How Enterprise Architecture can be used as a tool to support audit work
When a Project of Architecture to Basel is started, what we see mainly is a large volume of information diffi cult to manage and from where extract any result for auditing. It is common that each area has its own language and information silos don’t cross and don’t show the changes made by running projects. Projects are elements for transforming the organizations, so their results lead the progress of the corporate knowledge base, which are generally maintained manually in different Excel sheets. This mean that updating them according to results from projects is an extremely complex and time-consuming process.
In this Brazilian fi nancial institution, besides scattered data in Excel files, the standardization of information and reports generation was slow, exhausting and delivered inconsistent results, placing the goal of Basel project for the bank at risk.
Aitec Brazil mission was to design, plan, and implement, in 7 weeks, a tool for extracting results for a Basel audit, with information concerning the bank’s IT, and financial area, with an integrated vision of architectural vectors. More specifically, it would be possible with this tool:
• Identify the items related to systems of Market Risk, target of Basel II;
• Have an integrated and updated view of businesses As-is and IT architecture, by consolidating information from diff erent sources;
• Have the ability to extract quickly and reliably the most diff erent views to Basel II audit.
Surely that part of the challenge was to clean, structure and import information from different areas for generating the required views for auditing.
In 30 days, the goal was to import information from a corporate repository and run a solution for automatically generate outputs: PowerPoint reports, architecture maps, and graphics for time analysis
• The approach we used was designed to minimize the main risks of the project:
• Time spent with the defi nition of the knowledge base metamodel.
• Unsuitable detail level of metamodel facing information sources. Metamodel complexity must meet the immediate needs and the existing information sources.
• Time spent adjusting manually unstructured information.
• People could lose confi dence in the project if no short-term results were presented
• Audit could not receive information that didn’t mirror the bank’s reality.
The structure to solve this problem was a joint solution from IBM – Rational System Architect and Link Consulting – Enterprise Architecture Management System (EAMS).
System Architect was primarily used as knowledge base. The integration of information and generation of updated architectural views, was achieved via EAMS.
The challenge to create a representation of corporate architecture amidst a project that requires speed and reliability generates more risks than those normally found in a cautious Architecture
initiative. The initial goal of providing real information to the audit was successfully completed in 3 months, but to keep the representation alive/updated is an even greater challenge.
This case confirms the role of Corporate Architecture as a tool for organization change and fast compliance with regulations. We have currently, besides the successful project within Basel, a platform providing information for managing requests and impact analysis, streamlining the creation, maintenance and evolution of the corporate strategy.
— Pedro M Sousa —