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  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>Towards a Method Framework for Enterprise Architecture Management { A Literature Analysis from a Viable System Perspective</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Sabine Buckl</string-name>
          <email>buckls@in.tum.de</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Florian Matthes</string-name>
          <email>matthes@in.tum.de</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Christian M. Schweda</string-name>
          <email>schweda@in.tum.de</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Chair for Software Engineering of Business Information Systems (sebis), Technische Universitat Munchen</institution>
          ,
          <addr-line>Boltzmannstr. 3, 85748 Garching</addr-line>
          ,
          <country country="DE">Germany</country>
        </aff>
      </contrib-group>
      <pub-date>
        <year>2010</year>
      </pub-date>
      <fpage>46</fpage>
      <lpage>60</lpage>
      <abstract>
        <p>The discipline of enterprise architecture (EA) management is albeit a long history still developing. This is becomes obvious, when literature on the EA management function is analyzed. Multiple approaches describe di erent make-ups for the overall function, while a common sense does yet not exist. In this paper, we analyze EA management functions as proposed in literature from a systemic perspective and derive typical management activities such a function should encompass. Based on these activities, a method framework for EA management is derived, which is assessed in a case study from the nancial industry.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>-</title>
      <p>
        emphasize on the importance of modeling the EA, no common metamodel (called
information model in accordance with Buckl et al. in [
        <xref ref-type="bibr" rid="ref6">6</xref>
        ]) has yet been
established. In the last years, many information models were proposed but none of
them has yet gained broad acceptance. Some researchers even challenge the
hypothesis that such a model exists (cf. Buckl et al. in [
        <xref ref-type="bibr" rid="ref7">7</xref>
        ] and Kurpjuweit and
Winter in [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ]). They expect enterprises to have largely di erent expectations
on the bene ts of EA management, and therefore assume that an information
model is an enterprise-speci c artifact. Similar discussions apply to the overall
make-up of the EA management function. Many di erent activities have been
argued to be inseparable parts of EA management (see Section 3). In contrast,
approaches presenting constituents of the EA management function or
comprehensive processes descriptions are rare in academic literature (for one example cf.
Hafner and Winter in [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ]). Similarly, few practitioners (cf. Niemann in [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ] and
Schekkerman in [
        <xref ref-type="bibr" rid="ref11">11</xref>
        ]) and standardization bodies (cf. The Open Group in [
        <xref ref-type="bibr" rid="ref12">12</xref>
        ])
discuss processes but stay on a fairly abstract level. These processes are usually
complemented with a remark that "they have to be adapted to the company's
needs"[
        <xref ref-type="bibr" rid="ref12">12</xref>
        ], while the details of this adaptation are left to the reader.
      </p>
      <p>
        We expect the EA management function, similar to the information model,
to be enterprise-speci c, although { on a more abstract level { every EA
management function might be comprised of similar activities. Thereby, we must
provide additional clari cation in respect to the understanding of the term EA
in di erent research communities. While some researchers refer to the term EA
as the management function, aiming at managing the evolution of the EA, others
regard the EA as the inevitable fact, which refers to the make-up of the enterprise
summarized as "every system has an architecture"[
        <xref ref-type="bibr" rid="ref13">13</xref>
        ]. The terminology used in
this paper adopts the later wording and clearly distinguishes between the artifact
(EA) and the corresponding management function (EA management).
      </p>
      <p>The article presents a rst step towards establishing a consolidated method
framework for EA management, which can be con gured according to the
enterprise-speci c needs of a company. The framed method is grounded in a
systemic perspective on EA management, which is exhibited in Section 2. From
this perspective, Section 3 revisits prominent approaches to EA management
from literature and collects typical work packages that these approaches
propose. In addition, the representations of the EA, the so called EA descriptions,
are analyzed. With the activities and the descriptions at hand, Section 4 proposes
a method framework for EA management, consisting of four main activities of
an EA management function and three di erent types of EA descriptions. The
framework further describes how the activities relate to each other, and
speci es which descriptive information about the EA is exchanged between them.
