Capability Maturity Model (CMM) - Enterprise Architecture

OptimizingManagedDefinedRepeatableInitial
No
Architecture
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Framework Primer
Capability Maturity Model (CMM) –
Enterprise Architecture
Presentation created by
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Contents
Overview
CMM and EA Process Areas
EA Areas of Evaluation
Templates
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This primer provides brief introduction to the Capability Maturity Model
(CMM) and an in-depth adaptation of it to Enterprise Architecture (EA)
Presentation Overview
CMM can be adapted to more than EA and IT and has been used extensively worldwide in
government offices, commerce, industry, and software-development organizations.
The Capability Maturity Model (CMM) is an organizational model that describes 5 evolutionary stages (or
levels), in which the business processes in an organization are managed. The term "maturity" relates to
the degree of formality and optimization of processes, from ad hoc practices, to formally defined steps,
to managed result metrics, to active optimization of the processes.
This presentation provides brief introduction to CMM and an in-depth adaptation of the CMM model to
Enterprise Architecture (EA). In this EA-specific version of CMM, we define a 6th initial phase (phase 0),
defined as “No Enterprise Architecture.” We define each of the following 9 EA areas across the 5 CMM
levels:
These areas and their respective defining characteristics at each maturity level were adapted from the
TOGAF (The Open Group Architecture Framework) IT/EA framework.
This deck also includes a set of slide templates for you to use in your own business presentations.
5 Operating Unit Participation
1 Architecture Process 6 Architecture Communication
2 Architecture Development 7 IT Security
3 Business Linkage 8 Governance
4 Senior Management Involvement IT Investment and Acquisition Strategy9

CMM provides specific steps and activities that help to bring an
organization from one level to the next over 5 evolutionary stages
Capability Maturity Model (CMM) – 5 Stages of the CMM
For more information on CMM, take a look at the Flevy primer:
http://flevy.com/browse/flevypro/capability-maturity-model-cmm-2468.
Initial
1
Repeatable
2
Defined
3
Managed
4
Optimizing
5
No EA
0
In this EA-specific version of CMM, we will have a 6th initial
phase (phase 0), defined as “No Enterprise Architecture.”
Processes are
ad-hoc, chaotic,
or actually few
processes are
defined
Basic processes
are established
and there is a
level of
discipline to stick
to these
processes
Continuous
process improve-
ment is adopted
and in place by
quantitative
feedback and from
piloting new ideas
and technologies
Processes are
measured by
collecting
detailed data on
the processes
and their quality
All processes
are defined,
documented,
standardized,
and integrated
into each other

Contents
Overview
Templates

The focus of CMM is on identifying key process areas and the exemplary
practices that may comprise a disciplined business process
CMM – Key Process Areas
Practices can be repeated.
If you don't repeat an activity, there is no
reason to improve it. There are policies,
procedures, and practices that force the
organization to implementing and
performing consistently.
Best practices can be rapidly
transferred across groups.
Practices are defined sufficiently to allow
for transfer across project boundaries,
thus providing some standardization for
the organization.
Variations in performing best
practices are reduced.
Quantitative objectives are established
for tasks. Measures are established,
taken, and maintained to form a baseline
from which an assessment is possible.
Practices are continuously improved.
Practices are being continuously
improved to enhance business capability.
CMM

We will define and evaluate the CMM across 9 areas of Enterprise
Architecture (EA)
Enterprise Architecture (EA) Areas of Evaluation
These areas and their respective defining characteristics at each maturity level were
adapted from the TOGAF (The Open Group Architecture Framework) framework (v9.1).
In our Enterprise Architecture (EA) development model, we will evaluate 9 EA areas:
Business Linkage
Architecture
Development
Architecture
Process
Architecture
Communication
Operating Unit
Participation
Senior Management
Involvement
IT Investment and
Acquisition Strategy
GovernanceIT Security

Contents
Overview
Templates

Under Architecture Process, we evaluate the extent to which
there is an established Enterprise Architecture process
1. Architecture Process
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
Not established or
does not exist
Exists in ad-hoc or
localized form or
early draft form may
exist
Some Enterprise
Architecture
processes are
defined
There is no unified
architecture process
across technologies
or business
processes
Success depends
on individual efforts
Being actively
developed
Basic Enterprise
Architecture
Process program is
documented based
on Approved Scope
document (signed
off by CIO)
The architecture
process has
developed clear
roles and
responsibilities
The architecture is
well defined and
communicated to
staff and business
management with
Operating Unit IT
responsibilities
The process is
largely followed
Enterprise
Architecture
process is part of
the culture, with
strong linkages to
other core IT and
business processes
Quality metrics
associated with the
are captured
These metrics
include the cycle
times necessary to
generate Enterprise
Architecture
revisions, technical
environment
stability, and time to
implement a new or
upgraded
application or
system
Concerted efforts to
optimize and
continuously
improve
No
Architecture
0

