Enterprise Architecture Methodology & Offerings Discussion Document 29 October 2002.

Enterprise ArchitectureMethodology & Offerings Discussion Document

29 October 2002

Entire contents © 2002 Gartner, Inc.

FullCompanyNameTitleEngagement: xxxxxxxxx—DayMonthYear

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Table of Contents

The New Enterprise Architecture Consulting Methodology …………………………….... 3

EA Consulting Integrated with other Gartner Consulting Methodologies……………….. 10

Enterprise Architecture Definition…………..……………………………………………….. 16

New Gartner Research on Enterprise Architecture…………………..……..…………….. 21

The Multienterprise Grid……………………………………………...…………...………….. 28

What is Needed to Move from Grid to Styles………………………….…………………….. 37

Business Process Styles ……………………………………………………………………. 50

What is Needed to move from Styles to Patterns………………………………………… 59

Patterns ……..………………………………………………………………………………… 72

What is Needed to move from Patterns to Bricks…………………………………………. 77

Bricks …………………………………………………………………………………………… 85

How to develop Bricks ………………………………………………………………………… 88

Architecture Governance…………………………………………………………………… 100



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Table of Contents (continued)

Steps in the complete architecture consulting methodology ………………………………118

Standard Architecture Consulting Offerings……………………………………………..…..122

Reference Architecture Frameworks ……………………………………………………..….132

Reference Process Frameworks ………………………………………………………….….155

Amplification of Other Consulting Methodologies …………………………………………..162

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The New Enterprise Architecture Consulting Methodology



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Background on Gartner Architecture Consulting

Gartner Consulting got its start about eight or nine years ago by assisting clients in applying Gartner research in their own strategies and architectures.

At that time, Gartner began using and evolving a highly successful approach called TAS (Technical Architecture Strategy); several hundred clients have been very satisfied with it.

New business realities call for an even more advanced and integrated view, and Gartner has responded with an integrated suite of planning methodologies.



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Gartner New Architecture Consulting Methodology

The Architecture Consulting Methodology fits within the Gartner Integrated Planning Suite.

It adheres to the following guiding principles:• Produces actionable recommendations• Helps clients to improve the way they manage the business and to create

a more effective IT organization, not just compile a buy-list of technology

products• Leverages all of Gartner (Research, Measurement, News, Community, as

well as Consulting) and mirrors Gartner Research positions• Is modular, such that modules may be grouped into standard offerings

(defined in solution kits) and/or selected to meet specific client needs or hot

spots• Is represented consistently when referenced by other Gartner

methodologies, and vice versa• Maps well to industry standard architecture frameworks and models



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Industry standards used in basis for methodology

The following architecture models influenced the Gartner methodology:–Federal Enterprise Architecture Framework (FEAF)

–National Association of State CIOs Framework (NASCIO)

–US Department of Defense C4ISR Framework

–The Open Group Architecture Framework (TOGAF)

–Gartner Technical Architecture Strategy (TAS)

–The following process standards are explicitly referenced:

–CobiT

–ITIL

(See Reference Architecture Frameworks section and Reference Process Frameworks section for more information)



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Gartner Methodology for Enterprise Architecture

ProjectInitiation

Baselineand

Requirements

ArchitecturePrinciples

Styles, Patterns,

Configurations,

Taxonomy

ActionPlan

Specifications, Bricks

Define Architecture

Scope

Establish Project/

Architecture Governance Process & Structure

Identify Business and Technology

Drivers

Determine Business/IT

Requirements

Document Business/IT

Baseline

Create Business Maxims/IT Principles

Determine Architecture Style Profiles

Determine Future Tech. Patterns and Deployment

Configurations

Map Style Patterns to Bricks in

Gartner KMAP Taxonomy

Establish Evaluation and

Selection Process

Define Technology Architecture

Specifications

Create Management Action Plan

Define Architecture Transition

Initiatives and Evergreening

Communicate and Gain

Agreement

Select and Populate

Appropriate Bricks for Enterprise

Define the Grid Playing Field

Develop and maintain consensus



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Business Driver Fundamentals Are Transformed

Collapse ofCollapse ofTime & DistanceTime & Distance

Continued Continued CommoditizationCommoditizationand Price/Margin and Price/Margin

ErosionErosion

Shift to BuyerShift to BuyerViewpointViewpoint

WorkflowsWorkflowsSpanSpan

Multiple Multiple OrganizationsOrganizations



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New Enterprise Architecture framework - the time is now

Our traditional architecture models cannot support the concept of the zero-latency enterprise and won't survive in this new era of business process outsourcing, web services, joint R&D, portals, e-hubs, integration brokers and quick partnerships that must be reconstituted almost on the fly, as business needs change and evolve.

Copyright © 2002

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EA Consulting Integrated With Other Gartner Consulting Methodologies



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SPMS -- Gartner’s Strategic Planning Management Suite The SPMS Suite Consists of Four Main Components

IT Strategic Planning– Integrated with Business Strategic Planning– Creates the Agenda for Technology Requirements– Integrated with the Enterprise Architecture process– Feeds Investment Management process

Portfolio Management (New Investment/Existing IT Environment Management)– Integrated with Strategic Planning (input and output)– Aligns technology projects with business strategies– Provides decision tool for selecting investments based on balancing portfolio to meet business

objectives– Provides tools for monitoring and controlling investment realization

Enterprise Architecture– Integrated with IT Technology Planning– Integrated with Investment Management

IT Core Process Assessment and Planning– Drives key IT process maturity assessment based on international standards (COBIT)– Drives IT strategic and tactical process plans



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Architecture Management Processes must Integrate with Overall IT Management Processes

What governance structures and processes are needed for architecture?

Enterprise ArchitectureEnterprise Architecture

Strategic PlanningStrategic Planning

Portfolio Portfolio Performance Performance ManagementManagement

Information Information TechnologyTechnology Investment Investment ManagementManagement

Drives

Supported by Improved by

Influences

IT Management IT Management ProcessesProcesses



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E ntire contents © 2002 Gartner, I nc.

P age 22

IT Investment Managem ent

A pri l 2002

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Participate /Advise

Strategic TechnologyAgenda

Participate /Advise

ExecutiveOversight

BusinessStrategicPlanning

Enterprise

BusinessStrategic

Plan

ITStrategicPlanning

IT

ITStrategic

Plan

AnnualIT InvestmentManagement

The Strategic PlanningProcess represents a long-range view but should beexecuted annually as arolling 3-year plan.. Thisensures that the prioritiesand alignment criteria arecontinuously refreshed.

The IT Investment Processcoincides with the budgetcycle-- usually an annualprocess.

Pro

ject

s

Gartner’s Strategic Planning Framework


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Apri l 2002

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Results: Alignment of IT

investments and businessstrategy

Better investmentdecisions

Governance principles forIT management

SELECTHow do youknow you

have selectedthe bestprojects?

EVALUATEBased on yourevaluation, did

the systemdeliver theexpectedresults?

CONTROLWhat are you

doing toensure theprojects willdeliver the

benefitsprojected?

•Screen•Rank•Score

•Monitor progress•Take corrective action

•Conduct Reviews•Make adjustments•Apply lessons learned

IT Investment Management

E ntire contents © 2002 Gartner, I nc.

P age 23


A pri l 2002

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The resulting Enterprise Architectureis driven by business strategy andbusiness plans. It is represented asboth long-range and short range plans.

EA is ultimately linked to theannual budgeting cycle through theInvestment Management process.

The Enterprise Architecturedevelopment process

incorporates the overall BusinessStrategy, down through the

business processes andapplications, to the base

infrastructure of technology,skills and processes for

managing IT.

Enterprise Architecture

Enterprise Architecture Model

Application Architecture

App. C

Information Architecture

FinanceCitizen

ServicesBusinessServices

AnalyticalInformation

App. A App. B DataWarehouse

Integration Services

Infrastructure Architecture

Platforms, Networking, Security, AD...

Data Architecture

Business Strategy

Business Process Definitions


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1. Are IT resources allocated to the right things?

2. Is IT doing things right?

Select Control EvaluateOperate and

Maintain

PMG EA

ITIM

Propose

Strategic P lanning Al ignment

Strategic PerformanceMeasurement Program

ProcessImprovement

ProcessControl

Doing theright things

Doingthings right

Rightprojects

Rightresources

Rightquality

3. Is IT executing against its strategy?

4. Is the Strategic Planning Process working and is it having an impact?

Strategic Performance Measurement

Each Component Methodology Links to the Others

Drives

Supported by Improved by

Influences

See Part VI for a description

of these methodologies



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SPMS Key Focus

Process and Methodology Execution Establishes process for managing technology investments as a portfolio of assets

Integration of key Enterprise Processes to enable holistic investment decisions: Strategic planning,

Enterprise architecture

Portfolio management IT management processes

Maturity of the processes over time Continuous improvement framework



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Gartner’s Integrated Product Suite

PortfolioAssessment

& Management

Enterprise Architecture Assessment and Planning

IT Process Assessment

and Maturity

IT Organizationa

l Assessment

and Planning

IT Investment

Management

Strategic Planning

Gartner’s Integrated SPMS Offering Improves the Business of IT

Business PlanBusiness Plan

IT Strategic PlanB

usi

nes

s

Ap

pli

cati

on

Tec

hn

olog

yIT

Management

ITOrganizatio

nDat

a

Demand

IT Investment

Portfolio

Supply

Portfolio of Existing

Goods and

ServicesS

yste

ms

Man

agem

ent

Sec

uri

ty

Inte

grat

ion

IT Strategic Imperatives

Enterprise Architectures

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Enterprise Architecture Definition



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What is Architecture?

Architecture, like beauty, is in the eye of the beholder. To Intel or AMD, architecture might refer to a chip: RISC or CISC

To Dell or Apple, architecture might refer to a PC: Intel with Windows / Linux or Motorola with MAC/OS

To an application programmer, architecture might refer to their technique: object oriented or Java

To a network designer, architecture might refer to their network protocol: TCP/IP or SNA

To an IT manager, architecture might refer to vendors: Microsoft or IBM

To a new CIO, architecture might refer to a “domain”: technology infrastructure or application architecture

To an enlightened CIO or to a Gartner Consultant, architecture refers to an Enterprise Architecture, which has a broad definition and a framework.



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The grand design or overall concept employed in creating a system, as in the architecture of the U.S. Capitol or a customer information system; also "an abstraction or design of a system, its structure, components and how they interrelate”

- or -

A family of guidelines (concepts, principles, rules, patterns, interfaces and standards) to use when building a new IT capability. Bill Rosser in Defining Architecture for IT: A Framework of Frameworks 12 August 2002

Enterprise Architecture is the description and design of a portfolio of processes, applications, information and their supporting technologies. It addresses the structure of the portfolio and its interactions through guidelines including principles, rules, patterns, reference models, and standards to use when building new IT capability. Bill Rosser, Roy Schulte, Greta James, Jeff Schulman discussion 22 August 2002

Source: Gartner Research

Gartner Definitions of Architecture



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The Definitions of an Enterprise Architecture

Architecture as the design or concept of a complete system, it’s structure, components, and how they interrelate.

Architecture in Time

Today

“As Is”

Next Minute

Guidelines

Tomorrow

“To Be”

Architecture as a family of guidelines (concepts, principles, rules, patterns, interfaces, and standards) to use when building a new IT capability



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Evolution of Architecture Eras

Stage Focus Scope Technology

Phase Three Enterprise-to- GRID: XMLEnterprise Information UDDISharing Exchange

Phase Two Linking EAI: Data ERPApplications Integration MQ

Phase One Building Standards - WintelApplications Consistency, DB2

Portability

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New Gartner Research on Enterprise Architecture



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The New Enterprise Architecture Framework

How do you succeed in creating architectures to support business activities?

