Capability Management Guide

Transcription

1 Capability Management Guide

2 Matthias Wißotzki Capability Management Guide Method Support for Enterprise Architectures Management

3 Matthias Wißotzki Rostock, Germany Dissertation Universität Rostock, 2016 OnlinePlus material to this book is available on ISBN ISBN (ebook) DOI / Library of Congress Control Number: Springer Vieweg Springer Fachmedien Wiesbaden GmbH 2018 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, express or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. Printed on acid-free paper This Springer Vieweg imprint is published by Springer Nature The registered company is Springer Fachmedien Wiesbaden GmbH The registered company address is: Abraham-Lincoln-Str. 46, Wiesbaden, Germany

4 Acknowledgements It is my pleasure to thank all people who have made this investigation possible. The corresponding thesis was written at the chair of computer science of the University of Rostock during my engagement as researcher assistant. Thus, I would like to thank Prof. Dr. Kurt Sandkuhl for supporting my research and for giving me so much guidance and help during the entire research process. He taught me the methodology to execute different kinds of studies, established contact with the relevant communities and gave me the opportunity to present my research results at conferences all over the world. Furthermore, acknowledgments go to my reviewers for many helpful comments on different stages of my dissertation process. Special thanks to Tino Weichert for the content-related support extending over several years - without him many practical insights and experiences could not have been implemented in this work. He was always motivated, tolerant and ready to help me when I met difficulties or had obstacles in my work. I also want to thank Marco Redlich and Roland Vogel for their professional commitment. They were always good discussion partners and gave me new inspirations from the business practice viewpoint, which I highly appreciate due to the fact that it is difficult to get in touch with practical partners. I would also like to thank the many excellent students for their support regarding seminar, bachelor and master theses. A special thanks to Raphael Jacobs for his strong 24/7 commitment and patience during proof-reading, discussions, formatting and cross-referencing in the final labor-intensive weeks of work. My gratitude also goes to the industry partners who participated in the various studies, discussions and evaluations. In this context, the following companies and consortia are to name (alphabetically): ACL Ltd., AIDA Cruise, alfabet (a software AG company), Bombardier Transportation, Stadtwerke Rostock AG and The Open Group. I highly appreciate the support from my colleagues at the University of Rostock and Reutlingen. The last months before finishing the thesis have been a challenge for my family. I would like to thank them for all the support and understanding. Without their continuous motivation and trust, it would have been impossible for me to stay on target and to finally finish this thesis. Now I am looking forward to spend time with my dear Anne, my quickly growing Alexander and our unknown anticipated offspring. Matthias Wißotzki V

5 Preface Due to the global digitalization, fast shifting business models and short technology lifecycles, modern enterprises need strategies how to deal with those unpredictable changes to stay competitive. When implementing such strategies, enterprises have to be aware of its existing organizational and technical structures to estimate the impacts of change and to be able to quickly switch to other strategic alternatives. If impacts of change are not considered, the desired rapid strategic realignment can quickly result in a static business behavior and paralyzes business flexibility. In this context, Enterprise Architecture Management (EAM) provides a powerful and prominent discipline for the systematic support of enterprise changes especially under consideration of business and IT perspectives. For instances, change processes could range from minor, continuous ongoing, intra-corporate changes to strategic, market-penetrating activities. Within all these activities, elements of the enterprise architecture and its management are affected independent of project s size or type of change. Thus, EAM is expected to support mentioned issues by capturing and managing these architecture elements, which could be manifested in a large number of processes, organizational units, machines, information systems, devices, data, networking infrastructure and its interrelations. EAM supports enterprises in the collection and management of (potential) impact on the architectural elements and its relationships caused by (targeted) changes. The resulting knowledge is a key factor for a comprehensive strategy assessment and implementation. To ensure this key factor, enterprises need to ask the question "What should our EAM can do or is capable of?". As a basis for answering this question, the approaches of the capability management should serve as help, which experienced increasing attention in theory and practice. In this work, a capability-based method is developed, which assists in the identification, structuring and management of EAM capabilities. The Capability Management Guide (CMG) is based on an integrated capability approach that results from a number of scientific investigations. The approach is embedded in a process comprising four building blocks providing appropriated procedures, concepts and supporting tools evolved from theory and practical use cases. The Capability Management Guide represents a flexible method for capability newcomers and experienced audiences to optimize enterprises economic impacts of EAM supporting business- and IT alignment. VII

