Appendix F nterprise Architecture Artifacts he following is a list of the A artifacts that are recommended for use when documenting an enterprise using the A 3 ube Framework. xamples of each artifact are provided on following pages. A 3 ube Level/hread trategic (I) Business (B) (D) (A) s & (I) ecurity () tandards () Workforce kills (W) Artifact ID # Artifact ame (* omposite Artifact) -1 trategic lan* -2 W Analysis -3 oncept of perations cenario -4 oncept of perations Diagram -5 Balanced corecard * B-1 Business lan* B-2 ode onnectivity Diagram B-3 wim Lane rocess Diagram * B-4 Business rocess/ervice odel B-5 Business rocess/ roduct atrix * B-6 Use ase arrative & Diagram B-7 Investment Business ase* D-1 Knowledge anagement lan D-2 xchange atrix* D-3 bject tate-ransition Diagram D-4 bject vent equence Diagram D-5 Logical Data odel D-6 hysical Data odel D-7 Activity/ntity (RUD) atrix * D-8 Data Dictionary / bject Library A-1 ystem Interface Diagram A-2 ystem ommunication Description A-3 ystem Interface atrix * A-4 ystem Data Flow Diagram A-5 ystem/perations atrix * A-6 ystems Data xchange atrix * A-7 ystem erformance atrix * A-8 ystem volution Diagram A-9 Web Application Diagram I-1 onnectivity Diagram I-2 Inventory I-3 apital quipment Inventory I-4 Building Blueprints * I-5 enter Diagram I-6 able lant Diagram I-7 Rack levation Diagram -1 ecurity and rivacy lan* -2 ecurity olutions Description -3 ystem Accreditation Document* -4 ontinuity f perations lan* -5 Disaster Recovery rocedures * -1 echnical tandards rofile -2 echnology Forecast W-1 Workforce lan* W-2 rganization hart W-3 Knowledge and kills rofile An Introduction to nterprise Architecture 3 rd dition 283
A 3 Framework Area echnology Business trategy s & Artifact # and ame -1: trategic lan A trategic lan is a high-level policy and planning document that an enterprise uses to document its direction, competitive strategy, most important goals, and the enabling programs and projects (strategic initiatives). he trategic lan covers a future period, usually 3-5 years. Description A trategic lan is a composite A artifact that should guide the enterprise s direction over a 3-5 year period in the future by providing the following items, each of which are primitive (basic) A artifacts. Full versions of abbreviated primitive artifacts are separate artifacts. rovide a ission tatement and a Vision tatement that succinctly captures the purpose and direction of the enterprise. Develop a tatement of trategic Direction that fits the enterprise s purpose, ensures survivability, allows for flexibility, and promotes competitive success. his statement is a detailed description of where the enterprise intends to go. ummarize the results of a W Analysis that is based on the statement of strategic direction and which identifies the enterprise s strengths, weaknesses, opportunities, and threats. he full W analysis is artifact -2. ummarize the situation and planning assumptions for several oncept of perations cenarios that support the enterprise s strategic direction. his summary should include one current scenario that describes at a high-level the coordination of ongoing activities in each line of business, as well as several future scenarios that account for different combinations of internal and external drivers identified through the W Analysis. he complete scenarios are artifact -3. Develop a Diagram that in a single picture captures the essence of and participants in the current operating scenario. his graphic is artifact -4. Develop a General ompetitive trategy for the enterprise that incorporates the current and future scenarios and moves the enterprise in the intended strategic direction in a way that and address internal/external drivers such as culture, line of business requirements, market conditions, competitor strategies, and risk. Identify trategic Goals that will accomplish the competitive strategy, and specify the executive sponsors who are responsible for achieving each goal. Identify trategic and resource sponsors for the initiatives, which are the ongoing programs or development projects that will accomplish each trategic Goal. ummarize utcome easures for each trategic Goal and Initiative, using the Balanced corecard or similar approach. he full scorecard is artifact -5. An Introduction to nterprise Architecture 3 rd dition 284
