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The Utility of Enterprise Architecture to Records and
Archives Specialists Dr.ShadrackKatuu
ResearchFellow,DepartmentofInformationScience
UniversityofSouthAfrica
Outline
1.0 Introduction2.0 LiteratureReview3.0 EAFrameworks–primeronTOGAF4.0 DesignofanintegratedTOGAFFramework5.0 Concludingremarks
UtilityofEnterpriseArchitecture 2
1.0 Introduction
• Thetransdisciplinaryfieldofcomputationalarchivalscienceprovides,amongotherthings,aplatformthatfacilitatestheexplorationofemergingmethodsandtechnologiesaswellasnewformsofanalysisthatsupporthistorical,social,scientific,andculturalresearchengagementwithrecords/archives(Marcianoetal.2018).• Inthelastfewyearsexpertsincomputationalaswellasarchivalscienceshaveexploredandmappedseveralconceptsandmethodsinbothfieldsresultinginenrichingtransdisciplinaryefforts.
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1.0 Introduction
• Therearefourmajorcategoriesofcomputationalthinking:• datapractices,• modelingandsimulationpractices,
• computationalproblem-solvingpractices,and
• systemsthinkingpractices(Weintropetal.2016,p.127-147)
• Thispresentationfallsundersystemsthinkingpracticeswithitsfocusonunderstandingthedynamicswithinsystemsandhowthosesystemschangeovertime.
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1.0 Introduction
• Thispresentationdiscussesenterprisearchitecture(EA),thatemergedinthe1980stoaddressinstitutionalcomplexityinanincreasinglysophisticatedorganizationalenvironment(Ahlemann,F.,et.al2012)• EAemergedasanapproachtoimprovethealignmentbetweentheorganization’sbusinessandtheirinformationsystems(Ahlemann,F.,et.al2012)
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IncreasinglywemayfeellikeAliceinWonderland,havingfallenintoarabbithole…intoafantasyworldpopulatedbypeculiar“anthropomorphicsystems”(e.g.ArtificialIntelligencesystems).
1.0 Introduction
• AtthepointofEA’semergence,computersoftwaredevelopersandinformationsystemengineersrealizedthattheycouldonlydesignsuitableITcomponentsifthey“understoodhowtheorganisationworksasdefinedbyitsprocesses,organisationalstructureandgoals”(Ahlemann,F.,et.al2012)
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Source:IASASpain,2014
1.0 Introduction • Fordecades,recordsandarchivesspecialistshavetriedtofulfiltheirprofessionalmandateusingtheoriesandmethodsdevelopedforapaperratherthandigitalenvironment.
• Thedigitalenvironmentconstitutesavastarrayofsoftwareapplicationsandtechnologicalinfrastructure.Recordsandarchivesspecialistsneedtomakesenseofthisdigitalecososystemintheirquesttosupportinginstitutionalfunctionsandactivities.Thisisnecessarytoinstitutesystematicmanagementofrecords/archivesorpotentialrecords/archivesgeneratedbythesoftwareapplications.
• ThispresentationisdrawnfromaresearchprojectinvestigatingtheutilityofEAtorecordsandarchivesspecialists
• Theoverallstudyconstitutesfourcomponents:• (1)areviewofliteratureonEA;• (2)anassessmentofEAframeworkswiththechosenframeworkforthisstudybeingTOGAF(TheOpenGroupArchitectureFramework);
• (3)thedesignofanintegratedTOGAFmodelincorporatingrecordkeepingrequirements;and• (4)thevalidationoftheintegratedmodel
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2.0 Literature Review • Moderninstitutionsinvestlargeamountsofresourcestobuildtechnologyplatformsandbusinessapplicationstosupportorganizationalactivitieswhichwillfulfiltheirinstitutionalmandate.
• AsITdepartmentsbuildsystems,theycreatelegaciesbasedonbusinessassumptionsthatmightnolongerholdtrue.
• EffectivemanagementoftechnologyassetshasnecessitatedthedevelopmentofportfoliomanagementtechniquesandmodelstomapoutthecompleteITecosystemintheirinstitutions.
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2.0 Literature Review
• Formanysuchinstitutions,creatinganinventoryofsystemsorapplicationsisjustthebeginningofthemanagementprocess.
