Enterprise Architecture and Cartography: From Practice to Theory; From Representation to Design

328 Pages·2022·33.985 MB·English

by  Pedro Sousa, André Vasconcelos

The Enterprise Engineering Series
Pedro Sousa
André Vasconcelos
Enterprise
Architecture and
Cartography
From Practice to Theory;
From Representation to Design
The Enterprise Engineering Series
FoundingEditor
JanL.G.Dietz,TechnicalUniversityofDelft,Delft,TheNetherlands
JoséTribolet,InstitutoSuperiorTecnico,TechnicalUniversityofLisbon,Lisboa,
Portugal
Editors-in-Chief
DavidAveiro ,FacultyofExactSciencesandEngineering,Universityof
Madeira,Funchal,Portugal
RobertPergl,FacultyofInformationTechnologies,CzechTechnicalUniversityin
Prague,Praha6,CzechRepublic
HenderikA.Proper,ITforInnovativeServices(ITIS),LuxembourgInstituteof
ScienceandTechnology(LIST),Esch-sur-Alzette,Luxembourg
EditorialBoardMembers
JosephBarjis,InstituteofEngineeringandManagement,SanFrancisco,USA
GiancarloGuizzardi ,FreeUniversityofBozen-Bolzano,Bolzano,Italy
JanA.P.Hoogervorst,AntwerpManagementSchool,Antwerp,Belgium
HansB.F.Mulder,UniversityofAntwerp,Antwerpen,Belgium
MartinOp’tLand,AntwerpManagementSchool,Antwerp,Belgium
MarnédeVries,IndustrialandSystemsEngineering,UniversityofPretoria,
Pretoria,SouthAfrica
RobertWinter,InstituteforInformationManagement,UniversityofSt.Gallen,
St.Gallen,Switzerland
Enterprise Engineering is an emerging discipline for coping with the challenges
(agility, adaptability, etc.) and the opportunities (new markets, new technologies,
etc.) faced by contemporary enterprises, including commercial, nonprofit and
governmental institutions. It is based on the paradigm that such enterprises are
purposefullydesignedsystems,andthustheycanberedesignedinasystematicand
controlledway.Suchenterpriseengineeringprojectstypicallyinvolvearchitecture,
design,andimplementationaspects.
TheEnterpriseEngineeringseriesthusexploresadesign-orientedapproachthat
combines the information systems sciences and organization sciences into a new
fieldcharacterizedbyrigoroustheoriesandeffectivepractices.Booksinthisseries
should critically engage the enterprise engineering paradigm, by providing sound
evidencethateitherunderpinsitorthatchallengesitscurrentversion.Tothisend,
two branches are distinguished: Foundations, containing theoretical elaborations
andtheirpracticalapplications,andExplorations,coveringvariousapproachesand
experiencesinthefieldofenterpriseengineering.Withthisuniquecombinationof
theoryandpractice,thebooksinthisseriesareaimedatbothacademicstudentsand
advancedprofessionals.
Pedro Sousa (cid:129) André Vasconcelos
Enterprise Architecture
and Cartography
From Practice to Theory;
From Representation to Design
PedroSousa AndréVasconcelos
InstitutoSuperiorTécnico InstitutoSuperiorTécnico
UniversityofLisbon UniversityofLisbon
Lisbon,Portugal Lisbon,Portugal
ISSN1867-8920 ISSN1867-8939 (electronic)
TheEnterpriseEngineeringSeries
ISBN978-3-030-96263-0 ISBN978-3-030-96264-7 (eBook)
https://doi.org/10.1007/978-3-030-96264-7
©TheEditor(s)(ifapplicable)andTheAuthor(s),underexclusivelicensetoSpringerNatureSwitzerland
AG2022
Thisworkissubjecttocopyright.AllrightsaresolelyandexclusivelylicensedbythePublisher,whether
thewhole orpart ofthematerial isconcerned, specifically therights oftranslation, reprinting, reuse
ofillustrations, recitation, broadcasting, reproductiononmicrofilmsorinanyotherphysicalway,and
transmissionorinformationstorageandretrieval,electronicadaptation,computersoftware,orbysimilar
ordissimilarmethodologynowknownorhereafterdeveloped.
Theuseofgeneraldescriptivenames,registerednames,trademarks,servicemarks,etc.inthispublication
doesnotimply,evenintheabsenceofaspecificstatement,thatsuchnamesareexemptfromtherelevant
protectivelawsandregulationsandthereforefreeforgeneraluse.
