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To stay competitive, enterprises must respond to changes as effectively and efficiently as possible and ensure the employed courses of action, whether in response to change or even to optimize business as usual, fall within the purview of internal and external directives. Often, the traceability from change drivers that led to specific directives being applied to actual business rules implementing the directives is never captured in machine processable and analyzable manner, making compliance to directives hard to track and demonstrate. We present a model-based solution that enables a) modeling directives at various levels of detail on top of extended enterprise architecture-based models of enterprise, b) analyzing the models for compliance, and c) ensuring operationalization of directives. Initial explorations with a real world case study suggest that it might be possible to establish both top-down and bottom-up traceability for directives toward compliance checking.
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Incorporating Directives into Enterprise TO-BE Architecture
Sagar Sunkle, Deepali Kholkar, Hemant Rathod, and Vinay Kulkarni
Tata Research Development and Design Center, Pune, India.
Motivation
• Enterprise’s response to change drivers, requires– coordinated treatment of what, why, how– also necessary to comply with all directives
Directives are abstract guidelines- either from regulatory bodies or internal- aimed at improving existing/planned operations
But traceability from change drivers to specific directives to actual business rules is often missing
Even if some trace is maintained, it is document-oriented, often broken, and not machine-processable
Mechanism of Directive Compliance
[From Business Motivation Model Specification]
Mechanism of Directive Compliance
In response to a change driver, an enterprise sets on a course of action-Includes setting strategic goals, coming up with alternative courses of action, choosing the optimum course of action, operationalizing the course of action
[From Business Motivation Model Specification]
Mechanism of Directive Compliance
At the same time, or once the course of action has been operationalized for some duration, the assessment of the same driver may also lead to formation of directive/policies-
[From Business Motivation Model Specification]
Mechanism of Directive Compliance
Interpretation and implementation of directives includes- Finding impacted part in operational course of action and enforcing directives/policies in the form of business rules
[From Business Motivation Model Specification]
Mechanism of Directive Compliance
To achieve these steps in machine-processable manner modeling ability for requisite concepts is needed
[From Business Motivation Model Specification]
Selecting Course of Action on top of AS-IS EA
• Mapping between EA (ArchiMate) and Intentional metamodels-− Enables representing alternate courses of action as chains of intentional tasks− Primitively workable elements, i.e., self implementable leaf tasks in strategic
rationale models, are operationalized to achieve strategic goals− Operationalization binds tasks to EA behavior elements- existing EA elements
may be reused/persisted along with additional behavior elements for selected course of action
Relating Directives to Course of Action
• Mapping between extended enterprise (EA+i*) and BMM concepts− Assessments of drivers lead to both goals and directives− A directive is related to a primitively workable element in the
form of a policy and then operationalized in terms of modification to existing business process
Exemplar- Enterprise Response to Change
External Driver
Internal DriversAssessment
(Hard)Goal
Alternative Courses of Action
• Two wealth management banks- merged (internal driver/response) due to market condition (external driver)− An assessment suggests rationalizing doubled product mix− Possible alternate courses of action are modeled− Label propagation suggests optimum course of action- this course
of action is operationalized
Exemplar- Enterprise Response to Change
External Driver
Internal DriversAssessment
(Hard)Goal
Alternative Courses of Action
Selected Course of Action
Exemplar- Enterprise Response to Change
External Driver
Internal DriversAssessment
(Hard)Goal
Alternative Courses of Action
Operationalization of workable elements on top of AS-IS EA
Exemplar- Directive affecting Operational Course of Action
External Driver
Internal Drivers
AssessmentDirective/
Policy
Operationalization of workable elements on top of AS-IS EA
Exemplar- Directive affecting Operational Course of Action
Operationalization of workable elements on top of AS-IS EA
Policy: Encourage more deposits/balance
Business Rule- Maintain $1000 balance for Platinum Tier Benefits: To get the ’Platinum’ tier/category benefits, a balance of$10000 needs to be maintained in the client account. Before opening account in this category, make sure the initial deposit is more than $10000.
Analyzing Directives
Business Rule- Maintain $1000 balance for Platinum Tier Benefits: To get the ’Platinum’ tier/category benefits, a balance of$10000 needs to be maintained in the client account. Before opening account in this category, make sure the initial deposit is more than $10000.
Model enterprise’s response to change starting from a course of action to its operationalization on top of AS-IS EA to representing a policy over selected course of action and reflecting it in terms of business rules.
All of these models are accessible via ontological representation. Directives are analyzed by querying the models using various SPARQL queries.
Analyzing Directives- Top Down Queries
Business Rule- Maintain $1000 balance for Platinum Tier Benefits: To get the ’Platinum’ tier/category benefits, a balance of$10000 needs to be maintained in the client account. Before opening account in this category, make sure the initial deposit is more than $10000.
Given a strategic goal, which directives apply to it?
− Get the selected strategy − Query the primitively
workable elements for policies reflected in them.
Given a directive, which business processes implement it?
− Get the primitively workable elements for given directive.
− Query the operationalization elements.
− Separate out BusinessProcess instances
Analyzing Directives- Bottom Up Queries
Business Rule- Maintain $1000 balance for Platinum Tier Benefits: To get the ’Platinum’ tier/category benefits, a balance of$10000 needs to be maintained in the client account. Before opening account in this category, make sure the initial deposit is more than $10000.
Which directives are realized by a business rule?
1. Get the business processes where the rule is applied
2. Get the primitively workable elements which the business processes realize
3. Query the policies which are reflected in the primitively workable elements.
Which strategic goal does a business rule affect?
− Same steps till 2 above.− Traverse actors’ routines [the set of
tasks each actor does toward fulfillment of a goal] in reverse with primitively workable elements.
Further Work
• No formal compliance checking yet– Several approaches focus on regulations [rather than internal
policies] and provide formal treatment of compliance checking, e.g., P-LTL, Formal Contract Language
– Regulations compliance requires interpretation of legal texts and logical treatment of obligations, permissions, and violations- deontic logic
– But these approaches treat regulations in silo, without considering the enterprise context
• Extend the treatment of internal policies with regulations• Bring in formal regulations compliance checking to internal
policies