• Therestofthemanagementprocessentailsmodelingtheorganizationalstructure,businessprocesses,informationflow,informationsystems,andinfrastructure
• EAmodelsdifferfrompurebusinessprocessmodelsastheyholisticallydescriberelatedenterprisecapabilitiesanddifferentlayers’assets
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Source:Basten&Brons,2012,pp.215-216
2.0 Literature Review • IndividualcountrieshavebeenadoptingEAatdifferentpacesandlevelsofsophistication.• Forinstance,inthelate1990sandearly2000s,severalpublicsectorexpertsinAustraliarecognisedthepotentialforEA’sutilitytoassessthemanagementofdataandinformationinlocalcouncils(LocalGovernmentAssociationofTasmania,&SchoolofInformationSystems[UniversityofTasmania]2003).
• Inthecourseofthe2000s,CanadaembeddedEAprincipleswithinthefederalgovernmentwiththechiefarchitect’sofficelocatedwithintheTreasuryBoardSecretariat(Doucet2008).
• SimilartrendsareseenincountriesintheglobalperipherysuchasSouthAfricaandKenya.
• Whiledifferentcountriesareatvariedlevelsofsophistication,thesituationamongstrecordsandarchivesspecialistsremains(mostly)vague.
• Themostvisibleeffortshavebeenthroughthestandardizationprocess.Around2016,recordsprofessionalsinISO’sTechnicalCommitteeSub-Committee11embarkedoncreatingacommonreferenceforrecordsprofessionalsandenterprisearchitectstitled“RecordsRequirementsinEnterpriseArchitecture”coveringrequirementsforrecordsprocessesandsystems(InternationalStandardsOrganization2018)
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3.0 EA Frameworks – a primer on TOGAF
• Sincethemid-1980s,EApractitionersdevelopedmorethantwodozenframeworks,includingtheZachmanFramework,TOGAF,andtheFederalEnterpriseArchitecture(FEA)framework.• Theseframeworksarepopularbecauseoftheirmaturity.Zachmanistheoldest;TOGAFandFEAallowfreeaccesstoresourcesandinformation.
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Enterprise-developedFrameworks
• TheOpenGroupArchitectureFramework(TOGAF)• GeneralisedEnterpriseReferenceArchitectureandMethodology(GERAM)
• ReferenceModelofOpenDistributedProcessing(RM-ODP)• GuidetotheEnterpriseArchitectureBodyofKnowledge(EABOK)
CommercialFrameworks
• IntegratedArchitectureFramework(IAF)• ZachmanFramework• ArchitectureofIntegratedInformationSystems(ARIS)• OBASHIBusinessandITmethodologyandframework
DefenceIndustryFrameworks
• DepartmentofDefenceArchitectureFramework(DoDAF)andTechnicalReferenceModel(TRM)
• NATOArchitectureFramework(NATO)• TechnicalArchitectureFrameworkforInformationManagement(TAFIM)
• UKMinistryofDefenceArchitectureFramework(MODAF)• DepartmentofNationalDefenceandtheCanadianForcesArchitectureFramework(DNDAF)
• FranceDGAArchitectureFramework(AGATE)
GovernmentFrameworks
• FederalEnterpriseArchitectureFramework(FEAF)• GovernmentEnterpriseArchitecture(GEA)• TreasuryEnterpriseArchitectureFramework(TEAF)• EuropeanInteroperabilityFramework(EIF)• NISTEnterpriseArchitecture(NIST)• TreasuryInformationSystemArchitectureFramework(TISAF)
Source:BastenandBrons2012,p.208
3.0 EA Frameworks – a primer on TOGAF
• TOGAFwascreatedbyTheOpenGroupasatechnologyarchitecturemethodologybasedonthetechnicalarchitectureframeworkforinformationmanagement(TAFIM),aframeworkdevelopedbytheUnitedStatesDepartmentofDefense(Armour,F.J.et.al1999)• TOGAFhasthreemainpillars:
• ArchitectureDevelopmentMethod(ADM):ThisdescribesamethodfordevelopingandmanagingthelifecycleofanEAandformsthecoreofTOGAF.
• EnterpriseContinuum(EC):Thisprovidesmethodsforclassifyingarchitectureandsolutionartifacts,bothinternalandexternaltothearchitecturerepository,astheyevolvefromgenericfoundationarchitecturestoorganization-specificarchitectures.
• EnterpriseArchitectureDomains(EAD):TheseareareasofspecialisationthatarecommonlyacceptedassubsetsofanoverallEA.Thesedomainsare• businessarchitecture,• applicationsarchitecture,• technologyarchitecture,and• dataarchitecture.