6 Table of Contents ACKNOWLEDGEMENTS... V PREFACE... VII TABLE OF CONTENTS... IX LIST OF FIGURES... XIII LIST OF TABLES... XV LIST OF ABBREVIATIONS... XVII 1 INTRODUCTION RESEARCH MOTIVATION RESEARCH STATEMENT CONTRIBUTIONS Contribution to Knowledge Base Practice Contributions PUBLICATIONS Published Work of the Thesis Related Work STRUCTURE RESEARCH APPROACH RESEARCH PHILOSOPHIES AND STRATEGIES RESEARCH METHODOLOGY Research Process Data Collection Survey Literature Review Data Analysis Quantitative Analysis Qualitative Content Analysis THEORETICAL FOUNDATIONS ENTERPRISES AND THEIR ENVIRONMENTS ENTERPRISE MODELS AND ARCHITECTURES STRATEGIC ENTERPRISE ARCHITECTURE MANAGEMENT Strategy Management IT- Management Enterprise Architecture Management Current Situation in EAM Practice ENTERPRISE CAPABILITIES - OVERVIEW SUMMARY PROBLEM INVESTIGATION PROBLEM SELECTION POSITIONING AND JUSTIFICATION Alfabet AG - Local Practice Analysis IX

7 4.2.2 Open Group Projects - Local Practice Analysis ROOT CAUSE ANALYSIS Planning the Review Performing the Review Review Report INTERIM CONCLUSION DEFINE REQUIREMENTS OUTLINE THE ARTIFACT ELICIT REQUIREMENTS Conceptual Requirements Method Implied Requirements Quality Requirements INTERIM CONCLUSION DESIGN & DEVELOPMENT INITIAL ASSUMPTIONS METHOD STRUCTURE Perspective Method Framework Co-operations Forms Concepts: The Integrated Enterprise Capability Approach Notation & Modeling Tool METHOD COMPONENTS - CMG V BB1 Preparation WS 1: Scope and application area WS 2: Identification of terms & concepts WS 3: Capability Context Definition WS 4: Definition of the development strategy BB2 Catalog Design WS 1: Identification of Capability Candidates WS 2: Structuring and Summarization WS 3: Identification of Relationships BB3 Detail Development WS 1: Definition of Content Layer WS 2: Capability Content Engineering WS 3: Development of Stakeholder Views BB4 Catalog Governance WS 1: Evaluation Concept WS 2: Catalog Evaluation WS 3: Catalog Deployment WS 4: Catalog Maintenance JUSTIFY AND REFLECT DEMONSTRATION USE CASE OUTLINE APPLY ARTIFACT Preparation Execution Results & Implications Adjustments EVALUATION X

8 8.1 ANALYZE EVALUATION CONTEXT GOALS AND STRATEGY DESIGN & EXECUTION EVALUATION Electronic Questionnaire Preparation & Distribution Results & Implications Expert Interview Preparation Execution Results & Implications ADJUSTMENTS & SUMMARY CONCLUSION & REFLECTION SUMMARY REFLECTION DSR Conformity Threats to Validity OUTLOOK REFERENCES APPENDIX A: CMG HANDBOOK V ABSTRACT A-1 PREFACE A-2 MOTIVATION A-3 CMG OVERVIEW A-4 FOUNDATIONS A-4.1 Strategy Management A-4.2 IT Management A-4.3 Enterprise Architecture Management A-4.4 Capability Management A-4.5 Process & Role Model A-4.6 How to Use - Reading Recommendations A Basics A Terminology A Issues A Spotters A-5 BUILDING BLOCK 1 - PREPARATION A-5.1 Working Step 1: Scope & Application Area A-5.2 Working Step 2: Identification of Terms & Concepts A-5.3 Working Step 3: Description of an Integrated Capability Approach A-5.4 Working Step 4: Definition of the Development Strategy A-6 BUILDING BLOCK 2: CATALOG DESIGN A-6.1 Working Step 1: Identification of Capability Candidates A-6.2 Working Step 2: Structuring and Summarization A-6.3 Working Step 3: Identification of Relationships A-7 BUILDING BLOCK 3: DETAIL DEVELOPMENT A-7.1 Working Step 1: Definition of Content Layer A-7.2 Working Step 2: Capability Content Engineering A-7.3 Working Step 3: Development and Test of Stakeholder Views A-8 BUILDING BLOCK 4: GOVERNANCE A-8.1 Working Step 1: Assessment A-8.2 Working Step 2: Rollout & Operations XI

