Kappelman - Becoming a 21st Century Enterprise

Readying the 21st Century
Enterprise with Architecture

Leon A. Kappelman, Ph.D.
Professor of Information Systems
College of Business, University of North Texas
Founding Chair, SIM Enterprise Architecture Working Group

Readying the 21st Century Enterprise with Architecture:
Read ing the 21st Cent r Enterprise ith Architect re
Bridging Strategy and Execution

Founding Chair, Society for Information Management EA Working Group
Director Emeritus, Information Systems Research Center
Fellow, Texas Center for Digital Knowledge
Information Technology & Decision Sciences Department
Website: http://courses.unt.edu/kappelman/
Email: kapp@unt.edu Phone: 940‐565‐4698

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

1

Enterprise Architecture: Why Bother?
•If you can’t “see” it, then you can’t
effectively change it or manage it.
ff ti l h it it
•Especially if it’s complicated or big,
or will grow, evolve, or change at
some point in time.

3

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

4

2

“know thyself”!
– Socrates

5

Organization,
“know thyself”!
– Socrates Consulting

6

3

What is an Organization?

Logical

Physical
y

7

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

8

4

Ontology
The metaphysical study of the nature of
being and existence.
g
Ontology applied to enterprises:
• Study of the nature of their existence.
• 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?

9

The practice of Enterprise
Architecture is the ontological
examination of a particular
i i f i l
enterprise in order to know
its nature, essential
properties, and the
properties and the
relationships among them.
10

5

Architecture? What’s that?
Architecture “the set of descriptive
representations about an object . [J. Zachman]
representations about an object”. [J. Zachman]
Enterprise Architecture is “the holistic
set of descriptions about the enterprise
over time“.   [SIMEAWG]
Enterprise Architecture is modeling the
enterprise.

11

Stephen Hawking
“All we ever know is our models.”
All we ever know is our models.
"Our models may get closer and closer,
but we will never reach direct
perception of reality.”
• Every model is imperfect (= not reality).
Every model is imperfect ( not reality).
• But models are all we have.
• Even language is a model.

12

6

15

EA is about the creation of a shared
language (of words, images, and so on)
to communicate about, think about, and
manage the enterprise.
enterprise
If the people in the enterprise cannot
If the people in the enterprise cannot
communicate well enough to align their ideas
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
then
then they cannot align the things they manage
(e.g., applications, data, projects, goods and
services, jobs, vehicles, people, …).

16

8

“Architecture is
“A hit t i
politics.” — Mitchell Kapor

17

“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)
• Shared mental models (shared language & models)
• Building shared vision (shared goals)
• Personal mastery (Senge, The Fifth Discipline, 1990)

18

9

Do we really need a
“shared language”?

19

No EA = no shared language = you get:
“IT and business alignment remains CIO's top
concern.… Some things never change.”
( f
(InformationWeek, 3Sept08)
, p )
“Yet again, alignment is the top priority for CIOs.”
Business Alignment: The Eternal Priority” (CIO
Insight, 22Mar07)
“top IT management concerns of CIOs in 2006 …
the alignment of IT and business at their
the alignment of IT and business at their
companies …according to …survey by the Society
for Information Management. ” (InformationWeek,
18Sep06)

20

10

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

21

Top  IT Management Concerns 1980‐2010
Top  IT Management Concerns 1980‐
IT Management
2010 2009 2008 2007 2006 2005 2004 2003 1994 1990 1986 1985 1983 1980
Concerns

Business productivity & cost reduction 1 1 7 4

Business agility and speed to market 2 3 13 17 7 5 7
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
B i P R i i 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 innovations 6 8
8 5 7 4
THIS IS SYMPTOMATIC OF NOT SUFFICIENTLY
IT cost reduction
Security and privacy 9 9 8 6 3 2 3 3 19 18 6 14 12

UNDERSTANDING THE “REQUIREMENTS”):
Globalization
Change management
10
11
15
14 6 7 3 2 3 3 19 18 6 14 12

• SPECIFIC DETAILS OF A PARTICULAR  OBJECTIVE,
Outsourcing/vendor management
Enterprise architecture
12
13
11
11 11 33 15 15 9 8 4 1 8

ACTIVITY, AND/OR PROCESS.
ACTIVITY AND/OR PROCESS
IT human resource considerations 13
13
17
17
Knowledge management

• OVERALL CONTEXT – THE BIG PICTURE OF HOW IT
Project management
Sourcing decisions
13
13
11
17
10 23 5 10

ALL FITS TOGETHER.
CIO leadership role
IT organization design
10
15
16 10

20
• OR BOTH
Societal implications of IT


11

23

“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.

24

12

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

25

26

13

27

28

14

Artwork by Russell Douglas in The SIM Guide to Enterprise Architecture: Creating the Information
Enterprise Architecture As Strategy: Creating a Foundation for Business Execution, Jeanne Ross,
Age Enterprise, 2010, CRC Press, Taylor and Francis Group, NYC, (www.crcpress.com).
29
Peter Weill, & David Robertson, Harvard Business Press,  2006.

