Business Management Enterprise Architecture (EA) Frameworks Presentations

Enterprise Architecture Implementation And The Open Group Architecture Framework (Togaf)


Enterprise Architecture Implementation and The Open Group Architecture Framework (TOGAF)


Enterprise Architecture and
TOGAF (The Open Group
Architecture Framework)

Alan McSweeney

• To provide an overview of the importance of Enterprise
Architecture and to provide an overview of The Open
Group Architecture Framework (TOGAF) version 9
concepts and structure

January 27, 2010 2

• Enterprise Architecture
• The Open Group Architecture Framework (TOGAF)
• Using TOGAF Effectively
• Establishment of an Enterprise Architecture Function

January 27, 2010 3
Enterprise Architecture

January 27, 2010 4
Enterprise Architecture

• The phrase “Enterprise Architecture” was first used in 1987 by John
Zachmann in an IBM Systems Journal article titled “A Framework for
Information Systems Architecture” (see
• Intended to address two problems
− System complexity – organisations were spending more and more money
building IT Systems
− Poor business alignment – organisations were finding it more and more
difficult to keep increasingly expensive IT systems aligned with business needs
• The cost and complexity of IT Systems have exponentially increased
while the chances of deriving real value from the systems has

January 27, 2010 5
Key Messages Relating to Enterprise Architecture

• IT-business alignment has never been so important
• Alignment must be pursued in the context of
understanding business processes and priorities
• Service-orientation is not just for applications
• Service contracts are not just about function: they
encapsulate and communicate business priorities to IT
delivery organisations
• Enterprise architecture needs to be more inclusive,
sophisticated, flexible and integrated
• IT governance models must take all this into account
January 27, 2010 6
Business Pressures are Driving Business and IT Change

• Globalisation
− Customers, partners, suppliers and greater competition
− Connectedness driving value chains
• Transparency
− Industry regulations, consumer pressure and competition driving openness
• Service focus
− Differentiation and shareholder value increasingly derived from service experience
• Challenging Economic Circumstances
− Need to cut costs and demonstrate real savings
− Justify technology investments
• Consolidation
− Mergers, acquisitions, takeovers of failing companies
• Regulation
− Increased regulation and governance – business is turning to IT to help and IT struggling to respond
in many cases
• Business and Technology Changes
− IT becoming commoditised – growth of standards-based technology means that proprietary
solutions provide less differentiation
− Speed of technology change
− Outsourcing where the right outsourcing decisions require an understanding of how systems
contribute to the business
January 27, 2010 7
IT Too Often Fails to Support Changes Effectively

• Technology integration is costly, risky and complicated
• Information is everywhere but getting access to the right
information at the right time is very difficult
• Modifying system behaviour takes too long and changes
are difficult to communicate and implement effectively
• Much of IT system and operations expenditure is bloated
and fixed where operations run with excess redundant
• IT seen as a cost centre and not a source of business value

January 27, 2010 8
Business and IT Responses to Misalignment

• IT Response to the Business • Business Response to IT
− Become more precise and defensive − Faced with seemingly arbitrary
− Create technology standards that can standards, not uncommon for the
appear arbitrary to the business business to go its own way and
− Require elaborate time consuming develop applications in isolation from
development processes and detailed IT
documentation for new systems and − Not involve IT in decisions that will
changes to existing systems impact IT
− While IT believe that they are imposing − Leads to further chaos and
a formal discipline on a chaotic system, complexities within the enterprise that
the business could only see that these interferes with the ability of the
strict requirements stifle innovation business to get services from the IT
and make it difficult for the business to organisation
be agile in response to sometimes
rapidly changing market requirements

January 27, 2010 9
Basis for Enterprise Architecture

• IT systems are:
− Unmanageably complex and costly to maintain
− Hindering the organisation’s ability to respond to business and economic changing
− Not integrated
• Mission-critical information consistently out-of-date and/or actually incorrect
• A culture of distrust between the business and technology functions of the
• Unmanaged complexity in IT landscape leads to greater cost and less flexibility
− Issues include lack of standards, redundant applications, multiple platforms, and
inconsistent data
− Enterprise architecture defines a set of tools and methods to address this complexity
− While benefits of Enterprise Architecture are generally understood, measuring value
has been a challenge
• No easy answer but Enterprise Architecture approach is really worth considering

January 27, 2010 10
Issues in Developing Enterprise Architecture

• Issue 1 – Concentrate on the Plan
− Focus too intently on analysis and strategy
− Avoid committing to implementing solutions
− Architecting inhibits value delivery
• Issue 2 – Jumping to the Solution
− Engineering solutions and data implementation
− Technology has difficulty aligning with enterprise
− Reinforces gap between business and IT
• Challenge is to balance evolving strategy, goals, constraints
with technology solutions

January 27, 2010 11
Why Enterprise Architecture

• Enterprise Architecture is part of a continuum and not a project
− Emerging technologies influence direction of architecture
− Must be subject to change management and governance
− Enterprise Architecture and IT governance should be considered together
• Principles of architecture should override IT hype and transient technology
− SOA may be dormant but services and an architectural component continues
− Cloud computing is just another step along the IT/Architectural evolution and another
perspective on the future state
• Need better understanding of integration of enterprise and solutions architecture
• Enterprise Architecture is about achieving a common language between business
and IT
• Enterprise Architecture driven out of the business strategy provides the enterprise
with the highest degree of alignment between the business and IT
• The concept of Enterprise Architecture has expanded well beyond the traditional
notion of technology architecture
− Now the architecture of the whole enterprise