In this respect, it can be regarded as abstract method framework for the EA
management function, providing the answers to the article's research questions:
{ Which typical activities constitute an EA management function?
{ Which information objects are created by, exchanged between, and used for
these activities?
{ How do the activities relate in a method framework for EA management?</p>
      <p>Section 5 sketches the results of a case study on the EA management function
of a company in the nancial industry. We thereby show to which extent the
method framework can be validated. The article concludes with Section 6, which
summarizes the ndings, shows limitations of the research approach chosen, and
gives indications of future areas for research.
2 EA</p>
      <p>
        management from a systemic perspective
Enterprises form highly complex systems consisting of various di erent elements
interlinked by a large number of interdependencies. These systems are further
embedded into a changing environment that they continuously have to adapt to.
In particular, market changes and new legal requirements force enterprises to
adjust their architectures, e.g. to rework their business processes or to evolve their
IT artifacts. Additionally, newly emerging technologies may enable new business
opportunities that an enterprise should proactively seek to gain competitive
advantage (Ross et al. in [
        <xref ref-type="bibr" rid="ref14">14</xref>
        ] and Wagter et al. in [
        <xref ref-type="bibr" rid="ref15">15</xref>
        ]). Both the reactive and
the proactive change of the enterprise fall into the responsibility of
enterpriselevel management functions, as application or project portfolio management, but
also of the EA management function. In this respect, the di erent management
functions on the one hand and the EA management function on the other hand
form an interacting system. Understanding this system of systems is a necessary
prerequisite for developing a method framework for EA management.
      </p>
      <p>
        The viable system model (VSM) (Beer in [
        <xref ref-type="bibr" rid="ref16 ref17 ref18">16, 17, 18</xref>
        ]) provides a framework
for describing complex management systems from a systemic perspective. In the
following, we discuss the ve subsystems of the VSM { operation, coordination,
control, planning, and identity { and identify these subsystems with constituents
from the EA management system.
{ The enterprise-level management functions form system one (operation)
directly changing the EA via projects. Especially the management functions
surrounding the project lifecycle contribute to system one. Exemplary functions
are: enterprise-wide demand management, where demands are captured and
prioritized; strategies and goals management, where demands and projects
are aligned with the enterprise's goals; synchronization management, where
project dependencies are monitored (cf. Wittenburg et al. in [
        <xref ref-type="bibr" rid="ref19">19</xref>
        ]).
{ The communication function of EA management forms system two
(coordination) by which architecture descriptions are distributed via appropriate
communication channels. Thereby, the di erent enterprise-level management
functions (cf. Wittenburg et al. in [
        <xref ref-type="bibr" rid="ref19">19</xref>
        ]) are provided a shared
understanding of the as-is (current) and the to-be (planned) state of the EA. Based on
his shared understanding peer-level coordination between the enterprise-level
management functions should be fostered.
{ System three (control) forms the reactive function of EA management, that
establishes higher level control over the coordination function. In particular, the
reactive EA management observes the behavior of the enterprise-level
management functions in coordination and assures that no 'oscillatory' e ects
between these functions develop. This would for instance be the case, if projects
would adapt to comply with current architectural standards for business
applications, while simultaneously the standards were adapted to incorporate
the realities of the new application portfolio.
{ Where system three ensures stability in the interactions of the enterprise-level
management processes, EA management also encompasses a proactive
function in system four (planning). Latter system is responsible for anticipating
changes in the environment of the enterprise and for addressing these changes
by altering the status-quo that is maintained by the underlying homeostatic
control in system three.
{ Completing, system ve (identity) is responsible for EA management
governance, i.e. is concerned with questions of the overall scope and reach of EA
management. It further shapes the design of the EA management function
itself. Thereby, it ensures a balance between short-term and long-term e orts,
and steers the EA management system as a whole.