A 3 Framework Area echnology Business trategy s & Artifact # and ame -2: W Analysis he trength, Weakness, pportunity, and hreat (W) Analysis takes a holistic look at the enterprise by identifying internal and external factors which when mapped can reveal areas for improvement and focus. xample ne of the earliest activities the enterprise performs in developing a strategic plan is a trength, Weakness, pportunity, hreat (W) Analysis. his analysis looks at internal and external factors to determine areas that the enterprise should focus on to increase its survivability and success, as well as areas that the enterprise should avoid, or decrease its exposure to. he results of the W Analysis should be summarized in the trategic lan along with the matrix table illustrated below, and the full W Analysis is archived in the A Repository as a separate primitive artifact (-2). he following is an example of a way to summarize a W Analysis. xternal Factors Internal Factors xternal pportunities () 1. ontracting 2. Government 3. ew echnology 4. artnerships xternal hreats () 1. Funding 2. arket Drivers 3. erger 4. Advanced echnology 5. I Adoption Rate Internal trengths () 1. User ommunity 2. Relationships 3. Involved Leadership 4. In-house echnology 5. Legacy Architecture 6. raining Budget 7. ulture 5/3: Legacy Web ortals 1/3: ecurity 1/2: FD Requirements 6/5: I raining 1/5: I Awareness Internal Weaknesses (W) W1. olicy / Regulations W2. Governance Value W3. I kills ystems W4. nterprise Architecture W5. I kills rocess W6. Low Usability/Implementation W W4/4: A haring W W4/1: Funding Data From the identification of Internal trengths (), Internal Weaknesses (W), xternal pportunities (), and xternal hreats () for the enterprise, a matrix arrangement like the example above can help to reveal internal and external areas to focus on. his W Analysis is also used to help enterprise architects and strategic planners to develop oncept of perations () scenarios that detail current and future operating environments. An Introduction to nterprise Architecture 3 rd dition 285
A 3 Framework Area echnology Business trategy s & lanning Assumptions 1. ew Video eleconferencing capability. 2. roduct roll-outs at ational conferences. 3. eed to hold detailed product discussions on short notice, globally. 4. 24x7 work availability. 5. Increased suburban commuting and telecommuting. 6. racking of Govt. reports to anticipate product needs. 7. hanging population demographics, driving new product development. 8. Increased cost benefit of solar powered lighting. 9. Additional product features to attract customers 10. Global use of DAs for employee communication. 11. Integration of sales, marketing, and production information. 12. Accurate customer quotes on the fly. Artifact # and ame -3: cenario A oncept of perations cenario is a narrative document that describes how the enterprise operates currently or will operate several years in the future given certain stated internal and external factors identified in the W Analysis. he scenario is footnoted with planning assumptions. xample Jeff Linder, Vice resident of Industrial ales for Danforth anufacturing ompany (D) had just finished a presentation at the 2008 ational Highway afety onference along with Richard Danforth, D s, who had teleconferenced in on the big display screen behind the podium. 1 As Jeff was leaving the main conference room, Andrea ewman, Director of afety and ransportation for the tate of ennessee, asked Jeff if they could talk about the new line of solar-powered highway lights he had just given a presentation on. 2, 3 hanks for taking a minute to talk Jeff. I want to tell you about a situation we have in ennessee and see if your new product line can help said Andrea as they found a table in the refreshment area. 4 o problem, thanks for asking Jeff said. Andrea pulled up a document on her tablet computer and said Jeff, here is a report that shows an increasing number of serious accidents in rural areas of ennessee involving passenger cars and agricultural equipment or commercial trucks. We ve attributed it to the growth of suburban communities further out in the countryside that then depend on two-lane country roads for commuting into the city. 5 When you put slow tractors and trucks together with cars that are in a hurry at all hours to get somewhere, you have a recipe for disaster. Isn t this problem being seen in other places around the country? asked Jeff. Yes, and one of the contributing factors that is consistently coming out of investigations of the night-time accidents is the lack of good lighting on these country roads. 6 I am thinking that your highway grade solar lighting can help us provide more night visibility on high-risk rural roads without needing electrical infrastructure. 7, 8 Jeff thought for a minute before responding. You know, the new line of highway lights has options to incorporate 911 emergency call boxes and Global ositioning ystem (G) equipment that can connect to both tate and local level first responders. 