THE ROLE OF PRINCIPLES IN THE DEPLOYMENT OF

ENTERPRISE INFORMATION ARCHITECTURE

Tiko Iyamu

Department of Informatics, Tshwane University of Technology, Pretoria, South Africa

Leshoto Mphahlele

Department of Informatics, Tshwane University of Technology, Pretoria, South Africa

Keywords: Enterprise Architecture, Enterprise Information Architecture, Principles, Deployment.

Abstract: Many organizations strive to develop strategy which could holistically unify impact of information across

the organization. Information is increasingly critical in the operations of organizations’ processes and

activities including its role in maintaining competitiveness. Management of, cost of delivery and

cohesiveness of information flow in the organizations is continuingly prevalence in Information Technology

(IT) challenges. Most IT managers find themselves with the challenge of integration, consolidation,

categorization, classification and management of information usage and sharing. Due to these widely shared

challenges, over the last decade and across the globe, organizations have attempted to seek various

solutions, which include Enterprise Information Architecture (EIA). This paper examines how EIA can best

be leveraged, exploited, or otherwise used to provide business value, through sets of principles. The

research brings about a fresh perspective and new methodological principles required in the deployment of

information architecture in an organization.

1 INTRODUCTION

Enterprise Information architecture (EIA) is one of

the domains of Enterprise Architecture (EA). Other

domains include Business, Technical, Infrastructure,

Application and Service Oriented architecture

(Armour et al, 2007). The domains are interrelated

and depend on each others, to an exponential degree.

This paper focuses on the domain of EIA, how

principles are used in the architecture. The EIA

enables the management of change on information

exchange, service and its strategic use in the

organization. According to Watson (2000),

Information architecture describes the structure of a

system; categorises artefacts of the organizational

systems; defines flow, value chain, usage and

management. EIA provides the framework for

planning and implementing rich, standards-based,

digital information infrastructure with well-

integrated services and activities (Burke, 2007). EIA

is intended to provide categorization, classification

and definition of information required to perform the

organization’s processes and activities, periodically.

This argument is supported by other studies, such as

Yan and Bitmead (2000). EIA is also intended to

manage and share information, and to ensure that the

business is supported by applications and data as

required by the organization (Rafidah et al 2007).

The categorization, classification and common

definition of business information needs and their

associated functions, facilitates system role

definition and the modeling of optimal information

flows. In addition, common terminology enables

consistent semantic of meaning across information

systems and the entire organization. This ultimately

helps an organization to meet business objectives by

providing employees, stakeholders, partners and

customers improved access to quality information.

These are carried out through the design,

development and implementation stages as defined

by the principles of EIA.

According to Iyamu (2009), ”principles are

defined as guiding statements of position which

communicate the fundamental elements, truths,

rules, or qualities that must be exhibited by the

299

Mphahlele L. and Iyamu T.

THE ROLE OF PRINCIPLES IN THE DEPLOYMENT OF ENTERPRISE INFORMATION ARCHITECTURE.

DOI: 10.5220/0003269302990307

In Proceedings of the Twelfth International Conference on Informatics and Semiotics in Organisations (ICISO 2010), page

ISBN: 978-989-8425-26-3

organization” For the focus of this paper, this

definition is adopted. The primary aim of the

principles is to enforce, enable the organization to

take an incremental and iterative approach to

transitioning to formal modeling. Dong and Agogino

(2001) opined that the principles influence

immediate and consistent decision in the

organization. The processes of design, development

and implementation of EIA is a challenge, hence the

formulation of principles. Formulation of principles

is guided by format. This is to ensure validity,

completeness, comparability, relevance and

consistency. Many formats and templates for

formulating principles do exist (Zachman, 1996)

In order to holistically and objectively develop

and implement EIA, principles could be applied as

Obligatory Passage Point (OPP) and evaluation

criteria discretely and comprehensively. OPP act as

compulsory set of rules and regulations within a

legal entity. Callon (1986) refers to an OPP as a

situation that has to occur in order for all the actors

to satisfy the interests that have been attributed to

them by the focal actor. The principles of EIA,

could as such, be defined as the OPP through the

implementation of individual performance contracts

in which agreed upon tasks are carried out.

