1 May 22-24, 2007 Washington Dulles Hilton The Business Transformation Conference Greg Sparks Director of IT Strategy & Architecture Level 3 Communications Enterprise Architecture Governance Welcom e Welcome to Transformation and Innovation 2007 The Business Transformation Conference
Enterprise Architecture Governance: A Framework for Successful Business
Jan 14, 2015
Enterprise Architectures play an important role supporting business transformation initiatives. Enterprise Architecture Governance (EAG) provides a structure for defining relevant strategies and compliance processes. This Level 3 Communications case study presents a detailed framework composed of three essential components of EAG:
1) Organizational Accountability must be clearly defi ned for all EAG aspects, and executive sponsorship is essential. Level 3 formed an executive steering committee with broad representation, preventing EAG from becoming an IT-only initiative.
2) Strategy Defi nition provides the roadmap for business transformation initiatives. Architectural guiding principles defi ne values and offer input into strategies, end states define where the company is going, and roadmaps document how to get there from.
3) Compliance Processes ensure that development initiatives are in alignment with the strategic direction. Level 3 has created a framework that gives each development initiative an architecture rating that indicates its compliance level.
1) Organizational Accountability must be clearly defi ned for all EAG aspects, and executive sponsorship is essential. Level 3 formed an executive steering committee with broad representation, preventing EAG from becoming an IT-only initiative.
2) Strategy Defi nition provides the roadmap for business transformation initiatives. Architectural guiding principles defi ne values and offer input into strategies, end states define where the company is going, and roadmaps document how to get there from.
3) Compliance Processes ensure that development initiatives are in alignment with the strategic direction. Level 3 has created a framework that gives each development initiative an architecture rating that indicates its compliance level.
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1 May 22-24, 2007
Washington Dulles HiltonThe Business Transformation Conference
Greg SparksDirector of IT Strategy & ArchitectureLevel 3 Communications
Enterprise Architecture Governance
WelcomeWelcome
to Transformation and Innovation 2007 The Business Transformation Conference
2© 2007 by Level 3 Communications, Inc. All rights reserved.
Contents
What is Enterprise Architecture Governance?
Organization
Strategy and Architecture Definition Alignment Examples
Compliance Criteria Process Compliance Levels
3© 2007 by Level 3 Communications, Inc. All rights reserved.
Enterprise Architecture Governance Defined
Key Elements of Architecture Governance Organization
Executive sponsorship team Cross-functional architecture core team
Strategies & Architectures Define and maintain guiding principles, strategic end-state architectures, and
roadmaps Ensure alignment across Product, Process, IT, and Network
Compliance Processes Ensure development initiatives are in alignment with guiding principles and target
architectures Provide holistic view of enterprise architecture so that individual initiatives are
evaluated based on long-term contributions in addition to tactical benefits
Enterprise Architecture Governance is the structure by which an enterprise defines appropriate strategies and ensures development alignment with those strategies
© 2007 by Level 3 Communications, Inc. All rights reserved. 4
Organization
5© 2007 by Level 3 Communications, Inc. All rights reserved.
Organization
Executive Sponsorship Not just an IT responsibility Steering Committee
EAG Core Team / Working Groups Architects and Development
Leads Overall responsibility for EAG
development and execution
Accountability Strategy definition Compliance process execution Compliance review board
A Culture of EAG
CEO/COO
ITNetwork(Eng.)
Ops Product
IT ArchsNetwork
ArchsProcess
DesignersPD / PM
AccountabilityExamples
AccountabilityExamples
Core Team / Governance Board
Executive Team
Development, Operations, Engineering
Strategies, Roadmaps Compliance
Investment decisionsStrategic Opportunities
© 2007 by Level 3 Communications, Inc. All rights reserved. 6
Strategy and Architecture
7© 2007 by Level 3 Communications, Inc. All rights reserved.
The Scope of EAG: The Enterprise!
Corporate Strategy defines what the company will be and how it will compete
Competitive advantages
Wholesaler / Retailer
Low Cost / High End
Domestic / International
Centralized / Regional Control
Corporate Strategy defines what the company will be and how it will compete
Competitive advantages
Wholesaler / Retailer
Low Cost / High End
Domestic / International
Centralized / Regional Control
Corporate Strategy
Corporate Strategy
Product Strategy
Product Strategy
Product Strategy defines what the company sells and how it sells it
Product lines and features
Market and industry analysis
Differentiation
Volume
Product Strategy defines what the company sells and how it sells it
Product lines and features
Market and industry analysis
Differentiation
Volume
2006 Level 3 Communications, Inc. All Rights Reserved. 3
IP Backbone
Zurich
Washington, D.C.