Thepublisher,theauthorsandtheeditorsaresafetoassumethattheadviceandinformationinthisbook
arebelievedtobetrueandaccurateatthedateofpublication.Neitherthepublishernortheauthorsor
theeditorsgiveawarranty,expressedorimplied,withrespecttothematerialcontainedhereinorforany
errorsoromissionsthatmayhavebeenmade.Thepublisherremainsneutralwithregardtojurisdictional
claimsinpublishedmapsandinstitutionalaffiliations.
ThisSpringerimprintispublishedbytheregisteredcompanySpringerNatureSwitzerlandAG
Theregisteredcompanyaddressis:Gewerbestrasse11,6330Cham,Switzerland
To myfriendsJoséTribolet,AndréSampaio,
andRicardoLeal, foralltheinspiring
discussionsaboutthesethemes.
To mywifeMariaandmysonsMigueland
Marta.
PedroSousa
To mywife, Ana
mychildren,Leonor, DianaandHelena
andmyparents,Fernandaand Fernando.
AndréVasconcelos
Foreword
Warning
I bear a very special relationship with the authors of this book, so be aware of
the implicitbias this forewordinevitablypossesses. The authorsare Professorsof
InformationSystemsattheDepartmentofComputerScienceandEngineering(DEI)
ofIST,UniversityofLisbon,whereIwasFullProfessoruntilmyretirement2years
ago. With Pedro Sousa, I had the privilege to initiate the teaching of Information
Systems Architecture two decades ago, in the then novel specialized curriculum
of Information Systems of the Computer Science and Engineering Bachelor and
MasterofScienceDegrees.AndréVasconceloshasdonehisPh.D.thesisundermy
supervision,andweallhavebeeninvolvedintheestablishmentanddevelopmentof
EnterpriseEngineering,since2004tothepresentday.
All of us have been very active also in research, supervising many M.Sc. and
Ph.D. students, while pursuingalso professionalactivities as practicantengineers,
inprivateandpubliccompaniesandinpublicadministrationinstitutesanddepart-
ments.
AboutThisBook
Thisbookrepresentsamajormilestoneinthematurationandthealignmentofthe
fundamentalconceptsthat our Lisbon pole of Enterprise Engineeringhas focused
on after these two decades. The authors present in the book their specialized
views, which are naturally distinct from each other given their specific research
and professionalfocus, in an integratedand coherentway, a featonly possible by
theirvastexperienceinjointlyteachingM.Sc.andPh.D.courses.
Myrecommendationtosomeonewithpotentialinterestinenterprisearchitecture
andtryingtodecidewhetherthisbookisworthpayingattentiontoistoreadfirst,
slowlyandreflexively,Chap.2—FoundingConcepts.Understandingthedeeprela-
vii
viii Foreword
tionbetweenSystemsandArchitecture,asitconcernsthehumancapabilitytodeal
intelligentlyandpurposefullywithEnterprises,bothindividuallyascollectively,is
asolidandsoundstartingpointtobenefitinfullfromthepedagogicalexpositionof
thedifferentsubjectspresentedinthebook.
ThebookaddressesthetwomostrelevantdimensionsofEnterpriseArchitecture,
representation and design, detailing in the several chapters both theoretical and
practicalaspectsrelevantforthesepurposes.
IchoosetoemphasizeinthisforewordtherelevanceofEnterpriseCartography,
as the meansfor humansto apprehendand comprehendthe context,the facts, the
actions,theevidences,andtheeffectsthatoccurwiththeirenterprisecontext,with
asharedsemanticandontologicalcontext.
The availability of proper, truthful, real-time Enterprise Cartography, enabling
effective and efficient communication among all Enterprise collaborators, maxi-
mizesthe effectsofsystemic, timely,and synchronizedactions.Today,the advent
of 5G and the IoT provides affordable technological means to achieve real-time
systemic and global “As Is” representations of an Enterprise, as long as there
is sound and solid Enterprise Architecture tools and infrastructures in place,
dynamicallyand constantly updatedto track the continuouschangesthat occuras
timegoesby.
It is my deep belief that we will be seeing the emergence of the collective
awarenessofthestateandthedynamicsassociatedwithanyenterprise,continuously
construedand reified fromthe data collectedby the sensorsand the humanactors
as theyact, enrichingthe informationavailableto andsurroundingeach actor and
enablinghimtomakebetterdecisions.
TheimpressiveadvanceswearewitnessinginAIandDeepLearningwillfurther
potentiatethecapabilitiesofeachhumanandofthecollectiveofhumansthatareat
anygivenmomentanEnterprise,toactintelligentlytowardachievingtheirintended
purpose.
