feac certified enterprise - verbundzentrale des gbv · feac certified enterprise architect...

FEAC Certified EnterpriseArchitect CEA Study Guide

FEAC Institute Press byPrakash C. Rao, Ann Reedy, Ph.D.,

and Beryl Bellman, Ph.D.r

TECUM IS CHE^

INFORM ATI ON SB! QUOTHEK

UNIVERSITATSBIBUOTHEKHANNOVER

McGraw-Hill is an independent entity from the FEAC Institute and Is not affiliated

with FEAC Institute in any fashion. This publication and CD may be used in assistingstudents to prepare for the CEA exam. Neither the FEAC Institute nor McGraw-Hill

warrants that use of this publication and CD will ensure passing any exam. Practice

exam questions were not subject to the same item development process as questionson the actual exam and may or may not reflect the actual exam experience.

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CONTENTS

Foreword xxix

Acknowledgments xxxiii

Preface xxxv

Introduction xxxix

Part I

Foundation Concepts

I. I Why EA andWhyThis Book 3

Emergence of EA 5

Early 1990s: Emergence of the CIO as an Executive

Role and a Seat for IT at the Table 5

1994: Federal IT Expenditure Was on the GAO's Radar 6

1996: Clinger-Cohen Act:

The ITMRA Compliance Threat 7

What About the Nonfinancial Issues

That Plagued the CIO? 8

1999: Federal Enterprise Architecture Framework (FEAF) ....8

1999-2000: The Y2K Threat 9

2001: The Disaster Recovery Threat 9

Today: Current Enterprise Challenges 10

The Case for Enterprise Architecture 12

Communication 12

Unifying Architecture Frameworks 13

A Rich Set of Models 13

Transformation H

Addressing a Family of Problems and

Solutions Simultaneously 1*5

Enterprise Architecture Certification 18

The Relevance of This Text to Other EA Certifications 24

Zachman Institute Certification 25

xi

Xii FEAC Certified Enterprise Architect CEA Study Guide

The Open Group Certification 25

Certification Process and Certificates 25

FEAC Certification Process 26

Learning Objectives for This Book 26

Scope of the FEAC Certification Syllabus 27

Formal Coursework 27

Practicum Project 27

Questions 28

Reference List 30

1.2 Enterprise Architecture Concepts 31

Enterprise 32

Segments 33

Initiatives and Solutions 34

Architecture 35

Architectural Description 35

Implicit and Explicit Architectural Descriptions 36

Benefits of an Explicit Architecture 39

Architecture Viewpoints 39

Governance Viewpoint 40

Project Viewpoint 40

Capability Viewpoint 40

Operational Viewpoint 40

Architecture Models 41

Enterprise Architecture 42

Architecture Framework 43

Benefits of Architecture Frameworks 45

Example Architecture Frameworks 46

Zachman Framework 46

Federal Enterprise Architecture Framework (FEAF) 48

Department of Defense Architecture

Framework (DoDAF) Version 2.0 49

The Open Group Architecture Framework (TOGAF) 50

Other Frameworks 52

Questions 65

Reference List 65

Contents xiil

1.3 Enterprise Architecting 67

Scope of the Enterprise Architecture 68

Enterprise Level 69

Segment Level 69

Solution Level 70

The Six Step Process 71

Step 1: Determine the Intended Use of the Architecture 72

Step 2: Determine the Scope of the Architecture 73

Step 3: Determine the Data Needed to SupportArchitecture Development 74

Step 4: Collect, Organize, Correlate, and Store

Architecture Data 74

Step 5: Conduct Analysis in Support of

Architecture Objectives 74

Step 6: Document Results in Accordance with

Decision-Maker Needs 75

Architecting the Business Domain 76

Architecting the IT and Infrastructure Domain 81

System Viewpoint 82

Service Viewpoint 84

Communications Infrastructure 86

Questions 87

Reference List 87

Part II

Architecture Development and Use

2.1 The Importance of Culture 91

The Relevance of Culture to Enterprise Architecture 101

Enacting Organizations 103

Three Levels of Culture (Edgar Schein) 108

Locating Culture as Business Rules 113

The Emergence of Culture 117

Perspectives on Culture 118

Questions H9

End Note 120

Reference List 120

XiV FEAC Certified Enterprise Architect CEA Study Guide

2.2 Planning the EA 123

Scoping the Architecture Work 125

Purpose 125

Scope 131

Identifying Needed Data 134

Determine What Models to Use: How to Organizeand Correlate Data 137

Planning Examples 150

Success Factors in Scoping the Architecture Work 159

Planning the Architecture Project 160

The Project Plan 161

What Is to Be Done 161

Who Is Responsible 163

How the Work Will Be Done: Managerialand Technical Approaches 166

When Will the Work Be Done 168

Summary of Project Planning 171

Success Factors for Planning 171

Summary of Six Step Process Advice 172

Questions 173

Reference List 175

2.3 Implementing the Enterprise Architecture 177

Statement of Work (SOW) 178

Title 179

Project Background 179

Project Description and Scope 179

Architecture Vision 179

Management Approach 179

Change Procedures 180

Responsibilities and Deliverables 180

Acceptance Criteria and Procedures 182

High-Level Project Schedule 182

Support/Automated Environment and Tools '. 183

Work Breakdown Structure (WBS) 183

Implementation Steps 183

Architecture Development Methodology/Process 184

EALifecycle 184

Contents XV