Architecture Development determines to what extent the development
and progression of the Enterprise Architecture documented
2. Architecture Development
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
No Enterprise
Architecture
documentation to
speak of
Enterprise
Architecture
processes,
documentation and
standards are
established by a
variety of ad hoc
means and are
localized or informal
IT Vision, Principles,
Business Linkages,
Baseline, and Target
Architecture are
identified
Architecture
standards exist, but
not necessarily linked
to Target Architecture
Technical Reference
Model (HA EARM)
and Standards Profile
framework (HA
TechPol) established
Gap Analysis and
Migration Plan are
completed
Architecture
standards linked to
Business Drivers via
Best Practices, IT
Principles and Target
Architecture
Fully developed
Technical Reference
Model and Standards
Profile
The architecture
aligns with the DfT &
general UK
Government EA
guidelines (which may
be based upon
TOGAF guidelines at
present)
Enterprise
Architecture
documentation is
updated on a regular
cycle to reflect the
updated Enterprise
Architecture
Business, Information,
Application and
Technical
Architectures defined
by appropriate de-jure
and de-facto
standards
The architecture
continues alignment
with the DfT & general
UK Government EA
guidelines (which may
be based upon
TOGAF guidelines at
present)
An automated tool is
used to improve the
usability of the
architecture
Defined and
documented
Enterprise
Architecture metrics
are used to drive
continuous process
improvements
A standards and
waivers process is
used to improve
architecture
development process
improvements
No
Architecture
0

Under Business Linkage, we evaluate to what extent is the EA linked
to business strategies or drivers
3. Business Linkage
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
No linkage to
business strategies
or business drivers
Minimal, or implicit
linkage to business
strategies or
business drivers
Explicit linkage to
business strategies
Enterprise
Architecture is
integrated with
capital planning and
investment control
and supports e-
government
Explicit linkage to
business drivers
and information
requirements
Capital planning
and investment
control are adjusted
based on the
feedback received
and lessons learned
from updated
Enterprise
Architecture
Periodic re-
examination of
business drivers
Architecture
process metrics are
used to optimize
and drive business
linkages
Business involved
in the continuous
process improve-
ments of Enterprise
Architecture
No
Architecture
0

We look at the level at which the senior managers of the organization are
involved in the establishment and ongoing development of our EA
4. Senior Management Involvement
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
We do not need it
That won't work
here
Everything is fine
the way it is
What is
Architecture? Why
do we need it?
Limited
management team
awareness or
involvement in the
Management
awareness of
Architecture effort
Much nodding of
heads
Occasional/
selective
management team
involvement in the
with various
degrees of
commitment/
resistance
Senior-
management team
aware of and
supportive of the
enterprise-wide
Management
actively supports
architectural
standards
Senior
management
reviews architecture
and variances
Senior-
management team
directly involved in
the optimization of
the enterprise-wide
architecture
development
process and
governance
No
Architecture
0

Here, we judge to what extent is the Enterprise Architecture process
an effort representative of the whole organization
5. Operating Unit Participation
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
No part of
Operating Unit
participates or is
involved with
Enterprise
Architecture
process
Limited Operating
Unit acceptance of
the Enterprise
Architecture
process
We support the
as long as it
represents the
standards we have
already chosen
Standards will only
inhibit our ability to
deliver business
value
Enterprise
Architecture
responsibilities are
assigned and work
is underway
There is a clear
understanding of
where the
organization's
architecture is at
present time
Recognition that it
is painful supporting
too many kinds of
technologies
Perhaps tired of
distributing "not
fully-developed or
tested applications"
to Operating Unit IT
operations and
support
Most elements of
Operating Unit
show acceptance of
or are actively
participate in the
Enterprise
Architecture
process
Recognition that
architectural
standards can
reduce integration
complexity and
enhance overall
ability to Operating
Unit IT to achieve
business goals
The entire
Operating Unit
accepts and
actively participates
in the Enterprise
Architecture
process
Feedback on
from all Operating
Unit elements is
used to drive
improvements
No
Architecture
0

We evaluate to what extent are the decisions of EA practice documented
and made easily accessible to others in the organization
6. Architecture Communication
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
None Little
communication
exists about the
Enterprise
Architecture
process and
possible process
improvements
The HA SHARE &
Intranet contains
the latest version of
the Operating Unit's
Enterprise
Architecture
documentation
May have been
handed out to Staff.
The Operating
UnEnterprise
Architecture Home
Page, which can be
accessed from the
HA SHARE &
Intranet is updated
periodically and is
used to document
architecture
deliverables
Few tools (e.g.,
office suite,
graphics packages)
are used to
document
architecture
Communication
about architecture
process via
meetings, etc., may
happen, but
sporadic
Architecture
documents updated
and expanded
regularly on HA
SHARE & Intranet
Tools are used to
support maintaining
architecture
documentation
Periodic presen-
tations to Staff on
Architecture content
Architecture
documents are
updated regularly,
and frequently
reviewed for latest
architecture
developments/
standards
Regular presen-
tations to Staff on
Architecture content
Organizational
personnel
understand the
architecture and its
uses
Architecture
documents are
used by every
decision maker in
the organization for
every IT-related
business decision
No
Architecture
0