The research adopted the qualitative case study

and interpretive approaches. Semi-structured

interview method was applied in the collection of

data. The data analysis and findings are presented in

sections 3 and 4, respectively.

2 RESEARCH APPROACH

Qualitative approach has been adopted in many

researches in information systems. This is primarily

because of its suitability from the social perspective.

Qualitative research was more suitable for this type

of study as it allowed for clarification from

respondents to the research questions. Clarifications

could instantly be sought, to enrich the data.

Qualitative approach, it has been argued, is a very

useful method in conducting complex researches

(Myers, 1997). This enable the researcher, through

close interaction with interviewees, developed a

deeper understanding of the EIA situation in the

organization.

Case study method was adopted because it

allows in-depth exploration of the complex issues

involved in this study (Yin, 2003). Data sources

included semi-structured interviews and

documentation. The number of interviewees was

based on saturation, a point of where no new

information was forth coming. The respondents were

selected from the various levels of the organizational

structure within the Business and IT departments.

This was a key factor in achieving a true reflection of

the design, development and implementation of EIA

in the organization.

The organization used in the case study is a

government institution. At the time of the study, the

organization had about 8,000 employees of which

600 were contract workers at both senior and junior

levels. The organization was selected on the basis

that it provided a good example of where

information is very critical and was treated as its

core business. The organization also provided some

evidences of information architecture design,

development and implementation. The interviewees

were selected from different units in both business

and IT departments. The selection was based on

individual years of service in the organization and

knowledge of the subject.

The researcher formulated interview questions

which were intended to obtain information from the

participants on how EA was designed, developed

and implemented and its impact on the organization.

This paper focuses on the principles, which enforces

the requirements, design, development and

implementation of EIA in the organization. In such a

context, an interpretive research approach was

appropriate in order to understand adaptation,

influences from the perspective of socio-technical

context within the organization.

3 DATA ANALYSIS

Interpretively, the unit-based approach was used for

the data analysis. This is primarily because it allows

for analysis of a unit-by-unit basis in a study. The

data collected from the case study was analyzed at

two, macro and micro interconnected levels. The

macro-level addresses issues of information

architecture importance to the organizations as well

as, of the relationship between technical and non-

technical actors in the design, development and

implementation of information architecture in the

organization. At the micro-level, the impact of

principles on the design, development and

implementation of information architectures in the

organizations was analyzed. The remainder of this

section discusses the analysis of the case study.

EIA provided a standard based design,

development and implementation methodology that

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helped IT to, as quickly as possible, response to the

rapid changes in the processes of the organization’s

business at the time. Through principles, EIA was

used to achieve the translation of functional

requirements to the selection of services, standards,

components, configurations, phasing, and the

acquisition of products. In the organization, this

approach was much more received and appreciated

than the project management and systems analysis

disciplines. The difference was that there were

specializations, unlike the project management

method, as deployed in the organization.

The EIA was used to provide an initial

classification and definition of the information

required to perform the goals and functions of the

organization. It was the beginning of a framework to

manage and share information, and to ensure that the

business was supported by applications that provided

the needed data. Classification and common

definition of business information needs and their

associated functions were guided by the EIA

principles. It facilitated system role definition, and

the modeling of optimal information flow. In

addition, EIA was adopted to provide common

terminology, which was intended to enable

consistent semantic meaning across information

systems and organizations by facilitating concept

reuse and mediation of local variations to a common

ground. This ultimately was to help the organization

to meet its objectives and provides stakeholders with

improved access to quality information.

The model as shown in Table 1 below was used

in creating principles, which extended beyond

organizational boundaries to external sources and

targets including other government institutions. This

was understood to enable rapid business decision-

making and information sharing within the

organization, with suppliers, partners and customers.

Table 1: Format for Creating Principles.

Name

A name that majority can relate to, and reflects the

intention and essence of the objective of the

organization. It is recommended to avoid

ambiguous wordings.

Statement

This is to communicate the fundamental rule as set

y the organization. The statement must be clear

and unambiguous.

Rationale

Primarily to highlight the potential benefits for the

organization in adhering to the principle.

Implications

Highlight the potential implications on the business

and IT for executing the principles. This includes

impact and consequences of adopting the principle.