Data Strategies 196

Data Management Strategy 196

Data Validation Strategy 197

Data Dissemination Strategy 197

Risk Management 198

Risk Management Planning 200

Risk Identification 200

Risk Assessment 200

Risk Quantification 200

Risk Response Planning 201

Risk Monitoring and Control 201

Questions ..201

Reference List 202

2.4 Disseminating the Enterprise Architecture 203

Identifying the Audience for Architecture Dissemination 205

Architecture Sponsors 205

Architecture Team Members 206

Architecture Stakeholders 206

Executive Management 206

Business Partners, Suppliers, Customers, and Agents 206

Reusers 207

Communities of Interest/Communities of Practice 207

Fit-for-Purpose Displays 207

Preparing for Dissemination 208

Communicating the Contents of an Enterprise Architecture 210

Dissemination to Another Receiving Enterprise

Repository or Registry 210

Dissemination Between Automated Computer

Systems Applications 211

Dissemination to People 212

Architecture Presentation Techniques 212

Choosing an Appropriate Presentation Technique 214

Fit'for-Purpose View Display Formats 216

Standardized View Display Formats 217

Delivery of Dissemination 218

Web Delivery 218

Architecture Website/Web Portal 218

XVI FEAC Certified Enterprise Architect CEA Study Guide

Discovery Services 219

Export/Import Files 220

Repository Services 221

Questions 221

Reference List 223

2.5 Maintaining the Enterprise Architecture 225

Rate and Degree of Change of Architecture Elements 226

Variation by Architecture Object Type 226

Variation by Enterprise Nature 228

Variations Introduced by Nonlinear Events 228

A Change Response Model for Reference Models 228

Who Is Responsible for Maintenance? 230

Planning the Cost of Maintenance 230

The Business Case for EA Maintenance 231

Periodic Architecture Reassessment 231

The Need for Periodic Reassessment 231

Models Must Reflect Reality—Always 232

Leverage Solution Architectures to Grow the EA 232

Ensure That Business Direction and Processes

Reflect Operations 233

Ensure That the Current Architecture Reflects

System Evolution 234Evaluate Legacy System Maintenance Requirements

Against the Sequencing Plan 234Maintain the Sequencing Plan as an Integrated

Program Plan 235

Continue to Consider Proposals for EA Modifications 235

TOGAF 9 ADM Phase H: Architecture Change Management 236

Questions 238

Reference List 238

2.6 Governing the Enterprise Architecture 239

Governance Framework 242

Leadership 242

Investment 243

Organization 243

Contents XVii

Principles and Policies 244

Processes 244

Tools and Methods 245

Measurements 245

EA Maturity Assessment 245

GAO EA Management Maturity Assessment

Framework (EAMMF) 246

The Five Stages of Maturity 247

The Critical Attributes 249

Other Maturity Assessment Models 251

The Ross, Weill, and Robertson Model in EnterpriseArchitecture as Strategy 251

OMB EA Assessment Framework 253

Gartner EA Maturity Assessment Framework 254

Security and Access and Privacy Issues 256

EA Standards Compliance 257

Architecture Governance in TOGAF (TOGAF 9) 258

Organizational Structure for Architecture Governance 259

Key Architecture Governance Processes 259

Questions 262

Reference List 262

2.7 Using the EA 265

Dimensions of Enterprise Transformation 266

Zachman Framework Dimensions of Change 266

DoD Dimensions of Enterprise Change 267

Changes to Multiple Dimensions 268

Using EA in Capital Planning and Investment Control (CPIC) 269

EA in the Investment Management Process 270

EA in Investment Management Maturity 276

Using EA in Reorganization 280

"Pure" Reorganization 280

Organizational Transformation in Conjunction

with Other Transformations 281

Transition Planning •282

Security 286

Questions -

289

Reference List 290

XVlii FEAC Certified Enterprise Architect CEA Study Guide

Part III

Viewpoints and Models

3.1 Introduction to Viewpoints and Models 295

Models 296

Examples of Models 297

Models Versus Pictures 298

Viewpoints and Interests 300

IEEE 1471 Definitions of Viewpoints and

Views (IEEE 1471) 301

TOGAF Definitions of Viewpoints and

Views (TOGAF 9-2009) 302

DoDAF 2 Definition of Viewpoints and Views 303

Integrated Architecture Development 303

Federated Architecture 304Frameworks and Viewpoints 305

Zachman Framework 306

DoD Architecture Framework 307


Federal Enterprise Architecture (FEA) 309The Open Group Architecture Framework (TOGAF) 310

Office of Management and Budget 311

Methodologies 312

Integrated Definition Language (IDEF) 313

Unified Modeling Language (UML) 313

Universal Profile for DoDAF and MoDAF 313

Activity-Based Methodology (ABM) 314Architecture Development Method (ADM) 314

DoDAF Six Step Architecting Process 314Business Process Modeling Notation (BPMN) 315

Model Representations 315DoDAF Viewpoints and Model Types 316

Core Model Set 316

Supporting Model Set 325

Overarching Context of the Example Models 328

Modeling Section Summary 329

Questions 329Reference List 331

Contents xlX

3.2 All Viewpoint 333

Architecture Overview and Summary 3 34

AV-1 Architecture Overview and Summary 338

Richard M. Nixon Airport Enterprise Architecture (RMN-EA)

