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  • 1. 9th IEEE/ACIS International Conference on Computer and Information Science Enterprise Architecture Institutionalization and Assessment Hyunkyung Song and Yeong-Tae Song Dept. of Computer and Information Sciences Towson University, Towson, MD USA Abstract and the principles governing its design and The topic of enterprise architecture (EA) has evolution." Similarly, enterprise architecture may been gaining significant attention from both be understood as the fundamental organization of academia and industry due to the inefficiency of a government agency or a corporation, either as a current IT architectures to cope with rapid whole, or together with partners, suppliers and / changes in business environment. In order to or customers, or in part as well as the principles turn existing EA into efficient and agile one, it is governing its design and evolution. necessary to institutionalize an EA based on There are quite a few EAFs that define EA. well-established enterprise architecture Most definitions share commonalities that EA is frameworks (EAFs) into the enterprise. about a set of models including their components In this paper, we propose EA institutionalization and how these components integrate and work processes and its metric based assessment for together to achieve a specific goal. implemented EA based on the currently available EA frameworks. In the EA processes, we define 2. EA Frameworks institutionalization strategies specific to Since the Clinger-Cohen ACT, many enterprise organizations’ goals, target architecture based architecture frameworks (EAFs) were introduced on their baseline architecture, and transition [1, 6, 7, 8, 10, 12, 13]. EAFs help organizations plan for institutionalization. to build target-conformant EA that is flexible, Keywords: Enterprise architecture frameworks, adaptable and efficient. EA is intended to be enterprise architecture process, assessment of used by organizations to perform strategic enterprise architecture institutionalization planning and develop “blueprints” of their future-state. EA is also used as a management 1. Introduction tool to ensure planning and activities are aligned with the strategic goals of the organization, and One of the challenging issues facing modern industries today is how to cope with the rapid to identify opportunities for collaboration and re- changes in business environment and IT use resources across an organization. technology. As much of the current software The IEEE 1471-2000 [4] provided building systems were not designed for changes, when the blocks for constructing enterprise architecture. organization with such system goes through The Zachman Framework [1] helps in changes such as merging with other organization, identifying the purpose of building EA. It is the inefficiencies and unpredictability may occur. described in a matrix that provides multiple One of the main reasons for the inefficiency perspectives of the overall architecture on the would be the result from not following “off-the- vertical axis and classification of the various shelf” standardized solution. Instead major artifacts of the architecture on the horizontal companies tried to build “one-of-a-kind” system axis. It provides specification for each cell in the for their major functionalities resulting matrix. However, it is independent of any inflexibility and incompatibility. specific methodologies and does not define a The guidelines for building flexible and efficient metamodel to integrate the information within each cell. The Open Group Architecture IT systems were proposed in the form of EA that Framework (TOGAF) is an industry standard covers from business process to infrastructure. architecture framework [6] focused on IEEE Standard 1471-2000 [4] defines performance. It provides the Architecture architecture as "The fundamental organization of Development Method (ADM) for developing a system, embodied in its components, their enterprise architecture descriptions that meets the relationships to each other and the environment,978-0-7695-4147-1/10 $26.00 © 2010 IEEE 870DOI 10.1109/ICIS.2010.127
  • 2. needs of a specific business. Some guidelines for Table1: Some Business Questionsthe development are supported by the federal and Corresponding Viewsgovernment [9]. Business Decision Objects inIn order to utilize the full benefit of an EAF, it is Question support viewimportant to assess how well the implementation phaseof EA to an organization is done according to Which system Baseline, Infrastructure,given EAF. The process of implementing EA support Transition Businessspecific to particular organization is called components planning Process,institutionalization. The level of should be Systeminstitutionalization may be assessed by following upgraded or Interface,EA capability maturity model [3] and framework modernized? Standard[14, 15]. The result of assessment should be Profileapplied to future EA planning for the How can the IT Business IT businessorganization. organization Plan, plan, strategic manage IT Architecture goals, essential3. EA Process for Institutionalization costs more alignment elementsEA is a good means for integration and effectively?alignment between information technology and As the second step, we should establish EAbusiness objectives as discussed in [2, 5]. strategies according to the business questionsHowever, without proper tuning, EA may not be and distinguish between business strategy andas useful as it should, which means EAF may IT strategy. EA is mainly about the importantneed to be customized according to their own assets of organizations, which include people inculture, policy, and procedure. This process is the environment who may or may not directlycalled EA institutionalization. In this section, we interact with the software system, businessillustrate our EA institutionalization process as process, various hardware devices, technologyshown in the Figure 1. infrastructures, and other IT resources. Finally we should establish an EA team who can carry3.1. Initiation process out entire EA transition process. This step helps to ensure initial determinationof entire processes and to validate whether IT 3.2. Defining baseline architectureinvestment