Else, S., Hall, W.P. 2012. Enterprise Knowledge Architecture for Community Action

© 2012 ESAII

Enterprise Knowledge Architecture for Community Action

Steve Else (PhD, PMP) [email protected]

Chairman at ESAII (Enterprise & Solution Architecture Institute International), Alexandria, VA CEO/Chief Architect, EA Principals, Inc., Alexandria, VA, USA – http://eaprincipals.com

CEO of the Center for Public-Private Enterprise – http://cppe.org

William P. Hall (PhD)

[email protected] Principal, EA Principals

Senior Fellow, Melbourne School of Engineering, University of Melbourne President, Kororoit Institute Proponents and Supporters Association, Ltd. - http://kororoit.org

Presentation for Kororoit Institute International Symposium and Workshop - Living Spaces for Change: Socio-technical knowledge of cities and regions. 29 February – 2 March 2012, North Melbourne, Australia

mailto:[email protected]

http://eaprincipals.com/

http://cppe.org/




http://kororoit.org/

© 2012 ESAII © 2012 ESAII – Slide 2

Presentation deals with two issues

Common pool resources face destruction/extinction = limited resources that can be extracted from a commons

by anyone

without governance we face “the tragedy of the commons”

We propose that the discipline of Enterprise Solutions Architecture offers a conceptual framework and set of tools that can be used to design systems for governing the commons Air

Water

Land

Mineral resources

Living space

etc.


The crisis we face

We face looming crises threatening our well-being that relate to the consumption of scarce common pool resources Depletion of non-renewable natural resources Unsustainable use of fertile soil and fresh water Human induced global warming and climate change

Common pool resources are those to which more than one individual has access, and where each person’s consumption reduces availability of the resource to others.

These crises are all consequences of simple economic phenomena Too many people on a small planet want too much We must change the way we exploit environmental resources If we don’t we face the possibly complete destruction of

ecosystems we depend on for survival

Existing governments seem to be ineffective Economic science and enterprise knowledge architecture may

provide some solutions


The core of the problem is simple

“The tragedy of the commons” Garrett Hardin 1968. The tragedy of the commons. Science Vol. 162, No 3859, pp. 1243-1248

Sets out the consequences of an uncompromising economic logic governing the harvesting of valuable but limited resources from a commons

• Unfettered individuals make a net profit of +1 for every unit of resource they extract/harvest and use

• The future loss due to the removal of that unit is shared with all other individuals extracting the resource for a net loss of -1/n

• It is always to the net economic advantage of every individual to continue extracting the resource until it is totally consumed

• Situation grows worse if the resource’s unit value rises with scarcity

• Any individual refraining from extraction only benefits those who thus have more resource to extract

Only through some form of higher level control or governance (e.g., social or despotic) over the scarce resource can its extraction be limited to some socially beneficial level

Successfully governing the environment we live in is difficult!

Government is the exercise of political authority over the actions, affairs, etc, of a political unit, people, etc, as well as the performance of certain functions for this unit or body; the action of governing; political rule and administration. In other words, government is the application of socio/political constraints over individual action by some higher level entity above the individual self.


Governmentcentralizedmanagement

Community self-governance and self-management

Co-management

InformingConsulting

CooperatingCommunicating

Exchanging informationAdvising

Acting (jointly, separately)Partnering

ControllingCoordinating

Government-basedmanagement

Community-basedmanagement

Community involve

ment

Governmentcentralizedmanagement

Community self-governance and self-management

Co-management

InformingConsulting

CooperatingCommunicating

Exchanging informationAdvising

Acting (jointly, separately)Partnering

ControllingCoordinating

Government-basedmanagement

Community-basedmanagement

Community involve

ment

Government powers and resources vs local knowledge

Trade offs local knowledge vs

scientific knowledge

timely decision vs adequate knowledge

power to act vs will to act


Elinor Ostrom (2009 Nobel Prize in Economic Science) for her analysis of economic governance, especially the commons Understanding the different kinds of markets

Types of goods Management economics Showed resources can be managed successfully by involving people who

use them in the governance process

Governing the commons

Impact of exploitation on depletion of resource

Difficulty to exclude potential exploiters

Toll Goods► theatre► private clubs► daycare centres

Private Goods► food► clothing► automobile

LOW

Public Goods► peaceful & secure community► national defense► knowledge► fire protection► weather forecasts

Common Pool Resources► groundwater basins► lakes► fisheries► forests► air quality

HIGH

LOWHIGH

Impact of exploitation on depletion of resource

Difficulty to exclude potential exploiters

Toll Goods► theatre► private clubs► daycare centres

Private Goods► food► clothing► automobile

LOW

Public Goods► peaceful & secure community► national defense► knowledge► fire protection► weather forecasts