9 A-8.3 Working Step 3: Maintenance of the Catalog A-9 CONCLUSION A-10 GLOSSARY A-11 REFERENCES A-12 APPENDIX CMG APPENDIX B: ANALYZED TECHNOLOGY AND IT TREND SURVEY B-1: SIM IT TREND SURVEY ANALYSIS B-2: GARTNER TECHNOLOGY TRENDS APPENDIX C: FRAMEWORKS AND METHODS C-1: EA FRAMEWORKS C-2: CAPABILITY FRAMEWORKS APPENDIX D: DOCUMENTS & VISUALIZATIONS TECHNIQUES D-1: STANDARD MEETING PROTOCOL D-2: COMMUNICATION PLAN D-3: ELECTRONIC CAPABILITY IDENTIFICATION MATRIX (ECIM) D-4: 4EM.DESK 2.7A APPENDIX E: INTERVIEW GUIDE & QUESTIONNAIRES E-1: EVALUATION QUESTIONNAIRE E-2: EVALUATION INTERVIEW GUIDE APPENDIX F: RESEARCH PROCESS POSTER XII

10 List of Figures Figure 1.1 Analysis of most important organizational IT- Management concerns , according to [335] Figure 2.1 Design Science Research Framework [96] Figure 2.2 Local and Global Practices in a Design Research Investigation, adapted from [21,23] Figure 2.3 Research Process Notation using IDEF0, adapted from [21] Figure 2.4 Overview Research Process Figure 3.1 Enterprise and its Environments, according to [114] Figure 3.2 Covered EA Layers in scientific publications [117] Figure 3.3 Typical Enterprise Architecture Layer Figure 3.4 Enterprise Architecture and Characteristic Elements, adapted from [59,144] Figure 3.5 Formation of the intended, deliberate, emergent and realized Strategy Concepts [184] Figure 3.6 Overview Strategy Management Process, adapted from [142,184] Figure 3.7 Overview IT- Management process Figure 3.8 Enterprise Architecture Management as mediator between Business and IT perspective Figure 3.9 Alignment and Integration Activities, adapted from [12] Figure 3.10 The Role of Enterprise Architecture Management, according to [13,142] Figure 3.11 EAM Process Integration, adapted from [12] Figure 4.1 Research Process Step 1: Problem Investigation Figure 4.2 Overview selection of the initial Local Practice Problem Figure 4.3 Overview Local Practice Problem Analysis alfabet AG Figure 4.4 Results of the Local Practice Problem Analysis Figure 4.5 Root Cause Analysis Process Figure 4.6 Trend and number or relevant publications per year Figure 4.7 Articles per journal & conference per year > Figure 4.8 Number of articles assigned to research subject Figure 4.9 Publications per country > Figure 4.10 Publications per district in the USA Figure 4.11 Top ten impact relevant Capability sources by citations > Figure 4.12 Identified capability types and possible sub-sets Figure 4.13 Distribution of descriptive elements by Capability type Figure 4.14 Problem Investigation Relationships and guiding principles Figure 5.1 Research Process Step 2: Define Requirements Figure 5.2 Conceptualization of the method engineering approach, according to [216,217] Figure 6.1 Research Process Step 3: Design and Development Artifact Figure 6.2 Conceptual structure of the CMG v1.0 development Figure 6.3 Potential Areas of EAM Capabilities, according to [13,52,142] Figure 6.4 CMG v1.0 - Process Model Figure 6.5 Conceptual model of the Integrated Enterprise Capability Approach [300] Figure 6.6 Elements of an EAM capability Figure 6.7 Concept of descriptive capability elements Figure 6.8 Example of an EAM capability: Impact Analysis IS Architecture Figure 6.9 4EM sub-models and Capability Extension Figure 6.10 Example for EAM capability descriptions Figure 6.11 Example of EAM capability relationship types in the Capability Model Figure 6.12 Example of EAM capability refinement with AND relationship Figure 6.13 Notation for 4EM Capability Model Figure 6.14 Example for inter sub-model links (dashed arrows) between the descriptive components of an EAM capability Figure 6.15 Integrated Enterprise Capability Approach XIII

