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<article xmlns:xlink="http://www.w3.org/1999/xlink">
  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>A Method for Functional Alignment Verification in Hierarchical Enterprise Models</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Irina Rychkova</string-name>
          <email>Irina.Rychkova@epfl.ch</email>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Alain Wegmann</string-name>
          <email>Alain.Wegmann@epfl.ch</email>
        </contrib>
      </contrib-group>
      <fpage>244</fpage>
      <lpage>253</lpage>
      <abstract>
        <p>Enterprise modeling involves multiple domains of expertise: requirements engineering, business process modeling, IT development etc. Our experience has shown that hierarchical enterprise models, made of an assembly of system models, are effective. In these models, two hierarchies exist: an organizational level hierarchy (describing systems' construction) and a functional level hierarchy (describing systems' functionality). Using a uniform hierarchical modeling language, system models at different hierarchical levels can be aligned in the context of the enterprise model. Using an operational semantics, each system model can be translated into executable code for model simulation and testing. The possibility to simulate and test models leads to the alignment verification for all system models across both hierarchies. In this paper we propose a method and tool for functional alignment verification. We use the Abstract State Machine (ASM) and the ASM language (AsmL) to formalize our graphical models for simulation and testing. We illustrate this approach with an example.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>-</title>
      <p>In an IT project, marketing managers, business process designers, IT
developers and other specialists develop specific models of an enterprise. Every model
highlights properties of the enterprise from a given viewpoint and often requires
a specific notation and a modeling tool. As a result, the enterprise models can
be seen as a collection of loosely coupled specific models. The main advantage
of this modeling approach is that each model is easy to read and understand
by the relevant specialist. However it is a challenging task to align the different
specific models in the context of one enterprise model.</p>
      <p>
        SEAM [
        <xref ref-type="bibr" rid="ref22">22</xref>
        ] stands for a Systemic Enterprise Architecture Methodology and
represents an enterprise and its environment as an enterprise model. This
enterprise model is a set of hierarchical system models. To structure these system
models (and their relations), SEAM defines a functional and an organizational
hierarchy. The functional hierarchy represents system’s behavior at different
levels of details. The organizational hierarchy represents systems’ construction and
related architectural choices.
      </p>
      <p>
        Alignment across functional and organizational levels requires explicit
refinement relationships between system models. Refinement relationship has to
guarantee the behavioral compatibility of two system models at different hierarchical
levels. Two systems are considered behaviorally compatible if the first system can
be replaced by the second one without the environment being able to notice the
difference of the system’s behavior based on a set of criteria.(adapted from [
        <xref ref-type="bibr" rid="ref18">18</xref>
        ])
The process of checking behavioral compatibility for two system models is the
alignment verification.
      </p>
      <p>
        In SEAM we distinguish 2 types of alignment: (1) functional alignment where
behavioral compatibility of two system models within one organizational level
need to be guaranteed and (2) organizational alignment where behavioral
compatibility of two system models at different organizational levels need to be
guaranteed. These 2 types of alignment were formalized in [
        <xref ref-type="bibr" rid="ref21">21</xref>
        ].
      </p>
      <p>
        In this paper we present how SEAM system models can be simulated and how
functional alignment verification can be achieved. The simulation and verification
is based on the Abstract State Machine (ASM)[
        <xref ref-type="bibr" rid="ref2">2</xref>
        ] operational semantics. The
same method can be extended for organizational alignment verification. This
will be addressed in our future work. We illustrate our approach with a model
of a Cinema web site.
      </p>
      <p>Section 2 presents the SEAM notation and approach for multi-level model
design and alignment verification. Section 3 defines the semantic mapping of
SEAM model into ASM executable language (AsmL) for functional alignment
verification. Here we also discuss the required tool support. Section 4 presents
the related work. Section 5 presents our conclusions.
2</p>
    </sec>
    <sec id="sec-2">
      <title>The SEAM</title>
    </sec>
    <sec id="sec-3">
      <title>Approach for Multi-level Model Design</title>
      <p>
        SEAM is a systemic approach that is applicable to general systems, including IT
systems and enterprises. SEAM epistemological principles are based on General
System Thinking (GST) [
        <xref ref-type="bibr" rid="ref24">24</xref>
        ] and Living Systems Theory (LST) [
        <xref ref-type="bibr" rid="ref11">11</xref>
        ]. GST defines
system-related concepts such as system boundary, context, etc. LST gives the
notion of organizational level. This concept is useful to describe systems that
span from technical systems up to companies and markets. SEAM ontology is
grounded on the second part of the RM-ODP [
        <xref ref-type="bibr" rid="ref18">18</xref>
        ] standard specification. Based
on this standard the main modeling concepts such as object, state, action are
defined [
        <xref ref-type="bibr" rid="ref23">23</xref>
        ]. These concepts are necessary to uniformly and rigorously model
systems.
