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.

UtilityofEnterpriseArchitecture 3

1.0 Introduction

•  Therearefourmajorcategoriesofcomputationalthinking:•  datapractices,•  modelingandsimulationpractices,

•  computationalproblem-solvingpractices,and

•  systemsthinkingpractices(Weintropetal.2016,p.127-147)

•  Thispresentationfallsundersystemsthinkingpracticeswithitsfocusonunderstandingthedynamicswithinsystemsandhowthosesystemschangeovertime.

UtilityofEnterpriseArchitecture 4

1.0 Introduction

•  Thispresentationdiscussesenterprisearchitecture(EA),thatemergedinthe1980stoaddressinstitutionalcomplexityinanincreasinglysophisticatedorganizationalenvironment(Ahlemann,F.,et.al2012)•  EAemergedasanapproachtoimprovethealignmentbetweentheorganization’sbusinessandtheirinformationsystems(Ahlemann,F.,et.al2012)

UtilityofEnterpriseArchitecture 5

IncreasinglywemayfeellikeAliceinWonderland,havingfallenintoarabbithole…intoafantasyworldpopulatedbypeculiar“anthropomorphicsystems”(e.g.ArtificialIntelligencesystems).

1.0 Introduction

•  AtthepointofEA’semergence,computersoftwaredevelopersandinformationsystemengineersrealizedthattheycouldonlydesignsuitableITcomponentsifthey“understoodhowtheorganisationworksasdefinedbyitsprocesses,organisationalstructureandgoals”(Ahlemann,F.,et.al2012)

UtilityofEnterpriseArchitecture 6

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

UtilityofEnterpriseArchitecture 7

2.0 Literature Review •  Moderninstitutionsinvestlargeamountsofresourcestobuildtechnologyplatformsandbusinessapplicationstosupportorganizationalactivitieswhichwillfulfiltheirinstitutionalmandate.

•  AsITdepartmentsbuildsystems,theycreatelegaciesbasedonbusinessassumptionsthatmightnolongerholdtrue.

•  EffectivemanagementoftechnologyassetshasnecessitatedthedevelopmentofportfoliomanagementtechniquesandmodelstomapoutthecompleteITecosystemintheirinstitutions.

UtilityofEnterpriseArchitecture 8

2.0 Literature Review

•  Formanysuchinstitutions,creatinganinventoryofsystemsorapplicationsisjustthebeginningofthemanagementprocess.

•  Therestofthemanagementprocessentailsmodelingtheorganizationalstructure,businessprocesses,informationflow,informationsystems,andinfrastructure

•  EAmodelsdifferfrompurebusinessprocessmodelsastheyholisticallydescriberelatedenterprisecapabilitiesanddifferentlayers’assets

UtilityofEnterpriseArchitecture 9

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)

UtilityofEnterpriseArchitecture 10

3.0 EA Frameworks – a primer on TOGAF

•  Sincethemid-1980s,EApractitionersdevelopedmorethantwodozenframeworks,includingtheZachmanFramework,TOGAF,andtheFederalEnterpriseArchitecture(FEA)framework.•  Theseframeworksarepopularbecauseoftheirmaturity.Zachmanistheoldest;TOGAFandFEAallowfreeaccesstoresourcesandinformation.

UtilityofEnterpriseArchitecture 11

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.

UtilityofEnterpriseArchitecture 12

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.

UtilityofEnterpriseArchitecture 13

4.0 Design of an integrated TOGAF Framework

•  AspartofaresearchstudyconductedundertheauspicesoftheInterPARESTrustproject,thisresearcherisexploringtheutilityofTOGAFarchitecturedomainsinaninstitutionalsetting.•  Intheresearch,theTOGAFEADwasexpandedtoaccommodateamodifiedformoftherecords/archivesandinformationlifecyclemodel.Thenormallifecyclemodelusuallyconstitutescreationorreceiptofrecordsorinformation,theircapture,storageandmaintenance,use,anddisposition.•  Themodifiedlifecyclewithintheinstitutionalsettinghasfourphases:

•  informationauthoring•  informationmanagement;•  recordsmanagement;and•  archivesmanagement.

UtilityofEnterpriseArchitecture 14

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)

UtilityofEnterpriseArchitecture 16

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

UtilityofEnterpriseArchitecture 18

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.

UtilityofEnterpriseArchitecture 19

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