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3.0 EA Frameworks – a primer on TOGAF
WithinTOGAF’senterprisearchitecturedomainsarefourinterrelatedareasofspecialization:• Businessarchitecturewhichdefinesthebusinessstrategy,governance,organization,andkeybusinessprocessesoftheorganization• Applicationsarchitecturewhichprovidesablueprintfortheindividualsystemstobedeployed,theinteractionsbetweentheapplicationsystems,andtheirrelationshipstothecorebusinessprocessesoftheorganizationwiththeframeworksforservicestobeexposedasbusinessfunctionsforintegration• Dataarchitecturewhichdescribesthestructureofanorganization'slogicalandphysicaldataassetsandtheassociateddatamanagementresources• Technicalarchitecture,ortechnologyarchitecture,whichdescribesthehardware,software,andnetworkinfrastructureneededtosupportthedeploymentofcore,mission-criticalapplications.
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4.0 Design of an integrated TOGAF Framework
• AspartofaresearchstudyconductedundertheauspicesoftheInterPARESTrustproject,thisresearcherisexploringtheutilityofTOGAFarchitecturedomainsinaninstitutionalsetting.• Intheresearch,theTOGAFEADwasexpandedtoaccommodateamodifiedformoftherecords/archivesandinformationlifecyclemodel.Thenormallifecyclemodelusuallyconstitutescreationorreceiptofrecordsorinformation,theircapture,storageandmaintenance,use,anddisposition.• Themodifiedlifecyclewithintheinstitutionalsettinghasfourphases:
• informationauthoring• informationmanagement;• recordsmanagement;and• archivesmanagement.
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4.0 Design of an integrated TOGAF Framework • Eachofthefourphasesofthelifecyclehasaswimlanethroughthefourlayersoftheframework.
• Anadditionalswimlane,titledsupportingcapabilities,wasaddedtoaccommodateaspectsofthebusinesscapabilitiesthatcutacrossallfourphases
• Theresultingframeworkfortheinstitutionhasanonymizednamesforapplicationsandtechnologies
UtilityofEnterpriseArchitecture 15Source:MaldonyandKatuu2016
4.0 Design of an integrated TOGAF Framework
• Thegaponthefourthlayercausedconcernwhenbuildingthecomponentsoftheframework.
• Asaresult,theinstitutionaldecisionwastodevelopmetadataattributestofacilitatetheassessmentofcontentintheotherlayers.
• TheseattributeswereadaptedfromapreviousphaseoftheInterPARESprojectwhichhaddevelopedaframeworkforidentifyingauthenticitymetadata.
• IntheInterPARESproject,themetadatacomponentsweremappedoverthreestagesofthelifecyclemodel.InordertoadapttothedatalayeroftheTOGAF,themetadataattributeswereextendedtocoverallfourswimlanes(InterPARES32012)
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Theillustrationdemonstratesthemetadatacategoriesmappedoverthethreestagesoftherecordslifecycle.Source:Tennis,2006
• Theresultantmodelmappedthemetadatacategoriesacrossfourofthefiveswimlanes.
• Identitymetadatae.g.• Nameofauthor/writer• Nameofaddress(ifapplicable)• Nameoforiginator(ifapplicable)• Nameofreceiver/recipient• Nameofaction• Indicationofformsofauthentication
• Integritymetadatae.g.• Indicationofprotectiveproceduresusedtoprevent
corruptionofthepresentedinformationasset• indicationofanyredactionforprivacy,copyrightorany
otherreasons• Recorddeclarationmetadatae.g.
• Classificationcode• Registrationnumber(i.e.uniqueidentifier)• Nameofcreator• Indicationofintellectualrights• Nameofhandlingoffice• Nameofofficeofprimaryresponsibility
17Source:Katuu2017
4.0 Design of an integrated TOGAF Framework
• Thedatalayer,whenincorporatedinthelargermodel,offersseveralbenefits.• Itprovidesageneraloverviewofhowcomponentsinthelayersareconnected.• Forinstitutionalstakeholders,thedatalayerprovidesanobjectiveandconsistentmannertoassessmetadatarequirementsimplementedinthebusinessapplicationsandtechnologyplatformsintheotherlayersoftheframework.
