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.

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. 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. Mechanism of Directive Compliance
[From Business Motivation Model
Specification]

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. 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. 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. 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. 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. 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. 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. Exemplar- Enterprise Response to Change
Internal Drivers
External Driver
Assessment
(Hard)Goal
Alternative Courses
of Action
Selected Course
of Action

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. 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. 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. 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. 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. 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. 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. Questions?
I can be reached at sagar.sunkle@tcs.com