Common Pool Resources► groundwater basins► lakes► fisheries► forests► air quality

HIGH

LOWHIGH

http://www.nobelprize.org/nobel_prizes/economics/laureates/2009/ostrom_lecture.pdf


Basic forms of resource governance

Autocracy/despotism (Wikipedia): supreme political power to direct all state activities is concentrated in the hands

of one person (autocracy) or group (despotism), whose decisions are subject to neither external legal restraints nor regularized mechanisms of popular control

Gargantuan (R.C. Wood via V. Ostrom): formation of a single metropolitan government over all

Multi-level governance (European Union via Wikipedia): many interacting authority structures work at various hierarchical levels in the

emergent global and local economy Polycentric

(V Ostrom et al. 1961): traditional pattern of government in a metropolitan area with its multiplicity of political jurisdictions

(E Ostrom 2009): many centers of decision making that are formally independent of each other. Whether they actually function independently, or instead constitute an interdependent system of relations, is an empirical question in particular cases

Community-based resource management (Berkes 2006) local resource usage governed by local community

Co-management (Berkes 2009): sharing of power and responsibility between the government and local resource

users


Governance = making and imposing decisions on communities with costs/benefits

Herbert A. Simon (1978) Nobel Prize in Economic Science for his pioneering research into the decision-making process within economic organizations and the limits to rationality Perfect decisions only possible with perfect knowledge and

unlimited time to consider alternatives

Real world requires “satisficing” – i.e., best guess given the available knowledge and time, optimizing time, knowledge, and urgency

Simon’s other work explored the architecture of hierarchically complex systems

Effective governance depends on Availability of appropriate knowledge

Sufficient time for thinking before the next problem arises

Capabilities to act

Availability of resources to support action

http://www.nobelprize.org/nobel_prizes/economics/laureates/1978/simon-lecture.html


Ostrom’s model for environmental governance

ENVIRONMENTAL CONTINGENCIES & CONSTRAINTS IMPACT OF REALIZED OUTCOMES

RULES RESPOND TO

CONSTRAINTS

Successful governance structures based on sets of rules regulating exploiters to ensure optimum management/exploitation of resource Rules respond to constraints

Impacts are a consequences on realized outcomes of the application of the rules


Ostrom’s resource governance model

Conceptual changes: common property resource common pool resources common property regimes recognized 5 property types

• access, withdrawal, management, exclusion & alienation

Property rights systems for different resources mix all five

Concluded that successful systems followed certain practices (i.e., design principles) reflecting knowledge of particular environments Clear user & resource boundaries Congruence between benefits & costs Regular monitoring of users & resource conditions Graduated sanctions Conflict resolution mechanisms Minimal recognition of rights by government Nested enterprises

Hoped, but failed, to find optimal set of rules used by robust & successful systems of governance

Can we design better systems to govern our vital resources?

Introducing the discipline of enterprise architecture


New tools extending human cognition introduce radical new capabilities

“Instant” observation/communication/decision/action possible Every smart phone in a hand is an intelligent sensing node also

capable of acting (via the hand) • visual (photo & video sharing) • auditory (Skype, etc.) • spatial (geotagging) • textual (twitter, email, etc.)

Polling & voting (e.g., SurveyMonkey) Acting (e.g., Mechanical Turk)

Crowd sourcing tools for assembling knowledge wiki databases

Unlimited access to knowledge resources cloud computing Google Scholar / Google Translate

• > 50% world knowledge available free-on-line via author archiving • > 95% available via research library subscriptions

– University of Melbourne accesses 105365 eJournals – Scholar offers direct access from search result to university subscription

Etc. – beyond imagining


What Is an Enterprise?

A coherently definable organized entity that may be: Comprised of multiple interacting entities Unified by a common system of governance Working towards a common goal

“A complex, adaptive, evolving system” (Mathet Consulting, Inc.) Existing in complex & changing environments (physical, economic, technological, and legal) constantly receives, uses, transforms, produces and distributes products and services that

have value to itself and its customers exhibits characteristics of hierarchical complexity, reactivity, adaptability, emergence,

downward and upward causation, self-organization, non-linear chaotic responses

An organized, notionally bounded socio-technical system, addressing its internal / external imperatives for business / survival (i.e., an “organic” entity), comprised of People (participants in the organization from time to time) Processes (automated, documented, tacit routines, etc.) Infrastructure (Web, ICT, physical plant, etc.) Organizational knowledge (i.e., contributing to organizational

structure/success) • Knowledge as a deliverable product (e.g., technical documentation) • Knowledge about and embodied in deliverable products • Knowledge about and embodied in organizational processes and

infrastructure • Members’ personal knowledge relating to their organizational roles

Organizational knowledge

Leave one of the legs off, and the stool will

fall over

http://www.mathet.com/eaintro.html


Enterprises Exist in Contexts

No enterprise or subsidiary component can be considered in isolation from its existential contexts What are its imperatives for continued existence?