• Overall,theEAmodelprovidesanoverviewofhoweachofthecomponentsareconnectedandtowhatextenttheystraddleswimlanesintheframework
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5.0 Concluding Remarks • Thispresentationisdrawnfromanongoingstudythatconstitutesfourphases,concentratingontheresearchdoneinthefirsttwophases.• IthasdemonstratedhowanEAframeworkbasedontheTOGAFframeworkassessedaninstitutionalmodelwithfourlayers:(1)businesscapabilities;(2)application;(3)technology;and(4)data.Thedatalayerwasblank.Therefore,theresearchstudyofferedanopportunitytoadaptmetadatacategoriesandtypes.• Asanongoingresearchprocess,thestudywillcontinuewiththethirdphasebycompletingthedesignoftheintegratedTOGAFconceptualmodel.Thismodelshouldbebuiltincrementallyasitconsiderstheconceptualcontributionfromrecordkeeping.ThefourthandfinalphasewouldvalidatetheintegratedTOGAFconceptualmodel.• ThisstudydiffersfromtheworkcurrentlybeingundertakenbyISO’sTC46/SC11thathasalsochosenTOGAFtoexploreitsrelevancewithintherecordsandarchivesprofessioninthefollowingways:• ThisstudylookedexclusivelyatTOGAF.TC46/SC11usedTOGAFinconjunctionwithArchiMate.• ThisstudyexploredonepillarofTOGAF(i.e.,EAD)whileTC46/SC11usedadifferentpillar(i.e.ADM)
• Finallythispresentationisademonstrationofhowrecordsandarchivesspecialistsareharnessingcomputationalmethods,inthiscaseEAthatfallswithinthesystemsthinkingapproach,intheirquesttofulfillingtheirprofessionalmandate.
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References • Ahlemann,F.,Legner,C.,andSchafczuk,D.(2012)Introduction.InF.Ahlemann,E.Stettiner,M.Messerschmidt&C.Legner(Eds.),Strategic
enterprisearchitecturemanagement:challenges,bestpractices,andfuturedevelopments(pp.1-34).Dordrecht:SpringerScience&BusinessMedia.
• Armour,F.J.,Kaisler,S.H.andLiu,S.Y.Abig-picturelookatenterprisearchitectures.ITprofessional,1,1(1999),35-42.• Basten,D.,&Brons,D.(2012).EAframeworks,modelingandtools.InF.Ahlemann,E.Stettiner,M.Messerschmidt&C.Legner(Eds.),Strategic
enterprisearchitecturemanagement:challenges,bestpractices,andfuturedevelopments(pp.201-228).Dordrecht:SpringerScience&BusinessMedia.
• Doucet,G.(2008)EnterpriseArchitectureattheGovernmentofCanada.InProceedingsoftheWorkshoponGovernmentEnterpriseArchitectureasEnablerofPublicSectorReformWashingtonDC,WorldBankGroup.
• LocalGovernmentAssociationofTasmania,&SchoolofInformationSystems[UniversityofTasmania].(2003).InformationandKnowledgeManagementNationalScopingStudyRetrieved25thNovember,2018,fromhttp://www.lgat.tas.gov.au/webdata/resources/files/Information_Knowledge_Management_Report_v1a.PDF
• IASASpain.(2014).IntroductiontoEnterpriseArchitectureandTOGAF9.1Retrieved25thNovember,2018,fromhttps://www.slideshare.net/iasaglobal/introduction-to-enterprise-architecture-and-togaf-91-38378019
• InternationalStandardsOrganizationRecordsRequirementsinEnterpriseArchitecture.2018,fromhttps://committee.iso.org/sites/tc46sc11/home/projects/ongoing/records-requirements-in-enterpri.htmlGeneva,2018
• InterPARES3Project:TEAMCanadaGeneralStudy15–ApplicationProfileforAuthenticityMetadata.2018,fromhttp://interpares.org/ip3/display_file.cfm?doc=ip3_canada_gs15_final_report.pdfInterPARES3Project,Vancouver,2012
• Katuu,S.Facingthechallengesofmanagingrecordsintransactionalsystems.InProceedingsoftheinForum2017(Brisbane,Australia,10th-13thSeptember,2017).RecordsandInformationManagementProfessionalsAustralasia,2017.
• Marciano,R.,Lemieux,V.,Hedges,M.,Esteva,M.,Underwood,W.,Kurtz,M.,&Conrad,M.(2018).Archivalrecordsandtrainingintheageofbigdata.InRe-envisioningtheMLS:PerspectivesontheFutureofLibraryandInformationScienceEducation(pp.179-199).EmeraldPublishingLimited.
• Maldony,M.andKatuu,S.AssessingInformationSystems:ATemplateforAnalysis(TR04).InterPARESTrust,City,2016.• Tennis,J.(2006).MetadatafortheLife-Cycle.Retrieved25thNovember,2018,from
http://www.interpares.org/display_file.cfm?doc=ip2_dissemination_cs_tennis_archiexpo_2006.pdf• Weintrop,D.,Beheshti,E.,Horn,M.,Orton,K.,Jona,K.,Trouille,L.,&Wilensky,U.(2016).Definingcomputationalthinkingformathematicsand
scienceclassrooms.JournalofScienceEducationandTechnology,25(1),127-147.UtilityofEnterpriseArchitecture 20