January 27, 2010 12
Business and IT Alignment

• It is not just about
alignment – it is about
• Business and IT must
collaborate to create an
Business environment in which
Delivery Change by
Collaboration of IT Identifying investment in IT and
From IT Technology
Services Opportunities
Available From
delivery of IT services
reflect business priorities
• Business decisions take
IT account of the IT
implications and needs of
those decisions
• IT and business must
collaborate as equals
January 27, 2010 13
Enterprise Architecture – Achieving a Common
Language Between Business and IT
• IT-business alignment requires collaboration between the business
and the IT organisation to align investment and delivery with
business goals and to manage business and technology change
• A common, agreed representation of business activity and goals
• A common, agreed view of how current and future IT provides
structured support to the business
• Key requirements and deliverables:
− Investment prioritised in terms of business need
− Systems that deliver value to the business
− Clear direction from the business about focus, strategy
− Collaborative approach to implementing business change

January 27, 2010 14
Enterprise Architecture and Strategy

• Provides the fundamental technology and process structure for an IT strategy
• Provides a strategic context for the evolution of enterprise IT systems in response to the
constantly changing needs of the business environment
• Allows individual business units to innovate safely in their pursuit of competitive advantage
within the context of an integrated IT strategy
• Enterprise Architecture is designed to ensure alignment between the business and IT
strategies, operating model, guiding principles, and the software development projects and
service delivery
• By taking an enterprise-wide, perspective across all the business services, business units,
business processes, information, applications and technology, Enterprise Architecture
ensures the enterprise goals and objectives are addressed as a whole way across all the
system acquisition/application development projects and their deployment into production
• Organisations use a business strategy driven architecture approach that focuses on
translating the key components of the business strategy into a future state vision and an
architecture road map they can implement
• Enterprise architecture is integrated with other strategic planning disciplines, such as
programme/project and application portfolio and management
• Enterprise Architecture ensures that the long-term vision of the business is preserved as
the enterprise builds new business capabilities and improves on old ones

January 27, 2010 15
Elements of Enterprise Architecture

• Analysis tool:
− To provide abstraction and modeling capabilities at all levels and perspective of the enterprise architecture
− To clearly plot the key relationships and dependencies between the business services, business processes,
applications and technology
• Planning tool:
− To translate strategic thinking into architecture roadmap of future development and integration
• Decision-making tool:
− To provide a framework for evaluating, selecting and justifying strategic development options and architecture
• Design tool:
− To provide the required support, in the form of industry best practice design approaches, patterns, guidelines,
and reference models
• Change management tool:
− To provide a framework for synchronising and coordinating development activities across multiple development
projects and initiatives
• Governance tool:
− To provide a sole architecture design authority and a master repository for the target enterprise architecture,
and a single architectural blueprint of principles, standards, patterns, policies, guidelines, reference models,
reusable assets and templates
• Alignment tool:
− To provide an essential bridge between business strategy and IT delivery, and to furnish business managers with
a non-technical over view of the enterprise architecture and how it supports the operating model

January 27, 2010 16
Enterprise Architecture Development and
Implementation Process



Implementation Requirements
Governance Management

Solutions and
Migration Technology
Planning Architecture

and Solutions

January 27, 2010 17
Key Elements/Subsets of Enterprise Architecture

• There are four key architectural subsets of an overall enterprise
− Business/Business Process Architecture – this defines the business strategy,
governance, organisation, and key business processes
− Data and Information Architecture – this describes the structure of an
organisation’s logical and physical data assets and data management resources
− Solutions/Applications Architecture – this kind of architecture provides a
blueprint for the individual application systems to be deployed, their
interactions, and their relationships to the core business processes of the
− Technology and Infrastructure Architecture – this describes the logical
software and hardware capabilities that are required to support the
deployment of business, data, and application services and includes IT
infrastructure, middleware, networks, communications, processing, standards,

January 27, 2010 18
Issues in Key Elements/Subsets of Enterprise
• High variability and lack of standardisation across
Business and business units (such as ERP templates), driven by
Business Process
Architecture changes in business strategy, governance,
organisation and process
• Inconsistent data definitions, multiple databases,
Data and releases and configurations which result in
Information duplication of licenses, duplicate and inconsistent
information, complexity in testing
• Multiple vendors, multiple instances and versions
Solutions and which add complexity in procurement,
Architecture development and release management, resulting
in higher costs and longer time to market
• Multiple operating environments, multiple
Technology and hardware vendors and types, leading to higher
Infrastructure maintenance and personnel costs, greater
instability and time-to-fix
January 27, 2010 19
Enterprise Architecture Frameworks

• Advantages • Potential Disadvantages
− The frameworks give us a useful − Frameworks evolved from the
language for communicating and creation or change of transactional
sharing ideas about how IT information processing systems
systems can/should support − Real world of IT and business are
business needs much more complex
− Provides a process to assist − Frameworks are idealised versions
development of Enterprise of creating Enterprise Architecture
Architecture and ensures all and need to be customised to suit
aspects are addressed an individual organisation’s needs
− Methodologies like the TOGAF
ADM provide templates for
Enterprise Architecture
development work
− Facilitate collaboration and
communication and describing the
process of Enterprise Architecture

January 27, 2010 20
Enterprise Architecture Process

• Enterprise Architecture is an iterative process that
produces four major deliverables
− A future-state Enterprise Architecture reference model that
realises the business strategy
− Current-state Enterprise Architecture model
− A gap analysis that identifies the shortfalls of the current state in
terms of its ability to support the strategies of the enterprise
− An Architecture Roadmap that defines the initiatives required to
migrate from the current state into the future state

January 27, 2010 21
Benefits of Enterprise Architecture

• Align IT and business for planning and execution purposes
• Optimise resources – technology, people and processes
• Increase business interoperability
• Reduce complexity in IT infrastructure
• Improve business agility to support dynamic change
• Drive re-usability of architecture models and best practices
• Streamline informed decision making
• Standardise IT for cost effective delivery of services
• Eliminate duplication and redundancy and reduce cost of ownership and return on
• Reduce risks for future investment
• Faster, simpler and cheaper procurement
• Manage information/data and knowledge as a corporate asset
• Manage change based on a clear understanding of its impact
January 27, 2010 22
Risks of No Enterprise Architecture