meets all technical requirements and This step describes the current or as-is state ofbusiness goals. The sub processes of the an enterprise. This is an essential step forinitiation phase can be: institutionalization because future progress will1. business questions be measured against baseline architecture. To2. establish business strategy and IT strategy describe the baseline architecture, it is necessary3. build an EA team to identify hidden assets, gaps and redundancies of the different architectures as in the Figure 2.First of all, the organization must establish EA One method to define baseline architecture is tostrategy according to the scope of the project organize information structure according to thesuch as what to include, who to be involved and architectural views as in ANSI/IEEE Standardhow to do it. EA process should start from the 1471-2000 [4]. The standard helps architects tobusiness questions as in the Table1, which define viewpoints explicitly. We incorporateddefines the direction of EA. basic concepts from IEEE 1471-2000 andThe business questions may be classified as in transformed to EA domain. Each of these fourthe field of requirements engineering where we architecture domains is composed of distinctadopt the ideas on the relationship among a architecture building blocks, which in turnsoftware system specification, requirements and decomposed into the level of modules, systems,the environment of a software system as in [11]. and components. EAFs give a comprehensiveUnderstanding goals, problems, requirements, description of all relevant elements of EAsoftware specification, and its environment helps providing a principle structure and classificationcreate the strategies of organizations. schema that can be used as a reference for architecture development. 871
  • 3. Figure1: Enterprise Architecture Process for Institutionalization The dimension of strategic alignment is the link between business strategy and IT strategy, reflecting the external focus and directing towards administrative structures. The other dimension of functional integration separates the corresponding internal domains, namely, the link between organizational infrastructure and information system (IS) infrastructure. The model defines four domains that have been harmonized for the purpose of better alignment. This dimension specifically considers how choices made in the IT domain impacted thoseFigure 2: Alignment of four architectures made in the business domain and vice versa. However, current organizations focus only on the3.3. Designing target architecture issues of integrating the internal IS strategies This step defines the target business with internal organizational requirements as aarchitecture according to the business strategies response to business strategies. This model callsof the organizations. The target architecture for the recognition of cross-domain relationships,should define a vision of future business where business strategy is viewed as a driver,operations and supporting technologies. and IT strategy as an enabler. The model helps toOrganizations’ business strategy and IT strategy define target architecture.should be applied to the feasible and traceable When defining the target architecture, thetarget architecture that is based on the baseline analysis of architectural differences between thearchitecture of the organization. Another factor baseline and target architecture related toto consider in defining target architecture is the business strategy must be performed. A gapalignment between the strategy and the four analysis identifies the differences between thebaseline architectures. The alignment model that baseline and target architectures.we have considered is in [2]. It describes thealignment between architectures and strategies. 872
  • 4. The gaps between the current status of an and specification of Enterprise Architectureorganization and the future goals need to be Management System (EAMS). The organizationanalyzed. The results should be applied to design should define workflow according to the targettarget architectures e.g., business, data, architecture and identify redundant investmentsapplication, and technical architecture. The gap on IT. Each EA project may be decomposed intoanalysis develops user requirements and segmented projects. The segmented projectsidentifies political and technical constraints, and should be transferred to the implementationassesses migration risks and feasibility. teams. EA operations should facilitate sharing ofConsequently, the target architecture should different business activities and informationinclude the feasible strategy and goals of the between departments or between businessorganization according to the gap analysis result. manager and IT manager. EAMS should beAs a process in architectural alignment, implemented to be shared while securingorganizations should incorporate enterprise information of organization. The fundamentalstandards such as data standard, development EAMS includes various tools such asstandard, and IT standard. Standards provide architecture modeling, dictionary/repository;inter-operability across different systems. development, management / control of the information resources, CASE and modeling3.4. Planning architecture transition tools. This step defines the transition process fromthe current architecture to target EA. The 4. Assessing EAarchitect must assess the organization’s existing EA institutionalization is an iterative,technology as well as new technology to incremental and continuous process.determine whether the latter can support the Organizations should perform that continuouslyrequired capabilities. Assessment of the through the assessment of EA.organization’s technology maturity should be The principle goals of EA assessment are todone in order for the successful implementation document the significance of the EA to decision-of target architecture. Design constraints should makers, and to identify the development needs ofalso be identified and applied to the the EA. Furthermore, the impact on products andimplementation. Design constraints are typically services are monitored in relation to ITnon-functional requirements (NFRs) such as investment decisions, collaboration and