11 Figure 6.16 EAM Capability Example Figure 6.17 Business Capability Example Figure 6.18 Concept of the Capability Identification Matrix (CIM) Figure 6.19 Structural example of a CIM with MS Excel Figure 6.20 Example for the visualization of relationships in the CIM Figure 6.21 Capability Catalog Content Layer Structure Figure 6.22 EAM Capability on all three content layer Figure 6.23 Overview - EA Planning Capability Figure 6.24 The Capability Catalog Extension Patterns, according to [240] Figure 6.25 CMG v1.0 Requirements Overview Figure 7.1 Research Process Step 4: Demonstrate Artifact Figure 7.2 CMG v2.0 Process Model Figure 8.1 Research Process Step 5: Evaluate Artifact Figure 8.2 CMG v2.0 Overview of requirements and change request ready for evaluation Figure 8.3 CMG v3.0 Process Model Figure 9.1 Summary Research results Figure 9.2 DSR knowledge contribution framework, according to [21,107] Figure 9.3 Capability-based business-it integration approach XIV

12 List of Tables Table 2.1 Characteristics of Behaviorist- and Design Science Research strategies, according to [177] Table 2.2 Research methods and techniques suitable for DSR projects, according to [21] Table 2.3 Overview Research Methods: Survey, according to [21,286] Table 2.4 Overview Data Collection via Questionnaires Table 2.5 Overview Data Collection via Expert Interviews Table 2.6 Overview Data Collection via Literature Reviews Table 2.7. Overview quantitative- and qualitative Data Collection Techniques, according to [301] Table 2.8 Analyzing Techniques, according to [210] Table 3.1. Features of different deliberate and emergent strategies [188] Table 3.2 Selection of Strategy Methods and its relation to the Strategy Management Process, adapted from [125] Table 3.3 Selection of IT- Management methods and its relation to the ITM process, adapted from [326,330]. 53 Table 3.4 Overview IT- Management concerns , according to [335] Table 3.5 Selection of EAM Frameworks its relation to the EAM process, according to [9] Table 3.6 Competence, Ability and Capability, according to [201] Table 3.7 Capability, Competence, Ability, Skill and Process Classification, according [87] Table 3.8 Example for a Capability Type Classification, adapted from [357,p. 442] Table 4.1 EACN Project Overview - goals, trigger, benefits and progress Table 4.2 EACN Project status on target achievement Table 4.3 Data Collection for Local Problem Analysis from alfabet AG Table 4.4 Results of the Local Practice sub-problem Analysis alfabet AG Table 4.5 Data collection for local problem analysis from the OG- EACI Project Table 4.6 Results of the local practice sub-problem analysis OG- EACI Project Table 4.7 Data collection for local problem analysis from the OG- CBP Project Table 4.8 Results of the local practice sub-problem analysis OG- CBP Project Table 4.9 Overview - Root causes Table 4.10 Analysis questions and its global practical and scientific evidence Table 4.11 Knowledge base analysis - Literature source extract Table 5.1 Analysis framework for IS design science research, according to [119] Table 5.2 Conceptual Requirement Set 1: Integrated Capability Approach (μ11) Table 5.3 Conceptual Requirement Set 2: Standardized Management Method (μ11) Table 5.4 Method Implied Requirements Set 1: Method Engineering (μ11) Table 5.5 Method Implied Requirements Set 2: Architecture (μ11) Table 5.6 Quality Requirements Set 1: Measurability & Value (μ11) Table 5.7 Quality Requirements Set 2: Usage (μ11) Table 5.8 Quality Requirements Set 3: Governance (μ11) Table 6.1 Overview Method engineering components and its mapping on artifact structure Table 6.2 Roles and its co-operations based on the CMG v1.0 Working Steps (RASCI matrix) Table 6.3 Research community group: POEM 11/2013 questionnaire Table 6.4 Local practice group: alfabet Boston 11/2013 questionnaire Table 6.5 CMG v1.0 Overview Working Steps Table 6.6 Example for application area analysis Table 6.7 Typical industry-related business capabilities industry Table 6.8 Overview of methods of analysis for capability identification, according to [15] Table 6.9 CMG v1.0 Design decisions and developed solutions Table 7.1 Demonstration descriptions for artifact demonstration Table 7.2 Summary of demonstration activities Table 7.3 Change requests of the CMG v1.0 BB1 demonstrations Table 7.4 Change requests of the CMG v1.0 BB2 demonstration XV

