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An Introduction to sentaire & Our Capabilities

Edmundo Llopis sentaire Partners, LLC. llopise@sentaire.com 917.207.7437

sentaire.com

Drawings by Hugh Macleod (www.gapingvoid.com)

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Index • Challenges • How can an executive lower risk and improve systems  H ti l i k di t portfolio management • sentaire’s Capabilities p – Risk Management – Information Management Frameworks

• Appendix A di – Information Management Framework Components 

2


Technology is getting more complex and less predictable in the collaborative, interconnected world ‌.

And demands on applications and management requirements are increasing‌. 3


IT Executive Challenges IT Executives are often faced with investment decisions in  IT Executives are often faced with investment decisions in technologies, obstacles in completing projects, limited  availability of SMEs and consuming operational challenges  without the bandwidth, and sometimes in‐house expertise,  ih h b d id h d i i h i necessary to perform effective information technology and  management evaluations and manage deliverables.

4


How can an executive lower risk and improve  systems portfolio management? systems portfolio management?  • EExpand the due diligence and management process to enable a  d th d dili d t t bl richer risk assessment by establishing relationships with  experienced companies that know how to evaluate and improve  organizations process and technology organizations, process and technology • Increase capacity by routinely seeking fresh ideas and input by  collaborating with experienced SMEs outside the Firm/company  who can tap into, or create, communities of domain expertise using  collaborative technologies

5


sentaire Capabilities  •

sentaire Partners is a boutique management consulting firm comprised of  highly experienced and results‐oriented professionals

Our team provides expertise and real‐world, international experience of  O t id ti d l ld i t ti l i f complex technology systems and organizations in highly regulated  environments 

We focus on collaborating with Venture Capital, Private Equity and Financial  W f ll b ti ith V t C it l P i t E it d Fi i l Services firms, helping our clients to make informed decisions regarding the  information technology aspects of their investments

Our services are: O i – Risk Management • IT, Operational and Credit risk – Information Management I f i M • Designing, building and managing Information Frameworks                          for complex business processes – Provide temporary Subject Matter Experts P id t S bj t M tt E t 6


sentaire Capabilities ‐ Risk Management  • Information Technology Advisory (pre and post) service is an area of focus.  We  gy y (p p ) add value by advising firms to evaluate the technology, or organization, by  enhancing the due diligence process as follows: •

Reality

Uniqueness

Structural Soundness

Security

Management Controls

Effectiveness of Software Management Processes

Emerging Technology Awareness

• Regulatory and Compliance • Business Process & Internal Controls Business Process & Internal Controls • Runaway Project Organization Optimization and “Get Get Well Well” Plans Plans • Organization Optimization and  Structural soundness, resilience, efficiency, security, control and compliance  is in the DNA of all our experienced SMEs.

7


sentaire Capabilities – Information Management Business effectiveness and performance A hit t Architecture Maturity Stages M t it St Strategic Implications of IT Local/Functional 100%

Optimization

IT Efficiency 25%

Operational p Efficiency

Strategic g Agility

16%

15%

e.g. Funds Management System, Trading  Systems

32%

34%

Enterprise Systems

Local Applications

Percentage of ITT Investment

36%

21%

e.g. Core System Replacement, Online  Channels, Document Management,  Workflow

18%

35%

11% 0%

Business Silos

40%

35%

33%

14%

17%

18%

Standardized Technology

Optimized Core

Business Modularity

75%

**

Shared Infrastructure e.g. IVR, voice and data network, enterprise  processing services, data storage services,  security services

Shared Data e.g. Group Data Warehouse,  Operational Data Stores

A hi Architecture Maturity M i IT Budget*

100%

85%

8 *IT budgets from 103 firms are corrected for industry differences with business silos as the baseline.  **Only five firms in stage four reported their IT budgets so data is not reliable.


Information Management Frameworks Summary The work of sentaire Partners is in the sweet spot of what is important f business effectiveness for ff and performance f • Federated Q Queryy

Metadata Repository

Smart Query

Routing//Msg. Middlewa are

Portal Integration at Th Glass The Gl

Common J2EE Business Components & Intelligent Routing Capabilities

Data Source

Data Source S

– To quickly integrate user interactions into   portals and other channels

Security Mechanisms   – Ensure that interactions are secure  whether it be an employee,  contractor,  customer, prospect or business partner  using the system using the system.