      </p>
      <p>We illustrate our approach with the model of the Cinema Web Site shown
in fig. 1-2.</p>
      <p>Problem specification of the Cinema Web Site. ”SEAneMa” is a municipal
cinema that develops a web site to provide clients with new services. A Booking
tickets service enables tickets reservation via internet. To book tickets a client
has to log in on the web site. If logged in, the client can add reservations for
a movie of his/her choice to a virtual cart. The movie can be chosen from an
agenda - the movie list. The web site has to control a number of places (seats)
available for every movie. Booking tickets finishes when the client commits and
logs out.</p>
      <p>An enterprise model at different organizational and functional
levels
In this section we present the SEAM ontology and define the concepts of
organizational and functional levels in enterprise models.</p>
      <p>In SEAM, all entities that have behavior are considered as systems. For
example, a value network (group of companies), a company (people and IT
systems), IT systems (group of software applications) are all systems.
System is modeled as a working object. In fig.1.a Client is a working object
...</p>
      <p>Client
cinemaBIZ</p>
      <p>Cinema</p>
      <p>Cinema
ManagementTxn
&lt;&lt;transaction&gt;&gt;</p>
      <p>Cinema
Management
operation
a)</p>
      <p>...</p>
      <p>Client</p>
      <p>WebSite
cinemaBIZ</p>
      <p>Cinema</p>
      <p>Booking</p>
      <p>Office
cinema
Management
that represents a human. Cinema is a working object that represents a company.</p>
      <p>A working object can participate in a collaboration with other working
objects. This collaboration is called a full interaction in SEAM. In fig. 1.a the
Client and the Cinema working objects participate in the business operation
full interaction.</p>
      <p>A working object can be decomposed into a set of component working
objects. This decomposition defines an organizational level of the system. Figure
1.a-b represents the model of Cinema at different organizational levels. WebSite,
Booking office, Manager, and Clerk participating in the cinemaManagement
full interaction define a new organizational level for Cinema and represent its
components. A specification of a working object as a whole focuses on its
structure and can be considered as a white box specification of the system.</p>
      <p>A full interaction can be seen as a composition of other full interactions
seen as wholes. Interaction seen as a whole defines a functional level of the
Seat
{0..250}</p>
      <p>1|seats
BookingTicketsTxn
&lt;&lt;transaction&gt;&gt;</p>
      <p>Valid
{Boolean}</p>
      <p>Movie
{String}
Emergent:
1|valid
valid = (list==agenda.list)</p>
      <p>
        PreEnv:
0..*|list[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]..list[*]
      </p>
      <p>WebSite
PreS:
1|agenda</p>
      <p>
        Cart
Agenda
Movie
{String}
1..*|list[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]..list[*]
      </p>
      <p>WebManagementTxn
&lt;&lt;transaction&gt;&gt;</p>
      <p>
        ReservationList
0..*1|list[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]..list[*]
      </p>
      <p>1|reservationList
PostEnv [valid]:
forAll item in list {
reservationList add item;
seats(item):=seats(item)-1 }
H</p>
      <p>H</p>
      <p>LogIn</p>
      <p>ManageReservation</p>
      <p>BookingTickets
LogOut</p>
      <p>H</p>
      <p>H
WebManagement
WebSite
WebManagementTxn</p>
      <p>&lt;&lt;transaction&gt;&gt;</p>
      <p>
        Agenda
1..*|list[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]..list[*]
      </p>
      <p>
        PreS:
1|agenda
Seat
{0..250}
1|seats
{String}
Movie 0..*1|list[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]..list[*]
      </p>
      <p>
        ReservationList
0..*|list[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]..list[*]
      </p>
      <p>1|reservationList
PostEnv [commit]:
forAll item in ca.cart
reservationList add item;
ManageReservationsTxn
&lt;&lt;transaction&gt;&gt;</p>
      <p>Commit
{Boolean}</p>
      <p>PreEnv:
1|commit</p>
      <p>Cart
0..1|cart</p>
      <p>BookingTicketsTxn
&lt;&lt;transaction&gt;&gt;</p>
      <p>Valid
{Boolean}
PostEnv: PostEnv[valid]: Emergent:
1|cart ca.cart add m 1|valid
valid = (m is in agenda.list
&amp; seats(m)&gt;0)</p>
      <p>
        Movie
{String}
PreEnv:
0..1|m
ClientAccountList
0..*|ca[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]..ca[*]
ClientAccount
      </p>
      <p>PreS:
1|ca
1|id</p>
      <p>
        ID
{String}
ClientAccountList
0..*|ca[
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]..ca[*]
ClientAccount
      </p>
      <p>PreS:
1|ca</p>
      <p>1|id</p>
      <p>ID
{String}</p>
      <p>LogIn</p>
      <p>WebManagement
ManageReservation</p>
      <p>Add *</p>
      <p>Add
GetCommit</p>
      <p>BookingTickets
LogOut</p>
      <p>H</p>
      <p>H
whole) performs ManageReservation partial interaction seen as multiple Add
reservation partial interactions and one GetCommit partial interaction with undefined order.
