An Enterprise Modeling Framework for Banks using Algebraic Graph Transformation vorgelegt von Diplom-Wirtschaftsinformatiker Christoph Brandt aus Berlin-Lichterfelde von der Fakultät IV - Elektrotechnik und Informatik der Technischen Universität Berlin zur Erlangung des akademischen Grades Doktor der Ingenieurwissenschaften - Dr.-Ing. - genehmigte Dissertation Promotionsausschuss: Vorsitzender: Prof. Dr.-Ing. Dr. h.c. Sahin Albayrak (Technische Universität Berlin) Berichter: Prof. Dr. rer. nat. Hartmut Ehrig (Technische Universität Berlin) Berichter: Prof. Dr. rer. nat. Thomas Engel (Universite du Luxembourg) Berichter: Prof. Dr.-Ing. Gabriele Taentzer (Philipps-Universität Marburg) Tag der wissenschaftlichen Aussprache: 20. Dezember 2013 Berlin 2013 D 83 iii
Contents I Introduction 3 1 Given Situation 9 1.1 Need and Research Question 9 1.2 Areas of Interests and Focus 10 2 Decisions, Choices and Results 11 2.1 Research Portfolio 11 2.2 Objects of Interest 12 2.3 Methods and Contributions 13 2.4 Course of Action and Results 16 II Requirements 21 3 Organizational Requirements 27 3.1 Operational Security and Risk 27 3.2 Organizational Properties 29 4 Theoretical Requirements 31 4.1 Languages 31 4.2 Models 34 4.3 Enterprise (Modeling) Architecture Frameworks 36 5 Industrial Requirements 39 5.1 Enterprise Modeling Frameworks 39 5.2 Enterprise Architectures 42 5.3 Domain-specific (Modeling) Languages 44 6 Requirements for the EM Framework 47 6.1 Modeling Languages and Models 47 xi
6.2 Conceptual EM Framework 49 III The Conceptual EM Framework 51 7 Human-centric Models 57 7.1 IT Landscapes as Visual Models 57 7.2 Business Processes as Visual Models 61 7.3 Business Rules as Textual Models 63 8 Machine-centric Models 67 8.1 Reo models for IT Landscapes 67 8.2 Modelica models for IT Landscapes 70 8.3 mcrl2 models for Business Processes 72 8.4 FOL models for Business Rules 77 9 Domain Spaces and Conceptual Relations 81 9.1 Human-centric and machine-centric 81 9.2 Business and IT Universe 83 9.3 Services, Processes and Rules 85 9.4 Security, Risk and Compliance 87 10 The Conceptual EM Framework 91 11 Evaluation of the Conceptual EM Framework 97 11.1 Models and Modeling Languages 97 11.2 Conceptual EM Framework 99 12 Requirements for EM Techniques 103 12.1 Intra-Model Techniques 103 12.2 Inter-Model Techniques 104 13 State of the Art and relevant Practice for EM 107 13.1 Domain-specific Modeling Techniques 107 13.2 Model Transformation Approaches and Tools 109 IV Graph Transformation for Enterprise Modeling 111 14 Basic Notions j jy xii
14.1 Typed Attributed Graphs 117 14.2 The Double-Pushout Approach 121 14.3 Local Church-Rosser Theorem 123 14.4 Parallelism and Concurrency Theorem 125 14.5 Embedding and Extension Theorem 128 14.6 Critical Pairs and Confluence 130 15 Intra-Model Techniques 135 15.1 Inheritance, Graph Grammar, Language and GT Systems 135 15.2 Graph Constraints and Application Conditions 141 15.3 Model Refactoring 145 15.4 Switch and Permutation Equivalence 147 16 Inter-Model Techniques 151 16.1 Triple Graphs, Rules, Grammars and Languages 151 16.2 Model Transformation 157 16.3 Model Integration 166 16.4 Model Synchronization 168 16.5 Propagation of Constraints 174 16.6 Conformance Check of Models 179 17 Evaluation of Graph Transformation Techniques 183 17.1 Basic Notions 183 17.2 Intra-Model Techniques 185 17.3 Inter-Model Techniques 187 V The instantiated AGT EM Framework 191 18 Instantiations of Intra-Model Techniques 197 18.1 Model Creation realized by Graph Grammars 197 18.2 Model Examination realized by Graph Constraints 203 18.3 Model Refactoring realized by Graph Productions 207 18.4 Model Generation realized by Graph Grammars 210 19 Instantiations of Inter-Model Techniques 217 19.1 Model Transformation realized by TGGs 218 19.2 Model Integration realized by TGGs 225 xiii
19.3 Model Synchronization realized by TGGs 19.4 Propagation of Constraints realized by TGGs 234 19.5 Model Conformance Check realized by TGGs 242 20 Evaluation of the instantiated Framework 255 VI Case Study for Security and Risk 259 21 Security 2 *^ 21.1 IT Landscapes 265 21.2 Business Processes 270 21.3 Business Rules 280 22 Risk 287 22.1 IT Landscapes 287 22.2 Business Processes 299 23 Evaluation of the Case Study 311 VII Conceptual Embeddings 313 24 Embedding into the Organizational Context 319 24.1 Organizational Extensions 319 24.2 An MDA-complient Service Architecture 320 24.3 The hard-and Software Back-end 321 24.4 Regulations, Standards and Norms 322 25 Embedding into the Economic Context 325 25.1 Financial Service Providers 325 25.2 IT Services Providers 326 25.3 IT Infrastructure Providers 327 26 Embedding into the Linguistic Context 329 26.1 Syntax, Semantics and Pragmatics in Communication 329 26.2 Modeling Dialogues 339 27 Evaluation of the Embeddings 341 27.1 Organizational Context 341 xiv
27.2 Economic Context 343 27.3 Linguistic Context 343 VIII Summary 347 28 Obtained Results 353 28.1 Coverage 353 28.2 The specialized AGT EM Framework 357 28.3 GERAM and the extended AGT EM Framework 364 28.4 Mutual Interaction 365 29 Future Work 367 29.1 Follow-up Research Questions 367 29.2 An AGT EM framework instantiation using RDF 370 30 Conclusions 373 IX Bibliography 375 X Appendix 403 31 Category Theory 407 32 Signatures, Algebras and Terms 415 33 Algebraic Graph Transformation 419 XI Index 435 XV