The principles were intended to provide

guidelines and rationales for constant examination

and evaluation of information in the areas such as

design, accessibility, security, use and maintenance.

Some employees affirmed that the principles as

applied guided the development and implementation

of the information architecture in the organization.

The principles were generally derived from the

vision of the organization and an intensive

discussion with senior IT and Business

managements, and then validated in discussions and

documentations across the structures of the

organizations. The principles were viewed as a

starting point for subsequent decisions that affected

the EIA in the organization.

In the organization, EIA encouraged decision makers

to explore externalization, optimize information

value chains, plan application portfolios, increase the

velocity of information across the organization and

evolved the enterprise architecture.

The EIA was treated as a business-strategy-driven

set of artifacts which described and model the

information value network (information flows,

business events, linkages) of the organization. It was

sponsored and endorsed by senior management in IT

and business departments. It extended beyond the

organizational boundaries to external sources, and it

was targeted to enable rapid business decision-

making and information sharing. It also included

rationale and implications such as:

i. A catalogue of authentic sources of information.

Examples include public and private companies

databases;

ii. Classes of relevant business information and

their value to the government and the

organization in particular;

iii. Information governance processes that

supported policy development and information

management principles and practices, which

were intended to address: security access,

privacy, confidentiality, information quality,

integrity, authenticity, business resumption

planning, and ownership; and

iv. Information management deliverables that

address roles, responsibilities and

organizational structure for managing

information content and delivery.

The design, development and implementation of

EIA strived to establish the value and importance of

using information effectively across the various units

of the organization, as well as the need to achieve

collaborative excellence with external partners and

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customers (citizenry). The organization attempted to

use the EIA approach to gain consensus between the

senior and middle management levels in the

organization, within the rationale and implications of

the associated principles:

i. What was strategic versus non-strategic

information, especially in terms of security;

ii. The use and definition of common terms;

iii. Who had the information, in what form and

capacity, who owns and manages it, how it

should be leveraged;

iv. Who will be responsible for the cost of

developing IT systems that will create and

deliver information to the clients;

v. What metrics will be used to measure

information sharing to a success?

EIA was required to encourage decision makers

both in the Business and IT to explore

externalization, optimization of information value

chains, planning of application portfolios,

incremental of the velocity of information across the

organization in an iteration process. Hence the

development of EIA conveys a logical sequence

which was based on relationships and dependencies

of the elements within the scope, rather than a linear

sequence of events. The rationale for the logical

sequence in developing EIA was as follows:

i. As the model was essentially business-driven,

the EBA had to first model the impact of

business visioning on the operations of the

business.

ii. Because the EIA focuses on how information

could best be leveraged, exploited, or otherwise

used to provide business value, it was

dependent on a certain amount of EBA

modeling to determine how and where the

business could derive its value.

iii. The approach to ETA depended on the business

strategies and business information

requirements, so this dependency placed it

logically after EBA and EIA.

The focus of the study was EIA. However,

without some analysis on other related domains,

there would have been some disconnect in terms of

the analysis as well as the findings, leading to the

results of the study. In the organization, a four

domain approach was adopted. The function of EBA

led to the development and implementation of EIA.

The ETA and the other architecture disciplines -

EBA, EIA, and EAA were also inter-dependent as

they each evolved, and new opportunities and

requirements were identified.

In the organization, the EIA was design to

depend on EBA. As such, it was difficult to embark

on the development of EIA without first establishing

EBA. The EBA defined the real-time information

that passed between the key processes and the

integration requirements. This was enabled by the

underlying application and technical architectures

across the units of the organization.

The EBA was used to express the organization’s

key business strategies and tactics, and their impact

and interaction with business functions, processes

and activities. Typically, it consisted of the current-

and future-state models of the functions, processes,

and information value chains of the organization.

The EBA led to the development of EIA, ETA and

EAA. It defined the business design for sustainability

and objectivity – those were the principles for its

design. Hence, the EBA was intended to establish

the foundations and details in the development of

EIA.

The development of EIA began with the

establishment of the overall information ecology in

the organization. Primarily, it was intended to

address the value proposition of the information of

and about the processes and activities of the

organization. Application portfolio decision making

was guided by the principles of the EBA and EIA.