ManageReservation finishes when Commit parameter received.
system. In fig. 1.b the cinemaManagement full interaction is shown as a whole.
CinemaManagement in fig.1.c is shown as a composite where the webManagement
full interaction defines a new functional level for Cinema.</p>
      <p>Working objects and full interactions can have a participation relation that
shows the participation of the working objects in the full interaction.</p>
      <p>A working object represented as a whole is described by its partial
interactions, internal actions, and properties. SEAM defines a partial interaction as an
action in which the working object communicates with its environment using
parameters. An internal action is an action that does not require any exchange
with the environment. Properties of a working objects can be instantiated only
in the context of an action. Partial interaction and internal action can have a
parameter relation to a property that indicates that the action access or modify
instances of that property. Properties of the working object are encapsulated, i.e.
their state can be changed only as a result of a partial interaction or an internal
action. A specification of a working object as a whole can be considered as a
black box specification of the system. Figure 2.a shows the WebSite working
object as a whole. Agenda, ClientAccountList, ClientAccount, etc are the
properties of WebSite. The BookingTickets partial interaction is shown as a
composition of the LogIn, ManageReservation and LogOut partial interactions.</p>
      <p>Operational semantics for the functional alignment verification
To validate and verify the functional alignment of 2 graphical models, we need
to check the behavioral compatibility of the corresponding system specifications.
To do this an operational semantics for SEAM was defined.</p>
      <p>We propose a method for SEAM model simulation based on the
transformation of the graphical model into an executable program. To enable such a
transformation, we had to check that the SEAM graphical language had all
necessary information to simulate the behavior. This did require some
improvements to the graphical notation and the addition of stereotypes specific to the
simulation.</p>
      <p>We also had to select an executable language that supports the appropriate
abstraction level to simulate an abstract behavior defined by a SEAM graphical
model. In addition, it was important that this language provides an adequate
infrastructure for a testing of the executable specification for the alignment
verification.</p>
      <p>
        In this work we use the Abstract State Machine (ASM) operational
semantics for SEAM to provide the alignment verification for system models. ASM
is a method of stepwise refinable abstract operational modeling [
        <xref ref-type="bibr" rid="ref2">2</xref>
        ].The choice
of ASM as an operational semantics for SEAM was discussed in [
        <xref ref-type="bibr" rid="ref19">19</xref>
        ]. The
Abstract State Machine language (AsmL) and AsmL environment for model testing
(Asmlt) are ASM based tools developed by Microsoft Research group [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ], [
        <xref ref-type="bibr" rid="ref1">1</xref>
        ].
Using ASM as an operational semantics for SEAM together with AsmL and Asmlt
has the following advantages:
Model Simulation support. Any system model at a given functional level can
be represented as an asml specification and simulated using AsmL. The modeler
can specify a program output and communicate with a program via console.
Model Testing support. Asmlt conformance test analyses the behavioral
compatibility of 2 asml specifications. Therefore it can be used for functional
alignment verification of system models at different functional levels. For example,
to verify that the model in fig. 2.a is behaviorally compatible with the model in
fig. 2.b, the conformance test should be performed.
3
      </p>
    </sec>
    <sec id="sec-4">
      <title>The Method and the Tool for Functional Alignment</title>
    </sec>
    <sec id="sec-5">
      <title>Verification</title>
      <p>
        The ASM operational semantics for SEAM allows interpretation of SEAM
modeling concepts in AsmL language and enables the automated generation of
executable asml specifications. Based on the definitions of SEAM modeling concepts
given in the section 2 and the notion of the AsmL programming concepts [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ], we
define the AsmL interpretation of SEAM graphical models.