Warsaw
Vienna
Tulsa
Tampa
Stamford
Stockholm
St. Louis
Seattle
San Jose
San Francisco
San Diego
San Antonio
Salt Lake City
Sacramento
Richmond
Raleigh
Prague
Portland
Philadelphia
Phoenix
Paris
Orlando
Orange County
Oakland
New York City
Newark
Nashville
Munich
Minneapolis
Milan
Miami
Manchester
Madrid
Madison
Los Angeles
Long Island
London
Las Vegas
Kansas CityJersey City
Indianapolis
Houston
Hamburg
Geneva
Frankfurt
Dusseldorf
DublinDetroit
Denver
Dallas
Copenhagen
Cleveland
Cincinnati
Chicago
Charlotte
Buffalo
Brussels
BostonBerlin
Baton Rouge
Baltimore
Austin
Atlanta
Amsterdam
2
2
13
32 3
7
7
2
5
4
8
4
22
6
5
57
7
6
20
43
4
2
2
2
23
4
42
2
IP EnabledOC192/STM64OC48/STM16OC12/STM4Peering Point
2006 Level 3 Communications, Inc. All Rights Reserved. 3
IP Backbone
Zurich
Washington, D.C.
Warsaw
Vienna
Tulsa
Tampa
Stamford
Stockholm
St. Louis
Seattle
San Jose
San Francisco
San Diego
San Antonio
Salt Lake City
Sacramento
Richmond
Raleigh
Prague
Portland
Philadelphia
Phoenix
Paris
Orlando
Orange County
Oakland
New York City
Newark
Nashville
Munich
Minneapolis
Milan
Miami
Manchester
Madrid
Madison
Los Angeles
Long Island
London
Las Vegas
Kansas CityJersey City
Indianapolis
Houston
Hamburg
Geneva
Frankfurt
Dusseldorf
DublinDetroit
Denver
Dallas
Copenhagen
Cleveland
Cincinnati
Chicago
Charlotte
Buffalo
Brussels
BostonBerlin
Baton Rouge
Baltimore
Austin
Atlanta
Amsterdam
2
2
13
32 3
7
7
2
5
4
8
4
22
6
5
57
7
6
20
43
4
2
2
2
23
4
42
2
IP EnabledOC192/STM64OC48/STM16OC12/STM4Peering Point
Functional Strategies define how to operate the company, based on Corporate and Product inputs
Guiding Principles
End State Architectures & Roadmaps
Functional Alignment
Functional Strategies define how to operate the company, based on Corporate and Product inputs
Guiding Principles
End State Architectures & Roadmaps
Functional Alignment
Functional Strategies
Functional Strategies
ProcessProcess
NetworkNetwork
ITIT
Tactical Plans &
Execution
Tactical Plans &
Execution
Implementation processes and tracking mechanisms
Investment Prioritization
Compliance process execution and reporting
Implementation processes and tracking mechanisms
Investment Prioritization
Compliance process execution and reporting
8© 2007 by Level 3 Communications, Inc. All rights reserved.
Strategy OverviewGuiding Principles
Architectural values that drive End States and provide criteria for evaluating projects
Examples:• Cost Efficient, Flexible, Manageable, Customer
Focused, Reliable, Usable, Scalable, Secure
Layered Architecture Approach Layers of architecture provide varying levels
of detail, from high level domain frameworks to low level, implementation-specific views
Strategic End States Define the target architecture by process /
system domain or network layer Architecture Layer 2: Domain Strategy
Roadmaps Define steps to achieve strategic end state
from current state Document synchronization points and
dependencies across Product, Process, IT, and Network areas
IT NetworkProcess
9© 2007 by Level 3 Communications, Inc. All rights reserved.
Architecture Alignment by Layer
IT Network
Layer 0
Layer 1
Layer 2
Layer 3
Do
mai
n
Fra
mew
ork
Do
mai
n
Str
ateg
yF
un
ctio
nal
F
low
s
Product
The EAG Deliverables are aligned by layer across Product, Process, IT & Network
Process
10© 2007 by Level 3 Communications, Inc. All rights reserved.