• Inability to rapidly respond to challenges driven by business changes
• Lack of commonality and consistency due to the absence of standards
• Lack of focus on enterprise requirements
• Lack of common direction and savings due to synergies
• Incomplete visibility of the current and future target enterprise architecture vision
• Inability to predict impacts of future changes
• Increased gaps and architecture conflicts
• Dilution and dissipation of critical information and knowledge of the deployed
• Rigidity, redundancy and lack of scalability and flexibility in the deployed solutions
• Lack of integration, compatibility and interoperability between applications
• Complex, fragile and costly interfaces between applications
• Fragmented and ad hoc software development driven by a tactical and reactive

January 27, 2010 23
Struggle With Enterprise Architecture Investments

• The challenge
− Longer term payback than competing business projects
− Rationale for technical decisions difficult to communicate
− Impact of investments are difficult to measure
− Investment approaches are often complex and different
(applications, infrastructure)

• The value of getting it right
− Too little, on the wrong things – operating costs increase as
technology becomes old, hard to support, overly complex and
− Too much – IT becomes bloated and inefficient, building
components that are not properly utilised

January 27, 2010 24
Enterprise Architecture and Change Management

• One significant value of Enterprise Architecture is its ability help organisations
deal with complexity and change
• Greater the complexity and the greater the envisioned change, the greater will be
the Enterprise Architecture value to facilitate that change
• Readily available descriptive representations of the organisation
• Ability to unify and integrate business processes across the organisation
• Ability to unify and integrate data across the organisation
• Increased flexibility of the organisation to link with external partners
• Increased agility by reducing complexity
• Reduced solution delivery time and development costs by maximising reuse of
enterprise models
• Ability to create a common vision of the future shared by the business and IT
communities that ensures continuous business/IT alignment

January 27, 2010 25
The Open Group Architecture Framework (TOGAF)

January 27, 2010 26
Introduction to TOGAF

• TOGAF is a framework – a detailed method and a set of supporting tools — for
developing an enterprise architecture
− TOGAF is not itself an architecture
• Architecture design is a technically complex process and the design of mixed,
multivendor architectures is particularly complex
• TOGAF plays an important role in helping to demystify and reduce the risk in the
architecture development process
• TOGAF provides a platform for adding value and enables users to build genuinely
open systems-based solutions to address their business issues and needs
• Because TOGAF has a detailed implementation framework, the project to
implement it and the associated time and cost can be defined more exactly
• Framework can be customised to suit the requirements of the organisation
• TOGAF has a broad coverage and a business focus and seeks to ensure that IT
delivers what the business needs
• TOGAF focuses on both the “what” and the “how”

January 27, 2010 27

• This material is based on TOGAF V9
• Intended to be an introduction to and give a flavour of
• Not a substitute for the complete TOGAF –
• Very (too) comprehensive – must be adapted to suit
organisation needs, especially where some for of de facto
Enterprise Architecture already exists and needs to be

January 27, 2010 28
TOGAF Architecture Development Method (ADM)
• Iterative over the whole
process and between
phases – for each iteration,
decide: A. Architecture
− The breadth of coverage of Vision
the organisation to be H. Architecture
B. Business
defined Management

− The level of detail to be
− The extent of the time G. C. Information
period aimed at, including Requirements
Implementation Systems
Management Architecture
the number and extent of Governance
any inter mediate time
• Can be used to populate the F. Migration D. Technology
Foundation Architecture of Planning Architecture

an organisation E.
and Solutions

January 27, 2010 29
TOGAF Architecture Development Method (ADM)
Detailed Structure

January 27, 2010 30
Adapting Architecture Development Method Cycle

• Generic method for architecture development
• Designed to deal with most system and organisational
• Can be modified or extended to suit specific needs
• Review components for applicability and then tailor them
as appropriate to the circumstances

January 27, 2010 31
Enterprise Architecture

• Enterprise architecture provides a strategic, top-down
view of an organisation to enable executives, planners,
architects, and engineers to coherently co-ordinate,
integrate, and conduct their activities
• Enterprise architecture framework provides the strategic
context for this team to operate within
• Developing the enterprise architecture is not a solitary
activity and the enterprise architects need to recognise the
interoperability between their frameworks and the rest of
the business

January 27, 2010 32
Architecture Domains
Business and
Business Process

Technology and Data and
Infrastructure Information
Architecture Architecture

And Solution

January 27, 2010 33
Architecture Governance

• Architecture artefacts held in the Architecture Repository
• Architecture Board ensures the method is being applied correctly
across all phases of an architecture development iteration
• Management of all architectural artifacts, governance, and related
processes should be supported by a controlled environment
• Main information areas managed by a governance repository should
contain the following
− Reference Data
− Process Status – information regarding the state of any governance processes
− Audit Information – records all completed governance process actions – key
decisions and responsible personnel

January 27, 2010 34
Four Dimensions that Define the Scope of the
• Enterprise Scope and Focus
− How much should the full extent of the enterprise should the
architecting effort cover
• Architecture Domains
− Which of the four architecture domains – business, data,
application, technology – should be covered
• Vertical Scope or Level of Detail
− What level of detail should the architecting effort encompass
• Time Period
− What is the architecture needed and what time is available
• Very important to explicitly define and understand as
these dimensions affect all subsequent effort
January 27, 2010 35
Reasons for Limiting the Scope of the Architecture

• Reducing the scope of the architecture from a top-down,
all-inclusive architecture description encompassing all four
architecture domains
− Limiting the scope of the architectural activity
− Authority of the team producing the architecture
− The objectives and stakeholder concerns to be addressed within
the architecture
− The availability of people, finance, and other resources

January 27, 2010 36
Dimensions – Enterprise Scope and Focus

• Need to decide on the focus of the architecture exercise, in terms of
the breadth of overall organisation activity to be covered (which
specific business sectors, functions, business units, geographical
areas, etc.)
• Complex architectures are hard to manage, not only in terms of the
architecture development process itself, but also in terms of getting
buy-in from large numbers of stakeholders
• Take federated architecture approach consisting of independently
developed, maintained, and managed architectures that are
subsequently integrated within a meta-architecture framework
− Need to identify common architectural components, and management of the
common elements between federated components