      </p>
    </sec>
    <sec id="sec-2">
      <title>3 State-of-the-art in EA management literature</title>
      <p>This section provides an overview about selected EA management approaches
from a viable system perspective as introduced above. Thereby, we focus on
activities described as being part of the EA management function and detail on
the EA descriptions they expect for input or provide as output. In the description
of the approaches, the original terms employed by the authors are used.</p>
      <p>
        One of the most prominent frameworks for EA management is proposed by
The Open Group { The Open Group Architecture Framework (TOGAF) ([
        <xref ref-type="bibr" rid="ref12">12</xref>
        ]).
The core contribution of TOGAF in respect to describing the EA management
function is the Architecture Development Method (ADM), which delineates how
an EA can be developed and maintained. The ADM describes EA management
as an iterative and stepwise process consisting of di erent phases. The
initialization of one EA management cycle is performed in the preliminary phase, where
decisions about the scope and reach of the management endeavor are made
(system 5). Thereby, the topic how to link EA management to other enterprise-level
management functions is decided upon. The following four phases architecture
vision, business [architecture], information systems [architecture], and technology
architecture are concerned with the development of a target state, the
investigation of the current state, and gap analyses comparing these states. From a
viable system perspective these phases present the reactive and proactive EA
management. The transition planning from the status quo to the desired target
architecture is performed in phase opportunities and solutions and decided upon
in phase migration planning. The execution of the transformation is monitored
in the implementation and governance phase. Finally, the overall performance
of the management process is measured and assessed in the phase architecture
change management, which therefore deals with aspects of EA management
governance. The aforementioned phases are continually adapted to the needs and
concerns of the stakeholders in an activity, called requirements management.
TOGAF complements the description of the activities with elaborations on the
input and output artifacts of each phase { namely visualization artifacts, e.g.
a solution concept diagram or a business interaction matrix, as well as textual
documentations, e.g. reports or catalogs. The aforementioned EA descriptions
together with the stakeholder management, which a dedicated chapter of
TOGAF emphasizes on, contribute to the communication task of EA management.
A characteristic of the TOGAF framework is that each iteration of the ADM
cycle is project-driven, which on the one hand guarantees the sponsorship for
the EA management initiative, but on the other hand makes it hard to ensure
the continuity of the outcomes. A consequence of this approach is the absence
of an activity, which keeps the EA documentation up to date.
      </p>
      <p>
        Similar to the TOGAF ADM, Schekkerman [
        <xref ref-type="bibr" rid="ref11">11</xref>
        ] describes EA management
as an iterative and stepwise process. Each iteration starts with the development
of the EA vision (phase 1), which de nes the environment, business drivers, and
guiding principles. In addition, the scope and context (phase 2) as well as the
goals, objectives, and requirements (phase 3) of the EA management endeavor
are de ned. Subsequent phase 4 derives di erent opportunities and solutions
from existing documentations of the current state and future architecture plans.
Thereby, special attention is paid to support decision making during
management via adequate visualizations, models, and reports, which are chosen in this
phase. Based on the opportunities identi ed in the preceding phase, di erent
evolution scenarios are developed and evaluated regarding their organizational
impact (phase 5). The costs and bene ts of the scenarios are analyzed via
business case calculations (phase 6) to support funding of the EA management
endeavor. The results of the preceding phases are used in phase 7 to set up a
scheduled transformation plan, including capability planning for the EA. Finally,
a governance structure is implemented (phase 8), which de nes the
responsibilities as well as roles, groups, and committees needed. The EA descriptions
developed in and exchanged between the phases are only brie y alluded to.
Further, viewpoints used in the di erent phases of the EA management process are
only discussed with regards to content without providing graphical
representation. Furthermore, EA management governance is not presented as being part
of the EA management function, although the importance of EA management
maturity is discussed and a model to assess the maturity is presented.
      </p>
      <p>
        Niemann also emphasizes on the iterative and stepwise nature of EA
management incorporated in the corresponding management "cycle", that consists of
four phases { document, analyze, plan, and act { and a parallel check phase [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ].