App

Legacy

Pre‐built Components  – To speed up the development of cross  p p p channel service solutions Templates and Abstraction Layers 

Meta‐models, Taxonomy and Information  Architecture – To help manage all the content, syndicated  or company created or company created 

Toolkits and Expertise  – To link together business processes that  span multiple systems 

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International Portal and Wiki Framework (IPF) IPF supports fast and cost effective implementation of core building blocks using a services oriented architecture: Portal, Security, Content Management, Application Integration.

Business Mgr

Admin

clickstream data

Clickstream

Clickstream

C Content Repository

Search Engine

Meta data

Portlets

User

Clickstream data as profile attributes

Interwoven Content Management System

Rules, Segments, Profile attributes

Metadata by open deploy

Runtime Environment

Web Server

metadata

Content by open deploy

raw Offline clickstream environment data

Analytics Author, A th Editor, Admin

Portal Presentation Services

Virtual profile repository

Profile Service

Rules Engine

b KYW Web Services

Rules

Personalization Service Aggregate user profile

SOA CitiSOA Infra.

KYP KYP Web Web Services Application Integration Messaging API

Authentication, Authorization

Local Repository

Security Service Service Security SSO

Entitlements g Engine

Golden RITS Source Data Application content/ data

Existing pp Apps Existing Apps Existing Apps

Secure Email Admin

outbound email


IPF Case Study ‐ Leading US Financial Issues – – –

Service channels not integrated, inconsistent customer experience Scalability and performance constraints, sites keep going down High cost of ownership for e‐solutions because of proliferation of platforms High cost of ownership for e‐solutions because of proliferation of platforms

Migrated all sites to a single, standardized portal platform • • •

Migrated access management to unified, scalable security platform • • • •

Integrates 3 different content managers using a standard interface

E Encapsulating key re‐usable business functionality l i k bl b i f i li •

Migrated several million users from the problem security product to new product while in production Provided Single‐Sign Provided Single Sign On across all BUs and their portals   On across all BUs and their portals Other channels now integrating to common security service Scaling issues addressed in portal and service applications 

Implemented support for multiple content managers with a single application interface •

Common Portal Platform, which supports tiered BU portals Methodology defined the migration process Portal supports standards such as WSRP, JSR 168 , JSR 170, etc.

Rolling out Web Services based business functions

Result • • •

State of the art implementation. Faster time to market. Consolidation and cost savings Scalability, stability issues addressed, sites now stable with several thousand concurrent users Platform based on industry standards, can evolve to meet growing business requirements


Federated Query Services Fast, highly cost effective integrations for business processes

Pros ▫ ▫

▫ ▫

▫ ▫

Golden Source Data is exposed as a web service Middleware defines a node in a Data Service Grid for  query processing (complex data access, aggregation,  modeling, and rendering) Message patterns are enforced and exploited on the  middleware Middle‐tier integrates for performance across backend  systems (14 request‐response integrations inherently  slow) Middle‐tier manages asynchronous workflows for web  service consumers Middle‐tier consolidates software interfaces to simplify  management and ease integration for service  consumers (Information Architecture) Integrations become strategic rather than tactical

SOA

App-1 App C3PAR 1 XML C3PAR

App-2 Armor Armor

Start Start

callback

JWS JWS Queue Queue Queue

XML

method Vendors CASP

App-3 CSRS CSRS

method

callback

XML

Assets Netinfo

App-4 App CRMR 4 CRMR

jms control

XML

method

callback

method

As levels of reuse rise, more sophisticated capacity  planning required Dependencies between different groups (both  development and run‐time) Better process management, governance and SDLC  required

RITS C3PAR Middleware Workforce Query C3PAR Middleware Middleware W k h Workshop

service control

Cons ▫

Non-SOA

STOP STOP

WL8.1/Solaris


Structure of Federated Query Services

Service Consumers

Service Structure defines effective roles and responsibilities for governance, and should lend itself to the analysis of the economics

Service Domains • Business Services of broad interest and utility • NOT Golden Sources for the information; only a delivery service • High-degree of inter-operability • Support common interfaces • Certification (WS-I Basic and Security Profile Compliant, etc.) • Reporting R ti

Compliance Risk Management Corporate p Investment Purchasing International Trade & FX Retail

… Secu urity Master Data Mgmt.