• to maintain survival and wellbeing

• to maintain resource inputs necessary to survival

• to produce and distribute goods necessary to survival

• to survive environmental changes

• to minimize risk

• to maintain future wellbeing

Organizational systems satisfying imperatives must track continually changing contexts with observations, decisions and actions

Beware of empty rhetoric and mismatches with real imperatives


Administrative/Decision Support Systems

Making and implementing well-informed decisions responding to imperatives is the essence of enterprise survival and success

John Boyd’s OODA Loop process framework for adaptive decision making Osinga PB. 2007. Science, Strategy and War: the Strategic Theory of John

Boyd, Routledge [also available free on line - http://tinyurl.com/26eqduv]

AO

OBSERVE

(Results of Test)OBSERVATION

PARADIGMEXTERNAL INFORMATION

CHANGING CIRCUMSTANCES

UNFOLDING ENVIRONMENTAL

RESULTS OF ACTIONS

ORIENT

D

DECIDE

(Hypothesis)

O

CULTURE PARADIGMS PROCESSES

DNA GENETIC HERITAGE

MEMORY OF HISTORY

INPUT ANALYSIS SYNTHESIS

ACT

(Test)GUIDANCE AND CONTROL

PARADIGM

UNFOLDING INTERACTION WITH EXTERNAL ENVIRONMENT

http://tinyurl.com/26eqduv


What is Enterprise Architecture?

Adapted from “The art and science of designing and managing the construction and implementation of buildings and other physical structures”

Rather than architecting physical structures enterprise architecture is concerned with structures of dynamic systems solving organizational problems Science

• The application of scientific understandings of complex dynamic systems to architecting the structures of business systems and organizations

Process • To understand, specify and agree client/end user requirements • Architectural design usually must address both feasibility and cost for the

builder, as well as function and usability for the client • Construction and implementation usually involves specialized skills and

trades beyond those of the architect

Practice • To offer or render ethical professional services in connection with the

design and construction of structured systems, that are intended primarily for human use.


Where Does Enterprise Architecture Fit?

For understanding organizational systems

Strategic planning at the systems level to better meet organizational imperatives (adaptation)

Re-engineering & transforming the enterprise Implementing and improving decision support systems (design &

management of data, information, and knowledge resources and technology)

Operations focus (work systems design & management)

Managing changes?

Monitoring results?

The scope of the enterprise architecture includes the people, processes, information and technology of the enterprise, and their relationships to one another and to the external environment.


Framework: A structure for supporting or enclosing something else, especially a skeletal support used as the basis for something being constructed.

1. An external work platform; a scaffold. 2. A fundamental structure, as for a written work. 3. A set of assumptions, concepts, values, and practices that

constitutes a way of viewing reality.

EA Framework All of these definitions apply to the kinds of frameworks used

in EA. The value of a framework is determined by the degree to

which it provides positively useful guidance to the architect, minus the degree to which adherence to its strictures limits the architect’s ability to see and think about possibly bigger pictures.

Frameworks may be applied at several architectural levels.

What Is an EA Framework?


The Open Group’s Architectural Framework (TOGAF9)


TOGAF Provides an Architecture Development Method

Phases: Preliminary

• Charter & mobilization A. Architectural vision

• scope, stakeholders, vision & approvals B. Business architecture

• business architecture to support agreed vision

C. Information systems architecture • includes data and application

architectures D. Technology architecture E. Opportunities & solutions

• delivery vehicles and implementation planning

F. Migration planning • sequence of transition architectures

with implementation & migration plans G. Implementation governance H. Architecture change management Requirements management

(throughout)


Managing the future

Defining the system(s) to be managed Identifying the problems

• e.g., too many people using too few limited resources

Identifying the beneficiaries • Urban and peri-urban populations

Identifying the resources • The urban ecosystem’s affordances for life (common pool

resources) • “Living spaces for change”

Identifying the “enterprise” • Governments impacting the urban ecosystem • People living in and impacting the ecosystem

Developing solutions Concepts, frameworks and methodologies exist Developing the political will to proceed Funding the work


Without effective governance of the commons this will all be lost

Visitors and residents on Bill’s 2 ha peri-urban property on the urban fringe: Occasional echidnas and kangaroos, long-time resident grebes and young kookaburras learning to laugh. The neighbors even saw a black swan land on the pond