The document phase is concerned with gathering and maintaining information
about the current state of the EA. The architects have to decide on the adequate
level of detail of the documentation and de ne the appropriate EA descriptions
to populate the model as part of the communication system of EA management.
For the latter case Niemann further proposes di erent kinds of visualizations
in [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ], which can be used to document parts of or provide an overview over
the EA. Although the approach elaborates on questions regarding what should
be documented, it does not detail on the question how this information should
be gathered and maintained. Based on the documentation an analysis of the
current state of the EA is performed in order to identify potentials for
improvement and optimization (reactive EA management). Niemann presents di erent
areas for analysis, e.g. dependencies, heterogeneity, complexity, or conformity
and provides methods as well as appropriate visualizations to perform the
analysis. During the plan phase integrated development plans leveraging identi ed
potentials for improvement and optimization are established. They represent
planned states of the EA that are further assessed regarding their impact on
e.g. business and IT goals, costs, and risks. The assessment should result in the
selection of the optimal development plan in respect to the criteria devised
before. This plan is realized in the act phase. Therefore, on the one hand reference
architectures and blueprints are developed and implemented. On the other hand
the required governance structures and processes are set up, e.g. the role and
responsibilities of the enterprise architect are re ned. In respect to the viable
systems perspective a focal point in the approach lies on the reactive system of
EA management. The EA management governance system is presented in the
check phase, in which the performance of the previously described phases is
measured and controlled. Thereby, key performance indicators (KPIs) are de ned to
analyze the overall performance of the EA management endeavor.
      </p>
      <p>
        Hafner and Winter present a consolidated process model for enterprise
application architecture management in [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ]. Although the paper restricts itself to
enterprise application management, the approach is discussed here, as the
presented process model is designed with the goal of e ective and e cient
businessIT-alignment, and therefore takes an EA perspective. The process model
contains the phases architecture planning, architecture development, architecture
communication, and architecture lobbying. The architecture planning phase is
concerned with the documentation of current states of the EA. Thus, also EA
principles are identi ed, derived, and updated, which guide the evolution of the
EA. The proactive and reactive aspects of EA management are re ected in the
architecture development phase, in which strategic and operational requirements
regarding the EA are continuously recorded, consolidated, and prioritized.
Subsequently, these requirements are incorporated in planned states of the EA. The
phases architecture communication and architecture lobbying explicitly refer to
the communication function of EA management. Nevertheless, aspects on how
to relate the EA management endeavor to existing enterprise-level management
processes are only brie y alluded to. More precisely, Winter and Hafner in [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ]
resort their approach to identifying target groups for training, information
delivery, etc. While the task of analyzing the EA is made explicit as part of the
consolidated process model, the assessment and improvement of the EA
management approach itself (EA management governance) is not discussed.
      </p>
      <p>
        Another prominent approach in the eld of EA management is the systemic
enterprise architecture methodology (SEAM) [
        <xref ref-type="bibr" rid="ref5">5</xref>
        ]. The methodology de nes the
role of EA management as to federate the e orts of the specialists [from the
enterprise-level processes] to ensure successful projects. This point-of-view
interprets EA management as the glue between the di erent processes, i.e. bringing
together information in this multi-disciplinary environment, thereby especially
emphasizing on the communication function. The federation of e orts is achieved
via enterprise models, which form means of analysis and communication of EA
relevant information. These models account for the multi-disciplinarity of the
environment, but go beyond speci c models for each discipline, e.g. process chains
or network topology models. They provide an integrated view on the enterprise.
In [
        <xref ref-type="bibr" rid="ref20">20</xref>
        ], Le and Wegmann 2005 highlight two additional aspects of EA
management: rstly, the reactive aspect, which deals with necessary business and
technology changes ex post; secondly, the proactive aspect, which anticipates
future changes of that kind and prepares the enterprise to them by increasing
agility and exibility. In contrast SEAM abstains from discussing questions of
how to establish and govern the EA management process.