9 his might be useful in also improving response times should an accident occur in spite of the improved lighting. Andrea nodded and said, Yes, I doubt that better lighting will solve the entire problem, but it will help people see each other better, and these other options can improve accident response times. What is the pricing on these units? Jeff pulled his ersonal Digital Assistant (DA) 10 out of his pocket and connected to D s marketing and sales database at headquarters via a satellite Internet link. 11 Andrea, these units are $11,300 each, including the G and 911 features. Andrea took notes and responded, If I can get permission to conduct a pilot test in a couple of months can you provide the lights? Jeff asked How many miles of road? About four miles in the particular area I m thinking of said Andrea. k, the suggested density for the new unit is 18 per mile, so that would be 72 units total. I can give you our 10 percent early-adopter discount, so the total would be $732,240. Let me check what the shipping time would be. Jeff sent a high priority email to Bob Green, Vice resident of anufacturing. Bob was in the factory when he received Jeff s email on his DA, and after checking the D roduction cheduling ystem, responded two minutes later that a special order for 72 units could be completed and shipped 35 days from when the order is received. Jim relayed this information to Andrea, who said, Wow, that s fast. I have all the information I need to propose the project, I ll get back to you next week 12 An Introduction to nterprise Architecture 3 rd dition 286
A 3 Framework Area echnology Business trategy s & Artifact # and ame -4: oncept of perations Diagram A oncept of perations () diagram is a high-level graphical depiction of the how the enterprise functions, either overall, or in a particular area of interest. xample Diagram his Diagram shows at a high level how a fictitious system called the Hurricane Warning ystem would conduct its primary mission of providing a coordinated weather surveillance and reporting capability using land-based, sea-based, airborne, and space-based resources. An Introduction to nterprise Architecture 3 rd dition 287
A 3 Framework Area Artifact # and ame echnology Business trategy s & -5: Balanced corecard he Balanced corecard goes beyond financial measures of success for an enterprise and establishes goals and measures in four key business views: ustomer;, Financial; Internal Business rocesses; and Learning and Growth. Description he Balanced corecard suggests that people should view the enterprise from four perspectives, (not just a money perspective) and should develop metrics, collect data, and analyze the enterprise relative to each of these perspectives, as is shown in the figure to the right. he Balanced corecard is a management and measurement system that enables enterprises to clarify their vision and strategy and translate them into action. he scorecard provides feedback around both the internal business processes and external outcomes in order to continuously improve strategic performance and results. When fully deployed, the balanced scorecard transforms strategic planning from an academic exercise into the nerve center of an enterprise. 1 Financial o succeed financially, how should we appear to our shareholders? ustomer Internal Business o achieve our Vision rocesses vision, how and hould we o satisfy our Appear to our hareholders & trategy customers? ustomers, what Business processes ust we excel at? Learning and Growth o achieve our vision, how will we sustain our ability to change and improve? Balanced corecard trategic trategic Initiative 1 Initiative 2 Financial erspective trategic bjective utcome easure 1 utcome easure 2 utput easure A utput easure B utput easure Internal Business rocess erspective trategic bjective utcome easure 1 utcome easure 2 utput easure A utput easure B utput easure ustomer erspective trategic bjective utcome easure 1 utcome easure 2 utput easure A utput easure B utput easure Learning and Growth erspective trategic bjective utcome easure 1 utcome easure 2 utput easure A utput easure B utput easure trategic trategic trategic Initiative 3 Initiative 4 Initiative 5 1 Balanced corecard Institute An Introduction to nterprise Architecture 3 rd dition 288
1. A 3 Framework Area echnology Business trategy s & Artifact # and ame B-1: Business lan he Business lan provides a high-level description of the key line of business functions, and financial strategy that will accomplish the strategic goals and initiatives. Description he following items are often found in a Business lan: 1. Business verview 2. xecutive eam rofile 3. Relationship of Business Activities to trategic Goals 4. rganizational tructure 5. arket utlook and ompetitive trategy 6. Business ycles 7. apitalization ummary 8. Financial trategy 9. urrent Financial tatus ummary 10. Business artnerships and Alliances An Introduction to nterprise Architecture 3 rd dition 289
A 3 Framework Area echnology Business trategy s & Artifact # and ame B-2: ode onnectivity Diagram he ode onnectivity Diagram shows the operational nodes, activities performed at each node, node-to-node relationships, and information exchanges. he purpose of this diagram is to show, at a high level, who are the operating groups in the enterprise (lines of business) and how they share information. xample erforms: Activity A Activity B ode 1 eedline 1 ype X ode 2 From xternal ource (upply hain) erforms: Activity A Activity eedline 2 ype Y erforms: Activity ode 3 An Introduction to nterprise Architecture 3 rd dition 290