Description Scope Ownership
Layer 0
High Level Frameworks
Highest level functional domains for systems
High level functional areas only Architects
Layer 1
Detailed Frameworks
Highest level domains with specific high level functions in each domain
Very seldom changes No system names, product variation,
or technologies
Architects
Layer 2
Domain Strategy
Intra-domain functional definition and high level cross-function interactions
Strategy Definition Layer Can have variation by product (if
required by process flows) No system names or technologies
Architects / Dev Teams
Layer 3
Functional Flows (aka
Neighborhood)
High level business process flows through specific systems
System names Data concepts (e.g., Customer,
Order) No technologies
Dev Teams / Architects
Layer 4
Interface and Transaction
Specifications
System specific transactions, interfaces, and data attributes
Implementation layer System names Specific transactions, data attributes
and technologies
Dev Teams
Layer 5
System Architecture Specification
System specific architecture and roadmap
Implementation layer Specific technologies System components, technical
architecture
Dev Teams
Layers of IT Application Architecture
© 2006 by Level 3 Communications, Inc. All rights reserved. 12Application Architecture Strategy v 2.0 DRAFT
IT Layer 1 Architecture: Detailed Frameworks (Subdomains)
Portals / Gateways
Sales & Marketing Customer Interaction Finance Business Intelligence
Product & Portfolio Mgmt
CorporateService AssuranceService Delivery
Sales
Channel Mgmt
Leads Mgmt
Sales Force Mgmt
Market/Campaign Mgmt
Quoting
CustomerRisk Mgmt
Billing
Accounting
RevenueAssurance
Usage Mediation& Rating
Vendor BillingReconciliation
Contact Mgmt
Customer / AcctMgmt
Order Entry
Trouble Tracking
OrderMgmt
Service Image
WorkforceMgmt
CapacityPlanning
Inventory
Assign &Design
VendorOrder Mgmt
ProvisioningInterconnection
ActivationMgmt
Fault Mgmt
Usage DataCollection
Network / ElementMgmt
Trouble Mgmt
Service LevelMgmt
PerformanceMgmt
Testing &Diagnostics
CorporateData
Warehouse
Decision Support Systems
Reporting
Assets, Supply &Logistics Mgmt
Human Resources
Tax & Regulatory
Legal
Product Catalog
Portal B2B Gateway
Corporate Governance
Document Mgmt
© 2006 by Level 3 Communications, Inc. All rights reserved. 11Application Architecture Strategy v 2.0 DRAFT
IT Layer 0 Architecture: High Level Frameworks (Domains)
Portals / Gateways
Sales &Marketing
CustomerInteraction
Finance
BusinessIntelligence
Product & PortfolioMgmt
CorporateService
AssuranceServiceDelivery
© 2006 by Level 3 Communications, Inc. All rights reserved. 12Application Architecture Strategy v 2.0 DRAFT
IT Layer 1 Architecture: Detailed Frameworks (Subdomains)
Portals / Gateways
Sales & Marketing Customer Interaction Finance Business Intelligence
Product & Portfolio Mgmt
CorporateService AssuranceService Delivery
Sales
Channel Mgmt
Leads Mgmt
Sales Force Mgmt
Market/Campaign Mgmt
Quoting
CustomerRisk Mgmt
Billing
Accounting
RevenueAssurance
Usage Mediation& Rating
Vendor BillingReconciliation
Contact Mgmt
Customer / AcctMgmt
Order Entry
Trouble Tracking
OrderMgmt
Service Image
WorkforceMgmt
CapacityPlanning
Inventory
Assign &Design
VendorOrder Mgmt
ProvisioningInterconnection
ActivationMgmt
Fault Mgmt
Usage DataCollection
Network / ElementMgmt
Trouble Mgmt
Service LevelMgmt
PerformanceMgmt
Testing &Diagnostics
CorporateData
Warehouse
Decision Support Systems
Reporting
Assets, Supply &Logistics Mgmt
Human Resources
Tax & Regulatory
Legal
Product Catalog
Portal B2B Gateway
Corporate Governance
Document Mgmt
© 2006 by Level 3 Communications, Inc. All rights reserved. 11Application Architecture Strategy v 2.0 DRAFT
IT Layer 0 Architecture: High Level Frameworks (Domains)
Portals / Gateways
Sales &Marketing
CustomerInteraction
Finance
BusinessIntelligence
Product & PortfolioMgmt
CorporateService
AssuranceServiceDelivery
11© 2007 by Level 3 Communications, Inc. All rights reserved.