      </p>
      <p>
        In addition to the aforementioned approaches, which claim to de ne their
own EA management function, various approaches exist that focus on selected
topics in the context of EA management. Lankhorst et al., for example, detail on
the topics of EA communication, documentation, and analysis in [
        <xref ref-type="bibr" rid="ref21">21</xref>
        ]. Therefore,
a specialized modeling language is introduced, which fosters the communication
between business and IT stakeholders, and can also be used for documenting
current, planned, and target states of the EA. As means for decision-support,
di erent kind of analysis techniques, including analtytical and simulation
techniques are discussed. Thus, the approach focuses on aspects of reactive and
proactive EA management in the sense of a viable system perspective, while the
aspect of the communication system is discussed as a side-e ect of the proposed
modeling. Similar considerations hold for the approach of multi-perspective
enterprise modelling (MEMO) presented by Frank [
        <xref ref-type="bibr" rid="ref2">2</xref>
        ]. The approach focuses on
the activity of EA modeling by providing special purpose languages for di
erent parts of the EA, e.g. the IT modelling language (ITML) [
        <xref ref-type="bibr" rid="ref22">22</xref>
        ] { for modeling
IT related aspects { or for di erent activities performed in the context of EA
management, e.g. the ScoreML [
        <xref ref-type="bibr" rid="ref23">23</xref>
        ] { contributing to the eld of analyzing EAs.
Although, the EA management function is not in the focus of the approach of
Frank, he contributes to the eld of reactive and proactive EA management in
the terms of our viable system perspective.
      </p>
    </sec>
    <sec id="sec-3">
      <title>4 A method framework for EA management</title>
      <p>
        Based on the above discussions of the EA management function and special
purpose approaches for dedicated EA management activities, we devise a method
framework for EA management. Central to our framework is the understanding
of the three di erent architectural states { current, planned, and target { that
can be found throughout the approaches discussed in Section 3. Table 1 revisits
the state-of-the-art in EA management with a focus on EA descriptions.
target state
planned state
current state
agement endeavor encompasses. This framework is not concern1-speci c, i.e., it is
a generic method that can be used in combination with typical EA management
concerns as e.g. discussed in [
        <xref ref-type="bibr" rid="ref25">25</xref>
        ]. As detailed below, the activity con gure and
adapt activity is concerned with determining the scope and reach of the EA
management function. Thus, the goals of the EA management endeavor are mapped
to corresponding concerns, which can be detailed utilizing concern-relationships
(cf. [
        <xref ref-type="bibr" rid="ref26">26</xref>
        ]). Subsequently, we introduce the activities of the method framework
brie y and provide additional details on the architectural descriptions that are
created and consumed by activities. The activity develop and describe is further
1 The term concern is used here in accordance with its de nition in the ISO Std.
42010, which de nes a concern as "those [areas of] areas of interest which pertain
to the system's development, its operation or any other aspect that are critical or
otherwise important to one or more stakeholders" [
        <xref ref-type="bibr" rid="ref24">24</xref>
        ].
subdivided to exemplify the development and description of current, planned,
and target states of the EA. Similar subdivisions could be introduced for the
other activities but are not detailed here for reasons of brevity.
      </p>
      <p>Develop &amp; describe target state { This activity is concerned with
creating a target state of the EA based on the business and IT strategies that the
enterprise seeks to implement. Di erent sub-activities are e.g. the creation of a
target business architecture and the design of a target application portfolio. In
the target business architecture the future product portfolio of the enterprise
is re ected and complemented by corresponding business processes. The target
application portfolio is designed towards the support for the intended business
architecture. In addition, a target infrastructure architecture is set up,
describing the basic services as well as the execution environment, which the business
applications can rely on. The target state further goes beyond simple
architectural descriptions on di erent EA levels. It establishes architecture principles
that guide the evolution from the current to the target state. Such principles
re ect speci c parts of the business or IT strategy that do not directly shape
the make-up of the future architectures. To exemplify this, one could think of
an outsourcing strategy that would be converted to an architectural principle
demanding that support for business processes of low criticality is not provided
in-house, if a suitable outsourcing provider is available.</p>
      <p>
        Develop &amp; describe current state { This activity is concerned with
creating a description of the current state of the EA, i.e., the as-is architecture.