Reference Data agement Mana

Know-Your-Assets ur-Systems anagement Profile Ma

Know-Your--Workforce Profile Mgm mt.

-Workforce Know-Your Know-You W ur-Partners& urProfilePro Mg gmt.Mgmt. Partners ofile

Know-Your-Customer Profile Management

Service Domains

Supply-and-Demand Analysis • Derives Service Domains • Service Suitability • Service Roadmap • Basis for ROI arguments


Federated Query Case Study ‐ y y Leading US Financial g Issues  – – –

Operational Risk Compliance Findings increase breadth and depth of information security Rapid growth, mergers and ‘federal” organization model leads to multiple applications, systems and user directories  leading to integration and management problems leading to  integration and management problems Security exposure because of multitude of applications and access mechanisms, leading to inability to implement  security policies consistently

Security Services introduced to implement: • • •

Key applications now share the same Enterprise Services •

Enterprise Services containing all employees, contractors, and vendors Access Control: Identification, Authentication and Authorization of users User Profile synchronization for all participating applications Automatically populated from HR systems and synchronized when employees join, move, leave or get assigned  new roles 

Result • • • •

Information Security compliance Information Security compliance Centralized management of Security Policies  Consistent Profile Information across consuming applications Security Framework can be extended to include customers, partners and other stakeholders


Information Retrieval Frameworks Shared Services Architecture provides consistent, platform independent support for Operational Risk applications

Asset Service Domain

Application

Application

Media Transfer

3rd Party y Access AccessRegistry Registry (J2EE)

3rd Party Information Security Assmt. (.NET)

Information Security Incident Mgmt (J2EE/.NET)

Systems Inventory (Application)

Systems Inventory (Network)

Continuity of Business

Sarbanes-Oxley (Corp. Finance)

Security, Privacy & g Provisioning Compliance (Info. Security)

Know Your Assets

Capacity, Business Continuity, and Contingency

Basel II (Capital Msrmt. And Standards)

ƒ Network (.NET) ƒ Tech. (.NET) ƒ Empl (Sybase) ƒ Vendor (.NET) ƒ SW (.NET) ( NET) ƒ Real Est. (DB) ƒ Risk (J2EE, .NET)

GLBA

US Patriot & AML Compliance

Application

Corporate Compliance

Shared Services

In ntegrated Risk Management M Dashboard

Risk Manager

Application

Workf orce Service Domain ƒ Empl (Sybase) ƒ Vendor (.NET) ƒ Prod. (.NET) ƒ Org (.NET) ƒ Risk (J2EE, .NET) ƒ Identity Mgmt. ƒ HR Systems

Customer Service Domain ƒ CIF (J2EE) ƒ D&B (J2EE) ƒ Vendor ((.NET)) ƒ US Patriot (J2EE)

Mantas 3


Smart Query Case Study ‐ y y Leading US Financial g Issues 

Basel II increases traceability and transparency requirements for Credit Risk Reporting across distributed systems  that cut across all lines‐of‐business, both wholesale and retail Data Quality Governance essential to reducing Capital Adequacy requirements e g absent data requires worst case Data Quality Governance essential to reducing Capital Adequacy requirements, e.g., absent data requires worst case  RWA calculation Scope leads to multiple application, system and supporting service integrations and management problems

Centralized metadata repository implements:

– –

• • •

Key applications share the same metadata repository •

A management point to ensure consistent, unified business, logical and physical data model across system  components Richer distributed data model support with centralized “linking tables” D Dynamically generated queries based on current meta‐data i ll t d i b d t t d t Automatically populated from Basel II sub‐systems

Result • • •

Better management capabilities for data quality Better management capabilities for data quality Ability to execute real‐time traceability and transparency in regulatory reporting Flexible queries across distributed data sources that automatically adapt to changes to the data model 


Basel II Traceability and Transparency Smart Query Framework provide centralized management of business entity metadata and taxonomies for dynamically generated, optimized queries across distributed sources

Market Risk

Operational Risk

Sarbox G/L

3rd Party Reference: Design Time Model-Based Mapping: Run Time

Credit R Risk

Transparency Pivot

ETL

Whole Sale

Corp Rep.

