91

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