Thereby, all levels of architectures ranging from business and organization level,
via the application and information level, to the infrastructure and data level
are considered. Further, information on projects, which a ect the EA, as well as
on business and IT strategies is documented. The same is true for information
on current architectural principles and standards. The develop &amp; describe
current state activity is thereby greatly in uenced by the EA concerns that drive
the EA management function. For implementing the activity, di erent ways can
be used, ranging from documentation endeavors on regular basis, to continuous
endeavors accompanying the EA relevant projects (cf. Moser et al. in [
        <xref ref-type="bibr" rid="ref27">27</xref>
        ]).
Irrespective the chosen way, the activity develop &amp; describe current state provides
and maintains an appropriate description of the current state of the EA.
      </p>
      <p>Develop &amp; describe planned state { With the target and the current
state at hand, the activity derives intermediary architectural plans that are
realized by projects. These projects are thereby, not solely derived from the two
architecture descriptions, but also based on the demands, from enterprise-wide
demand management. In this respect, a planned state is not expected to strictly
develop towards the target state, but can also pursue a di erent road of
development in response to an urgent business need. The intermediary states are in
this way tightly coupled to the planned projects that are necessary for their
implementation. More precisely, each planned project of EA relevance contributes
some changes to an intermediary state of the EA. By selecting sets of
architecturally compatible projects, i.e., projects whose changes do not interfere, di erent
scenarios for the intermediary states can be derived. The descriptions of these
scenario architectures, which also encompass references to the thereby addressed
demands, form the output of the activity develop &amp; describe planned state.</p>
      <p>Communicate &amp; enact { EA management is heavily concerned with
making plans as well as de ning architectural principles and propagating them to
the enterprise-level management functions. This propagation aims at in
uencing the decision making in the related functions. Therefore, communicating and
enacting architectural principles is always connected to contributing to the
decision making in the enterprise-level management functions. Enacting takes the
architecture plan and principles as input and e ects the decision making in the
other management functions. Again, as with the other activities, di erent ways
to implement the activity communicate &amp; enact exist. These range from the
fairly non-interfering way of informing the decision makers to the most powerful
method of having the right to stop projects, which are non-conformant to the
EA. This activity hence always takes the description of the planned EA and the
architectural principles as input, but can create multiple output artifacts that
are handed over to the enterprise-level management functions. These artifacts
thereby depend on the method of communication and enactment chosen.</p>
      <p>
        Analyze &amp; evaluate { At some points during the management of the EA,
di erent states of the EA, i.e. current, planned, and target state, or architectural
plans, i.e. di erent scenarios of the planned state, exist. The analyze &amp; evaluate
activity makes these architectures comparable in order to prepare a subsequent
decision on the state to pursue. Di erent properties of the architecture may
thereby be of interest, ranging from the compliance with architectural principles
to economic properties. Functional properties of the architecture, as e.g. the
provided business support, may also be important (cf. Niemann in [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ]). Most
commonly non-functional properties, e.g. the availability of certain business
services (cf. Johnson et al. in [
        <xref ref-type="bibr" rid="ref28">28</xref>
        ]) or the exibility of the overall architecture are
used for analyzing di erent states. In literature, a broad variety of approaches to
EA analysis have been proposed, di ering widely in respect to the employed level
of formalization, ranging from expert-based assessments (cf. Niemann in [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ]) to
indicator-based computations (cf. Frank et al. in [
        <xref ref-type="bibr" rid="ref23">23</xref>
        ] and Iacob and Jonkers
in [
        <xref ref-type="bibr" rid="ref29">29</xref>
        ]). The approaches also vary concerning their time reference: some
approaches are designed to analyze current architectures (cf. Niemann in [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ]),
while other approaches (cf. De Boer et al. in [
        <xref ref-type="bibr" rid="ref30">30</xref>
        ]) provide prediction capabilities
that can be used to analyze architectures not yet realized.