Enterprise

The Multienterprise Grid

Business Process Styles

Patterns

Bricks



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The New Enterprise to Enterprise Grid

Components: •Enterprises •Virtual Enterprises

Features: • New Capabilities for Information Exchange


Enterprise



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The Enterprise Consists of Business Processes

Components: Enterprise Value Chain

Business Processes


Features: Business Processes Enabled by IT Applications




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Business Process Applications Benefit From Design Patterns

Components:Business Process Applications

Design Patterns

Building Blocks as Bricks

Features:Patterns provide design guidance

2 or 3-tier client server

Service oriented architecture

Data warehouse

Patterns



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Design Patterns are Implemented with Bricks

Components: Bricks or Building BlocksHardware

Software

Networks

Features:Bricks have multiple characteristics to determine suitability

Bricks



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Recent Research

“Special Report: Enterprise Architecture” Jeff Comport and Jeff Schulman

“Enterprise Architecture: The Business Issues and Drivers”

Alexander Drobik

“Architecture for the Virtual Enterprise: Order From Diversity”

Jeff Comport

“Architectural Styles and Enterprise Architecture”

Bill Rosser

“Key Components for Building Your Architecture” Jeff Comport

“Governance and Management of Enterprise Architectures”

Jeff Schulman

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New Views

The Architectural Shift: New Views, New Values

Enterprise



Patterns

Bricks

New Values: From uniformity, to exchanges among heterogeneous parts



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Why Does the Grid Matter?

The Internet Stupid Gets messages to destination

The Grid Smart Gets messages to destination

1) Transformation (translation of messages) (semantically aware)

2) Orchestration of sequencing and routing (brokering, business process management - via business rules)

3) Management of security, verification, notification and self-correction

PLUS - Value-adding Services



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Where is the Grid Now?

The Grid’s arrival is subtle and unheralded, but happening.

Most IS staff are unaware, and may not recognize it.

Its arrival is revealed by any use of: a) Intelligence on network servers -- that is not part of an end-point application

b) Greater ability to install integration -- dependant applications

delivered via integration brokers, business process monitors or management, operational data stores, message warehouses, XML

The Grid has seeped into many comprehensive IT infrastructures.



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Where is the Grid Payoff?

Greater Velocity, Economy and Service

Velocity– Elimination of “Information Float” -- zero latency

– Connects multiple disparate systems in real-time

Economy– Reconciles redundant data

– Tightens management of manufacturing and inventory processes

– Controls the flow of updates

Service– Enables cross-selling opportunities

– Facilitates self-service for employees, clients

– Delivers new external services



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Real World Examples of Grid-level Architecture

DFAS (Defense Finance and Accounting Service)

Translation of information to common meaning

Financial statement exchange via extensible business reporting language (XBRL)

GE

Enterprise-wide e-auctions (to save $600M)

“Support Central” KM for GE and partners and customers

Dow Chemical

Customer Interface Initiative - optimized user-facing

Lower cost and better customer service ratings



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The Technology Power Grid will evolve over time.

The technology power grid: has its roots in the trickle-down of the Internet, using its concepts of access, componentization and interoperability for the

interconnection of multiple enterprises

is an interoperability platform or plane

includes such components as the "multienterprise nervous system," a security and availability management system, information and application management, data exchange through XML and its tools, governance rules and development platform methodologies

The multienterprise nervous system manages network traffic, connects, manages, monitors, translates protocols, integrates and does real-time status management — all facilitating dynamic system interconnection among enterprises.

is the smart network all grown up.

Our future vision shows the technology power grid becoming more of a living system, by being self-aware and able to self-heal, self-reconstitute and self-manage.



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The enterprise nervous system (ENS) is the intelligent (semantically-aware and process-aware) network within one virtual enterprise (one company and its close B2B trading partners).

The Grid is global in scope, like the WWW. Essentially it could be considered a superset (a federation or combination) of all of the enterprise nervous systems in all of the world's enterprises, with some additional functions from the public Internet. The Grid is functionally equivalent to the ENS in technical sophistication, i.e., any technical capability in the Grid is also in the ENS. However, the Grid is much larger in scope and will contain more inter-enterprise facilities.

The Grid is an extension of the Enterprise Nervous System concept.



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Recommendations

Position your enterprise on the architecture progress curve. Is EAI in use? Are you building integration competencies?

Recognize the unheralded grid services already in place.

Classify your current architecture guidelines into coverage for bricks, patterns, styles, and the grid.

Review your core business process styles and the match to your architecture.

Plan to prepare architectural guidelines that will transition you into an effective grid environment.

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What Is Needed to Move From the Grid to Styles



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Gartner View

From One Plane to the Next…

While the Grid, Styles, Patterns and Bricks are the key control planes, an enterprise architecture needs additional definition to transition from one plane to the next.

To move from the “Grid” to “Styles” Business drivers

IT drivers

Principles

Operational business models

Business process models

To move from “Styles” to “Patterns” Business function models

Information flow maps

Pattern creation/adoption

To move from “Patterns” to “Bricks” “As-Is” and “To-Be” configurations

Taxonomy and consensus workshops



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Architecture Vision & Scope

IT Strategy

What business wants

What IT has to do

Business Strategy

Enterprise requirements

Customer requirements

Supplier requirements

Partner requirements

Other stakeholdersWhat Architecture has to do

DevelopDocument your own: Logical grid Defined meanings (semantics)

Multi-enterprise Business ActivitiesDefine Your Business Playing Field, or “Universe”

1

2

Define

Multi-enterpriseMulti-enterprise



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Raw Materials Mfgr. Vendors Brokers . . . .

General Public Stockholders Government . . . .

Market Segments Buyer/User Profiles Channel Paths . . . .

Industry Associations Other Business Units Supplementers . . . .

Multi-enterprise Business ActivitiesDefine Your Playing Field on the Grid

Your Enterprise

Other Stakeholders

Your Customers

Your Partners

Your Suppliers



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Gartner Enterprise Architecture Illustrative Framework ExampleCoca-Cola must communicate and share Information with stakeholders both inside and outside the firm in order to get product to market and take in remuneration.

Coca Cola's GRID enables its internal business processes/functions (such as Order Processing, Business Intelligence, Knowledge Management) to come together in a standardized way and ultimately touch other members in Coca-Cola's value chain: Coca-Cola bottlers, syrup distributors, retailers, etc.

These business processes are represented in a set of individual STYLES which allow Coca-Cola to communicate with all its partners in Real Time. This enables a Coca-Cola bottler to know when a retailer’s depletes its inventory of Diet Coke and to produce and ship new product. It allows the marketers at Coca-Cola headquarters to receive the retailer’s scanner data to learn more about demand for Diet Coke in the region in question. Because Coca-Cola employs the GRID concept and has identified its key STYLES, networking within the value chain is standardized, more cost-effective and fluid.

These STYLES are made up of reusable PATTERNS which are standardized for use throughout the Enterprise. These include functional-level components such as applications and networks.

In order to support all layers of the GRID, Coca-Cola depends on infrastructure which is made up of individual BRICKS. These fundamental components have attributes such as technology lifecycle and retirement targets associated with them. These bricks represent the logical/physical parts of the architecture that provide access, componentization and interoperability and the interconnection of multiple enterprises.



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Business and IT drivers provide a basis for any architecture effort.

Business driver examples Decrease time to market

Improve organizational efficiency

Move toward a zero-latency enterprise

Integrate across multiple delivery channels

Provide a unified customer view across lines of business

Support effective cross selling

Enable product innovation

Transform business processes

Provide mass customization

Enable easy adaptation during mergers and acquisitions

Support partnerships with external entities, while minimizing dependency on these entities

Meet regulatory issues or legislative mandates

Improve quality

IT Driver examples Align IT with business

Connect disparate systems

Minimize TCO

Re-platform / modernize

Leverage existing skills

Leverage the legacy investment

Consolidate multiple centers / servers

Integrate the back-end applications

Minimize application complexity

Minimize enterprise complexity

Improve availability

Improve scalability



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Principles guide decisions throughout the architecture development process.

Principles are

established rules that guide technology decision-making. Principles provide the foundation upon which architectural designs are built and to which appeal can be made in the even of differing views on particulars.

Criteria for Architectural Principles

Understandable

To people throughout the Enterprise;

Clear interpretation of concept and intentComplete and Consistent

No major omissions

No duplication, overlap, or contractionsLong-lasting

Independent of technology, who, where, when, policies & proceduresInterpretation may change with the times, but not the words

Types of Architectural Principles

•Overarching Guiding Principles

•Management Organization Principles

•Business Architecture Principles

•Application Architecture Principles

•Data Architecture Principles

•Infrastructure Architecture Principles

•Security Architecture Principles

•Systems Management Principles



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Example Principle: Governance

Principle: The Information Systems (IS) capabilities will be guided by a matrixed governance process that will include both technical and business unit representation.

Rationale: Technology use should be driven by a business case that includes a recognition and allowance for technical quality. Solutions agreed upon through discussion (and negotiation) will have a greater chance of success than solutions imposed by either technologist or business staff.

Implications: That there is an IS Governance Committee. That the Governance Committee has equitable representation from both business and technical units. That the Governance Committee has authority to establish an architecture, standards, and policies and to review, approve/deny projects and to enforce its decisions.



consulting Source: M Porter, The Competitive Advantage of Nations, Collier Macmillan, 1989.

Margin

Mar

gin

Firm infrastructure

Human resources management

Technology development

Procurement

Inboundlogistics

Operations Outboundlogistics

Marketingand sales

Service

Primary activities

Supportactivities

Example Styles:

Real-Time Processes

AnalyticalProcesses

High-Volume Transaction Processes

Operational Business Model

Multi-enterprise Business ActivitiesOperational Business Model and Process Model Lead to Styles

StyleStyle



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Operational Business Models Show What the Business Does.

An operational business model is a high level (typically one page) encapsulation of a business either in a current or future state. Fundamentally it describes “what the business does” i.e., what it produces, who it sells to and how it goes to market. The major components of an operational business model cover; customer segments; brands; lines of business (products); sales and distribution channels; and major service delivery entities.

Operational business models help to understand the “big picture”; they are useful for a wide range of purposes including helping us to:

Engage at board level about the strategic issues and objectives of the enterprise

Understand the impact of business transformation on the deployment and structure of people, process and technology

Identify opportunities to improve business performance by streamlining and rationalizing the ways business is conducted

Assess opportunities to develop business through alliances; joint ventures; in-sourcing and out-sourcing



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Operational Business Model Example: Gartner Research has identified four types of operational business models for banking

Distribution Channel Integrated Alliance

Holding Company (Silo) Highly Converged

Fleet

First Chicago

Chase

Mellon/Dreyfus

Citigroup

CIBC/Wood Gundy

Lloyds/TSB

BBV

Crédit Agricole

CBA

ING

ABN



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Business Process Models Show the Activities Performed Within the Models.Business Process models define the high level processes of a business and their deployment across the enterprise. Process architecture models are not concerned with detailed process definition, process re-engineering or data flows.

Process architectures contain two major descriptors: Value Chain models that distinguish between vertical “value adding” processes and horizontal business support processes

Deployment models that show how business processes are distributed by geographic region and / or business unit

Within an Enterprise Architecture, Process Architectures are the key link between the Operational Business Model and the Business Function Model.

For businesses in transformation, we need to understand how changes in the business model will affect process structure and deployment in order to understand how these changes will in turn impact the deployment of systems and technologies needed to support the future business.