A 3 Framework Area echnology Business trategy s & Artifact # and ame B-3: wim Lane rocess Diagram A takeholder Activity Diagram shows which stakeholders (those with a vested interest in the enterprise) are involved with line of business processes, and the timing of that interaction. he diagram uses the format of swim lanes to arrange stakeholders by row, and timeframes by column, then overlaying activities with flowchart symbology. xample An Introduction to nterprise Architecture 3 rd dition 291
A 3 Framework Area echnology Business trategy s & Artifact # and ame B-4: Business rocess Diagram A Business rocess Diagram shows a detailed breakdown of an activity, including how each step in the activity relates to the others. he B-4 diagram follows the IDF-0 modeling technique to show what the inputs, controls, outputs, and mechanisms are for each step in the process. Description and xample Inputs: Items that initiate/trigger the activity and ontrols are transformed, consumed, or become part. ontrols: Guide or regulate the activity; usually Inputs utputs Activity indicate when/ how a process will be performed. utputs: he results produced by the activity; the reason for which the process was performed. I echanisms echanisms: ystems, people, and equipment used to perform the activity. IDF-0 activity modeling is suitable for business process documentation in that it provides both high level context views, and more detailed views of each step in the activity in a format that can be further decomposed and interrelated with other processes to show linkages. his type of diagram is useful in showing linkages between steps and internal/external influences, but may not indicate a time sequence. An Introduction to nterprise Architecture 3 rd dition 292
A 3 Framework Area echnology Business trategy s & Artifact # and ame B-5: Activity/roduct atrix he Business Activity & roduct atrix maps the lifecycle of revenue-producing products to various lines of business throughout the enterprise. his matrix highlights who owns business processes and products, as well as the extent of supply chains. xample he Activity/roduct atrix maps the lifecycle of each revenue-producing product that the enterprise produces to the line(s) of business that support one or more phases of the product lifecycle. his matrix allows the enterprise to see where the vertical and horizontal (cross-cutting) business product activities are located, as well as to help define ownership of those processes. he B-5 Activity/roduct atrix can then be used with various level artifacts (e.g. D-7 Activity/ntity atrix) to further map the product lifecycle to requirements for data across the enterprise. Business roduct Line of Business A Line of Business B Line of Business Line of Business D Line of Business Line of Business F Line of Business G roduct 1 R F L roduct 2 W D F L roduct 3 W D F L roduct 4 R F L roduct 5 F L roduct 6 W D F Remarks R = Research & Develop W = Warehouse = ervice L = Legal = anufacture D = Distribute F = Financials he product lifecycle illustrated in this example has five sequential stages (research and development, manufacturing, warehouse storage, sales/distribution, and servicing) and two parallel administrative functions (financials and legal). roduct lifecycles are different within most enterprises, and adjustments to the B-5 matrix should be made accordingly. An Introduction to nterprise Architecture 3 rd dition 293
A 3 Framework Area echnology Business trategy s & Artifact # and ame B-6: Use ase arrative & Diagram A Use ase narrative follows the Unified odeling Language (UL) format for identifying business requirements, their context, stakeholders (actors), and business rules for their interaction with systems, services, and applications that are identified as technology solutions requiring development. xample An Introduction to nterprise Architecture 3 rd dition 294
A 3 Framework Area echnology Business trategy Artifact # and ame B-7: Investment Business ase An Investment Business ase uses a standard format to describe the value, risk, and return on investments made in technology and other resources. he Business ase also contains an alternatives analysis, program performance tracking metrics, architecture information, and security status information. xample 1. ew Requirement. A new requirement for resource(s) or support is identified in a line of business (LB), which is brought to the A and capital planning teams for evaluation. 2. xisting olution heck. he A and capital planning teams determine that an existing A component cannot meet the requirement. 3. ew olution Business ase. he sponsoring LB determines that the requirement is of sufficient importance to merit the cost of developing a business case: Business eed. Describe the requirement in terms of the gap in operational or administrative performance it represents to the LB and the enterprise. Impact if ot Resolved. Describe the impact to the enterprise if the performance gap is not resolved, including strategic, business, and technology impact. Alternatives Analysis. Identify 3 or more viable alternative solutions (if 3 exist). ost-benefit Analysis. Quantify the direct and indirect costs and benefits for each alternative on a lifecycle basis, including qualitative items. s & Return on Investment. Do a RI calculation for each alternative. et resent Value Adjustment. Do a V adjustment for each RI calculation to account for anticipated cost increases over the investment s lifecycle. 