      </p>
      <p>Con gure &amp; adapt { Before starting an EA management endeavor the
goals and objectives of the initiative should be clearly de ned. Based on these
goals, decisions must be taken during the activity con gure &amp; adapt regarding
the management subject of the EA management function. Relevant
stakeholders must be identi ed and the concerns, which should be addressed, need to
be de ned. Further, decisions on the scope and reach on the EA management
function must be made, ranging from bottom-up approaches, in which only a
certain division of the enterprise is considered regarding a certain aspect like
standardization, to top down approaches, where the whole enterprise is
examined regarding multiple aspects like risk management, compliance, etc. After the
initial establishment of an EA management function, the con gure and adapt
activity is concerned with measuring the overall performance of the EA
management function. Adaptations can be necessary, e.g. if the enterprises mature
or the scope and reach of EA management change.</p>
      <p>The above described activities form an idealized framework. In reality, the
di erent activities of the EA management function are executed parallel and
with distinct frequency and duration. The method fragment does controversely
not add prescriptions on the frequency and ordering of the activities and steps
to be taken, but provides an abstract and general frame of the main constituents
of an EA management function.</p>
    </sec>
    <sec id="sec-4">
      <title>5 A case study from the nancial industry</title>
      <p>In order to validate the method framework for EA management, we conducted
a case study in the nancial industry. Subsequently, we give a short
characterization of the enterprise at hand and then discuss to which extent the method
framework can be used to classify the approach taken.</p>
      <p>The case study was conducted at an internationally operating bank from
Germany. The topic of EA management has a long history in this enterprise
since a merger in the year 1996. Prior to the merger both companies
independently conducted enterprise-wide data modeling endeavors. After the merger,
the enterprise-wide data models were maintained, although a change in the
focus as well as the reach took place. In certain parts of the enterprise the focus
shifted towards a strongly business process centric approach, while other parts
continued with data modeling. In the year 2002 the term EA management makes
its rst appearance, when a project was launched to increase the
business-ITalignment based on a holistic approach. In this holistic approach architectural
information from di erent parts of the enterprise was consolidated and used to
identify elds for action. In order to assess the advances made in this eld, a
similar project was launched in the year 2005, which re ned the utilized EA
management process. The take-over by an international banking company at
the end of 2005 changed the overall make-up of the company signi cantly. In
particular, the IT departments of the formerly independent enterprises, as well
as the IT assets developed, operated, and managed by them, were to undergo
extensive changes leading to an increased centralization of structures.</p>
      <p>The EA management function currently operated at the banking company
encompasses the evolution of the technical as well as the business architecture.
Thereby, the technical architecture is organized in the following layers: operative,
system, integration, and application layer. The business architecture covers the
business process and the business model layer. The goals of the e orts are among
others de ned as follows: The EA management function</p>
      <sec id="sec-4-1">
        <title>1. supports planning processes, 2. demonstrates bene t of architecture development, 3. identi es and aligns needs for action,</title>
      </sec>
      <sec id="sec-4-2">
        <title>4. develops future scenarios of the EA as well as migration plans, and</title>
        <p>5. ensures balance between short-term realization of business functions and
long-term improvement of the EA.</p>
        <p>These goals were selected as they can be used to illustrate the systemic
approach to EA management, which was taken by the banking company. Thereby,
the goals 1 to 5 directly map to the respective systems of the viable systems
approach as presented in Section 2, while no counterpart of the EA management
governance function or the activity con gure &amp; adapt is alluded to.</p>
        <p>The management function established at the banking company consists of
the following activities:
(1) Creation and adjustment of IT strategy: Based on the enterprise
business strategy, the IT strategy is developed, which includes information on
core competencies, products, business areas, etc, and is used to design a
target state of the EA. Furthermore, an IT security strategy is formulated.