For static businesses, the Process Architecture provides a solid foundation for building a down-stream Business Function Model that is tightly aligned to the business



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Sell products /service customers

“Selling”

Manage supply chain

“Supply chain”

Source/procure raw materials “Procurement”

Plan product categories “Planning”

Business Process Architecture - a Value Chain Style exampleRetail Business Processes - a theoretical industry view

Develop Strategy & value proposition

“Visioning”

• Develop mix strategy

• Develop format strategy

• Pilot, monitor & refine strategy

• Develop customer service strategy

• Develop category plan

• Plan & allocate footage

• Develop range / assortment plans

• Develop visual merchandising plan

• Develop new products

• Evaluate / select suppliers

• Negotiate terms

• Set selling price

• Monitor product and supplier performance

• Manage supply chain

• Warehouse & distribute merchandise

• Process home shopping orders

• Implement service standards & policies

• Manage branch staff• Manage branch

inventory• Manage display• Sell products and

manage tender• Provide after sales

service e.g: returns• Execute price &

promotional guidelines

• Manage takings and cash

• Monitor branch performance

Manage the Business

Support the Business•Advertise and promote products/brands

•Manage branch estate •Manage HR •Provide IT•Administer finances

•Administer proprietary credit•Package products •Run customer loyalty & marketing programmes

•Pay staff

•Monitor performance

•Set corporate plans & objectives

•Control finances

Op

era

te th

e B

usi

ne

ss

•Manage customers

•Model options & alternatives

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Business Process Styles Have Distinct Characteristics

Real Time

VolumeOLTP Analytical

Collaborative Utility




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Business Process Styles Drive IT Architectural Styles

Real Time

VolumeOLTP Analytical Collaborative Utility

Business ProcessStyle

Computational Need

ArchitecturalStyle

Fail Safe

Priority Interrupts

7 x 24

Quick Response

Positive Commit

Processing Intensive

Non-critical

Programming ease

Complex Indexing

Content Management

Messaging Choices

Routine applications

Economy and dependability

Tandem-like Multiple input systems

Transaction monitor

Web-based input

Analytical packages

Data warehouse

Metadata tags

High bandwidth

Instant Messaging

Cost-driven

Outsource candidates



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The Business Process Styles

The concept of architectural styles is a way to describe some characteristics or parameters of an application class that may have common needs and hence a common set of architectural guidelines regarding platforms, middleware, design patterns, structures and performance measures that suit the business process in question.

Gartner Research has identified five primary business styles Transaction processing

Real time

Analytical

Collaboration

Utility

An architectural style is a logically-related set of IT guidelines and system designs that is tailored to suit a fundamental core business process. By recognizing the dominance of a few core busness processes and understanding their inherent differences, different achitectures can be established and applied that will result in greater performance and value for the IT investments made.



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The Business Styles have distinct characteristics.

Volume OLTP Reservations, orders, allotments. These entail the processing of large numbers of individual transactions that are processed in order against a database(s)

that is kept current with the results of prior transactions as to availability, etc. Confirmation of results is desired, there must be no loss of actions taken upon any failure, nor no indeterminant races among requests. Often such systems need to be available 24 X 7. Years and years of experience have refined these systems and satisfied their special needs. The shift now is to handle multiple sources of transactions into a system - especially from directly over the Internet as well as other sources.

Real Time Operation Power demand, emergency response, transportation operations. Real time can be described at several levels but this core business process assumes

typical response times on the order of seconds but not the few millisecond responses that would be associated with the process control field. Perhaps more important in this sector is the concept of utilizing priority interupts wherein a variety of events are ranked in relative importance and consequences, with actions to be made responding to priority order for saftey and effectiveness. Reliable communications is inherent thus a fail-safe environment is often vital here, and for efficiency, the nature of the the platforms, databases, and operating systems will be different. On the other hand frequently changing requirements and high flexibility are not the norm in this space.



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The Business Styles have distinct characteristics (continued).

Analytical Computing Demand forecasting, scheduling capital resources, scientific data. Given a quantity of transactions, events, measurements, observations, and hypotheses, etc., this core

process generally involves extensive analysis of data in order to find patterns, associations, and relationships that are predictable or worth pursuing. Data manipulation is essential but if a run fails, it can be run again. Shut downs are no problem, but speed is desirable, as is graphic presentation of results.

Collaborative Joint research/engineering, shared practices, joint selling. When a development occurs in one sector, it should be available to other related sectors - sharing is valued

and productive in speed and innovation. It is this area of collaboration that is currently getting substantially increased attention based upon new communications opportunities made available on the Internet. The sectors benefiting from greater collaboration include joint engineering design, joint ventures or partnerships, direct customer service, customer relationship management, and the emerging attention to delivering a variety of personal experiences to the end customer - including personalization itself - rather than merely the traditional focus on internal efficiency alone. But to deliver the technology environment to make collaboration widespread and effective, as well as efficient, takes another brand or style of computing capability, and this in turn will require an appropriate set of architectural guidelines. The obvious sorts of tools here are not only high quality video capability but things like Instant Messaging, PDA support, peer-to-peer data access methods, knowledge-management-based guides to experts, and similar features that impact the technological choices to be made. This may involve complex scanning and indexing, or high quality desktop video-conferencing, or merely access to each other's data. Security is essential but not instantaneous speed nor exceptional reliability.



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The Business Styles have distinct characteristics (continued).

Utility

Routine but important functions; any task that requires doing but is not closely aligned with improved business performance or competitiveness (improved performance comes from decisions not linked to IT). It is the absence of special computational properties needed to achieve success in performance. The intent is to cover a large number of applications that do generally not have unique performance requirements yet may be fundamental, even mission-critical. Applications such as payroll, human resources, accounts payable, customer billing and similar ones may not in fact have special requirements for speed, reliability, security, heavy analysis, immediate recovery, high shareability, etc. The primary emphasis here is generally low operating cost. So while these applications may be essential to the enterprise operations, the benefit that can be generated by identifying a particular architectural style is minimal. Often batch processing, and may offer advantages when the task is outsourced to a specialist that delives reliable, low cost service. Yet even outsourcing requires the effective sharing of information across enterprise boundaries.



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Styles Become Critical in Phase Three Grid-level Computing

Critical Architectural Styles

VolumeOLTP

Collaborative

•Intense Communication•High-speed Sharing•Contextual Translation

•Sequential Process Transfers•Feedback/Feedforward

Activities•Business Process Outsourcing•Joint R&D, selling, servicing•Web-services leveraging

At Phase Three Grid-level Computing



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Recommendations (Styles)

Determine your computing styles: Document your Business Drivers

Document your IT Drivers

Document your Principles

Document your Operational Business Models

Document your Business Process Models

Look for and document the common styles across the enterprise.

x



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What is Needed to Move From Styles to Patterns



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From one plane to the next ...

While the Grid, Styles, Patterns and Bricks are the key control planes, an enterprise

architecture needs additional definition to transition from one plane to the next.

To move from the “Grid” to “Styles” Business drivers IT drivers Principles Operational business models Business process models

To move from “Styles” to “Patterns” Business function models Information flow maps Pattern creation / adoption

To move from “Patterns” to “Bricks” “As-is” and “to-be” configurations Taxonomy and consensus workshops



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Business Function Models provide a link between the processes and the applications that implement them.

Business Function Models, often referred to as Business Systems Models, provide the logical link between Process Architectures and Application Models. Business Function Models represent the logical grouping of business systems around the business processes that they support

Business systems

are tools used to support the systematic execution of business processes and include such functions as purchasing, order processing, time and expenses capture, etc.

may be manual / paper based or rely heavily on information technology

are logical system components rather than software packages or bespoke applications

Both packaged and bespoke (custom) applications may support multiple business systems or part of a business system

There are two types of business Function Models, as with Business Process Models

Value Chain based Business Function Model - this shows the business functions structured around the major logical clusters of the process architecture

Deployment model - this shows the logical deployment of functions by geographic region and / or business unit that is needed to support the future deployment of business processes (see Process Architecture)



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Business Function Model - a value chain style exampleRetail Business Processes - a client example supporting the process architecture

Develop Range,

Categories

Source, Buy Products

Replenish Products

Distribute Products

Sell to,Serve Customers

DevelopStrategy

MarketBrand

ManageBusiness

Performance

ManageCustomer

Relationships

ManageProperty

&Infrastructure

MonitorBusiness

Performance

ManageStaticData

ManageFinance

ManagePeople

ManageInformation& Systems

ManageAdvertising

ManageOperations

ManagePublic &

CorporateRelations

Corporate data warehouse

Analysis & reporting tools

Credit card

Direct Marketing / mailing

Geodemographic IS

Planning & budgeting

Strategic supply chain plg

Exception reporting

Standard reporting

Estates mgnt

Site assessment

Invoice matching

Sales/stock ledgers

Finance

Takings/cash mgnt

Stock locator

HR

Payroll

Staff performance

Training

E-mailIntranet Work-flow management Category managers workbench Desktop tools

Customer data warehouse

Marketing planning & analysis

Staff scheduling

Time & attendanceSupplier payment

IS planning & control

Imports & shipping

Returns management

Inventory management

Exports management

Warehouse management

Distribution planning

Transport planning

Distribution management

Home delivery

Direct sales order processing

Planning (bottom up)

Direct product profitability

Planning diagram

Store layout planning

Sourcing & selection

Price & cost management

Mark-down planning & control

Non-merchandise procurement

Store allocation

Store replenishment

Store order processing

EPoS

In-store customer ordering

EFT / payment processing

Remote customer ordering

Customer information service

Call centre

Complaints system

Short term forecasting

Promotional management & control

Supplier collaboration tools

Customer catalogue & content management

Long range forecasting

Commitments management Signage production

Masterfiles

Range control

Purchase order processing

Shopper tracking

Ma

na

ge

th

e B

us

ine

ss

Op

era

te t

he

bu

sin

es

sS

up

po

rt t

he

bu

sin

es

s



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Business Functions Likely Have Commonalities in Styles

Common functions:Finance HRLegal Payroll Purchasing ITe-mail KM

Manufacturing

Distribution

ResearchSales

Analytical Style

Real Time Style

Transactions Style

Utility Style

Real Time Style

How do you succeed in creating architectures to support business activities?

Collaborative Style

Utility Style

Collaborative Style



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Business Function Model - Deployment Model exampleSymposia management business - showing how business function will be re-deployed to support the new business model

OP

ER

AT

ION

AL

SE

RV

ICE

S S

YS

TE

MS

Inventory Mgmt

Resource planning & staff scheduling

Time & Attendance

Service Level Mgmt

Supplier Mgmt

Service deliveryplanning

BuildingsMaintenance

Management Accounting

Business Planning

Customer Mtkg

Order processing

Purchasing

E-Procurement

E-Business Bus Intelligence / KPI reporting

KnowledgeManagement

COMMON DISTRIBUTED SYSTEMS

Call / ContactCentre

ForecastingBudgeting

Product & Price Mgmt

Finance & Admin

Supplier Mgmt

• Finance• IT• HR

• Payroll• Legal• Purchasing

GROUP SYSTEMS

INTEGRATION SYSTEMS

Workflow Document Mgmt

Office prod tools Intranet

Asset Mgmt

PU

BL

ISH

ING

SY

ST

EM

S

Catalog mgmt

EPoS / EFT

Product Control

Credit CardProcessing

Time & Attendance

Manage Cash & Takings


SYMPOSIA MANAGEMENT SYSTEMS

Calendar Mgmt

Event Planning& management

Licence Agreements

Time & expenserecording

Media Sales

Project mgmt

Exhibition Dev

Stand Layout

Visitor Mgmt

Service LevelManagement

ResourceManagement

Management & ConsultingsystemsService proposition

development

MaintenancePlanning

Product &proposition dev

Bid management &qualification

SPECIALTY CONFERENCE SYSTEMS

Ticket MgmtManage Cash & Takings

EFTSeat Reservation &Allocation


Sales Forecasting



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DistributedApplication

Developmentand Divisional

Autonomy

PurchasedApplications

InherentDifferences in

Scale and Other Requirements

LegacyApplications

InterenterpriseB2B Processes

Ad Hoc User-Developed SystemsTechnical

Progress

Impediments to Technical Uniformity



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The Intent of Information Architecture

Copyright © 2002

DataData

Services

Multichannel Clients

ServicesServices

Data

Programs

Data

Enterprise Information Architecture• Common organization model• Common process models• Common data models• Common object models• Shared database• Component software reuse



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The Inevitable Diversity of Information Architecture

Copyright © 2002

InformationArchitecture III

New

InformationArchitecture II

Purchased

InformationArchitecture I

Call Center Product Planning

Legacy

Data

Customer Information

Manu-facturing Accounting

DataData

Services

Multichannel Clients

ServicesServices

Data

Programs

Data

Programs



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Information Flow Maps are used to identify the need for integration of data from the business flows of information.