This was used to identify needed functionality and

opportunities for reuse and by ETA architectural

principles. The principles impacted the selection,

design and implementation of software packages,

application components, and business objects.

EIA was intended to address the policy,

governance, and information products necessary for

information sharing across the organization,

including external partners and clients; information

management deliverables that addresses information

management roles and responsibilities; information

quality and integrity; data definition standards; data

stewardship and ownership; and information security

and access. The above objectives were within the

scope of formulated principles. The principles were

based on the vision of the organization including the

strategies of each of the units in the organization.

Not all types of principles were necessarily

identified in earlier paths through to the model. The

bases for many principles were best practice -

approaches that have consistently been demonstrated

by diverse organizations to achieve similar results.

Therefore, the degree to which the organization

could establish principles in EIA was dependent on

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its process and capability to identify and apply best

practice in each area.

4 RESULTS

The focus is on how EIA was designed, developed

and implemented through set of principles. The

principles of EIA provided guidance to the

designers, developers and implementers of the EIA.

The principles for each of the components of EIA

were derived from the organization’s vision and

requirements. For each principle, there were

rationale, which were documented along with other

elements such as the statements of intent;

repercussion for the intent; and allocation task.

4.1 Design Principles

EIA provided fundamental principles that assisted

the organization in achieving successful information.

The factors included shared vision, change,

evolutionary planning, classification and

declassification, citizen empowerment,

collaboration, problem coping, analysis, and

restructuring organizational norms. The factors

supported the implementation of processes and

functions. To achieve the primary objectives,

principles which included interactive and interwoven

were sought. It began with design principles.

The design principles guided the boundaries,

limitations including the rationale and implication of

EIA in the organization. It was based on both the

short and long terms strategic intentions of the

organization. Table 2 depicts the guiding phenomena

within which the design principles were formulated.

Table 2: Design Principles

Statement Rationale Implication Ownership

Indicate its

identity,

which it

could be

associate

Justification,

expression of

the value to

the

organization

For each

principle, there

must be

adopted

standard.

Each principle

is allocation to

individual or

unit for

execution and

monitoring

purposes.

Until the design is developed and implemented,

it remain theoretical which adds no actual value to

the organization. The development is discussed nest.

4.2 Development Principles

The objectives of EIA in the organization included

the reduction of integration complexity, control of

duplication and replication, validation and correction

at source, standards for information accessing and

data isolation. Based on these objectives, the EIA

was designed to address them in five categories as

depicted in Figure 1 below.

EnterpriseInformationArchitecture

Requirements

InformationManagement&Control

InformationSource

InformationClasse s

InformationValueNetwork

Figure 1: EIA Design Components.

4.2.1 Requirements

The principles to develop and implement EIA were

derived from the requirements and vision of the

organization. The principles were formulated to

legalize the scope and boundaries of each of the

technical and non-technical artifacts. In addition, the

intended deliverables were also formulated to

address roles, responsibilities and organizational

structure for managing information content,

including storage dissemination and delivery.

4.2.2 Information Management and

Controls

The management and control of information required

principles to ensure boundary and consistency across

the organization. Management and control were

statement of governance, monitoring, effectiveness

and efficiency of information use, storage and

ownership in the organization. The principles were

intended to address security access, privacy,

confidentiality, quality, integrity, authenticity,

archival cycles, business resumption planning, and

ownership of information in the organization.

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4.2.3 Information Sources

Within set principles, a catalogue of authentic

information sources, such as the organizations’ and

commercial databases, research companies, news

media and government gazettes were used to

establish the origins of authentic information on,

about and for the organization. It also formed the

basis of input for the next step, which obtained

classes of relevant information and established their

value to the organization.

4.2.4 Information Classes

There was need for classification of information in

the organization, primarily because it was the

organization’s core business. The intention was to

improve on information accessibility and

manageability. This helped to understand the value

of each category. Based on the requirements,

information was classified according to the following

criteria:

i. Functions (operational, management, strategic);

ii. Business Operations - concerned with the

operational (transactional) processing within

the Administration;

iii. Business Management - concerned with

measurement and management of the

Administration; and

iv. Business Strategic - planning for the future and

identifying competitive opportunities.