We also need to evaluate to what extent IT Security is integrated
with the Enterprise Architecture
7. IT Security
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
No IT Security
considerations in
Enterprise
Architecture
IT Security
considerations are
ad hoc and
localized
IT Security
Architecture has
defined clear roles
and responsibilities
IT Security
Architecture
Standards Profile is
fully developed and
is integrated with
Enterprise
Architecture
Performance
metrics associated
with IT Security
Architecture are
captured
Feedback from IT
Security
Architecture metrics
are used to drive
improvements
No
Architecture
0

We look at how much an EA governance process is in place
and accepted by senior management
8. Governance
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
None
Everyone does their
own thing
No explicit
governance of
architectural
standards
Limited agreement
with governance
structure
Governance of a
few architectural
standards (e. g.
desktops, database
management
systems) and some
adherence to
existing Standards
Profile
Variances may go
undetected in the
design and
implementation
phases
Various degrees of
understanding of
the proposed
governance
structure
Explicit documented
governance of
majority IT
investments
Formal processes
for managing
variances
Senior
management team
is supportive of
enterprise-wide
architecture
standards and
subsequent
required
compliance
Explicit governance
of all IT investments
Formal processes
for managing
variances feed back
into Enterprise
Architecture
Senior-
management team
takes ownership of
enterprise-wide
architecture
standards and
governance
structure
Explicit governance
of all IT investments
A standards and
waivers process is
used to improve
architecture
development and
governance -
process
improvements
No
Architecture
0

Lastly, we evaluate to what extent does the EA influences the IT
Investment and Acquisition Strategy
9. IT Investment and Acquisition Strategy
Optimizing
5
Managed
4
Defined
3
Repeatable
2
Initial
1
No
Architecture
0
No regard for
Enterprise
Architecture in
formulation of
strategic IT
acquisition strategy
by Operating Unit
Little involvement of
strategic planning
and acquisition
personnel in enter-
prise architecture
process
Little or no
adherence to
existing Standards
Profile
Little or no formal
governance of IT
Investment and
Operating Unit
demonstrates some
adherence to
existing Standards
Profile
IT acquisition
strategy exists and
includes com-
pliance measures to
Enterprise
Architecture
Operating Unit
adheres to existing
Standards Profile
RFQ, RFI and RFP
content is
influenced by the
Enterprise
Architecture
Acquisition
personnel are
actively involved in
Enterprise
Architecture
governance
structure
Cost-benefits are
considered in
identifying projects
All planned IT
acquisitions are
guided and
governed by the
Enterprise
Architecture
RFI and RFP
evaluations are
integrated into the
Enterprise
Architecture
planning activities
Operating Unit has
no unplanned IT
investment or
acquisition activity

Contents
Overview
Templates

Insert headline
Capability Maturity Model (CMM) – TEMPLATE
Insert bumper.
Initial
1
Repeatable
2
Defined
3
Managed
4
Optimizing
5
No EA
0

Insert headline
Capability Maturity Model (CMM) – TEMPLATE ALTERNATE
Insert bumper.
InitialInitial
RepeatableRepeatable
DefinedDefined
ManagedManaged
OptimizingOptimizing
1
2
3
4
5
ad hoc, chaotic
processes
mature, disciplined
processes

Insert headline
Enterprise Architecture (EA) Areas of Evaluation – TEMPLATE
Insert bumper.
Business Linkage
Architecture
Development
Architecture
Process
Architecture
Communication
Operating Unit
Participation
Senior Management
Involvement
IT Investment and

Insert headline
Enterprise Architecture (EA) Areas of Evaluation – TEMPLATE ALTERNATE
Insert bumper.
Business
Linkage
Architecture
Development
Architecture
Process
Architecture
Communication
Operating Unit
Participation
Senior
Management
Involvement
IT Investment
and Acquisition
Strategy

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1
Flevy (www.flevy.com) is the marketplace
for premium documents. These
documents can range from Business
Frameworks to Financial Models to
PowerPoint Templates.
Flevy was founded under the principle that
companies waste a lot of time and money
recreating the same foundational business
documents. Our vision is for Flevy to
become a comprehensive knowledge base
of business documents. All organizations,
from startups to large enterprises, can use
Flevy— whether it's to jumpstart projects, to
find reference or comparison materials, or
just to learn.
Contact Us
Please contact us with any questions you may have
about our company.
• General Inquiries
support@flevy.com
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press@flevy.com
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