January 27, 2010 37
Approaches to Federated Architecture Development
• Vertical • Horizontal
− Each business/organisational unit has − Cross-functional architectural domains
its own enterprise architecture with all − Each architecture domain – business,
four architecture domains – business, data, application, technology – covers
data, application, technology the full extent of the organisation
− Separate, multi-domain architectures
can be developed with a view to
subsequent integration or can be
implemented on their own

Business Unit

Business Unit

Business Unit

Cross Functional Domains

Business Unit

Business Unit

Business Unit
Cross Functional Domains

Architecture Architecture Architecture








January 27, 2010 38
Enterprise Scope and Focus

• Having a single enterprise architecture can be very difficult
• Practical and realistic solution can involve having a number
of different architectures existing across the organisation
• Need to manage and take advantage of federated
• Implement a governance framework

January 27, 2010 39
Dimension – Architecture Domains

• Complete enterprise architecture should address all four
architecture domains – business, data, application,
• May not be resources to build a top-down, all-inclusive
architecture description encompassing all four
architecture domains
• Architecture descriptions are normally be built with a
specific purpose so focus on the domain – business, data,
application, technology – underlying the need

January 27, 2010 40
Dimension – Vertical Scope or Level of Detail

• Assess and agree the appropriate level of detail to be
captured, based on the intended use of the enterprise
architecture and the decisions to be made based on it
• Ensure consistent level of detail be completed for each
architecture domain – business, data, application,
• Determine future uses of the architecture
− Can be structured to accommodate future tailoring, extension, or
− Detail of the enterprise architecture needs to be sufficient for its
purpose and no more

January 27, 2010 41
Dimension – Time Period

• Split Target Architecture into two (or more) stages
− Develop Target Architecture descriptions for the overall system,
demonstrating a response to stakeholder objectives and concerns
for a longer timeframe
− Develop one or more ‘Transition Architecture descriptions
incrementally converging on the Target Architecture
• Target Architecture requires periodic review and update
according to evolving business requirements and
developments in technology
• Transition Architectures are incremental and should not
evolve during the implementation phase of the increment

January 27, 2010 42
Architecture Development Methodology (ADM)

C. Information H. Architecture
A Architecture B. Business D. Technology E. Opportunities F. Migration G. Implementation
Preliminary Systems Change
Vision Architecture Architecture and Solutions Planning Governance
Architecture Management


• Each ADM phase has the same
− Objectives
− Approach
− Inputs
− Steps
− Outputs

January 27, 2010 43
Preliminary Phase – Objectives

• To review the organisational context for conducting enterprise architecture
• To identify the sponsor stakeholder(s) and other major stakeholders impacted by
the directive to create an enterprise architecture and determine their
requirements and priorities from the enterprise
• To ensure that everyone who will be involved is committed to success
• To enable the architecture sponsor to create requirements for work across the
affected business areas
• To identify and scope the elements of the organisation affected by the business
directive and define the constraints and assumptions (particularly in a federated
architecture environment)
• To confirm a governance and support framework that will provide business
process and resources for architecture governance
• To select and implement supporting tools and other infrastructure to support the
architecture activity
• To define the architecture principles that will for m part of the constraints on any
architecture work

January 27, 2010 44
Preliminary Phase – Overview
Preliminary Phase

Approach Elements Inputs Steps Outputs

Reference Materials External Scope the Organisation Units
to the Enterprise Impacted

Confirm Governance and
Organisational Context Non-Architectural Inputs
Support Frameworks

Define and Establish
Requirements for
Architectural Inputs Enterprise Architecture
Architecture Work
Team and Organisation

Identify and Establish
Architecture Principles

Select and Tailor
Management Frameworks
Architecture Framework(s)

Relating the Management Implement Architecture
Frameworks Tools

Planning for Enterprise
Architecture Maturity

January 27, 2010 45
Preliminary Phase – Approach Overview

• Define the where, what, why, who, and how to do architecture
− Defining the organisation
− Identifying key drivers and elements in the organisational context
− Defining the requirements for architecture work
− Defining the architecture principles that will inform any architecture work
− Defining the framework to be used
− Defining the relationships between management frameworks
− Evaluating the enterprise architecture maturity
− When using an iterative process for architecture development, the activities
within the
• When using an iterative process for architecture development the
Preliminary phase may be repeated a number of times in order to
ensure that the customised framework is suitable to address the
specific architecture problem
January 27, 2010 46
Preliminary Phase – Approach – Enterprise

• Key challenge of enterprise architecture is scope
• Enterprise architecture can be considered a strategic
planning asset that is becoming increasingly an integral
part of business management
• Scope will determine those stakeholders who will derive
most benefit from a new or enhanced enterprise
• Sponsor is important to ensure that the resulting activity
has resources to proceed and the support of the business

January 27, 2010 47
Preliminary Phase – Approach – Organisational
• To make effective and informed decisions about the framework for
architecture to be used within the organisation, it is necessary to
understand the context surrounding the architecture framework
− Commercial models for enterprise architecture
− Budgetary plans for enterprise architecture
− Key issues and concerns of stakeholders
− Business imperatives, strategies, principles, goals, and drivers
− Processes that support execution of change and operation of IT
• Project management and project portfolio management
• Systems management
• Business analysis and design
• Application, technology and information portfolio management
− Baseline architecture landscape
− Level of formality and rigor to be applied
− Touchpoints with other organisations, processes, roles, and responsibilities
January 27, 2010 48
Preliminary Phase – Approach – Requirements for
Architecture Work
• Business imperatives behind the enterprise architecture
drive the requirements and performance metrics for the
architecture work
• Imperatives should be sufficiently clear so that the
preliminary phase can scope the business outcomes and
resource requirements and define the outline business
information requirements and associated strategies of the
enterprise architecture work to be done