4.2.5 Information Value Network

The information value network was one of the focal

components of the principles of EIA in the

organization. An objective of the EIA was to define

the sources of high-velocity information and ensure

its availability and usage by the key business

processes, enabled by the underlying EAA and ETA.

High-velocity information was shared within the

information value network of customers, suppliers,

and partners in near real-time, at both the transaction

and decision support levels. This was to maximize

operational effectiveness, efficiency, service delivery

and high performance and competitive advantage if

we may.

The value of information could be determined

by different means, typically, the competitive

advantage gained by the use of the information

product. There were essentially three dimensions of

information value (velocity, density and reach) and

moving along one or more of these dimensions could

have increased the value of information in the

organization.

Methods and tools such as “information value

network analysis” were used to diagnose problems or

uncovered opportunities to leverage information

technology to create high value, low cost linkages

with external parties and across the lines of business

(LOB). The information value network describes the

linkages in the network and the value of information

across the business value chain. Since information

was an artifact of business processes, it surrounded

and supported the physical value chain.

Principles were formulated to address the

components of the EIA. Table 2 is an example of a

template, which was used to record the design

principles. This template could be populated and

used to support strategic analyses over time. The

implementation of the entire design are summarized

into four areas and enforced through a set of

principles accordingly.

4.3 Implementation Principles

The final phase of the EIA as a project was the gap

analysis. This was conducted across all the

categorized areas to determine corrective action,

development of prioritized migration plans and

finally drawn up implementation plan. Carrying out

the projects in the implementation plans transitioned

the organization from the current state to future state

as was defined during the project.

The primary and key components were

implemented with the principles of EIA. This is

depicted in Figure 2; they are briefly described

immediately after the figure.

Information

Quality

Information

Protection

Principles

Information

Modeling

Information

Management

Figure 2: EIA Implementation Principles.

i. Information protection

Information shared across the organization was

regarded as corporate information and therefore was

principled to be managed accordingly. As revealed

in the study, information accessibility and protection

were of high priority in the organization. As such,

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principles were formulated to address ownership,

security and accessibility classification, privacy,

archival and recovery. This was to guarantee, to

exponential degree, continuity in the businesses of

the organization.

ii. Information Quality

The level of the quality of information was

based on business requirements. The quality of

information was also principled to be governed in

accordance to the requirements and vision of the

organization. The principles concentrated on the

metadata, integrity, authenticity, classification and

criticality of the organization’s information.

iii. Information Modeling

The principle stated as follow: an information

model represents information in an understandable

simplified format. Information was intended to be

modeled according to the principles of EIA, and the

application development guidelines of the

organization.

iv. Information Management

The information management principles defined

the roles, responsibilities and organizational

structure required to implement the architecture of

information in the organization. It also defined, inter

alia, the role that users play in being custodians of

information; the role of the IT department, and the

roles of the Information Architect in ensuring that

this principle was understood, adhered to, and was

effectively applied. There was an emphasis on the

information architects being the domain owner.

4.3.1 Migration Planning Principles

Positioning strategy and movement from one

architectural phase to another was acknowledged as

a very complex issue. It was much more complex

than simply bringing in a new vendor or independent

consultant to provide theoretical underpinning and

advisory guidance.

Certainly, one of the key decision processes

involved with architectural planning was the need to

have a future target. Shorter-term goals could then be

defined as stepping-stones to the strategic goal. Of

course the problem here, again, was that historically,

information technologists have not been all that

accurate in predicting product directions and timing.

As such, the migration principles were formulated

based on the context of the organization. During the

implementation, gaps were identified and they were

analyzed for possible opportunities and solutions.

4.4 Measurement and Validation

The principles of measurement and validation were

an integral component of the overall EIA in the

organization. They were a set of obligation for the

management, administration, practices of

information storage and usage in the organization.

The measures included conformance checklist,

the iterative process and domain architect who

oversee the processes and activities within the scope

of the EIA. There were four main components,

namely Enterprise Planning, Business Analysis,

Systems Analysis and Systems Design, which

constituted the Information architecture conformance

checklist in the organizations. These components

were defined set of principles, within the

organizational meaning and value.