Information Flow Maps diagram the business flow of information through an application, organization and enterprise. They describe enterprise IT environments in simple, clear diagrams that are easily and quickly conveyed — even on the back of a napkin during a coffee break. Best of all, the maps provide a common view of IT across the enterprise. This device highlights the business purpose of IT by focusing on the critical information flows between departments, IT systems and users. They identify the need for integration of data, and ultimately of applications, from the business flows of information.

Enterprises need information flow maps so that they can easily maintain the flow of information as the business develops and changes.

Flow maps provide a high-level picture of the IT environment.

Focusing on information flow improves the flexibility of IT systems, aids in the identification of problems and improves communication about IT within the enterprise.

Information flow maps are scalable across IT systems of various size and complexity.

Information flow maps describe four basic processes that IT systems must support: coordination, collection, consolidation and consumption.

The immediate driver for the adoption of flow maps will likely come from the IS organization because this device will enable it to communicate with the rest of the enterprise in business terms. The IS organization can use flow maps to understand how the enterprise’s IT systems must be structured to meet users’ needs and to explain its own technical needs to executives and other non-IT personnel. The CIO is responsible for ensuring a flow-oriented focus in the IS organization, and successful CIOs will think about overall IT architecture in this way rather than by focusing just on applications.



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Information Flow Maps give a high-level view of systems, such as this Service-Oriented Architecture -- Healthcare.

EMPI. Patient

Elementary Services

CompoundApplication Services

Charges

BillingUIDServices

Referral

Clinical Data

Object

Front Desk

Call Center

Schedule Visit

Physician PDA

Results

Find account numbers

AcceptAdd updateReviewCreate patient

Review Chart

Update

Review Bill

Wireless Tablet



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Common functions:Finance HRLegal Payroll Purchasing IT

Manufacturing

Distribution

Res

earc

h

Sa

les

Business Function Model

Business function models and flow maps lead to Patterns

DecisionSupport

AnalysisTools

Database

Events

Decisions

IT Applications

Summariesand subsetsof data

Information Flow Model



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How Many Computing Styles, Patterns and Configurations Do You Need?

Architecture domains

The common set of architecture domains apply to each style and pattern, then the enterprise architecture development process helps you reach consistency and standardization of the lower level sub-domains, elements and bricks.

How can an architecture both reduce technical diversity and improve operations?

x



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Patterns



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Business Process Applications Benefit From Design Patterns

Components:Business Process Applications

Design Patterns

Building Blocks as Bricks

Features:Patterns provide design guidance

2 or 3-tier client server

Service oriented architecture

Data warehouse

Patterns



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Patterns are ways of addressing the topology of systems and applications that are used to implement the Style.

Design patterns describe models and algorithms that can be widely applied for different purposes in different enterprises. Architectural patterns are solutions to questions such as "what is the best logical and physical topology of data, code, computers and networks?" Patterns reflect the inherent trade-off of design choices, such as distribution vs. centralization. They are analogous to architectural styles for buildings (such as ranch house vs. skyscraper) or parts of buildings (such as Doric vs. Ionic columns).

Enterprises should standardize on a limited number of accepted patterns as part of the enterprise architecture.

Patterns are intended for re-use throughout the enterprise wherever similar business styles apply.

Examples of architectural design patterns include a three-tier architecture, fat client/thin client, a service-oriented architecture or a data warehouse.



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Design Patterns are block diagrams that illustrate ways to implement Styles through technology.

DesktopWorkstationThin Client

Browser

MidrangeHTTP Server

Midrange Web Application Server

User Interface Layer

Intran

et

Business Logic Layer Data Access Layer

Business/Application

LogicData Logic

DB

SAMPLE 3

-TIE

R TRANSACTIO

N PRO

CESSING

PATTERN



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Design Patterns may take different forms, depending on scope of the architects involved.

Hub-and-spoke Interface specifications Integration middleware

Snowflake Canonical business object definitions

File transfer, MOM

Data warehouse Gateways

Message warehouse Adapter development kits

Operational data store

SOA Interface specifications

Data marts Canonical business object definitions

Operational data store

Two-tier/multitier Object models Hardware

Fat client/thin client Data models Operating system

Centralized/distributed Process models Languages

Organization models DBMS

Tools, middleware

Mapping Architecture Disciplines to Architecture Organization Design Patterns (Concepts) Information Architecture

(Blueprints)

One Architect (Architecture)

Technology Architecture (Buy List)

Autonomous Architects (City Planning)

Cooperating Architects (Architecture)

SOA middleware, such as Web services

x



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What is Needed to MoveFrom Patterns to Bricks



consulting

From one plane to the next ...

While the Grid, Styles, Patterns and Bricks are the key control planes, an enterprise

architecture needs additional definition to transition from one plane to the next.



To move from “Patterns” to “Bricks” “As-is” and “to-be” configurations Taxonomy and consensus workshops



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Configurations give more detail about implementation choices for the chosen standard set of patterns.

There may be multiple configurations for each pattern, depending on the scope, scale and performance characteristics needed.

Configurations become more personalized for each enterprise. Examples include: Platforms

Workstations

Midrange application servers

Enterprise application servers

Data servers

Print servers

Networks LAN

WAN

Voice over IP



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Example of Design PatternsExample: Three-Tiered Transaction Processing Pattern

PatternPattern

Configurations Configurations as next-level- as next-level- down patternsdown patterns



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An Analytical Processing Pattern

EXAMPLE: Analytical Processing Pattern

PatternPattern

ConfigurationConfiguration



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A Service Oriented Architecture Pattern

IntegrationBroker

Platform A

ApplicationA API

IB Platform

IB Process controlSrv.Sup.API

Srv.Dem.API

IntegrationBroker

Platform B

ApplicationBAPI

IntegrationBroker

Platform C

ApplicationCAPI

Service processing by

Integration Broker

Msg

Msg

Msg

Msg

Msg

Msg

Service Request from

Application

Service Reply to

Application

Service Demand(s) to

Application(s)

Service Reply(s) from

Application(s)



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A Java Client / Server Pattern

EXAMPLE: Java Client / Server Pattern

… and there are, of course, more Patterns.

The key is to select a reusable set for the Enterprise



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Recommendations (Patterns)

Use the EA development process to define the least number of common Patterns feasible for replication and reuse in your enterprise

Document the Patterns and standard configurations

Communicate your Patterns and standard configurations throughout the enterprise.

x



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Bricks



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Design Patterns are Implemented with Bricks

Components: Bricks or Building BlocksHardware

Software

N ??

Features:Bricks have multiple characteristics to determine suitability

Bricks



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Bricks are the fundamental building blocks of the enterprise architecture.

Bricks, or core technology building blocks, are foundational architectural elements, such as operating systems or databases that provide technology function. Each of these building blocks has a scope of use, tactic, strategy and lifecycle in its role within the enterprise architecture. We call the documentation of each core technology and its use an architectural brick.

Bricks are the basic elements for building systems. They can have varying levels of granularity from specific components such as gateways to platforms. The role of a brick within an enterprise's architecture may change over time. The plan for a brick at a point in time contains an intention for its use today and in the medium-term and long-term. As the plan changes, versions of the point-in-time plane are created. Together, the collection of bricks make up the Technology Architecture.

It takes the combination of bricks, design patterns, styles, and the business position on the grid to define an Enterprise Architecture.

x



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How to Develop Bricks



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Your Next Steps Depend on your Business Priorities

Determine your priorities, whether it’s your position on the Grid, what Styles you need, what standard Patterns you should deploy, or what Bricks will determine your buy list, then take the steps to move from one plane to the next.



To move from “Patterns” to “Bricks” “As-is” and “to-be” configurations


And, integrate your architecture governance processes into overall IT management processes and structures.



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We need to characterize our fundamental building blocks into a common set of architecture domains

While the number of layers and the names of the layers may be customized to map to each client need (such as using the Federal Enterprise Architecture Framework layers for federal government clients, the National Association of State CIO model for state government clients, etc.), our starter set of architecture domains is:

Business Architecture Application Architecture Data Architecture Technology Architecture Integration Architecture Security Architecture Systems Management

This cube is often called a Technical Reference Model

The next step down this path breaks these domains into various sub-domains, hopefully those used in the new Gartner KMAP, but if not, then the traditional TAS sub-domain taxonomy to get to Bricks.



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The Technical Reference Model elements, or Domains, are further subdivided.

For example, Technology Architecture includes Platforms and Networks

Source: Gartner

Platforms Networks Sy

ste

ms

M

an

ag

em

en

t

Security



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Technical Reference Model forFuture Network Service TRM

Network DevicesNetwork Devices

Network AccessNetwork Access

Network Device AggregationNetwork Device Aggregation

WAN InterconnectionWAN Interconnection

Network ProtocolsNetwork Protocols

Network TransportNetwork Transport

User ServicesUser Services

Security

Man

agem

ent

Services

Intelligent RouterIntelligent RouterIntegrated AccessIntegrated AccessDeviceDevice

E-SwitchE-Switch

Voice—5EVoice—5EData—Cat 6 / 802.11bData—Cat 6 / 802.11bRemote Access—VPNRemote Access—VPN

IP Phones, IP Radios, PCs, Laptops, IP Phones, IP Radios, PCs, Laptops, PDA, Thin Client,PDA, Thin Client,Video Conferencing—Desk Top/ Room BasedVideo Conferencing—Desk Top/ Room Based

Voice—Unified Messaging,Voice—Unified Messaging,Data, VideoData, VideoIntegrated Network ServicesIntegrated Network Services

FirewallsFirewallsEncryptionEncryptionIntrusion DetectionIntrusion Detection

Capacity PlanningCapacity PlanningPerformance MonitoringPerformance MonitoringNetwork ManagementNetwork Management

TCP/IP, EIGRPTCP/IP, EIGRPBGP, HSRPBGP, HSRP

MPLS, DWDM,MPLS, DWDM,Ethernet IPoFiberEthernet IPoFiber



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Network Services

Network Security ServicesNetwork Security Services

Network ServicesC

on

verged

Netw

ork

Tran

spo

rt

Remote AccessRemote Access

Directory ServicesDirectory Services

PKI AuthenticationPKI Authentication

Transport and Interconnect SvcesTransport and Interconnect Svces

Domestic and Int’l VoiceDomestic and Int’l Voice

Video ConferencingVideo Conferencing

Web HostingWeb Hosting

Internet AccessInternet Access

Unified Messaging and E-MailUnified Messaging and E-Mail

Technical Reference Model for

User Services—Expanded



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The domains and sub-domains of the configurations are populated from Gartner’s Knowledge Map (KMAP)

The Gartner Knowledge Map (KMAP) is used by Research and Consulting as a taxonomy and repository of basic building blocks. We call the lowest level elements “Bricks” since the architectural foundation is built up “brick by brick”.

Best Practice architecture calls for as much commonality as possible among the Bricks in the various Design Patterns.

Linking Bricks to the KMAP allows Gartner to provide architecture evergreening support from Research, as well as Consulting.