3.1
      </p>
      <p>The AsmL interpretation of SEAM graphical model
We use our Cinema Web Site example and its SEAM model in fig. 1 and fig. 2
to illustrate the interpretation rules for all general modeling concepts in SEAM.
SEAM working object is interpreted as an AsmL namespace.</p>
      <p>namespace WebSite //WebSite working object at fig. 2.a
SEAM full interaction is used for the organizational alignment verification. Can be
interpreted as an AsmL method that defines the collaboration protocol for asml
components representing SEAM working objects.</p>
      <p>SEAM property can be interpreted as asml types or classes.
- A property encapsulating other property(es) is interpreted as an AsmL class with
the same name. Encapsulated properties are interpreted as attributes of this class.
Properties encapsulation is expressed using a specific relation;
- A property encapsulating a collection of other properties of the same type is
interpreted as one of the AsmL instantiated type (e.g. Set, Bag, Map, etc ). See
Relations for the details;
- A property who’s state space is defined as one of the AsmL operational types (e.g.
Integer, Boolean, etc) is interpreted as an AsmL class with a single attribute that holds
a variable of this type. If property type is undefined then the property can be
interpreted as a user declared type.</p>
      <p>Instances of the properties derived from SEAM parameter relations can be interpreted
as asml variables.
class ClientAccount //from the ClientAccount property in fig. 2.a-b
var id as ID //from the ClientAccount-ID relation in fig. 2.a-b
var reservationList as ReservationList? // ... fig. 2.a-b
class ID</p>
      <p>var valueRef as String //from the ID property in fig. 2.a-b
class ReservationList</p>
      <p>var list as Bag of Movie //from the ReservationList property in fig. 2.a-b
class Movie</p>
      <p>var valueRef as String //from the Movie property in fig. 2.a-b
SEAM partial interaction and internal action are both interpreted as AsmL
methods with the same name. A precondition is interpreted as an AsmL require
assertion. A postcondition is interpreted as AsmL operation(s) and/or ensure assertions.
Both pre- and postconditions are derived from SEAM parameter relations.
Add(m as Movie, cl as ClientAccount) //from Add partial interaction in fig. 2.b
require (m is in agenda.list) &amp; (seats(m)&gt;0)
cl.cart.list add m; seats(m):=seats(m)-1;
SEAM Relation There are 3 general groups of SEAm relations:
1) Property-Property relations can define attribute-properties for the class-properties
or specify AsmL instantiated types (e.g. Set, Bag, Map, etc );
2) Action-Action relations (activity transitions) define action composition constraints
and include plain, conditional, fork, merge transitions, etc. It is interpreted using the
AsmL control structures such as step, if..then..else, forAll, forEach, etc.;
3) Action-Property relations (parameter relations) are the most important for the
simulation. These relations specify action’s parameters, pre, post and emergent
conditions in terms of property instances. Property instances are interpreted as AsmL
variables. Action-Property relation holds the instance information: instance name,
state, and state modification instructions (if modification occurs as a result of the
action). This information is interpreted as AsmL operation expressions (:=, new, +,
-, include, exclude, .. etc.). Being combined with the action composition
constraints, derived from the Action-Action relations, operation expressions constitutes
AsmL method body.</p>
      <p>ManageReservation(cl as ClientAccount)//from ManageReservation in fig. 2.b
if (commit) then forAll item in cl.cart.list
add item to cl.reservationList.list
seats(item):= seats(item)-1
...</p>
      <p>The interpretation rules defined in this section illustrate our approach using a small
example of the cinema web site but can be generalized for any SEAM model.
3.2</p>
      <p>Simulation tools
The semantic mapping of SEAM modeling concepts into ASM allowed us to develop
the SEAM-ASML translator. This tool includes the XML parser, SEAM interpreter,
and ASML generator units.</p>
      <p>Once a SEAM graphical model is translated into AsmL, it can be simulated to
validate if the model reacts correctly on the proposed test cases. Then more formal
alignment verification using the Asmlt test environment can be performed. The Asmlt
enables different test procedures. The conformance testing is the most interesting in the
light of our problem. Here one asml specification (corresponding, for example, to fig.2.a)
can be tested against the other one (corresponding to fig.2.b) to check their behavioral
compatibility. Positive result of this test informs the modeler that asml specifications
are behaviorally equivalent and, respectively, means that graphical models at different
functional levels are functionally aligned.</p>
      <p>
        SeamCAD is a web-based Computer Aided Design (CAD) tool[
        <xref ref-type="bibr" rid="ref10">10</xref>
        ],[
        <xref ref-type="bibr" rid="ref9">9</xref>
        ] that allows
drawing and storing of SEAM hierarchical models. The interoperability of SeamCAD
with the SEAM-ASML translator is supported by using an XML intermediate format
for the graphical specifications.