January 27, 2010 49
Preliminary Phase – Approach – Principles

• Definition of architecture principles is key to the development of an
enterprise architecture
• Architecture work is informed by business principles as well as
architecture principles
− Architecture principles are normally based in part on business principles
− Defining business principles usually lies outside the scope of the architecture
• Set of architecture principles should refer to business principles,
business goals and strategic business drivers defined elsewhere
within the organisation
• Issue of architecture governance is closely linked to that of
architecture principles
• Those responsible for governance will also usually be responsible for
approving the architecture principles and for resolving architecture

January 27, 2010 50
Preliminary Phase – Approach – Management
• TOGAF Architecture Development Method (ADM) is a generic method
• Must co-exist with and enhance the operational capabilities of other management
frameworks that are present within the organisation
• Types/groups of frameworks include
− Business Capability Management – determine what business capabilities are required
to deliver business value including the definition of return on investment and the
requisite control/performance measures
− Portfolio/Project Management Methods – determine how a company manages its
change initiatives
− Operations Management Methods – describe how a company runs its day-to-day
operations, including IT
− Solution Development Methods – formalise the way that business systems are
delivered in accordance with the structures developed in the IT architecture
• During architecture implementation must be aware of its impact on the whole
• Preliminary phase involves doing work needed to adapt the ADM to define an
organisation-specific framework

January 27, 2010 51
Preliminary Phase – Approach – Management
Business Capability

Architecture Project/Portfolio Solution
Development Management Development
Method Frameworks Frameworks


January 27, 2010 52
Preliminary Phase – Approach – Relating the
Management Frameworks
• There are dependencies between the various frameworks and
business planning activity that incorporates the organisation’s
strategic plan and direction
− Enterprise Architecture provides a structure for all of the organisation
− Portfolio Management Framework delivers the components of the
− Operations Management Framework supports incorporation of these new
components within the corporate infrastructure
− Solution Development Framework used to plan, create, and deliver the
architectural components specified in the portfolio and project charters
• Enterprise architecture structures the business planning into an
integrated framework that regards the enterprise as a system or
system of systems

January 27, 2010 53
Preliminary Phase – Approach – Relating the
Management Frameworks

Capacity Planning
Business Business Enterprise
Planning Direction Architecture
Resources Solution
Runs the Structured Development
Enterprise Direction
Direction Project
Delivers Portfolio

January 27, 2010 54
Preliminary Phase – Approach – Planning for Enterprise
Architecture/Business Change Maturity Evaluation

• Capability Maturity Models (CMM) are useful ways of
assessing levels of maturity to implement Enterprise
• The actual levels of maturity provide a strategic measure
of the organisation’s ability to change, as well as a series of
sequential steps to improve that ability
• Good enterprise architecture maturity model covers a
wide range of enterprise characteristics, both business and

January 27, 2010 55
Enterprise Architecture Maturity Evaluation – Key
Framework of standards, templates and specifications for organising and
Architecture Framework presenting business and technical architecture components

Methodology for defining, developing and maintaining architecture
Architecture Processes components
Principles, decision rights, rules and methods to drive architecture
Architecture Governance development and alignment in the organisation

Defining, measuring and communicating the value / impact of architecture
Architecture Value to the business

Using architecture principles and blueprints to align business needs with IT
Strategic Planning capabilities, define portfolio strategy / direction, and allocate resources
Defining vision and roadmap for various IT domains by anticipating
Architecture Planning business needs and trends, and developing architecture components

Organisation Defining, planning, and managing roles, responsibilities and skills for
Structure and Skills architecture management
Communication and Managing communication and expectations with business and IT
Stakeholder Management stakeholders interested in or influenced by architecture management
January 27, 2010 56
Enterprise Architecture Maturity Evaluation – Key
Capabilities and Maturity Levels
Level 1 Level 2 Level 3 Level 4 Level 5
Prioritisation of project Architecture a key Business / IT planning
Strategic Planning None Project-based portfolio based on input to joint enables efficiency, agility in
roadmap Business / IT planning extended enterprise

Limited vision and Architecture planning Continuous Includes extended
Planning Architecture Planning Project-based
roadmap process established improvement enterprise capabilities

Project-based Central architecture Funded from efficiency Funding by margin on
Funding by transaction
Architecture Funding allocation fund gains services

Limited framework – Covers Information and
Consistently adopted Framework shared
Architecture Framework None covers some process, but adoption not
internally externally
information consistent

Defined processes Defined processes Defined processes with
Project-based Defined processes
Architecture Processes primarily focused on across business and IT clear ability to adapt and
processes across IT domains
infrastructure domains extend
Some review principles Shared governance Business / IT governance
None / project- defined for some Defined IT governance
Governance model with Business continuously improved to
based components boards and processes
and IT respond to change

Defined and measured
None / project- IT cost performance Business outcomes and IT
Value and Measurement IT cost metrics business objectives,
based metrics performance metrics
performance metrics

Organisation Structure No roles, Formal technology Formalised roles and Clear professional Pro-active development
and Skills responsibilities roles within projects responsibilities career track with external input

People Pro-active
Communication and Key stakeholders Regular consultation communication and Collaboration with
Stakeholder Management identified and informed with business feedback with extended enterprise
January 27, 2010 57
Preliminary Phase – Approach – Inputs

• Non-Architectural Inputs
− Board strategies and board business plans, business strategy, business
principles, business goals, and business drivers
− Major frameworks operating in the business such as portfolio/project
− Governance and legal frameworks, including architecture governance strategy,
when preexisting
− Budget for scoping project
− Partnership and contract agreements
− IT strategy
• Architectural Inputs
− Pre-existing models for operating an enterprise architecture capability can be
used as a baseline for the Preliminary phase
• Organisational Model for Enterprise Architecture
• Existing Architecture Framework, if any
• Existing architecture principles, if any
• Existing Architecture Repository, if any