Networking & Communications

LANWANVoiceWireless

Platforms & Storage

High EndMid RangeClient SystemsStorageDocument & Image

Software Infrastructure

Operating SystemsDatabase Management SystemsMiddlewareSecurityNetwork ManagementSystems ManagementSoftware Architecture

Application Development

AD MethodologiesAD Tools & Techniques

Enterprise Apps

CRMBIERPWeb CommerceTechnical Software

Electronic Workplace

Desktop TechnologiesInternet TechnologiesEntertainment TechnologiesInformation ManagementKnowledge ManagementBusiness Intelligence & Data MiningCollaborationWorkflow TechnologiesOutput Technologies

Ending in a set of standard “Bricks” for the

enterprise

.

.

.

.

.

.

.

.

.

.

.

.

There are intermediate steps between the Patterns and the Bricks: Patterns are logical depictions. A more physical view would introduce a configuration or platform diagram. Even within that, we need sub-domains and elements to map into the KMAP taxonomy

.

.

.

.

.



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Define Standards and Products Within Your Domains as “Bricks” of Technology

Exit fromEnvironment

Introduction toEnvironment

Source: Gartner

Tactical Deployment

Strategic Direction

Retirement Targets

ContainmentTargets

Mainstream

Emerging Technology

Current Tactical Period Strategic Period

Implications and Dependencies

Baseline

An Architecture “Brick”

Each architecture domain is subdivided into a set of specific elements. Each technology element is discussed based

on industry status and

outlook. The status is

based on availability of standards (e.g., formal or

de facto, vendors, and products both emerging and currently deployed).




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Real Example: Computing Infrastructure - Operating Systems - Client -- OS/Platform (Brick #23 of 57)

Current

Tactical Period

Strategic PeriodBaseline Environment

Enterprise Desktop & LaptopIBM Net PCsIBM OS/2MS DOS 6.xMS Windows 95MS Windows 98MS Windows NT 4.0MS Windows 2000 ProMS Windows XPMac O/S 9.xSun SolarisDeveloper DesktopMS Windows 9xMS Windows NTMS Windows 2000 Pro

Tactical DeploymentEnterprise Desktop & LaptopMS Windows 2000 ProMS Windows XP Pro

Developer DesktopMS Windows 2000 Pro

Strategic DirectionEnterprise Desktop & LaptopFuture MS OS

Developer DesktopFuture MS OS

Retirement:OS/2, DOS, Win9x, Win NT, Solaris

MainstreamMS Windows 2000 Pro, MS Windows XP Pro

ContainmentIBM Net PC, Mac OS, MS Win NT (Dev.)

EmergingMS Longhorn

Implications and DependenciesWin NT developer setups will be required as long as NT-based apps are being supported and administeredRisks and Opportunities




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Bricks have a lifecycle view of technology within the enterprise.

Baseline: The current technology or process element in use by an organization.

Tactical: Technology(ies) that an enterprise may use in the near term, tactical time frame, typically one year to a year and a half. Currently available products needed to meet existing business needs are identified here.

Strategic: Technologies that an enterprise envisions using in the future that provide strategic advantage. Usually anticipated marketplace products are identified here.

Retirement: Technology and/or process elements targeted for deinvestment during the architecture planning horizon (e.g., three years).

Containment: Technology and/or process elements targeted for limited (maintenance or current commitment) investment during the architecture planning horizon.

Mainstream: Technology and/or process elements targeted as the primary deployment/ investment option for new systems or legacy system migration over the architecture planning horizon.

Emerging: Technology and/or process elements to be evaluated for future integration into the target architecture (e.g., mainstream) based on technology availability and business need (key for evergreening).



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Evergreening/Governance - tied to Gartner Research and Consulting

Grid Leads to Styles, to Patterns, to Bricks, then to Evergreening Through the Governance Processes

Three-tier Transaction Processing Pattern

BaselineEnvironment

TacticalDeployment

StrategicDirection

RetirementTargets

ContainmentTargets

MainstreamSystems

EmergingTrends

Technology Issues

Implications/Dependencies

BRICK for Element “x”Specifications/Standards



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Recommendations (Bricks)

Use the EA development process to define the least number of common bricks feasible for your enterprise

For each brick, determine your standards: Baseline (current, As-Is)

Tactical (next minute)

Strategic (direction, To-Be)

Retirement

Containment

Mainstream

Emerging

Communicate your standards throughout the enterprise.

x



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Architecture Governance

Governance Structures

Governance Processes



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Your Next Steps Depend on your Business Priorities

Determine your priorities, whether it’s your position on the Grid, what Styles you need, what standard Patterns you should deploy, or what Bricks will determine your buy list, then take the steps to move from one plane to the next.



To move from “Patterns” to “Bricks” “As-is” and “to-be” configurations


And, integrate your architecture governance processes into overall IT management processes and structures.



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Enterprise Governance ModelEnterprise Governance Model

Source: ISACA

Goals & Objectives CONTROL

EnterpriseActivities

DIRECT

REPORT

Resources

USING

IT Governance defines the cross-jurisdictional organizational structure that provides a decision-making process for IT.

IT Governance provides a decision-making process to determine the services, architecture, standards, and policies for the enterprise’s IT A management process of setting goals and establishing policies, practices, procedures and organizational structure to provide reasonable

assurance that enterprise goals will be met An improvement tool that provides vital input for continuous improvement of business processes, controls, and key performance indicators to

measure outcomes and reset objectives



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Five Key Governance Elements

Strong governance enables an organization to operate effectively at all levels of the grid

While there are many areas of governance to be explored, here we highlight five key governance elements:

Re-conceptualizing and rebuilding the operations architecture to enable multi-enterprise access

Rethinking and re-expressing the roles and alignment of business and IT in governance terms

Driving a renewed interest in IT performance using an integrated performance management system

Planning for the impact of multi-enterprise architecture on organizations

Understanding the roles of experience and culture as determinants of architectural success.

1

3

2

4

5

Governance Governance

x



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Governance Structures



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A joint project team and a formal review process are essential to success of an Enterprise Architecture project.

Executive Sponsor

<name> - CIO / CTO

Steering Committee<Business Leaders>

Core Project TeamClient Project Director

<name>Client Core Team

TBD TBD

Gartner Engagement Manager <name>

Gartner Team<name> - Project Mgr. TBD TBD

Extended Project TeamClient

Business and Technology Executives and Subject Matter Experts

Gartner Business Process & Technology Subject Matter Experts and Analysts

Responsible for overall approval of the Technology StrategyObtain support of other senior executive and management teams

Approve all Technology Strategy deliverables Accept interim Technology Strategy deliverables at major checkpoints Commit project team resources Participate in interviews and review sessions

Responsible for the on-time delivery of all defined project deliverablesTeam members are responsible for assuring that their area is adequately represented at all sessions, is transferring knowledge appropriately to others, and is committed to all deliverables throughout the project Responsible for getting buy-in from the Steering Committee Responsible for gathering and disseminating appropriate Technology Strategy data to/from other areas Sourced from business and Technology organization units

Provides detailed business, Technology and technology expertise Support the Core Team members Invoked only at particular points during the project

<IT Leaders>



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IT Governance Bodies

Body Members Decisions

EnterpriseStrategy

Committee

CEO/Agency Head,CFO,CIO

EnterpriseDirection and

Strategy

BusinessTechnology

Council

CIO, CFO,BU Managers

Role of IT,Direction,Spending

EnterpriseArchitecture

Team

CIO, A/D,IS Clients

Benefits,Directions

Compliance

IT ArchitectureTask Force

Chief Architect,Staff, SME, Users

Principles,Guidelines,Standards

Example Enterprise Architecture Governance Structure (there are many variations)

Source: Gartner



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The Integration Competency Center provides the expertise for a functioning Grid, though not a true governance body.

ASPs andOutsourcers

ShippingDept.

Suppliers

Subsidiary

Purchasing

Business Customers & Dealers

Data Center

Web-BasedIntermediaries

Shop Floor

Service

Marketing

SalesBranch

Copyright © 2002

x



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Governance Processes

Communication

Compliance

Exceptions

Evergreening



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The processes of architecture governance must be integrated into overall IT management and organizational structures.

Architecture management processes Communicate the architecture to stakeholders

Assure Compliance

Handle exceptions

Evergreening

Integration into IT Management IT Strategic Planning

IT Investment Management Selection

Control (Program / Project Management, integration with System Development Life Cycle)

Evaluation (Performance Management)

Portfolio Management

Systems Management (including ITIL* processes)

Governance (including CobiT** processes)

etc.

* ITIL - IT Infrastructure Library (www.itil.co.uk)

** CobiT - Control objectives for Information and related technology (www.Itgovernance.org or www.isaca.org)



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Communicate Architecture to all stakeholders.

Document the benefits and return of investment of the architecture and communicate them to the business stakeholders; Document the styles, patterns, configurations and bricks to be used as standards and guidelines throughout the enterprise.

Goal: Assure that all stakeholders are aware of the enterprise architecture.

Trigger: Beginning of the architecture project and regularly thereafter.

Output: Architecture description

Key Roles Project Team:

Develop architecture documentation for the project

EA Project Leader / Sponsor: Present architecture description and benefits

Tools Enterprise Architecture benefits and description documents / automated tools (if used)



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Benefits of an IT architecture

Reduces cost

Better application integration

Aids scalability

Enables agility

Improves security

Eases staffing

Reduces risk

Potential problems

Expense and effort

Political problems

Uncertain justification

Updating commitment

Supports business innovation

How do you get started?

Sell the benefits of an architecture – and beware of potential problems



consulting

Review Architecture Compliance

Determine if the documentation, functional analysis, general design, detailed design are in compliance with the architecture components approved through the “Assess Technology Compliance” process.

Goal: Audit the system design and analysis documentation to ensure architecture compliance

Trigger: Architecture review stage within the PLCM process

Output: PRC Report

Key Roles Project Team:

Develop system documentation for the project

EA Group/Compliance Auditor: Assess if all the components, documentation, design being proposed is in compliance with the architecture standards

Document outcome of the architecture compliance process and present it to PRC

APC/ITC/PRC: Review reports

Tools Enterprise Architecture Assessment Factors



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Architecture

Management

Assess Waiver/Exception Request

Examine standards affected, implications for other systems, cost implications, risks involved with the introduction of the IT project: Goal: Establish the implications and ramifications of the IT project and issue an exception only if there are good business reasons.

Trigger: Lack of technology alignment of the IT project.

Output: One-time exception, initiate standards review process.

Key Roles EA Group:

Initiate the waiver/exception request process.

Log the exception requests for future reference.

Determine the impact of introducing a non-standard technology on existing applications, infrastructure, and resources (financial and human).

Document results and present it to APC for a final decision.

APC: Render waiver/exception decision, yes or no.

Tools Waiver Key Criteria.

IT Principles.



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Evergreening: How to keep the architecture revitalized over time.

Assess the current state of your technology: Review the technology and process element(s) that are currently installed in the areas you own and update the information in the Baseline Environment box where necessary.

Determine whether there are systems that have proven their usefulness but are no longer strategic for the enterprise. These may become Containment Targets or Retirement Targets.

Determine which technology or process elements are tactical solutions and which technologies represent the strategic direction.

Review the technology and process element(s) for containment: Determine which technology or process element no longer represents a tactical or strategic solution, but continues to require limited investment during the architecture planning

horizon.

Determine which containment technology or process element should be retired, if any.

Review business plans: Determine whether the business plans conform with the architecture plan. Can the business plans be realized using the current technology or process elements?

Review other architecture elements: Are there other architecture elements that impact the current or future technology and process element(s)?



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Evergreening: How to keep the architecture revitalized over time (continued).

Determine the implications and dependencies: As you make decisions about where to place the technology in the Brick, ask yourself what the implications are of those decisions. What impact does it have on the existing

technology base, operations, LOB, etc.

Along the same lines, determine what dependencies there are between systems that may be moved into a different box in the model.

TCO: Determine what the TCO is of the technology in question (e.g., Gartner TCO research)

Pilots: Recommend pilots of new technology and process elements.