Example: Layer 1 Application ArchitecturePortals / Gateways
Sales & Marketing
Customer Interaction
Finance Business Intelligence
Product Mgmt
CorporateService AssuranceService Delivery
Channel Mgmt
Leads Mgmt
Sales Force Mgmt
Campaign Mgmt
Quoting
CustomerRisk Mgmt
Billing
Accounting
RevenueAssurance
Mediation& Rating
Vendor BillingReconciliation
Contact Mgmt
Customer Mgmt
Order Entry
Trouble Tracking
OrderMgmt
Service Image
WorkforceMgmt
CapacityPlanning
Inventory
Assign &Design
VendorOrder Mgmt
ProvisioningInterconnection
ActivationMgmt
Fault Mgmt
Usage DataCollection
Network / ElementMgmt
Trouble Mgmt
Service LevelMgmt
PerformanceMgmt
Testing &Diagnostics
CorporateData
Warehouse
Decision Support Systems
Reporting
Asset Mgmt
Human Resources
Tax & Regulatory
Legal
Product Catalog
Portal B2B Gateway
Corp Governance
Document Mgmt
12© 2007 by Level 3 Communications, Inc. All rights reserved.
Example: Layer 2 Application Architecture
Trouble Management
1. Network/Element Mgmt & Network Model
Layer, device or technology-specific solutions
2. Activation Mgmt
3. Fault Mgmt Presentation & management
for alarms
4. Performance Mgmt Data analysis, trending &
reporting.
5. Security Mgmt
6. Usage Data Collection Collect & provide
normalized usage data
7. Trouble Mgmt Ticket Mgmt Change Mgmt Contact & Notification Mgmt
Rating
IPIP
Transport & Infrastructure
Transport & Infrastructure SoftSwitch
SoftSwitch
Portal
77
Service Image
ActivationManagement
Network/Element ManagementUsage Data Collection
Performance Management
11
22
44
66
FaultManagement
SecurityManagement
33
55
Capacity Planning
© 2007 by Level 3 Communications, Inc. All rights reserved. 13
Compliance
14© 2007 by Level 3 Communications, Inc. All rights reserved.
Compliance Overview
Goals Enable Portfolio Management to make the best decisions Ensure development initiatives adhere to guiding principles Ensure development initiatives are in line with strategic roadmaps
and end states Ensure benefits and costs of programs / projects are considered
holistically
Components Compliance criteria Rating system Compliance processes
15© 2007 by Level 3 Communications, Inc. All rights reserved.
Defining the Compliance Criteria
Guiding Principles provide the values and context used in Compliance Criteria
Examples: Cost Efficient
Flexible
Reliable
Usable
Scalable
Secure
Specific Compliance Criteria questions and defined responses provide for objective project assessments
Examples: Does solution enforce
strong data integrity guardrails?
Is the solution unnecessarily product-specific?
Compliance Criteria can then be applied to appropriate checkpoints in the development process
Detail of Compliance Criteria should be appropriate to point of assessment within lifecycle
16© 2007 by Level 3 Communications, Inc. All rights reserved.
FLEXIBLEThe architecture will be able to support dynamic business needs quickly
RELIABLEThe systems must be dependable
USABLEThe systems will be easy to use and will automate as much as possible
COST EFFICIENTThe architecture will seek to minimize “all in” cost
Systems must rapidly adapt to changing business strategies, processes and technologies.
System components should be functionally-based and support multiple products and customers.
Systems must rapidly adapt to changing business strategies, processes and technologies.
System components should be functionally-based and support multiple products and customers.
The architecture will place a premium on Data Integrity. Applications must be highly available, scalable, and secure.
The architecture will place a premium on Data Integrity. Applications must be highly available, scalable, and secure.
The user experience will be simple and efficient. Workflows will be automated and manageable.
The user experience will be simple and efficient. Workflows will be automated and manageable.