4. Business ase valuation. he business case s alternatives are evaluated by the Architecture Working Group (AWG) for the correctness of the analysis, and alignment with the A at each level of the framework. he apital lanning Working Group (WG) then reviews the business case for the correctness of the financial analysis. A coordinated recommendation is made to the executive-level apital lanning Board (B) as to whether the business case should be approved or disapproved. 5. Business ase Approval. he B reviews and approves/disapproves the business case in the context of the enterprise s overall investment portfolio using criteria that identify value from a strategic, business, and technology perspective: 6. Implementation. If the business case is selected (approved) for funding by the B, the proposed solution becomes an implementation project that is managed by the sponsoring LB. he project is reviewed by the B at key milestones and/or periodically as part of the capital planning process oversight of all projects. An Introduction to nterprise Architecture 3 rd dition 295
A 3 Framework Area echnology Business trategy s & Artifact # and ame D-1: Knowledge anagement lan he Knowledge anagement (K) lan provides a detailed description of how knowledge, information, and data are shared across the enterprise. he K lan includes descriptions and diagrams of information sharing between systems, applications, knowledge warehouses, and databases Description and xample K lan ontents he approach to managing data, information, and knowledge across the enterprise How data and information-sharing support the Business lan Data and information-sharing strategies and diagrams for each line of business Data and information sharing strategies with external partners and customers Which types of data in the enterprise require extra protection he lifecycle for data and information that is key to the success of the enterprise (data creation, sharing, updating, storage, retrieval, and deletion) xample of a High Level K Diagram An Introduction to nterprise Architecture 3 rd dition 296
A 3 Framework Area echnology Business trategy s & Artifact # and ame D-2: xchange atrix he xchange atrix describes relevant attributes of data exchanges between systems. hese attributes include size, logical specification of the information i.e., media, timeliness required, and the security classification and properties of the information. xample exchanges express the relationships across four important aspects of the architecture (information, activities, locations, and times) with a focus on the specific aspects of the information flow. exchanges identify which business nodes exchange what information during the performance of what activities and in response to which events. Additional information on who is performing the activity can be added, if needed for security analysis. he detailed information in the xchange atrix may be hard to collect but it is necessary to fully understand the information flow in the enterprise and its security aspects. he matrix also identifies the event that triggers the information exchange (e.g., set schedule or citizen request). he matrix keys the exchange to the producing and using activities and nodes and to the needline (from the ode onnectivity Diagram) the exchange satisfies. he xchange atrix partitions each high-level needline into its component parts, i.e., into distinct information exchanges between business nodes. An example format for this artifact is provided below. Additional characteristics may be added to the D-1 matrix based on the purpose or goals of the enterprise. 1 IFRAI DRII UR DI- AI IFRAI XHAG ARIBU DLI IDIFIR IFRAI XHAG A/ID DIA IZ DIG D DIG AIVIY RIVIG D RIVIG AIVIY RIGGRIG V FRQUY ILI HRUGHU URIY IRR- ABILIY RQUIR DIGIAL, VI, X, RAG LII IAG,. 1 K. owell and A. Reedy An Introduction to nterprise Architecture 3 rd dition 297
A 3 Framework Area echnology Business trategy s & Artifact # and ame D-3: bject tate ransition Diagram A tate ransition Diagram uses the notation from the Unified odeling Language to show how the lifecycle of a specific data object. his diagram shows changes to attributes, links, and/or behavior(s) of the n-line rder object that are a result of internal or external system events which trigger changes in state. xample lace -rder n-line order entry/ calculate line total, do/display line total rder checked heck tock heck stock/ nter/ calculate order total, do/display order total ut of tock ancel order ancelled ntry/adjust register do/display refund n-line ayment (amount) tart he Lifecycle of he n-line rder bject (Item#, Qty/ Reset Register) ake -ayment -payment entry/calculate Balance, do/display balance, exit/pay balance ull tock (quantity) rder rocessing Do/prepare ordered items for shipment Item(s) shipped Finish Delivered ntry/adjust register do/display refund An Introduction to nterprise Architecture 3 rd dition 298