January 27, 2010 58
Preliminary Phase – Approach – Steps

1. Scope the business units impacted
2. Confirm governance and support frameworks
3. Define and establish enterprise architecture team and
4. Identify and establish architecture principles
5. Select and tailor architecture framework(s)
6. Implement architecture tools

January 27, 2010 59
Preliminary Phase – Step 1 – Scope the Business Units
• Identify core business unit(s) — those who are most
affected and achieve most value from the work
• Identify non-core business unit(s) — those who will see
change to their capability and work with core units but are
otherwise not directly affected
• Identify extended business unit(s) — those units outside
the scoped enterprise who will be affected in their own
enterprise architecture
• Identify communities involved — those stakeholders who
will be affected and who are in groups of communities
• Identify governance involved, including legal and
regulatory frameworks and geographies
January 27, 2010 60
Preliminary Phase – Step 2 – Confirm Governance
and Support Frameworks
• Architecture framework is core to the architecture
governance structure and guidelines that need to be
• Understand how architectural material is brought under
• Review existing governance and support models of the
organisation and how they will need to change to support
the newly adopted architecture framework
• Assess, understand and agree architecture touch-points
and likely impacts

January 27, 2010 61
Preliminary Phase – Step 3 – Define and Establish
Enterprise Architecture Team and Organisation
• Determine existing enterprise and business capability
• Conduct an enterprise architecture/business change maturity
assessment, if required
• Identify gaps in existing work areas
• Allocate key roles and responsibilities for enterprise architecture
capability management and governance
• Define requests for change to existing business programs and
• Scope new enterprise architecture work
• Deter mine constraints on enterprise architecture work
• Review and agree with sponsors and board
• Assess budget requirements

January 27, 2010 62
Preliminary Phase – Step 4 – Identify and Establish
Architecture Principles
• Architecture principles are based on business principles
and are critical in setting the foundation for architectural
• General rules and guidelines, intended to be enduring and
seldom amended, that inform and support the way in
which an organisation sets about fulfilling its mission
• Need to define a set of architecture principles that is
appropriate to the organisation
− Business Principles
− Data Principles
− Application Principles
− Technology Principles

January 27, 2010 63
Architecture Principles – Sample Business Principles

• These principles of information management apply to all business units within the
• Information management decisions are made to provide maximum benefit to the
organisation as a whole
• All business units in the organisation participate in information management decisions
needed to accomplish business objectives
• Enterprise operations are maintained in spite of system interruptions
• Development of applications used across the organisation is preferred over the
development of similar or duplicated applications which are only provided to a business
• The architecture is based on a design of services which mirror real-world business activities
comprising the organisation (or inter- organisation) business processes
• Enterprise information management processes comply with all relevant laws, policies, and
• The IT function is responsible for owning and implementing IT processes and infrastructure
that enable solutions to meet user-defined requirements for functionality, ser vice levels,
cost, and delivery timing
• The organisation’s Intellectual Property (IP) must be protected and this protection must be
reflected in the IT architecture, implementation, and governance processes

January 27, 2010 64
Architecture Principles – Sample Data Principles

• Data is an asset that has value to the organisation and is managed
• Users have access to the data necessary to perform their duties and
therefore, data is shared across organisation functions and business
• Data is accessible for users to perform their functions
• Each data element has a trustee accountable for data quality
• Data is defined consistently throughout the organisation and the
definitions are understandable and available to all users
• Data is protected from unauthorised use and disclosure

January 27, 2010 65
Architecture Principles – Sample Application
• Applications are independent of specific technology
choices and therefore can operate on a variety of
technology platforms
• Applications are easy to use and the underlying technology
is transparent to users, so they can concentrate on tasks at

January 27, 2010 66
Architecture Principles – Sample Technology
• Only in response to business needs are changes to
applications and technology made
• Changes to the enterprise information environment are
implemented in a timely manner
• Technological diversity is controlled to minimise the cost
of maintaining expertise in and connectivity between
multiple processing environments
• Software and hardware should conform to defined
standards that promote interoperability for data,
applications, and technology

January 27, 2010 67
Preliminary Phase – Step 5 – Select and Tailor
Architecture Framework(s)
• Determine what, if any, tailoring is required
• Tailoring should produce an agreed terminology set for
description of architectural content
• Tailor processes
− Remove tasks that are already carried out elsewhere in the
− Add organisation-specific tasks such as specific checkpoints
− Align the processes to external process frameworks and
• Tailor content structure and classification to allow
adoption of third-party content frameworks and allow for
customisation of the framework to support organisation-
specific requirements
January 27, 2010 68
Preliminary Phase – Step 6 – Implement Architecture
• Tools approach may be based on of standard office
productivity applications, or may be based on a
customised deployment of specialist architecture tools
• Depending on the level of sophistication, the
implementation of tools may range from a trivial task to a
more complex solution implementation activity

January 27, 2010 69
Preliminary Phase – Outputs

• Organisational Model for Enterprise Architecture
• Tailored Architecture Framework
• Initial Architecture Repository
• Restatement of, or reference to, business principles,
business goals, and business drivers
• Request for Architecture Work
• Governance Framework

January 27, 2010 70
Phase A: Architecture Vision – Objectives

• To ensure that this evolution of the architecture development cycle has proper
recognition and endorsement from the corporate management of the
organisation and the support and commitment of the necessary line management
• To define and organise an architecture development cycle within the overall
context of the architecture framework, as established in the Preliminary phase
• To validate the business principles, business goals, and strategic business drivers
of the organisation and the enterprise architecture Key Performance Indicators
• To define the relevant stakeholders, and their concerns and objectives
• To define the key business requirements to be addressed in this architecture
effort and the constraints that must be dealt with
• To articulate an Architecture Vision and formalise the value proposition that
demonstrates a response to those requirements and constraints
• To create a comprehensive plan that addresses scheduling, resourcing, financing,
communication, risks, constraints, assumptions, and dependencies, in line with
the project management frameworks adopted by the organisation
• To secure for mal approval to proceed