InConclusion
I considerthatthe contextsof thisbookrepresenta majorcontributiontowardthe
BodyofKnowledgeofEnterpriseEngineering,inthe“latusensu,”valuabletothose
involvedinteaching,research,andprofessionalpractice.
The existence of systemic and holistic perspectives of Enterprise Architecture,
founded on solid enterprise semantics and ontology basis, will constitute “Must
Have” requirements adopted by all Enterprise Architects and by all Enterprises.
Without it, I fear for the perniciousand uncontrolledusage and effects of AI and
MLinthefuture.
INESC JoséTribolet
Lisboa,Portugal
January2022
Contents
PartI Motivation:WhyWeWroteThisBook
1 Introduction................................................................. 3
1.1 EnterpriseArchitecture:ExpectationsandDisappointments....... 3
1.2 EnterpriseDesignandRepresentation .............................. 5
1.3 EnterpriseCartography .............................................. 9
1.3.1 ApproachestoEnterpriseCartography.................... 12
1.4 BookStructureandContributions................................... 13
1.4.1 BookContributions......................................... 14
1.4.2 BookStructure.............................................. 14
1.5 Exercises.............................................................. 15
References.................................................................... 15
PartII Theory:TheTheoriesBehind
2 FoundingConcepts......................................................... 19
2.1 SystemsandEnterprises ............................................. 19
2.1.1 Systems ..................................................... 19
2.1.2 Enterprises.................................................. 21
2.2 ArchitectureandEnterpriseArchitecture ........................... 22
2.3 DesignandRepresentation........................................... 24
2.4 ArchitectureViewsandViewpoints................................. 26
References.................................................................... 27
3 EnterpriseArchitecture.................................................... 29
3.1 Introduction........................................................... 29
3.2 EnterpriseArchitectureDomainsandFrameworks................. 29
3.2.1 TheZachmanFramework.................................. 30
3.2.2 TheOpenGroupArchitectureFramework................ 33
3.2.3 ArchiMate................................................... 33
3.2.4 CommonlyusedArchitectureLayers...................... 36
3.3 TheArchitectureoftheEnterprise .................................. 36
ix
x Contents
3.3.1 StrategyArchitectureLayer................................ 36
3.3.2 BusinessArchitectureLayer............................... 48
3.3.3 InformationArchitectureLayer............................ 57
3.3.4 InformationSystemsArchitectureLayer.................. 60
3.3.5 TechnologyArchitectureLayer............................ 63
3.3.6 ServiceArchitectureLayer................................. 66
3.4 Exercises.............................................................. 68
References.................................................................... 76
4 EnterpriseArchitecturePatternsandPrinciples ....................... 79
4.1 Introduction........................................................... 79
4.1.1 PrinciplesDescription...................................... 79
4.1.2 PrinciplesSummary........................................ 80
4.2 Cross-LayerPrinciples............................................... 80
4.2.1 ComponentsAreCentralized .............................. 80
4.2.2 Front-OfficeProcessesAre Separatedfrom
Back-OfficeProcesses...................................... 84
4.2.3 Channel-SpecificIsSeparatedfrom
Channel-Independent....................................... 86
4.2.4 DataIsProvidedbytheSource............................ 87
4.2.5 DataIsMaintainedintheSourceApplication ............ 88
4.2.6 DataIsCapturedOnce ..................................... 89
4.2.7 SystemsCommunicateThroughServices................. 90
4.2.8 BusinessandInformationArchitecturesAreAligned.... 90
4.2.9 BusinessandApplicationArchitecturesAreAligned .... 92
4.2.10 InformationandApplicationArchitectures
AreAligned................................................. 92
4.2.11 RequiredApplicationServicesAreAvailable............. 94
4.2.12 ServicesHaveDifferentInterfaces ........................ 96
4.2.13 ApplicationsManageInformationwiththeSame
SecurityLevel............................................... 97
4.2.14 CriticalProcessAreExecutedinSpecificSystems....... 98
4.2.15 EachInformationEntityIsManagedbyaSingle
Application.................................................. 99
4.2.16 PrimitiveandDerivedDataAreManagedby
DifferentITComponents................................... 100
4.3 BusinessLayerPrinciples............................................ 102
4.3.1 BusinessUnitsAreAutonomous.......................... 102
4.3.2 CustomersHaveaSinglePointofContact................ 102
4.3.3 ManagementLayersAreMinimized ...................... 102
4.4 InformationLayerPrinciples ........................................ 104
4.4.1 InformationManagementIsEverybody’sBusiness ...... 104
4.4.2 CommonVocabularyandDataDefinitions................ 104
4.4.3 ContentandPresentationAreSeparated .................. 107