4.4.1 Gap Analysis

The gap analysis assessed the current state of the

EIA against the desired state as reflected by the

drivers. This assessment was an iterative and

ongoing process and was reflected by a conformance

checklist and an accompanying action plan as

depicted in Table 3. These assessments were to be

stored and managed within the agreed principles.

Table 3 provides example of the gap analysis.

Table 3: Gap Analysis

Requirement

(Future State)

Action

Plan

Deliverables Roles &

Responsibility

Eradicate

uncontrolled

data duplication

and redundancy

Project

to be

initiated

Project Scope

Migration

plan.

Project

Manager

Information

Architect

Naturally, there were a large number of

constraints that had to be overcome to achieve full

implementation of EIA. As revealed in the study,

some of them include:

i. The inherited technological environment that

existed at the initiation of the process;

ii. New technologies constantly emerging that

must be accommodated; and

iii. The fact that any information systems

architecture as always in transition is ever

changing and evolving.

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5 FINDINGS

From the results of the analysis, five factors were

found to be critical in the deployment of the EIA

approach. The factors are discussed as follows:

5.1 The Criticality of Principles

Within the domains of EA, fundamental principles

were provided to assist in achieving change. This

includes developing a shared vision, evolutionary

planning, and provision for innovations,

empowerment and regular training of employees,

analysis, and restructuring organizational norms to

support implementation and ongoing learning and

processes of EA. These principles must be

interactive and are interwoven throughout the

process of EA.

5.2 Iterative Process

Within the scope of EIA, principles were articulated

to address the information aims and objectives of the

organization in an iterative process. Some of the

primary objectives included encouraging decision

makers to: Explore external trading and partnerships;

Optimization of information value chains; Plan

application architectures and systems portfolio; and

Increase information velocity across the

organization.

Through the iterative-ness, EIA was intended to

identify the information flows for optimization

(increased velocity, density, and reach) as well as the

information entities. This was to define and

consistently use information across the value chain.

The intention was to increase the value of

information across the organization and the external

transactions.

Thus, the EIA defined the sources of information

and ensured the availability and usage of this

information by the key business processes, and

enabled the underlying application and technical

architectures. Similar to the EBA domain, it was

expected to provide guidance for business operations

impacted by particular business strategies. The EIA

was also expected to provide guidance concerning

the organization information assets to knowledge

workers, information processors, IT application

developers, infrastructure managers, and executives.

5.3 Information Architect

Within the boundaries of set principles, information

architects’ focus was on construction of information

models to meet business requirements and

engineering “out” gaps where business-critical high-

velocity information was not reaching customers,

suppliers, and partners. The EIA models provided

guidance concerning the organization information

assets to knowledge workers, information

processors, IT application developers, infrastructure

managers, and the executives. However, there was a

serious concern in terms of the availability of skilled

information architects.

5.4 Ownership

Data, storage, process, infrastructure and

collaboration, were the principles of information

architecture, which were allocated to individuals and

units in the IT department. Through the

irreversibility nature of the OPP, the formulated

principles were enforced. Primarily, it gave power to

those the design, development and implementation

tasks were allocated. The OPP made each principle

in all units irreversible by individuals or groups,

irrespective of their positions in the organization.

5.5 Stock of Knowledge

The stock of knowledge was not necessarily valuable

as it was difficult to translate it value to usefulness in

some cases and units in the organization. The role of

EIA was often misunderstood. It was difficult to

differentiate between business analyst and

information architect. As a result, allocation of task,

roles and responsibilities became a challenge to

manage.

6 CONCLUSIONS

Enterprise Information Architecture (EIA) offers

tangible benefits to the enterprise and those

responsible for evolving the enterprise through its

principles. The primary purpose of principles is to

inform, guide, and constrain decisions for the

enterprise, especially those related to information

flow. The true challenge of enterprise engineering is

to maintain the information as a primary

authoritative resource for enterprise IT planning.

This goal is met via enforced EIA principles, which

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add value and utility of the information to the

Enterprise Architecture.

The benefits as emphasized above are of

paramount importance to business and IT managers

in the organizations as well as academic domain. The

study, through its empirical evidence, contributes to

the body of knowledge. In addition, the findings are

opportunity to researchers for further research work.

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