January 27, 2010 71
Phase A: Architecture Vision – Overview
Phase A: Architecture Vision

Approach Elements Inputs Steps Outputs

Reference Materials External to the
General Establish the Architecture Project

Identify Stakeholders, Concerns, and
Creating the Architecture Vision Non-Architectural Inputs
Business Requirements

Confirm and Elaborate Business Goals,
Business Scenarios Architectural Inputs
Business Drivers, and Constraints

Evaluate Business Capabilities

Assess Readiness for Business

Define Scope

Confirm and Elaborate Architecture
Principles Including Business Principles

Develop Architecture Vision

Define the Target Architecture Value
Propositions and KPIs

Identify the Business Transformation
Risks and Mitigation Activities

Develop Enterprise Architecture Plans
and Statement of Architecture Work
and Secure Approval
January 27, 2010 72
Phase A: Architecture Vision – Approach – General

• Phase A starts with receipt of a Request for Architecture Work
• Defines what is in and what is outside the scope of the architecture
effort and the constraints that must be dealt with
• Scoping decisions need to be made based on a practical assessment
of resource and competence availability and the value that can
realistically be expected to accrue to the organisation from the
chosen scope of architecture work
• Constraints will normally be informed by the business principles and
architecture principles, developed as part of the Preliminary phase
• Architecture principles that form part of the constraints on
architecture work will normally have been defined in the Preliminary

January 27, 2010 73
Phase A: Architecture Vision – Approach – Creating
the Architecture Vision
• Architecture Vision describes how the new capability will meet the
business goals and strategic objectives and address the stakeholder
concerns when implemented
• Key tool to sell the benefits of the proposed capability to
stakeholders and decision-makers within the organisation
• Clarify and agree the purpose of the architecture effort
• Clarify the purpose and demonstrating how it will be achieved by the
proposed architecture development
• Verify and understand the documented business strategy and goals
• Provide a first-cut, high-level description of the Baseline and Target
Architectures, covering the business, data, application, and
technology domains
− Outline descriptions are developed in subsequent phases

January 27, 2010 74
Phase A: Architecture Vision – Approach – Business
• Business scenarios are methods for identifying and
articulating the business requirements implied in new
business capability to address key business drivers, and the
implied architecture requirements
− A business process, application, or set of applications that can be
enabled by the architecture
− The business and technology environment
− The people and computing components (called actors) who
execute the scenario
− The desired outcome of proper execution
• A good business scenario is representative of a significant
business need or problem and enables the value of a
solution to the organisation to be understood

January 27, 2010 75
Phase A: Architecture Vision – Approach – Creating
Business Scenarios
Problem Identifying, documenting, and ranking the problem
Identification driving the scenario

Identifying the business and technical environment
Identification of the scenario and documenting it in scenario

Objectives Identifying and documenting desired objectives

Human Identifying the human participants and their place in
Identification the business model

Automated Identifying computing elements and their place in
Identification the technology model

Identifying and documenting roles,
Define Roles responsibilities, and measures of success per
Responsibilities actor, documenting the required scripts per actor,
and the results of handling the situation
Validate and Checking for fitness-for-purpose and
Refine refining only if necessary

January 27, 2010 76
Phase A: Architecture Vision – Approach – Creating
Business Scenarios
• A business scenario is Develop business scenario over
iterative phases of gathering, analysing, and reviewing the
• In each phase, each of the steps above is successively
• Refinement step involves deciding whether to consider the
scenario complete and go to the next phase or whether
further refinement is necessary

January 27, 2010 77
Phase A: Architecture Vision – Approach – Creating
Business Scenarios
Gather Analyse Review
Problem Problem Problem
Identification Identification Identification

Environment Environment Environment
Identification Identification Identification

Desired Desired Desired
Objectives Objectives Objectives
Identification Identification Identification

Human Human Human
Participants Participants Participants
Identification Identification Identification

Automated Automated Automated
Participants Participants Participants
Identification Identification Identification

Define Roles Define Roles Define Roles
and and and
Responsibilities Responsibilities Responsibilities

Validate and Validate and Validate and
Refine Refine Refine
January 27, 2010 78
Phase A: Architecture Vision – Inputs

• Reference Materials External to the Enterprise
• Non-Architectural Inputs
− Request for Architecture Work
− Business principles, business goals, and business drivers
• Architectural Inputs
− Organisational Model for Enterprise Architecture
• Scope of business units impacted
• Maturity assessment, gaps, and resolution approach
• Roles and responsibilities for architecture team(s)
• Constraints on architecture work
• Re-use requirements
• Budget requirements
• Requests for change
• Governance and support strategy
− Tailored Architecture Framework
• Tailored architecture method
• Tailored architecture content
• Architecture principles
• Configured and deployed tools
− Populated Architecture Repository – existing architectural documentation (framework description,
architectural descriptions, baseline descriptions, etc.)

January 27, 2010 79
Phase A: Architecture Vision – Steps

• Establish the architecture project
• Identify stakeholders, concerns, and business requirements
• Confirm and elaborate business goals, business drivers, and constraints
• Evaluate business capabilities
• Assess readiness for business transformation
• Define scope
• Confirm and elaborate architecture principles, including business principles
• Develop Architecture Vision
• Define the Target Architecture value propositions and KPIs
• Identify the business transformation risks and mitigation activities
• Develop enterprise architecture plans and Statement of Architecture Work and
secure approval

January 27, 2010 80
Phase A: Architecture Vision – Step 1 – Establish the
Architecture Project
• ADM project should be conducted within the project
management framework of the organisation
− Should be planned and managed using accepted practices for the

January 27, 2010 81
Phase A: Architecture Vision – Step 2 – Identify
Stakeholders, Concerns, and Business Requirements
• Identify the key stakeholders and their concerns/objectives
• Define the key business requirements to be addressed in the
architecture engagement
• Create stakeholder map for the engagement, showing which
stakeholders are involved with the engagement, their level of
involvement, and their key concerns
• Objectives
− To identify candidate vision components and requirements to be tested as the
Architecture Vision is developed
− To identify candidate scope boundaries for the engagement to limit the extent
of architectural investigation required
− To identify stakeholder concerns, issues, and cultural factors that will shape
how the architecture is presented and communicated

January 27, 2010 82
Phase A: Architecture Vision – Step 3 – Confirm and
Elaborate Business Goals, Business Drivers, and Constraints

• Identify the business goals and strategic drivers of the
• Ensure that the existing definitions are current, and clarify
any areas of ambiguity
• Define the constraints that must be dealt with, including
organisation-wide constraints and project-specific
constraints (time, schedule, resources, etc.)