Review projects: Ensure that projects scheduled or underway conform to and are suitable for the existing architecture.

Review emerging technologies: From information obtained through research (e.g., Gartner, technology magazines, news papers), vendor briefings, etc. determine which technology and process elements would be viable for future integration into the target architecture. Base your decisions on technology availability and business need. This is key for the Evergreening process.

Develop retirement programs: Develop a schedule for those technology or process elements that have been slated for retirement and determine the costs involved.



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Evergreening: How to keep the architecture revitalized over time (continued).

The following processes should be done on a continual basis: Research: Perform research on industry and technology trends (e.g., Gartner, trade press, on-line

resources, etc.) to determine what new solutions are out there and where current technology is heading.

Vendor Briefings: Attend vendor briefings to understand how the vendors’ solutions are evolving, understand the vendors’ vision, are the products a viable solution for your organization, etc.

Conferences and Seminars: Attend conferences and seminars presented by non-vendor organizations (e.g., Gartner)

Measurement: benchmark technology performance and cost against other organizations.



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Recommendations (Governance)

Integrate architecture governance into the full complement of IT Management Practices.

Insure that Principles guide the governance processes and structure.

Communicate the value of your Enterprise Architecture throughout the enterprise.

x



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Steps in the CompleteArchitecture Consulting Methodology



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Gartner Methodology for Enterprise Architecture

ProjectInitiation

Baselineand

Requirements

ArchitecturePrinciples

Styles, Patterns,

Configurations,

Taxonomy

ActionPlan

Specifications, Bricks

Define Architecture

Scope

Establish Project/

Architecture Governance Process & Structure

Identify Business and Technology

Drivers

Determine Business/IT

Requirements

Document Business/IT

Baseline

Create Business Maxims/IT Principles

Determine Architecture Style Profiles

Determine Future Tech. Patterns and Deployment

Configurations

Map Style Patterns to Bricks in

Gartner KMAP Taxonomy

Establish Evaluation and

Selection Process

Define Technology Architecture

Specifications

Create Management Action Plan

Define Architecture Transition

Initiatives and Evergreening

Communicate and Gain

Agreement

Select and Populate

Appropriate Bricks for Enterprise

Define the Grid Playing Field

Develop and maintain consensus



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Detailed view of workshop process used throughout the methodology steps

Issue

Definition

(Gartner)

Architectural

Specification

Caucus

(Team)

Baseline

& Gartner

Position

(Gartner)

Options

(Gartner)

End

General

Discussion

(Team)

YesYesNo

No

ConsensusConsensus FinalIssue?

FinalIssue?

The detailed process that will be used in the workshop is diagrammed below.

This process will be repeatedly performed for each architectural specification (i.e., principle, technology requirement).



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Business / Technology

Drivers

Architecture Methodology Internal Linkages

PrinciplesRepository Workbooks

Maxims/ Principles

Styles/Patterns /Models

Baseline/ Requirements

Survey Tools

Documents

Other Engagement

Modules

Gartner Research

Eval and Selection

Process

ArchitectureSpecifications

/ Bricks

ActionPlan

Project/Architecture Governance

Interviews

Architecture

Design /

Repository

Tool

Optional

Workshops



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We identified a Structural model that relates the elements of our modular methodology from raw modules to solution kits

Engagement Management (How Gartner will use methodology and conduct engagements)

Modular Delivery Component Repository

Deliverable Components Dimensions / Perspectives

Business Architecture


Data Architecture

Governance

CobiT Life Cycle

Plan Acquire / Implement Deliver / Support

M&A

Consolidation

Re-platforming

Transformation

Connection

Cost reduction

InnovationMonitor

Process

Solutions

Assessment

Full

Development

Point Solution

Process

Implementation

Solution Kits

Dri

vers

Inputs

Technology Architecture

S

e

c

u

r

I

t

y

S

y

s

M

g

m

t

I

n

t

e

g

r

a

t’

n

x



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Standard Architecture Consulting Offerings



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Organizations are reaching the limit of unplanned expansion of IT infrastructure

Economic pressure on limiting TCO and justifying IT budgets

Evolution of business requirements is outstripping architecture’s ability to support initiatives such as CRM, collaborative commerce, e-business and supply chain management

Heterogeneity of processes, technologies and strategies limits the effectiveness of stringent standardization

Trend towards Component Services requires that IT organization can incorporate desired solutions seamlessly

Coordination with outside partners, suppliers and vendors introduces unforeseen requirements to the enterprise

Situation

Why Do We Need Enterprise Architecture?

Enterprise Architecture planning removes obstacles to growth which result from ad hoc building of infrastructure

Architecture has proven impact on the cost-effectiveness IT investments

Architecting ensures flexibility and dynamism of systems and processes

Architecture and governance discipline systematizes the use and impact of standards throughout the organization and across cooperating organizations

The EA Response



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Architecture Maturity

Assessment Recognizing that a smaller, consistent set of products would offer IS benefits Assessing what is in place and what should be used going forward Interesting domain experts in participating in choosing guidelines

Mapping & Buy-in Establishing management support and buy-in Completing current state mapping Understanding link between business needs and architecture Mapping of future state completed, followed by current guidelines Communicating architecture standards throughout organization

Governance Establishing governance guidelines and policies; consistent format Creating a process for both exceptions and ever-greening Enforcing architecture at both enterprise and BU level Road-mapping of technology futures

Benchmarking Formal certification process for all IT projects which precludes funding EA roadmap and migration plan is complete for three-year time horizon Comprehensive EAI strategy and competence center in place

Real Time Enterprise Moving to new level of enterprise-to-enterprise focus and info exchange Comprehending and applying multiple architectural styles within the firm



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Objectives Explore application of Gartner’s new

EA framework to one of following areas:

Business-IT Alignment Governance Enterprise Application Integration Application Development

Understand potential business impact Receive objective assessment of

current state of EA in area selected above

Business Results Identify opportunities for

improvement Develop an agreed upon action plan

Gartner Advantage Objective advice and analysis Thought leadership Practical and experienced advisors Global best practices

Enterprise Architecture Planning Workshop



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Architecture Planning Workshop

Overview:

Client Need

IT managers faced with a multitude of responsibilities in a fast-paced and dynamic environment

Future-oriented solutions, such as Enterprise Architecture are often put-off in face of project-focused time demands and constraints

Clients need real-world “situations” to understand how this best plays in their environment, not academic concepts or exercises

Gartner has defined specific areas where clients are particularly exposed: Aligning business goals and drivers with the architecture Effective Enterprise Application Integration (EAI) architecture underlying

both internal and external needs Development of an Enterprise Architecture governance processes and

structures Application development choices, such as Java vs. .Net

Gartner will identify with the client which of the key areas most affects the client environment

Gartner will map (at summary-level) how the chosen area is – or is not – working, in a particular slice of the business; the overall Gartner framework will also be referenced

The workshop will be used to show the client how to rebuild the particular area chosen, and this will be documented for the client to utilize going forward

Gartner Solution

Timeframe PriceDeliverable Architecture assessment using

Gartner framework

Definition of critical approaches for your organization and your strategy and action plan

Measurement against benchmarks or questionnaire

Two weeks (elapsed time) - includes all preparatory work onsite, delivery of the 2-day workshop and documentation

$50,000

Applies the Gartner vision for dynamic Enterprise Architecture to a targeted problem to show what to fix and how to do it to ensure the greatest flexibility for the future

Preliminary solution description; see November EA Campaign material for latest description

Gartner Internal Use Only



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Depending on the business priority, some enterprises want to just focus on specific “hot spots”, or “slices,” for example:

Within Applications Architecture Some may be interested in a choice between Java (J2EE) or Microsoft .Net for application development

Others may be interested in Enterprise Application Integration (EAI) solutions

Within Data Architecture Some may be interested in choosing a data warehouse solution for decision support.

Others may be wresting with the choice of a common database management solution.

Within Technology Architecture Some may want to re-platform either for standardization or for consolidation.

Others may want to upgrade their networks for both voice and data integration

Within Security Architecture Some may want to redesign their security policies, procedures and policies

Others may want to select enhanced firewall solutions

Within Systems Management Some may want to address specific asset management concerns

Others may want to implement the full IT Infrastructure Library (ITIL) set of processes

Business Process Style

Business Architecture

Applications Architecture

Data Architecture

Technology Architecture

Secu

rity

Arc

hit

ectu

re

Syste

ms M

an

ag

em

en

t

Inte

gra

tion

Arc

hit

ectu

re



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Strategic Renovation

Overview:

Client Need

Clients are under considerable pressure to make quick and rapid improvements in slices of their architecture

Gartner has defined three specific areas where clients are particularly exposed:

An effective Enterprise Application Integration architecture underlying both internal and external needs

The development of an Enterprise Nervous System - the unifying backbone of an architecture

Aligning business goals and drivers with the supporting architecture

Gartner will identify with the client which of the key areas most affects the client environment

The client environment will be mapped to the new robust Gartner enterprise architecture framework, with particular attention to the key area chosen, or “slice”

An assessment of the critical area will be made and a set of recommendations will be made to optimize, build or re-build the area, and a migration plan developed

The framework can be utilized by the client going forward to identify other critical architectural issues

Gartner Consulting Solution

Timeframe PriceDeliverable Onsite consulting engagement; client

outputs will include: Client situation mapped to

Gartner enterprise architecture framework

Architecture “slice” development

Migration plan for solution

Six to ten weeks $250,000-$500,000

Using pre-defined views of the most prevalent architectural points of breakage, Gartner will choose the area that most threatens the client’s business processing, and design a solution to resolve within an overall updated architectural framework.





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Custom Engagement (not part of campaign)

Overview:

Client Need Organizations is reaching the limit of unplanned expansion of IT

infrastructure

Economic pressure on limiting TCO and justifying IT budgets

Evolution of business requirements is outstripping architecture’s ability to support initiatives such as CRM, collaborative commerce, e-business and supply chain management

Heterogeneity of processes, technologies and strategies limits the effectiveness of stringent standardization

Trend towards Component Services requires that IT organization can incorporate desired solutions seamlessly

Coordination with outside partners, suppliers and vendors introduces unforeseen requirements to the enterprise

Gartner will identify with the client which key areas affect the client environment

The client environment will be mapped to the new robust Gartner enterprise architecture framework.

An assessment of the critical areas will be made and a set of solutions and or recommendations will be made to optimize, build or re-build the area, and a migration plan developed

The framework can be utilized by the client going forward to identify other critical architectural issues

Gartner Consulting Solution

Timeframe PriceDeliverable Onsite consulting engagement; client

outputs will include: Client situation mapped to Gartner

enterprise architecture framework

Architecture solution development

Migration plan for solution

Six weeks to six months or more $150,000-$1,500,000

Using our modular consulting methodology, Gartner will address the client’s needs in one or more architecture-related areas, and design a solution to resolve within an overall updated architectural framework.

Preliminary solution description, not part of corporate campaign




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Architect Toolkit

Client Need

The practice of Enterprise Architecture is young, and innovative, battle-tested solutions are difficult to find

Uncertainty within the Enterprise about the role of architecture can distract nascent architecture organizations from their critical task

To help develop a competitive EA and sell it internally, there is a need for an integrated EA offering (benchmarks, research, consulting, news and community) by a brand name firm, with unifying terms and conditions

Clients want a customized view to their particular situations, drawing from experience and expertise with EA across industries

Gartner provides an integrated Enterprise Architecture toolset which provides the framework, methodologies, models and research required to ensure that architects can effectively build their roadmap

Seamlessly unites Gartner resources:

Gartner EA research from both Core research and GartnerG2 “customized” for clients. Clients would also work with specific analysts who know the specific client situation.