(2) Development and update of architectural guidelines and standards:
Architecture principles are identi ed and guidelines as well as standards are
developed and updated on this basis. To decide on new guidelines or
standards, an architecture board was introduced.
(3) Identi cation of needs for action originating from business and IT:
Business and IT demands are collected and analyzed in respect to their
strategic or operative importance. The identi ed needs are further assessed
and prioritized according to the architectural principles identi ed as
architecture conformity, costs, risks, bene t, etc.
(4) Development and update of architecture artifacts: EA descriptions,
like viewpoints, artifacts, guidelines, and standards are developed from three
perspectives: the functional, technical, and security perspective. They are
updated on a yearly basis either prior to or after the creation of the
annual project plan. Therefore, de ned EA descriptions like e.g. the technical
building block maps are used.
(5) Check architecture conformity: The EA conformity in respect to the
architectural principles is ensured via quality gates for projects. Thereby,
the vertical escalation in the organizational structure depends on the scope
of the project.</p>
        <p>The EA management function as presented above was subject to various
changes in the past, where the performance of the function itself was assessed.
Such an assessment took place in the year 2005, where impediments, which
hampered the successful management of the EA, were identi ed. As a consequence of
this assessment, decisions on architectural guidelines (cf. Activity (2)) were not
longer taken in a central board, if the activities have only local impact. Thereby,
an overloading of the architecture board was prevented and the decision process
was sped up. Although this assessment is not part of the documented process of
EA management in the company, it refers to the EA management governance
discussed in Section 2.</p>
        <p>In summary, the EA management function established at the banking
company can be mapped to the activities of the method framework presented in
Section 4 as shown in Table 3.</p>
        <p>Develop &amp; describe
Communicate &amp; enact
Analyze &amp; evaluate
Con gure &amp; adapt</p>
      </sec>
    </sec>
    <sec id="sec-5">
      <title>6 Conclusion and outlook</title>
      <p>This paper aims at establishing a method framework for EA management.
Therefore, existing literature on EA management is analyzed from a viable system
perspective. The objective of this analysis is the identi cation of typical
management activities performed in this context. Furthermore, the architecture
descriptions exchanged between these activities were of interest to analyze the
relationships between the activities. As a result of the paper, it can be stated that
a method framework for EA management should contain the following activities:
develop &amp; describe di erent states of the EA, communicate &amp; enact architectural
principles and plans, analyze &amp; evaluate di erent states of the EA, and nally
con gure &amp; adapt the EA management function. The identi ed activities could
further be evaluated via observing a case study at a banking company, in which
the EA management function of the company was analyzed. Nevertheless, the
case study presented in this article only provides an ex post evaluation. In order
to further investigate the applicability and suitability of the proposed activities,
an ex ante setting, where the activities identi ed are used to establish an and
enterprise-speci c EA management function, is necessary. In addition, further
case studies need to be conducted to prove the applicability in di erent industry
sectors and for di erent company sizes.</p>
      <p>The case study discussed in this paper hints to the need for con gurability
of the EA management function. Via con gurable method building blocks for
the di erent activities of the method framework, an e ective EA management
function can be designed and established. Making the con guration points
explicit in the method framework, problems and exceptional situations during EA
management can be linked back to these points, where adaptations have to take
place as part of the activity con gure &amp; adapt.</p>
      <p>
        This paper presents a method framework for EA management on a very
abstract level. In order to foster the applicability of the approach in practice, more
detailed information on the execution of the single activities would be bene
ciary. Such best practice realizations could be documented as EA management
patterns (cf. [
        <xref ref-type="bibr" rid="ref25">25</xref>
        ]) for which the method framework would not only provide a
classi cation but also would supply information on how to interrelate and integrate
single patterns.
      </p>
    </sec>
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