Architecture Overview and Summary (AV-1) 341

Executive Summary 341

Architecture Identification 342

Architecture Purpose 342

Stakeholders 348

Geographical Considerations 349

Information and Technology Infrastructure 350

Management and Governance 352

The Way Forward 355

Questions Architecture Will Answer 360

Proposed Analysis That Architecture Will Support 360

Nature of Decision Support Required 361

Nature of Solution to Be Provided 361

Architecture Development 361

Development Conventions, Methodologies,

Standards, and Practices 362

Architecture Key Drivers and Goals 362

Architecture Scope 363

Assumptions and Constraints 367

Architecture-Specific Stakeholders 368

Mapping of Models to EA Goals and Drivers 371

Enterprise Architecture Development Approach 371

Development Methods and Techniques 371

Tools, Repository, Security, and Data Management 37 i

Related Architecture Developments and Dependencies 374

Architecture Release Schedule 374

Findings and Recommendations 375

Appendices 375

AV-2 Integrated Data Dictionary 375

Questions 377

Reference List 378

XX FEAC Certified Enterprise Architect CEA Study Guide

3.3 Strategic/CapabilityViewpoint 379

Government Performance Results Act (GPRA) 380

Balanced Scorecard 382

Joint Capabilities Integration and Development

System (JCIDS) 384

TOGAF 9 Support for Capability and Strategy 386

Capability Viewpoint Integrated Models 387

CV-1 Vision 389

Example 1: RMN Enterprise CV-1 389

CV-2 Capability Taxonomy 391

Example 1: RMN Terminal Operations CV-2 391

Example 2: Passenger Processing CV-2 391

Example 3: Passenger Identification CV-2 392

CV-3 Capability Phasing 394

CV-3 Example 394

CV-4 Capability Dependencies 395

CV-4 Example 396

CV-5 Capability to Organizational Development Mapping 397

Example 398

CV-6 Capability to Operational Activities Mapping 399

Example: Passenger Identification CV-6 400

CV-7 Capability to Services Mapping 401

Example: Passenger Identification CV-7 402

Questions 403

Reference List 405

3.4 Project Viewpoint 407

Project Viewpoint Integrated Models 410

PV-1 Project Portfolio Relationships 411

Example: Passenger Identification PV-1 412

PV-2 Project Timelines 414

Example: Passenger Identification PV-2 414

PV-3 Project to Capability Mapping 416

Example: Passenger Identification CV-3 Projectto Capability Mapping 417


Contents xxt

3.5 OperationalViewpoint 421

Aspects of the Operational Viewpoint 422

Concept of Operations 42 ^

Process or Activity Aspect 423

Resource and Information Flows 423

Organixational Relationships 424

Operational Behaviors 424

TOGAF 9 Support for the Operational Viewpoint 425

Operational Viewpoint Integrated Models 426

OV-1 High-Level Operational Concept Graphic , — 428

Example: Passenger Identification OV-1 428

OV-2 Operational Resource Flow Description 429

Example: Passenger Identification OV-2, 430

OV-3 Operational Resource Flow Matrix 431

Example: Passenger Identification OV-3 432

OV-4 Organizational Relationships Chart 433

Example 1: RMN Terminal Operations Division

Organization Relationships Chart 434

Example 2: Passenger Identification OV-4 434

OV-5a and OV-5b Operational Activity Decomposition/Model 436

Example 1: Functional Decomposition of Richard M. Nixon

Airport's Enterprise Business Functions 436

Example 2: Passenger Identification OV-5a 438

Example 3: Passenger Identification OV-5b 439

OV-6a Operational Rules Model 440

Example: Passenger Identification Rules

Model OV-6a (Fragment) 441

OV-6b State Transition Description 442

Example: Passenger Identification OV-6b 443

OV-6c Event-Trace Description 444

Example: Passenger Identification OV-6c 444

