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Maturity and Effectiveness of Enterprise Architecture

Marlies van Steenbergen

ISBN: 978-90-393-5554-1

2011, Marlies van Steenbergen. All rights reserved.

Maturity and Effectiveness of Enterprise ArchitectureVolwassenheid en Effectiviteit van Enterprise Architectuur (met een samenvatting in het Nederlands)

PROEFSCHRIFT

ter verkrijging van de graad van doctor aan de Universiteit Utrecht op gezag van de rector magnificus, prof. dr. G.J. van der Zwaan, ingevolge het besluit van het college voor promoties in het openbaar te verdedigen op 22 juni 2011 des ochtends te 10.30 uur door

Maria Elisabeth van Steenbergen

geboren op 16 mei 1962, te Blokzijl

Promotor: prof. dr. S. Brinkkemper Co-promotor: dr. R. Bos

Dit proefschrift werd mede mogelijk gemaakt door Sogeti Nederland B.V.

PrefaceEver since I graduated in 1987, I entertained the idea of engaging in a PhD study, but I decided to first gain some years of experience in industry. And thus, after graduation, I accepted a job at the Dr. Neher Laboratory of KPN and started my career in enterprise architecture, which led to my current position as principal consultant enterprise architecture with Sogeti Netherlands. And although I never regretted this choice, the idea of doing a PhD study some day, some way was locked somewhere in my brain. A wish I repeatedly expressed, though always with the additional words but not now, sometime later. Until my boss, Berend Roukes, approached me and said that Professor Sjaak Brinkkemper from Utrecht University had indicated to him that he had a place available for an external PhD student and was I interested? I was. And I fully enjoyed the ensuing four and a half years spending part of my time in academic research, leading up to this dissertation. Looking back I am glad it happened the way it happened. I am convinced that the combination of relevant industrial experience and the rigor of academic research is beneficial for both the industrial and the academic work. I had no difficulties in identifying relevant research questions or finding companies for executing case studies. And engaging in academic research made me sharp again in my non-academic work, not taking things for granted too easily. I am very grateful to all people who made this possible. First of all I want to thoroughly thank Jeroen Versteeg, Marc Ramselaar, Diederik Vieleers and Berend Roukes from Sogeti for allowing me time to work on my research. Not having to do it all in my spare time made all the difference. Once again, thank you. I also want to thank all professional colleagues who made it possible for me to perform case studies in their companies and my colleagues at Sogeti who assisted me in performing the case studies and survey study. I am still positively surprised by the willingness of so many people to fully cooperate and invest their time in contributing to my research. To you all, thank you very much. As far as my colleagues at Utrecht University are concerned, I first and foremost want to mention our EA research group: Ralph Foorthuis, Wiel Bruls, Nico Brand, Remko Helms and Rik Bos. Our pizza sessions every month under the expert guidance of Sjaak Brinkkemper, are always inspiring and instructive. I really enjoy our discussions and hope to continue to do so for a

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long time to come. Thanks also to Ronald Batenburg, Slinger Jansen, Inge van de Weerd and Willem Bekkers for your insightful reviews and discussions. Of course, a lot of thanks to Sjaak Brinkkemper and Rik Bos, without whom I could not have achieved all this. Thank you, Sjaak, for guiding me through the academic world. And thank you, Rik, for keeping me sharp and my wording precise. Finally, I would like to thank my husband, Bert Grootjans, for his continuous support throughout the years. Thank you for not minding when I had to spend another weekend on getting a paper ready for submission. But above all, thank you for reviewing all my work and for your undiminishing willingness to keep discussing in depth the scientific issues I encountered over the years. Your support was invaluable. Marlies van Steenbergen, May 2011

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ContentsPREFACE ........................................................................................................ VII CONTENTS ....................................................................................................... IX I 1 INTRODUCTION TO THIS DISSERTATION .................................. 1 INTRODUCTION....................................................................................... 3 1.1 1.2 1.3 1.4 The discipline of Enterprise Architecture ....................................... 3 Practical relevance .......................................................................... 6 Scientific relevance ......................................................................... 6 Research area .................................................................................. 7 1.4.1 Enterprise architecture .......................................................... 7 1.4.2 Maturity models .................................................................... 8 1.4.3 Organizational theory ........................................................... 9 1.4.4 Sociology ............................................................................ 10 1.5 Research description ..................................................................... 10 1.5.1 Research questions.............................................................. 11 1.5.2 Research approach .............................................................. 15 1.5.3 Research methods ............................................................... 16 1.6 II Dissertation outline ....................................................................... 18

FORMALIZING ENTEPRISE ARCHITECTURE EFFECTIVENESS ................................................................................ 23

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Contents2 MODELING THE CONTRIBUTION OF ENTERPRISE ARCHITECTURE PRACTICE TO THE ACHIEVEMENT OF BUSINESS GOALS............................................................................... 25 2.1 2.2 2.3 Effectiveness of enterprise architecture ........................................ 25 The architecture effectiveness model ............................................ 27 Three applications of the AEM concept........................................ 29 2.3.1 Case 1: A Municipality ....................................................... 30 2.3.2 Case 2: A University of Professional Education ................ 32 2.3.3 Case 3: A Financial Institution ........................................... 33 2.4 2.5 3 Discussion ..................................................................................... 34 Evaluation and conclusions........................................................... 36

THE APPLICATION OF A PRESCRIPTIVE AND A CONSTRUCTIVE PERSPECTIVE TO DESIGN-SCIENCE RESEARCH........................................................................................... 41 3.1 3.2 Introduction ................................................................................... 41 Two perspectives on design science research ............................... 43 3.2.1 A prescriptive perspective on design science ..................... 43 3.2.2 A constructive perspective on design-science research ...... 46 3.3 Design-science research case: the Architecture Effectiveness Model ............................................................................................ 49 3.3.1 The Architecture Effectiveness Model ............................... 50 3.3.2 Developing an AEM for a municipality ............................. 53 3.4 Evaluation of the AEM ................................................................. 56 3.4.1 Applying the prescriptive perspective to the design of the AEM....... ............................................................................ 56 3.4.2 Applying the constructive perspective to the design of the AEM....... ............................................................................ 58 3.4.3 Discussion ........................................................................... 62 3.5 Comparison of the two perspectives ............................................. 63

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Contents3.6 III Conclusions and further research .................................................. 65

MEASURING THE MATURITY OF THE ENTERPRISE ARCHITECTURE PRACTICE .......................................................... 69

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A BALANCED APPROACH TO DEVELOPING THE ENTERPRISE ARCHITECTURE PRACTICE ................................ 71 4.1 4.2 Maturity in Enterprise Architecture .............................................. 71 Architecture Maturity Matrix ........................................................ 74 4.2.1 Structure of the Architecture Maturity Matrix.................... 74 4.2.2 Use of the Architecture Maturity Matrix ............................ 78 4.3 Case Studies .................................................................................. 79 4.3.1 Case Study 1: A Manufacturing Company ......................... 79 4.3.2 Case Study 2: A Semi-governmental Organization ............ 81 4.4 Discussion ..................................................................................... 84 4.4.1 Results and Matrix Adjustments ......................................... 84 4.4.2 Lessons Learned ................................................................. 85 4.5 Conclusions and Further Research ................................................ 86

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THE DYNAMIC ARCHITECTURE MATURITY MATRIX: INSTRUMENT ANALYSIS AND REFINEMENT ........................... 89 5.1 5.2 Introduction ................................................................................... 89 The Dynamic Architecture Maturity Matrix ......