On-site Consulting work sessions to plan EA

An ITEA (IT Enterprise Architecture assessment) which analyzes client’s architecture comparing the client to itself, its industry, and the Gartner proprietary Measurement database

Best Practices brings clients together to discuss architecture Tools (such as an architecture modeling suite) to create further “glue” and proprietary value

Gartner Solution

Timeframe PriceDeliverable A single integrated enterprise

architecture product combining research, consulting, measurement, best practices and outside products into a consistent, easy to buy, easy to use product

Annual subscription includes three days of Analyst time, 10 days of on-site consultation

$200,000 per year

As the Enterprise Architecture practice evolves within an organization, the Toolkit gives architects a comprehensive suite of tools, benchmarks and advice to ensure they have the resources required to effectively architect systems

Overview:





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Additional examples of modular elements of architecture that may be completed, depending on depth of analysis needed.Business architecture

Business drivers Business styles Operational business model by industry

Financial services, Public sector, Manufacturing, Healthcare, Retail,Automotive, Technology vendors, Telecomm, etc.

Process architecture (value chain) Process / business systems traceability matrix / business links Critical success factors

Application / Systems architecture Business systems model (key functions) Application integration model Logical functional description Scope / footprint - logical architecture Priorities, business needs, requirements Application suites Package domain options evaluation Logical & physical placement/deployment Evaluation / Selection criteria

Data / Information architecture Information model Information flow maps Content architecture Current state analysis Data warehouse / Operational Data Stores Data management system selection

Technology infrastructure architecture Network model Topology model Bricks - portfolio Bricks - life cycle Patterns, configurations, models, views Security architecture Disaster recovery / business continuity Evaluation / Selection criteria Migration plan Short list, standards Strategic options Current and To-be states

x



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Reference Architecture Frameworks

Federal Enterprise Architecture Framework (FEAF) and A Practical Guide to the Federal Enterprise Architecture

National Association of State CIOs (NASCIO) Architecture Development Tool-kit

Department of Defense Command Control Communications Computers Intelligence Surveillance and Reconnaissance (C4ISR)

The Open Group Architecture Framework (TOGAF)

Gartner Technical Architecture Strategy (TAS)

x



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Federal Enterprise Architecture Framework



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Federal Enterprise Architecture Framework

Source: Federal Enterprise Architecture Framework version 1.1 September 1999 (note that version 2 is due to be published by 30 September 2002)



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The CIO Council’s Definition of “Architecture” is Broad

The Federal Enterprise Architecture Framework (based on the Zachman model) definition is exceptionally broad, it attempts to encompass the entire universe of IT and IS, past and future.

Source: Federal Enterprise Architecture Framework version 1.1 September 1999 (note that version 2 is due to be published by 30 September 2002)



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FEA Business Reference Model

Program Admin ComplianceServices to Citizens

Public Asse t ManagementMarketable Asset ManagementDefense & Nat’l Security OpsDiplomacy & Foreign RelationsDisaster ManagementDomestic EconomyEducationEnergy ManagementInsurancePublic HealthRecreation & National ResourcesSocial ServicesR&D & Science

Regulated Activity ApprovalConsumer Safety

Environmental ManagementLaw Enforcement

LegalRevenue Collection

Trade (Import/Export)Transportation

Workforce Management

Support Delivery of Services

Internal Operations/Infrastructure

Legislative ManagementBusiness Management of InformationIT ManagementPlanning and Resource AllocationRegulatory Management

Controls and OversightPublic AffairsInternal Risk Management and MitigationFederal Financial Assistance

Human Resources Financial Management Admin Supply Chain Management


Inter-Agency Intra-Agency

Program Admin ComplianceServices to Citizens

Public Asse t ManagementMarketable Asset ManagementDefense & Nat’l Security OpsDiplomacy & Foreign RelationsDisaster ManagementDomestic EconomyEducationEnergy ManagementInsurancePublic HealthRecreation & National ResourcesSocial ServicesR&D & Science

Regulated Activity ApprovalConsumer Safety

Environmental ManagementLaw Enforcement

LegalRevenue Collection

Trade (Import/Export)Transportation

Workforce Management

Support Delivery of Services

Internal Operations/InfrastructureInternal Operations/Infrastructure

Legislative ManagementBusiness Management of InformationIT ManagementPlanning and Resource AllocationRegulatory Management

Controls and OversightPublic AffairsInternal Risk Management and MitigationFederal Financial Assistance



Inter-Agency Intra-Agency

The Federal Enterprise Architecture Business Reference Model Version 1.0



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CIO Council : The Enterprise Life Cycle

EnterpriseEngineering

andProgram

Management

CPICProcess

Modernization

Systems Migration

Operations & Maintenance

EAProcess

TheEnterpriseLife Cycle

Source: A Practical Guide to the Federal Enterprise Architecture v 1.0, CIO Council,1 February 2001

x



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C4ISR



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DoD C4ISR Architecture Framework

Identifies Warf ighterRelationships and Information Needs

OperationalView

Prescribes Standards and Conventions

TechnicalView

Relates Capabilities andCharacteristics to Operational Requirements

SystemsView

Technical Criteria GoverningInteroperable Implementat ion/Procurement of the SelectedSystem Capabilities

Specific Capabilities Identifiedto Satisfy Information-Exchange Levels and OtherOperational Requirements

DoD C4ISR Framework—One Architecture, Three Views

x



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NASCIO



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NASCIO EA Framework

Source: Enterprise Architecture Development Tool-Kit, July 2002 v2.0 NASCIO



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Domains in the NASCIO Technology Architecture Blueprint

Access

Information

Network

Integration

Application

Platform

Systems Management

Privacy

Security




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NASCIO Domain Templates


x



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TOGAF



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TOGAF

x



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TAS



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Analysis

IT Management Consulting Methodology

Business Strategy & Processes

IT Management Strategy

IT Architecture

UnderstandBusinessStrategy


DevelopAlternatives

Assess ClientTechnology/ Benchmark

IdentifyBusinessProcesses

AnalyzeCapabilitiesDetermine

Gaps DataArchitecture

TechnicalInfrastructure

Organization& Resources

Processes Metrics

DevelopImplementation

Strategy

Strategy Principles:

- Business Relevance ... over Technical Elegance- Think Global ...Act Local- Success through Readiness- Measurable- Consensus-Derived

LeverageGartnerGroup

Research

DevelopOptimumSolution

Business-DrivenApproach To DataDiscovery

Leverage of GartnerGroupResearch and Consulting Experience

ConsensusWorkshops

ModularDeliverablesFor IT Strategy

ETAS - Based upon known methodology

Venerable IT Management Consulting Methodology



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ArchitectureInputs

ArchitectureScope

ArchitectureContext

ArchitectureDevelopment

ArchitectureDeployment

Architecture Life Cycle Model—Overview

EnterpriseBusinessStrategy

EnterpriseTechnology

Strategy

EnterpriseBusiness

Architecture

EnterpriseTechnologyArchitecture

Drivers

Vision and Principles

Baseline and Paradigm

ManagementStrategy

ApplicationStrategy

InformationStrategy

TechnologyStrategy

Migration

Evergreening



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Architectural Framework and Project Phases

Phase 1

App. C

Functional Architecture

Pricing Inventory Ordering AnalyticalInformation

App. A App. B Data Warehouse

Integration Services

Technical Architecture(op sys, networks, databases, services)

Application/

Data

Architecture

Org

aniz

atio

nal

Arc

hite

ctur

e

Data Model

Business Model

Business Process Definitions

Phase 2

x



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Reference Process Frameworks

CobiT

IT Infrastructure Library (ITIL)

x



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CobiT



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CobiT defines four process domains and 34 major processes for governance of IT.

Planning & Organization

PO1 define a strategic IT planPO2 define the information architecturePO3 determine the technological directionPO4 define the IT organization and relationshipsPO5 manage the IT investmentPO6 communicate management aims and directionPO7 manage human resourcesPO8 ensure compliance with external requirementsPO9 assess risksPO10 manage projectsPO11 manage quality

Acquisition & Implementation

AI1 identify automated solutionsAI2 acquire and maintain application softwareAI3 acquire and maintain technology infrastructureAI4 develop and maintain proceduresAI5 install and accredit systemsAI6 manage changes

Delivery & Support

DS1 define and manage service levelsDS2 manage third-party servicesDS3 manage performance and capacityDS4 ensure continuous serviceDS5 ensure systems securityDS6 identify and allocate costsDS7 educate and train usersDS8 assist and advise customersDS9 manage the configurationDS10 manage problems and incidentsDS11 manage dataDS12 manage facilitiesDS13 manage operations

Monitoring

M1 monitor the processesM2 assess internal control adequacyM3 obtain independent assuranceM4 provide for independent audit

Information Attributes:EffectivenessEfficiencyConfidentialityIntegrityAvailabilityComplianceReliability

IT ResourcesPeopleApplication systemsTechnologyFacilitiesData

x



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ITIL



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Implement systems management processes, using the IT Infrastructure Library (ITIL), or equivalent, definitions.

Support IT ServicesDeliver IT Services

Managing Applications

The Business

Perspective

Manage the

Infrastructure

The Business Perspective book will cover a range of issues concerned with understanding and improving IT service provision, as an integral part of an overall business requirement for high quality IS management. These issues include:

Business Continuity Management

partnerships and outsourcing

surviving Change

transformation of business practice through radical Change.

The Service Delivery book looks at what service the business requires of the provider in order to provide adequate support to the business Users. To provide the necessary support the book covers the following topics:

Capacity Management

Financial Management for IT Services

Availability Management

Service Level Management

IT Service Continuity Management

Customer Relationship Management.

ITIL web site www.itil.co.uk; ITIL documents and CD published by the UK Office of Government Commerce www.ogc.gov.uk

The library series has five principle elements.



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Implement systems management processes, using the IT Infrastructure Library (ITIL), or equivalent, definitions. (cont.).



The Business

Perspective

Manage the

Infrastructure

The Service Support book is concerned with ensuring that the Customer has access to the appropriate services to support the business functions. Issues discussed in this book are:

Service Desk

Incident Management

Problem Management

Configuration Management

Change Management

Release Management.

The ICT Infrastructure Management book includes: Network Service Management

Operations Management

Management of Local Processors

Computer Installation and Acceptance

Systems Management. (covered here for the first time).





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Implement systems management processes, using the IT Infrastructure Library (ITIL), or equivalent, definitions. (cont.).

Lastly, the book on Applications Management will embrace the software development lifecycle expanding the issues touched upon in Software Lifecycle Support and Testing of IT Services. Applications Management will expand on the issues of business change with emphasis on clear requirement definition and implementation of the solution to meet business needs.



The Business

Perspective

Manage the

Infrastructure



x



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Amplification of Other Gartner Consulting Methodologies

Strategic Planning



IT Process Management

x



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Strategic Planning



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Gartner’s Strategic Planning Framework Enables Collaborative Business and IT planning

Participate /Advise

Strategic TechnologyAgenda

Participate /Advise

ExecutiveOversight

BusinessStrategicPlanning

Enterprise

BusinessStrategic

Plan

ITStrategicPlanning

IT

ITStrategic

Plan



The Strategic Planning Process represents a long-range view but should be executed annually as a rolling 3-year plan. This ensures that the priorities and alignment criteria are continuously refreshed.

The Strategic Planning Process represents a long-range view but should be executed annually as a rolling 3-year plan. This ensures that the priorities and alignment criteria are continuously refreshed.

The IT Investment Process coincides with the budget cycle-- usually an annual process.

The IT Investment Process coincides with the budget cycle-- usually an annual process.