Questions 446

Reference List• 448

3.6 Systems Viewpoint 449

Aspects of the Systems Viewpoint 451

System Resource Flows/Information Exchanges 451

Systems Functionality 451

XXii FEAC Certified Enterprise Architect CEA Study Guide

Systems Connectivity 452

Systems Traceability to Operational Usefulness 452

Systems Performance Specification 452

Systems Evolution 453

Systems Operating Platforms 453

Systems Behavioral Models 453

Systems Viewpoint Integrated Models 453

SV-1 Systems Interface Description 455

Example: Passenger Identification SV-1 456

SV-2 Systems Resource Flow Description 457


SV-3 System-to-System Matrix 458


SV-4 Systems Functionality Description 460


SV-5a and b Operational Activity to Systems-to-SystemFunctions Traceability Matrix 463

Example: Passenger Identification SV-5a 463

Example; Passenger Identification SV-5b 464

SV-6 Systems Resource Flow Matrix 466


SV-7 Systems Measures Matrix 467


SV-8 Systems Evolution Description 471


SV-9 Systems Technology and Skills Forecast 473


SV-lOa Systems Rules Model 475

SV-1Ob Systems State Transition Model 476

SV-10c Systems Event-Trace Description 477

Questions 478

Reference List 479

3.7 Services Viewpoint 481

The Service-Oriented Framework 483

Service Resource Flows and Information Exchanges 484

Services Functionality 485

Contents XXMI

Services Connectivity 485

Services Traceability to Operational Usefulness 486

Services Performance Specification 486

Services Evolution 486

Services Operating Platforms 486

Services Behavioral Models 487

Services Viewpoint Integrated Models 487

SvcV-1 Services Context Description 489

Example: Passenger Identification SvcV-1 489

SvcV-2 Services Resource Flow Description 491


SvcV-3 a, b Systems-Service and Services-Service Matrices 492


SvcV-4 Services Functionality Description 495

Example: Passenger Identification SvcV-4

(Functional Decomposition) 495

SvcV-5 Operational Activity to Services Traceability Matrix 497


SvcV-6 Services Resource Flow Matrix 500


SvcV-7 Services Measures Matrix 502


SvcV-8 Services Evolution Description 503


SvcV-9 Services Technology and Skills Forecast 503

SvcV-10a Services Rules Model 505

Example: Passenger Identification SvcV-10a 505

SvcV-lOb Services State Transition Description 506

Example: Passenger Identification SvcV-10b 507

SvcV-10c Services Event-Trace Description 507

Questions 508

Reference List 509

3.8 Data and Information Viewpoint 511

What Is the Difference Between Data and Information? 512

Ontology 513

Taxonomy 515

XXiV FEAC Certified Enterprise Architect CEA Study Guide

Controlled Vocabularies 515

FEA Data Reference Model 516

Data Context 516

Data Description 517

Data Sharing 517

DIV-1 Conceptual Data Model (Semantic Data Model) 517

DIV-2 Logical Data Model (Key-Based/Fully Attributed

Logical Data Model) 518

DIV-3 Physical Schema 519

Relationships Between the Data and Information

Viewpoint Integrated Models 519

DIV-1 Conceptual Data Model 521

Example: Passenger Identification DIV-1 522

DIV-2 Logical Data Model 523

Example: Passenger Identification DIV-2 523

DIV-3 Physical Data Model 524

Example: Passenger Identification Model DIV-3 525

Questions 528

Reference List 529

3.9 Technology and Standards Viewpoint 531

Standards Viewpoint Integrated Models 533

StdV-1 Standards Profile 534

Example: Passenger Identification StdV-1 535

StdV-2 Standards Forecast 538

Example: Passenger Identification StdV-2 538

Questions 539

Reference List 540

Part IV

EA Examples

4.1 EA in Government 543

Clinger-Cohen Act of 1996 544The Government Performance and Results Act (GRPA) 545