Artwork by Russell Douglas in The SIM Guide to Enterprise Architecture: Creating the Information
Enterprise Architecture As Strategy: Creating a Foundation for Business Execution, Jeanne Ross,
Age Enterprise, 2010, CRC Press, Taylor and Francis Group, NYC, (www.crcpress.com).
30
Peter Weill, & David Robertson, Harvard Business Press,  2006.

15

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

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

31

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

32

16

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

IBM Corporation (MVS) SPR Corporation (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.

SWQUAL0833
33

Brooks on the difficulties of software development …
“To see what rate of
progress one can expect in
software technology, let us
examine the difficulties of
that technology. Following
Aristotle, I divide them into
essence, the difficulties
inherent in the nature of
software, and accidents,
those difficulties that today
attend its production b t are
tt d it d ti but
not 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.


17

Brooks on the difficulties of software development …
“To see what rate of
“The hardest single part of
progress one can expect in
building a software system is
software technology, let us
deciding precisely what to
build Nothe difficulties the
examine other part of of
build.  No other part of the
that technology. Following
conceptual work is as difficult
Aristotle, I divide them into
as establishing the detailed
essence, the difficulties
technical requirements….  No
inherent in the nature of
other part of the work so
software, and accidents,
cripples the system if done
those difficulties that today
wrong.  No other part is more
wrong its production bis tmore
attend itNo other ti but are
tt d d part
difficult to rectify later.”
not 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
5 00 85% 0.75
0 75
(All defect sources ‐ not just coding defects)

Copyright © 2009 by Capers Jones.  All Rights Reserved. SWQUAL0836

36

18

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

TOTA
TOTAL 2.50
.50 96% 0. 3
0.13
50% of 17% of
US avg. US avg.
OBSERVATION: Most often found in systems software > SEI CMM Level 3
Copyright © 2009 by Capers Jones.  All Rights Reserved. SWQUAL0837

37

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 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).


38

19

What is an Enterprise?

Logical

Physical
y

39

LOGICAL

PHYSICAL


20

41

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

Functioning Enterprise
42

21

RESOURCES BEHAVIORS


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

22


I P S G
N O C
S F R H
O
E A
O R T D L
D F A A
L
U
L S
S
A T T
S E
S
/ &
T W R R
/
T
A U E I R
A C P M
O I U
R T
R N L
U G
E R
T S
E
S S
E

23

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

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


Strategy

Execution
E ti


25

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

51

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

26

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

http://zachman.com

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

27

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.
You can build your EA practice on what you are already doing

55

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.
It depicts how much you know about it
What you don’t know you must assume.

ntation12-2

56

28


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

58

29


Perfect World


30

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


Typical Practice: IT System Acquisition


31



Assessment: Strategic Alignment


32




Audit of Controls & Compliance


33






34

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 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,
standard setting, knowledge management, data warehousing, SOA,
BPR, etc., etc., …
BUT EA is much, much more than that.
You can build your EA practice on what you are
already doing

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


35

Software Architecture
Systems Analysis
Systems Design
Software Portfolio


Strategic Planning
Business Modeling
Business Architecture


36

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

Human Resources
Organization Design
Job Design


37

Business Process Reengineering
Process Improvement

Network Design
N t kD i
Network Architecture


38

Data Design
Data Architecture
Data Warehousing


Rules Management
Business Rules
Expert Systems


39

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

79

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

80

40

81

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
Council

Project
Management
Office EA Architecture Council

82 EA 202: © 2000‐2011 Leon A. Kappelman. All rights reserved.

41

Armstrong Process Group, Inc.  http://www.aprocessgroup.com/offerings/index.asp

83

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.
g g p j p
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 training a
continuous process.  It is easy to forget long‐term issues in the short‐term stress
of daily life.
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.

84

42

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

Example of an EA development
Example of an EA development
process: TOGAF Architecture
Development Method (ADM)
cycle

http://pubs.opengroup.org/architecture/togaf8-doc/arch/chap03.html

43

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 at all levels (as high
Get participation & commitment from IT & business at all levels (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.
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:
M it l t di ti b i
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 COMMUNICATION
WITH YOUR CUSTOMERS & STAKEHOLDERS

87

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

88

44

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 code
• Bruce V. Ballengee • George S. Paras
= 542KA • Larry Burgess • Alex Pettit
• Ed Cannon • Jeanne W. Ross
at
at • Larry R. DeBoever
Larry R DeBoever • Brian Salmans
Brian Salmans
CRCPress.com •
•
Russell Douglas
Randolph C. Hite
•
•
Anna Sidorova
Gary F. Simons
• Leon A. Kappelman • Kathie Sowell
• Mark Lane • Tim Westbrock
• Thomas McGinnis • John A. Zachman

89

Readying the 21st Century Enterprise with Architecture:
Read ing the 21st Cent r Enterprise ith Architect re
Bridging Strategy and Execution

Director Emeritus, Information Systems Research Center
Fellow, Texas Center for Digital Knowledge
Information Technology & Decision Sciences Department
Website: http://courses.unt.edu/kappelman/
Email: kapp@unt.edu     Phone: 940‐565‐4698


45

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