reuse,performance, interoperability, reliability, and standards compliance, stakeholder satisfaction,maintainability. and other measurement areas and indicators are The EA team should understand the included in value measurement.dependencies of applications and perspectives The organization operating EA should assessand review design constraints across all projects. its elements, or work products. EnterpriseThe architecture transition should be planned by Architecture elements include vision, currentincorporating the results from the architecture baseline, target architectureaforementioned processes. definition, gap analysis, transition strategy, implementation and maintenance. These3.5. Implementation planning and operation elements serve as key inspectors in the Architectural implementation plan including assessment of Enterprise Architecture. Weresource management and EA system propose a metric for the assessment of EA baseddevelopment should be done in this step as on these elements and four architectural views -shown in the Figure 3. This step can be further business, data, application, and technology. Thedivided into a set of system development US Department of Commerce (DoC)’S EACMMprojects. The stakeholders of EA should get defines assessment elements. The DoC hasinvolved in conducting detailed design, develop, Figure 3: Implementation Planning and Operation Phase 873
  • 5. developed an EACMM to aid in conducting currently available EA frameworks. Weinternal assessments [8]. We adopted EACMM suggested practical institutionalization processesfor assessment of the EA of an organization that help organizations to adopt EAquantitatively. The EACMM provides elements systematically. In the Enterprise Architecturethat represent the key components of a Process, we identified the specific strategiesproductive assessment. The goal of EA according to organizations’ goals, defined targetinstitutionalization process is to achieve target architecture based on baseline architecture thatarchitecture for each organization by identifying shows current architectural status ofweak areas and providing a defined evolutionary organizations, and defined transition plan frompath to achieve the overall architecture process. baseline to target architecture. Finally weThe Figure 4 shows nine characteristics of proposed implementation plan and assessmentarchitecture that are needed for an optimized EA. metric for EA.We proposed its additional sub characteristicsfrom the nine characteristics of the DoC. These 5. Referencessub characteristics are detail elements that (1) J. A. Zachman, The Zachman Framework forstrengthen the validity of the assessments. The Enterprise Architecture: Primer for EnterpriseTable2 shows the relationship between four Engineering and Manufacturing, Zachmanarchitecture views and nine assessment International, electronic book, 2003.characteristics. The relationship, we suggested, (2) J.C. Henderson and N. Venkatraman, “Strategiccan be customized according to organizations’ Alignment: Leveraging Information Technologyarchitecture views. Also, we propose that this for Transforming Organizations,” IBM Systemsrelationship can be used for scorecard of Journal 32, no. 1, 1993.assessment. To assess enterprise architecture of (3) United States Department of Commerce,organizations, they should establish metric for “Enterprise Architecture Capability Maturity Model,” DoC, 2007assessment based on the relationship between (4) IEEE Standard 1471-2000, “IEEE Recommendedarchitecture views and elements. This step Practice for Architectural Description ofshould evaluate Enterprise Architecture ROI Software-Intensive Systems,” IEEE, 2000(Return On Investment) through the quantitative (5) Pedro Sousa, Carla Marques Pereira, Jose Alvesbenefit of the Architecture. This has the expected Marques, “Enterprise Architecture Alignmenteffects such as IT solution delivery time Heuristics,, integration between systems us/architecture/aa480042.aspx, 2005improvement, better leverage of legacy systems, (6) The OpenGroup, TOGAF versionrapid change, provision of direction future 9,””, 2009investments, and reduction of needless (7) CIO Council, “Federal Enterprise Architecturecomplexity. These factors can also be used to Framework”, The Chief Information Officersevaluate quantitatively. Also, ROI is a very Council, 1999popular metric because of its versatility and (8) United States Department of Defense, “DoD Architecture Framework 2.0”, “http://cio-simplicity. It provides a performance” May, 2009measurement that is used to evaluate the (9) FEAPMO, Business reference model version 2.0.efficiency of an investment or to compare the Retrieved December, 15 2005efficiency of a number of different investments. (10) Hanifa Shah, Mohamed El Kourdi, “Frameworks for Enterprise Architecture”, IT Pro, pp.36-41.4. Conclusion IEEE, 2007The topic of enterprise architecture has been (11) Lawrence Chung, Hyun Kyung Song, Yeong-Tae Song, Nary Subramanian, “Understanding thegaining significant attention from both academia Role EA towards better Institutionalization”,and industry due to the inefficiencies of current WEACR09, IEEE, 2009IT architecture to cope with rapid changes in (12) Department of the Treasury Chief Informationbusiness environment. Officer Council, “Treasury EnterpriseIn this paper, we proposed Enterprise Architecture Framework”, July 2000Architecture Process for institutionalization in (13) “FEA Consolidated Reference Model Documentorganizations based on the discussion of Version 2.3”,, October, 2007 874
  • 6. (14) the Office of Management and Budget(OMB), (15) GAO, “Information Technology: A Framework “Federal Enterprise Architecture Program EA for Assessing and Improving Enterprise Assessment Framework 2.0”, December 2005 Architecture Management”, April 2003 Figure 4: Achieving Optimized EA Using EACMM Table2: The Relationship between Four Architecture Views and Nine Assessment Characteristics Business Data Application Technology Architecture Architecture Architecture Architecture 1. IT architecture Process 2. IT architecture development 3. Business linkage 4. Senior management involvement 5. Operating unit participation 6. Architecture communication 7. IT security 8. Architecture governance 9. IT investment and acquisition strategy 875