13 Table 7.5 Change requests of the CMG v1.0 BB3 demonstration Table 7.6 Change requests of the CMG v1.0 BB4 demonstration Table 7.7 CMG v1.0 changes after demonstration Table 7.8 Implied CR adjustments (colored cells) within the co-operations forms of the CMG v2.0 (Rresponsible, A-accountable, S-supportive, C-consulted, I-informed) Table 8.1 Evaluation environment - local practice partner for artifact validation Table 8.2 A DSR Evaluation Strategy & Method Selection Framework, according to [250] Table 8.3 Overview - Requirements sets to be evaluated (μ21) Table 8.4 Summary of the expert interview content analysis Table 8.5 Change Requests of the CMG v2.0 BB1 Evaluation Table 8.6 Change Requests of the CMG v2.0 BB2 Evaluation Table 8.7 Change Requests of the CMG v2.0 BB3 Evaluation Table 8.8 Change Requests of the CMG v2.0 BB4 Evaluation Table 8.9 Change Requests of the CMG v2.0 evaluation Table 8.10 CMG v2.0 changes after evaluation Table 8.11 Implied CR adjustments (colored cells) within the co-operations forms of the CMG v Table 9.1 DSR checklist for ensuring validity, relevance, and rigor of methodological efforts [96, p.20] Table 9.2 Summary DSR classification XVI

14 List of Abbreviations AA ARM BA BITA BPM RM BR BRM CapM CBP CBPP CEO CIO CIM CM CMM CR CSO CSV DA DSR DSRM EA EC EAM EACN Application Architecture Actor & Resource Model Business Architecture Business IT Alignment Business Process Model Rule Model Behavioristic Research Business Rule Model Capability Model Capability-Based Planning Capability-Based Planning Project Chief Executive Officer Chief Information Officer Capability Identification Matrix Concept Model Capability Maturity Models Change Request Chief Sales Officer Comma-separated value Data Architecture Design Science Research Design Science Research Methodology Enterprise Architecture Enterprise Capability Enterprise Architecture Management Enterprise Architecture Capability Navigator XVII

15 EACI G G GP GM EM GoM GP IA ICA IoT IRR ISR IS ITM KB KMS LP Mgt. NDA NPV PESTEL P Ln P G RC n ReC SISU SLR Enterprise Architecture Capability Improvement Project Goal Global Practice Goal Goal Model Enterprise Modelling Grundsätze ordnungsgemäßer Modellierung Global Practice Information Architecture Integrated Capability Approach Internet of Things Internal Rate of Return Information System Research Information System IT Management Knowledge Base Knowledge Management System Local Practice Management Non-Disclosure Agreement Net Present Values Political, Economic, Social, Technology, Ecologic and Legal Local Practice Problem Global Practice Problem Root Cause Research Community Institute für System Development Systematic Literature Review XVIII

16 SME SMS SPSS TA TCRM TOGAF WI Small and medium enterprise Short Massage Service Statistical Package for the Social Science Technical/ Technology Architecture Technical Components and Requirements Model The Open Group Architecture Framework Wirtschaftsinformatik XIX