Pro

ject

s



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The Strategic Planning Framework Consists of an Eight-Step Integrated Process

Strategic PlanningKickoff

Strategic PlanningKickoff

Agency Business

Opportunity Development

Agency Business

Opportunity Development

IT OfficePlanning Needs

IT OfficePlanning Needs

IT OfficeStrategic

Opportunities

IT OfficeStrategic

Opportunities

Business OfficeRequirements

Business OfficeRequirements

ConsolidateBus. Office

Requirements

ConsolidateBus. Office

Requirements

Create AgencyTechnology

Strategic Agenda

Create AgencyTechnology

Strategic Agenda

Create IT Strategic Plan

Create IT Strategic Plan

Agency Strategic& Tactical Plans

Current PortfolioFunctional

Assessment

Current AgencyThemes

Aligned Agency Goals/Opportunities

Current PortfolioTechnical

Assessment

Strategic Technology Drivers &

Opportunities

1

2

3

4

Individual OfficeIT Requirements

Consolidated Office IT

Requirements

5

6

Part of Gartner’s Strategic Planning Management Suite

AGENCY TECHNOLOGY

AGENDA

IT STRATEGICPLAN

7

8

EnterpriseArchitectureGap Analysis

ITIM Capital Project Selection

and Prioritization

x



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Portfolio Management consists of two Major Components --New Investments (Capital Planning) and Existing Legacy Assets

Portfolio Management benefits:

simple and practical tool for identifying IT’s assets

tool for tracking IT consumption (resources and $’s)

tool for tracking performance (planned vs. actuals)

tool for baseline measurement of ongoing effectiveness of legacy applications

perspective for future requirements for investment, particularly renewal and growth

consistent IT vocabulary

baseline for IT resource allocation and prioritization

consistent multi-year information to assess and address IT strategic and resource gaps

Portfolio Management benefits:

simple and practical tool for identifying IT’s assets

tool for tracking IT consumption (resources and $’s)

tool for tracking performance (planned vs. actuals)

tool for baseline measurement of ongoing effectiveness of legacy applications

perspective for future requirements for investment, particularly renewal and growth

consistent IT vocabulary

baseline for IT resource allocation and prioritization

consistent multi-year information to assess and address IT strategic and resource gaps

IT Organizations are continually challenged to control costs and maximize value. Portfolio management can enable the CIO to make decisions about the portfolio that

include both financial and technical objectives.

IT Organizations are continually challenged to control costs and maximize value. Portfolio management can enable the CIO to make decisions about the portfolio that

include both financial and technical objectives.



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Portfolios provide a variety of ‘views’ regarding the existing IT environment and become the tool for ‘assessing’ the legacy inventory in order to gain insight into possible

‘integrate’, ‘tolerate’ or ‘retire’ candidates.

Portfolios provide a variety of ‘views’ regarding the existing IT environment and become the tool for ‘assessing’ the legacy inventory in order to gain insight into possible

‘integrate’, ‘tolerate’ or ‘retire’ candidates.

Line Item Demographics People FinancialLine Item

Description Size Usage 1 2 3 1 2 3

Metrics /Perform.

Mngt

Goals and Strategies TA

FAMIS Enterprise Financial Control System XL Run the Business 415

Structure for Existing Portfolio Assets



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Portfolios describe, in simple table form, the complete set of technologies, applications, and services managed by IT.

The set of portfolios represents 100% of the enterprises IT resources.

Portfolios describe, in simple table form, the complete set of technologies, applications, and services managed by IT.

The set of portfolios represents 100% of the enterprises IT resources.

Biz and ITStrategicPlanningProcesses

PerformanceManagement &Measurement

Annual ITInvestments &

Budgeting

Short-TermPlanning

USES

PORTFOLIOINFORMATION

Demographics

Stakeholders / Users

Resources Consumed

Development Planning

Requirements

ApplicationManagement

Management

ServicesManagement

InfrastructureManagement

ApplicationDevelopment

ManagementDevelopment

ServicesDevelopment

InfrastructureDevelopment

PORTFOLIO AREAS

Investment Portfolio

Portfolio Scope



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Assessing the Legacy Portfolio

The purpose of Assessing the Legacy Portfolio is to address the following questions:

1. Is the Agency still realizing return on older investment?

2. Are IT resources allocated to the right things?

3. Is IT doing things right?

4. Is IT executing against its strategy?

5. Is the Strategic Planning Management Process Maturing

according to plan?



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Assessing the Legacy EnvironmentDoing the Right Things - Assessing Alignment to the Business Strategy

25 10 13 16 21 9 6

Tra

de

& E

co

no

mic

Gro

wth

Bo

rde

r S

ec

uri

ty

Na

rco

tic

s T

raff

ick

ing

Cri

min

al F

ina

nc

e

Pu

blic

Pro

tec

tio

n

Ma

na

ge

me

nt

Ac

co

un

tab

ilit

y

Ad

min

istr

ati

on

an

d

Eff

icie

nc

ies

Alig

nm

en

t

Se

rvic

e L

ev

el

Qu

ality

APPLICATIONSACS

TECSSEACATS

AdminEDWWEB

NCAPATS

LIMS

Scoring: 3 = is a key enabler to the achievement of this goal or process2 = is important to the achievement of this goal or process1 = is a minor assistance to the achievement of this goal or process0 = is not a factor to the achievement of this goal or process

-1 = is a minor inhibitor to the achievement of this goal or process-2 = is a major impediment to the achievement of this goal or process-3 = actively inhibits the achievement of this goal or process

ALIGNMENT

Alignment Gaps

Alignment Gaps

The Portfolios included in the alignment assessment are: Applications, Infrastructure, and Services.



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Value to the Organization

Qu

alit

y of

th

e A

pp

lica

tion

Example of an Application Portfolio Assessment Mapping

ATS EDW

DPP

CAP Teach Recruit.

UAPC

SSS

Cybershift

Authentic Assess.

DIIT Web Site

OPM / DFO Web Site

PSAL website



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Low Value / High Quality

Low Value / Low Quality

High Value / High Quality

High Value / Low Quality

Establish Guidelines for Disposition of Applications

Retire

Tolerate

Replace

Integrate

x



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Strategic Planning Assumption -- By 2003, IT organizations that implement a strategic project prioritization process will more effectively address business needs and reduce

failed projects by 25 percent (0.7 probability).

Strategic Planning Assumption -- By 2003, IT organizations that implement a strategic project prioritization process will more effectively address business needs and reduce

failed projects by 25 percent (0.7 probability).

A dashboard comprises a set of organization-specific metrics pertinent to delivery, and lets senior management "manage by exception" (i.e., take action when a tolerance range has been exceeded).

A dashboard comprises a set of organization-specific metrics pertinent to delivery, and lets senior management "manage by exception" (i.e., take action when a tolerance range has been exceeded).

ITIM Introduction

Needs A consistent project prioritization process, oriented around the business's strategic goals

(and tactical imperatives).

A framework for decision making, with clear criteria defined by an upper management group.

Continuous evaluation of the viability of the key projects, managing delivery expectations

”Dashboard" view of annual investments

Effective communication to Stakeholders



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Sample Structure for New Investment Portfolios

AD's

Comments & Discussion From Final AD Review on M/D/YY

ERB

Rank

ing

AD's

Rec

omm

ende

d Se

quen

ce

Proj

ect N

ame

Divi

sion

Divi

sion

Se

ctio

n/Un

it/O

ffice

FY _

_ No

n-Pe

rson

nel

Requ

est (

$)

FY _

_ Pe

rson

nel

Reso

urce

s (#

)

Mis

sion

Fit

(Tot

al W

eigh

ted

Scor

e fro

m P

roje

ct S

corin

g W

orks

heet

)

Proj

ect R

isk

Fina

ncia

l Ris

k

Tech

nica

l/ Ar

chite

ctur

e Ri

sk

Secu

rity

Ris

k

Technology project request #1Technology project request #2Technology project request #3Technology project request #4Technology project request #5Technology project request #6Technology project request #7Technology project request #8Technology project request #9Technology project request #10

Risk Review

Projects are initiated through Concept Papers and are assessed through several “gates”. The are ultimately summarized for SLT review, prioritization and selection

Projects are initiated through Concept Papers and are assessed through several “gates”. The are ultimately summarized for SLT review, prioritization and selection



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New Investment Portfolio Scope (ITIM)

Results Alignment of IT investments

and business strategy

Better investment decisions

Governance principles for IT management

SELECTHow do you know you have selected the best projects?

EVALUATEBased on your evaluation, did

the system deliver the expected

results?

CONTROLWhat are you

doing to ensure that the projects will deliver the

projected benefits?

Conduct reviews Make adjustments Apply lessons learned

Monitor progress Take corrective

action

Screen Rank Score



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Assemble project requests into a single “Investment Portfolio“.

Conduct a Technical Assessment to determine technical and/or project risk

Senior Management (committee) prioritizes individual projects against predefined selection criteria and makes selections.

CIO leads balancing of the portfolio to ensure all objectives are addressed.

• Screen• Rank• Score

• Conduct Reviews• Make adjustments• Apply lessons learned

• Monitor progress• Take corrective action

SELECTHow do you

know you haveselected the

best projects?

CONTROLWhat are you

doing to ensurethe projects will

deliver the benefitsprojected?


the systemdeliver theexpectedbenefits?

This is a life-cycle approach to selecting, controlling and evaluating IT investment projects in a consistent and repeatable fashion. It

applies to all levels of government!



Information Technology Investment Management -- Select

How should you allocate your limited IT dollars?

SELECT



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Key projects are proactively managed by the Senior Management group.

Projects are managed ‘by exception’ (I.e., those projects falling outside the acceptable range of performance)

Earned value, Critical-path slippage, Scope creep (i.e., changes)

Management makes course corrections and/or stops project.




SELECTHow do you


best projects?

CONTROLWhat are you









Information Technology Investment Management -- Control

CONTROLHow can you ensure projects deliver to expectations?



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Post Implementation review by senior management

Planned vs. Actual benefits review

Successes and failures are noted and process changes are implemented to leverage lessons learned.




SELECTHow do you


best projects?

CONTROLWhat are you









Information Technology Investment Management -- Evaluate

How do you know how effective your selections were?

EVALUATE



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Customized Program Maps to the organization’s Budget Cycle

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Executive Review Board

Project Oversight Committee

Technical Review Board

1st Calendar Quarter

• Makes Budget Recommendations (SELECT)

• Reviews projects for Corrective Actions (CONTROL)

• Reviews projects for Process Improvements (EVALUATE)

2nd-4th Calendar Quarters

• Review projects for Corrective Actions (CONTROL)

• Review projects for Process Improvements (EVALUATE)

• Review projects for next FY Budget submission (SELECT)

Monthly

• Review Concept Papers for reasonableness (SELECT)

• Review & Evaluate Exhibit 300s for ERB decision (SELECT)

• Develop Corrective Action Plans for projects for ERB decision (CONTROL)

• Develop Process Improvement Recommendations for ERB decision (EVALUATE)

Monthly

• Review Concept Paper to assign risk ratings for Project, Technical, Financial and Security (SELECT)

• Review Exhibit 300s to re-assign risk ratings for Project, Technical, Financial and Security (SELECT)

• Recommend Corrective Actions for projects (CONTROL)

x



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IT Process Management



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IT Management PracticesWhat is IT Process Management?

Why Focus on IT Management?

• Enhanced performance and cost management• Improved return on major IT investments• Improved time to market• Increased quality, innovation and risk

management• Appropriately integrated and standardized

business processes• Meeting requirements and expectations of the

customer on budget and on time• Adherence to laws, regulations, industry

standards and contractual commitment• Benchmarking comparisons of IT process

management maturity (Source=Cobit Standards)

Many organizations recognize the potential benefits that technology can yield. Successful organizations, however, understand and manage the risks associated

with implementing new technologies.

Planning&

Organization

Acquisition&

Implementation

Delivery&

SupportMonitoring

Key Process Domains

Enterprise Architecture Methodology & Offerings Discussion Document 29 October 2002.

Documents

Transcript of Enterprise Architecture Methodology & Offerings Discussion Document 29 October 2002.