4
      </p>
    </sec>
    <sec id="sec-6">
      <title>Related Work</title>
      <p>
        Many languages for hierarchical modeling exist: Conceptual Graph[
        <xref ref-type="bibr" rid="ref16">16</xref>
        ], Catalysis[
        <xref ref-type="bibr" rid="ref6">6</xref>
        ],
TROPOS[
        <xref ref-type="bibr" rid="ref12">12</xref>
        ], UML[
        <xref ref-type="bibr" rid="ref20">20</xref>
        ], DEMO[
        <xref ref-type="bibr" rid="ref3">3</xref>
        ], OPM[
        <xref ref-type="bibr" rid="ref4">4</xref>
        ], BPEL[
        <xref ref-type="bibr" rid="ref14">14</xref>
        ], etc.
      </p>
      <p>
        TROPOS [
        <xref ref-type="bibr" rid="ref12">12</xref>
        ] is a requirements engineering method that aligns its specifications
by providing a goal refinement technique. This method does not consider behavioral
equivalence for model alignment.
      </p>
      <p>
        Catalysis [
        <xref ref-type="bibr" rid="ref6">6</xref>
        ] proposes hierarchical modeling (IT systems, components and
programming classes) and aligns its models using a top-down design. The modeling principles
of Catalysis are based on UML. This method does not propose a formal semantics for
its models apart from semantics exist for UML.
      </p>
      <p>
        DEMO[
        <xref ref-type="bibr" rid="ref3">3</xref>
        ] is an EA framework originated from the organizational theory called
Language/Action Perspective. DEMO defines its organizational levels based on a
communication paradigm. Functional levels are defined in DEMO based on the view of
business processes as transactions. DEMO provides an operational semantics for model
formalization. However alignment verification is not defined in this method.
      </p>
      <p>
        OPM[
        <xref ref-type="bibr" rid="ref4">4</xref>
        ],[
        <xref ref-type="bibr" rid="ref5">5</xref>
        ] proposes a method for the complete integration of the systems’ states
and behaviors within a single graphical model. OPM provides a visual notation and
defines an operational semantics for model simulation. It does not provide model checking
(i.e. alignment verification).
      </p>
      <p>
        BPMN[
        <xref ref-type="bibr" rid="ref15">15</xref>
        ] and BPEL[
        <xref ref-type="bibr" rid="ref14">14</xref>
        ] provide a visual notation and a formalism for business
process model development, simulation, and verification. Operational semantics for
BPEL was defined using Abstract State Mashine (ASM)[
        <xref ref-type="bibr" rid="ref7">7</xref>
        ].
      </p>
      <p>
        The semantics of activity diagrams in UML 2.0 is based on Petri Nets[
        <xref ref-type="bibr" rid="ref17">17</xref>
        ]. However,
there were many attempts to define semantics of activity diagrams based on other
formal languages: LOTOS, ASM, CSP, LTS (see [
        <xref ref-type="bibr" rid="ref17">17</xref>
        ] for details).
      </p>
      <p>
        SEAM method focused on the parallel design across organizational and functional
hierarchies. It covers different domains and defines the solution for the functional
alignment verification based on the principle of the behavioral compatibility [
        <xref ref-type="bibr" rid="ref18">18</xref>
        ], [
        <xref ref-type="bibr" rid="ref13">13</xref>
        ]. SEAM
uses the ASM operational semantics for model simulation and verification.
5
      </p>
    </sec>
    <sec id="sec-7">
      <title>Conclusion</title>
      <p>In this paper we defined the concepts of organizational and functional alignment and
proposed the functional alignment verification technique. We presented SEAM method
for hierarchical system development and specified its modeling concepts. Since the
transition from the descriptive graphical model to the prescriptive executable program is
not straightforward, graphical language as well as executable language have to satisfy
certain criteria (i.e. possibility to specify the operational data for a graphical language
and abstraction level support for executable language). We use ASM and its executable
language AsmL as an operational semantics for SEAM. At the last section the AsmL
interpretation of SEAM modeling concepts was presented. Based on this interpretation
SEAM-ASML translator tool was developed. Using SEAM-ASML translator, one can
obtain an executable asml specification of a system at any given organizational and
functional level. Functional alignment verification is performed using Asmlt
conformance testing.</p>
    </sec>
  </body>
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