Risk

ETL

ETL

Data Sources

Retail

RWA Calc.

Legal Entity Local Rep.


sentaire Capabilities – Information Management Key Benefits y •

• •

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Reduces complexity, improves integration capabilities  • Cross channel, services based architecture • Conforms to the SOA approach now adopted by all major players f h h d d b ll j l Lowers operational cost • Rationalization and consolidation of application platforms and lowers cost • Reliability Availability Manageability Performance Security improvements y y g y y p • No dependency on any single vendor solution, mitigates product risks Lowers development cost • Full service offering with offshore cost advantages I Increases predictability, reduces risk di t bilit d ik • Proven methodology SEI Level 5 SW development life cycle processes  • Strong reference implementations


Appendices

19


Increase Portfolio Efficiency thru shared services Tiers 

Presentation

Business Process  Integration

Application Infrastructure

1

A

Application

Business Service

Technical Service

2

B

HR Application HR Application

Z

1

2

AML Application AML Application

Id&EM Application

Monitor transaction <t>

Log <x> on <y>

Y

Is <prospect> on  AML list

Open <type> Account

Enterprise Applications  (SFA, CRM, Custom, Legacy, Mainframe)

Authenticate <user>

Configure a new  instance of <x>

Specialty Infrastructure Directory, Search, Content, etc

Data and Information

20

X

Database

Data Warehouse

CMDB

Customer Single  View

Worker Identity Store

Enterprise e Service Bus

Technical Infrastructure

E Enterprise Service B Bus

Application

C


Presentation Tier Security Services (User Authentication and SSO) Portal Server (JSR 168)

Web Server

Web Content Server (JSR 170)

Enterprise Content Mgmt.

Customization Admin

Caching JSP, JSF

Entitlements Admin

Localization

Look & Feel Look & Feel

Localization

Look & Feel Look & Feel

Search

Digital Asset  Mgmt Mgmt.

Navigation

JSR 168/WSRP

Navigation

Web Services

Collaboration

Document Mgmt.

Click Stream

Records Mgmt.

Transpareency

Caching Personalization

Tiles

Struts (MVC), moving toward Shale 

Business Processing Tier Business Processing Tier

Services

BPEL Workflow

Logging

BPMN

Configuration

Traceeability

Dist. TP  (XA)

Info. Integration

Golden Source Frameworks

Core, WEB,  ORM DAO ORM, DAO,  AOP

Workflow

Meta‐Data

EII

WS‐Security SOAP 1 0 SOAP 1.0

WSDL 1.0

Golden Sources

Enterprise Information Integration (EII)

GS Mediator GS Mediator GS Producer

WS‐Interop

SAML

Information Middleware

Services Metadatta (CWM)

Business Intelli.

Spring Container

BPEL Engine

S i St d d Service Standards Reporting

App Server (J2EE)

Profile Mgmt.

Work Force Partners

ODS

Data Warehouse ETL

App DB

Assets Financial Ref.

21


Presentation Tier Security Services (User Authentication and SSO)

Transparency

SharePoint Portal SharePoint Portal

IIS ( NET) IIS (.NET)

Enterprise Content Mgmt.

Caching

Customization

Caching

Entitlements

Profile Mgmt.

Personalization

Admin

ASP.Net

Admin

Search

Localization

Look & Feel

Localization

Look & Feel

Digital Asset  g Mgmt.

Collaboration

WSRP

Navigation

Web Services

Document Mgmt.

Navigation

Click Stream

Records Mgmt.

Business Processing Tier

Services

BPEL Workflow

Logging

BPMN

Configuration

Tracceability

Dist. TP  (XA)

Info. Integration

Golden Source Frameworks

Core, WEB,  ORM, DAO,  , , AOP

Workflow

Meta‐Data

EII

WS‐Security SOAP 1.0

WSDL 1.0

Golden Sources

Enterprise Information Integration (EII)

GS Mediator GS Producer

WS‐Interop

SAML

Information Middleware

Services Metadaata (CWM)

Business Intelli.

Spring.Net Container

BPEL Engine

Service Standards Reporting

.NET App Server

22

Web Content Web Content Server (JSR 170)

Work Force Partners

ODS

Data Warehouse ETL

App DB

Assets Financial Ref.

sentaire Awareness Presentation  

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