A 3 Framework Area echnology Business trategy s & Artifact # and ame D-4: bject vent race Diagram he vent-race Diagram allows the tracing of actions in a set of scenarios or operational threads. ach model should focus on a critical sequence of events and a description of this scenario should accompany the model. xample With time proceeding from the top of the diagram to the bottom, a specific diagram lays out the sequence of information exchanges that occur between business nodes for a given scenario. hese information exchanges are associated with events and actions (see xchange atrix). he direction of the event arrows shows flow of control, in terms of the business process, from node to no. 1 D V/I D 1 D 2 D 3 event 1 at time 1 {formula relating time 1 to time 2} event 2 at time 2 essage 1 essage 2 event 3 at time 3 {formula relating time 3 to time 3'} time 3' time 4 essage 3 essage 4 essage 5 essage 6 time n essage 7 essage 8 1 K.owell and A. Reedy, 2001 An Introduction to nterprise Architecture 3 rd dition 299
A 3 Framework Area echnology Business trategy s & Artifact # and ame D-5: Logical Data odel A semantic data model can be developed using traditional structured methods and symbology (ntity Relationship Diagram), or one can use the object-oriented method and symbology of the Unified odeling Language (UL), which produces a lass Diagram and/or bject Diagram. xample lass Diagram (shows the static structure of a system) Dog wner lasses Link ame olor ex Barks ats Association ame Address hone Feeds errier ame olor ex Barks ats oodle ame olor ex Barks ats bjects U Keybd onitor (with inheritance of attributes) xample of Aggregation, which expresses a art-of relationship between a component object and an aggregate object An Introduction to nterprise Architecture 3 rd dition 300
A 3 Framework Area echnology Business trategy s & Artifact # and ame D-6: hysical Data odel he hysical Data odel is used to describe how the information represented in the Logical Data odel is actually implemented in automated information systems. xample here should be a mapping from a given Logical Data odel to the hysical Data odel (D). he D is a composite model whose components can vary greatly, as shown in the template below. For some purposes, an entity-relationship style diagram of the physical database design will suffice. he Data Definition Language may also be used in the cases where shared databases are used to integrate systems. References to message format standards (which identify message types and options to be used) may suffice for messageoriented command and control subsystems. Descriptions of file formats may be used when file passing is the mode used to exchange information. Interoperating systems may use a variety of techniques to exchange data, and thus have several distinct partitions in their D with each partition using a different form. hysical Data odel rovides essage Format: - tandards Reference - essage ype(s) - essage Fields with Representation - ap From the Logical Data odel to the essage Fields File tructure: -tandards Reference -Record and File Descriptions -ap from Logical Interface odel to Record Fields hysical chema: -DDL or RA otation with sufficient detail to generate the schema -ap from the Logical Data odel to the hysical Data odel with Rationale 1 K. owell and A. Reedy, 2001 An Introduction to nterprise Architecture 3 rd dition 301
A 3 Framework Area echnology Business trategy s & Artifact # and ame D-7: Activity/ntity atrix An Activity/ntity atrix is developed by mapping which data entities are affected by related line of business activities. ften called a RUD atrix because it identifies the basic types of transformations that are performed on data (reate, Read, Update, Delete) through a business process. xample 5 ntity-activity atrix ntity-activity (RUD) atrix: 1 2 3 4 5 6 7 8 tock Item tock Receive new stock ontrol U Receive customer order R Issue customer with goods Issue monthly statement Receive faulty goods rder new printed catalog rder new stock R ail catalog to customer ntity ype Invoice Invoice Line Item ustomer ustomer R U U R R R R onthly tatement Warehouse R ntity-activity atrix (RUD): =reate, R=Read, U=Update, D=Delete heck matrix that: Is every entity affected by at least one activity, if not, it s singular and should be dropped? Is there just one reate activity for each entity? ote that reate may be a boundary activity, that may have happened through internal processes. atalog atalog roduction atrix may be used to: Define the scope of the problem Describe a system map artition the system (luster Analysis) Determine who owns the data and/or processes (activities) An Introduction to nterprise Architecture 3 rd dition 302