Maximize the value provided by off-the-shelf software. The architecture will consider the long-term costs of ownership.
The architecture will maximize developer efficiency.
Maximize the value provided by off-the-shelf software. The architecture will consider the long-term costs of ownership.
The architecture will maximize developer efficiency.
The following Guiding Principles define the values which drive architecture end states and provide the criteria for architecture compliance processes.
Example: IT Guiding Principles
17© 2007 by Level 3 Communications, Inc. All rights reserved.
FLEXIBLEThe processes will be able to support dynamic business needs quickly
COST EFFICIENTThe processes will be designed to minimize unit cost
MANAGEABLEThe process will be measured for quality purposes
Processes will be easy to understand and maintain. Processes will be designed to isolate function and be independent of skill set.
Processes will be easy to understand and maintain. Processes will be designed to isolate function and be independent of skill set.
Processes will focus on automation. Processes will be designed for completeness. Processes will adhere to common steps and workflows.
Processes will focus on automation. Processes will be designed for completeness. Processes will adhere to common steps and workflows.
Processes will be measurable. Processes will enable people to optimize their performance.
Processes will be measurable. Processes will enable people to optimize their performance.
Example: Process Guiding Principles
CUSTOMER FOCUSEDThe processes will focus on customer satisfaction
Minimize customer touch points. Processes will serve as a competitive differentiator.
Minimize customer touch points. Processes will serve as a competitive differentiator.
The following Guiding Principles define the values which drive architecture end states and provide the criteria for architecture compliance processes.
18© 2007 by Level 3 Communications, Inc. All rights reserved.
Example: IT Compliance Criteria
Does the proposed project fill in existing functional gaps while leveraging existing infrastructure wherever possible?
Have both custom and COTS solutions been considered?
For COTS solutions, does the project approach adhere to development and implementation standards for the COTS application?
Is the solution focused on long term costs appropriately with respect to near-term gains?
Will this solution require support personnel outside of the normal break-fix support?
COST EFFICIENT The architecture will seek to minimize “all in” cost
Predefined responses provide for a more objective assessment and for more consistency across projects
Ensure the criteria drive behaviors to accomplish the desired end states Don’t allow compliance criteria to become too burdensome!
19© 2007 by Level 3 Communications, Inc. All rights reserved.
Compliance Process
Ideation ElaborationInception Construction
Educate Categorize Participate
Projects
Validate
Inform business units of guiding principles and roadmaps
Evaluate projects; realign as necessary
Participate and/or check-point solution design
Checkpoint with implementation team
EAGActions:
Ensure architectural principles and roadmaps are understood
Identify projects that will require architecture participation
Ensure solutions adhere to principles and roadmaps
Ensure solution implementation is in line with design
EAG Goal:
End States & Roadmaps
None Project Rating and Recommendation
Project Rating and Recommendation
EAGOutputs:
Project Rating and Recommendation
Guiding Principles
Realign
• Strategic• Compliant
• Partially Compliant
• Noncompliant Realign
• Strategic• Compliant
• Partially Compliant
• Noncompliant
Gate Gate Gate GateDevelopmentProcess
20© 2007 by Level 3 Communications, Inc. All rights reserved.
Levels of Compliance
Compliance
LevelDescription
Possible Recommen-
dations
Non-compliant
In a significant aspect, the project does not conform to architecture principles or roadmaps.
• Realign
• Cancel
Partially Compliant
Generally conforms to architecture principles and roadmaps, but is nonconforming in in some area.
• Proceed
• Realign
• Postpone
Fully Compliant
Conforms to all relevant architecture principles and roadmaps.
• Proceed
Strategic
Directly accomplishes architecture objectives or helps realize architecture roadmaps.
• Proceed
GuidingPrinciples /Roadmaps
ProjectSpecification/
Scope
21© 2007 by Level 3 Communications, Inc. All rights reserved.
Summary
Successful Enterprise Architecture Governance will… Provide an architecture framework from which to build and operate the entire
enterprise Ensure appropriate strategies are created and aligned across relevant
departments Provide a compliance process to ensure development initiatives support the
defined strategies
22 May 22-24, 2007
Washington Dulles HiltonThe Business Transformation Conference
Thank YouThank YGreg SparksDirector of IT Strategy & ArchitectureLevel 3 Communications
Contact Information:[email protected]
ou
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