January 27, 2010 83
Phase A: Architecture Vision – Step 4 – Evaluate
Business Capabilities
• Perform business capability assessment to define what
capabilities an organisation will need to fulfill its business
goals and business drivers
• Understand the capabilities and desires of the business
• Identify options to achieve those capabilities
• Likely implications for the organisation’s technology
capability can be assessed, creating an initial picture of
new IT capability that will be required to support the
Target Architecture Vision
• Document results of the assessment in Capability
January 27, 2010 84
Phase A: Architecture Vision – Step 5 – Assess
Readiness for Business Transformation
• Evaluate and quantify the organisation’s readiness to undergo a change
• Assessment based upon analysis/rating of a series of readiness factors:
− Ability to implement and operate
− Departmental capacity to execute
− IT capacity to execute
− Workable approach and execution model
− Accountability
− Governance
− Sponsorship and leadership
− Funding
− Business case
− Need
− Desire/willingness/resolve
− Vision
• Results are then used to shape the scope of the architecture to identify activities
required within the architecture project, and to identify risk areas to be addressed

January 27, 2010 85
Phase A: Architecture Vision – Step 6 – Define Scope

• Define what is inside and what is outside the scope of the
Baseline Architecture and Target Architecture efforts
− The breadth of coverage of the organisation
− The level of detail required
− The partitioning characteristics of the architecture
− The specific architecture domains to be covered (business, data,
application, technology)
− The extent of the time period aimed at, plus the number and
extent of any intermediate time period
− The architectural assets to be leveraged, or considered for use

January 27, 2010 86
Phase A: Architecture Vision – Step 7 – Confirm and
Elaborate Architecture Principles, including Business
• Review the principles under which the architecture is to be
• Normally based on the principles developed as part of the
Preliminary phase
• Ensure that the existing definitions are current, and clarify
any areas of ambiguity and resolve if required

January 27, 2010 87
Phase A: Architecture Vision – Step 8 – Develop
Architecture Vision
• Create a high-level view of the Baseline and Target
− Based on the stakeholder concerns, business capability
requirements, scope, constraints, and principles
− Covers the breadth of scope identified for the project, at a high
• Creates the first, high-level definitions of the baseline and
target environments, from a business, information
systems, and technology perspective

January 27, 2010 88
Phase A: Architecture Vision – Step 9 – Define the
Target Architecture Value Propositions and KPIs
• Develop the business case for the architectures and changes
• Produce the value proposition for each of the stakeholder groupings
• Assess and define the procurement requirements
• Review and agree the value propositions with the sponsors and
stakeholders concerned
• Define the performance metrics and measures to be built into the
enterprise architecture to meet the business needs
• Assess the business risk
• Incorporate into the Statement of Architecture Work to allow
performance to be tracked accordingly

January 27, 2010 89
Phase A: Architecture Vision – Step 10 – Identify the Business
Transformation Risks and Mitigation Activities

• Identify the risks associated with the Architecture Vision
and assess the initial level of risk (catastrophic, critical,
marginal, or negligible) and the potential frequency
• Two levels of risk:
− Initial Level of Risk: Risk categorisation prior to determining and
implementing mitigating actions
− Residual Level of Risk: Risk categorisation after implementation
of mitigating actions (if any)
• Include risk mitigation activities in the Statement of
Architecture Work

January 27, 2010 90
Phase A: Architecture Vision – Step 11 – Develop Enterprise
Architecture Plans and Statement of Architecture Work and
Secure Approval
• Define the work required and by when to deliver the set of business performance
• Identify new work products
• Provide direction on which existing work products, including building blocks, will need to be
changed and ensure that all activities and dependencies on these are co-ordinated
• Identify the impact of change on other work products and dependence on their activities
• Based on the purpose, focus, scope, and constraints, deter mine which architecture
domains should be developed, to what level of detail, and which architecture views should
be built
• Assess the resource requirements and availability to perform the work in the timescale
• Estimate the resources needed, develop a roadmap and schedule for the proposed
• Define the performance metrics to be met by the enterprise architecture team
• Develop the specific enterprise architecture Communications Plan
• Review and agree the plans with the sponsors, and secure formal approval of the
Statement of Architecture Work under the appropriate governance procedures
• Gain sign-off to proceed

January 27, 2010 91
Phase A: Architecture Vision – Outputs
• Approved Statement of Architecture Work
− Scope and constraints
− Plan for the architectural work
− Roles and responsibilities
− Risks and mitigating activity
− Work product performance assessments
− Business case and KPI metrics
• Refined statements of business principles, business goals, and business drivers
• Architecture principles
• Capability Assessment
• Tailored Architecture Framework
− Tailored architecture method
− Tailored architecture content (deliverables and artifacts)
− Configured and deployed tools
• Architecture Vision
− Refined key high-level stakeholder requirements
− Baseline Business Architecture
− Baseline Technology Architecture
− Baseline Data Architecture
− Baseline Application Architecture
− Target Business Architecture
− Target Technology Architecture
− Target Data Architecture
− Target Application Architecture
• Communications Plan

January 27, 2010 92

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