Contents XXV


The Influence of the Zachman Framework 545

The Influence of NIST 546

Treasury Enterprise Architecture Framework (TEAF) 548

The Federal Enterprise Architecting Process 5 50

The OMB FEA Reference Models 551The Federal Segment Architecture Methodology (FSAM) ... 558

Rapid Segment Architecture Methodology (RSAM) 562

The Future of EA in Government 564

EA Assessment Tools 565

EAMMF 565

EAAF 566


4.2 Enterprise Architecting in Defense 569

The DoD Enterprise 570

Enterprise Challenges 570

Enterprise Initiatives 573

DoD Architecting Levels 577

DoD Architecture Framework 579DoD Business Processes Supported by the DoDAF 580

JCIDS and Capability-Based Assessment (JCIDS/CBA) 581

Planning, Programming, Budgeting, and Execution (PPBE) ....582

Defense Acquisition System (DAS) 585

Systems Engineering Process (SE) 586

Portfolio Management (PfM) 587DoD Enterprise Architecture Examples 589

DoD EA 589

Department of the Air Force EA 591

Navy EA 592

Army EA 594

DoD Information Enterprise Architecture 597

DoD Business Enterprise Architecture 598

Questions 600

Reference List 601

XXVi FEAC Certified Enterprise Architect CEA Study Guide

4.3 Enterprise Architecture and the

Commercial Sector 603

TOGAF 9,0 in Relation to the Views and Models of This Guide 604

The Architecture Development Methodology 616

Phase A: Architecture Vision 620

Phase B: The Business Architecture 621

Phase C: Information Systems Architecture 622

Phase D: Technology Architecture 625

Phase E: Opportunities and Solutions 627

Phase F: Migration Planning 628

Phase G: Implementation Governance 629

Phase H: Architecture Change Management 630

Requirements Management 630

TOGAF Iteration 632

Integrated Architecture 633

TOGAF Artifacts 633

Questions 634

Reference List 635

PartV

Resources

5.1 EA Tools and Repositories 639

Select Your Framework 640

Select Your Modeling Techniques and Methodologies 641

Select Your Modeling Standards 646

Integrated Definition Language 0 (Activity Modeling) 646

Unified Modeling Language (UML) 646

Business Process Modeling Notation (BPMN) 647

Business Process Execution Language (BPEL) 647

Select Your Architecture Data Exchange Standards 647

Define or Select Your Modeling Lifecycle Processes 648

How Do Tools Assist in EA Development? 648

Methodology-Independent Tools 650

Methodology-SpecificTools 651

Contents XXVH

Process Support Tools 651

Integrated Model Development 651

Support for Fit-for-Purpose Views 652

Configuration Management and Model Releases 653

Tool-Based Document Generation 654

Tool-Generated Model Dissemination 654

Tool-Selection Criteria 655

Technical Criteria 655

Business Criteria 657

Integration Criteria 658

Functionality Criteria 658

What Is anEARepository? 661

Repository Metamodel —662

Benefits of the Repository Metamodel 662

How Does a Repository Integrate Models? 665

DoDAF Core Architecture Data Model (CADM) 666

DoDAF DM2 Repository Metamodel 667

TOGAF 9 Repository Metamodel 670

How Do EA Tools Work with a Repository? 674

Interface Standards 675

Metamodel Unification 675

Framework-Provided Semantics 676

Repository Selection Criteria 676

Questions 677

Reference List 678

5.2 A Case Study: Richard M. Nixon

International Airport, CA 679

Selecting the Scope of the Enterprise 682

Strategic Thrust 683

Planning for the Future 683

Passenger Processing Capabilities 684

Cargo Processing Capabilities 686

Revenue Generation Capabilities 687

Stakeholders 688

XXVlil FEAC Certified Enterprise Architect CEA Study Guide

Geographical Considerations 689

Information and Technology Infrastructure 690

Management and Governance 692

FEAC's 50,000 View of the Role of the Enterprise Architecture 693

Glossary 697

Index 749

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