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Architectural Alignment Pascal van Eck University of Twente Information Systems Group p. vaneck@utwente. nl Architectural Alignment Pascal van Eck University of Twente Information Systems Group p. [email protected] nl SIKS course “Architectures for IKS“ Vught, September 28, 2006

Mission statement To put architecture in its organizational context, focusing on business and IT Mission statement To put architecture in its organizational context, focusing on business and IT strategy © Pascal van Eck, University of Twente, 2006 2/60

Outline 1/2 What is alignment? Strategic Alignment Model (Henderson & Venkatraman, 1993) Extension: Unified Outline 1/2 What is alignment? Strategic Alignment Model (Henderson & Venkatraman, 1993) Extension: Unified Architecture Framework (Maes et al. , 2000) Quantitative approach (e. g. , Tallon, Chan, ’ 97 -’ 03) GRAAL framework (Univ. Twente, 2004) Validation case study (Avison et al. , 2004) © Pascal van Eck, University of Twente, 2006 3/60

Outline 2/2 What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Architecture Outline 2/2 What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Architecture Framework (Maes et al. ) Validation case study (Avison et al. ) Quantitative approach (e. g. , Tallon, Chan) GRAAL framework (Univ. Twente) © Pascal van Eck, University of Twente, 2006 4/60

Architecture and Alignment What is alignment? Definitions Strategic Alignment Model (Henderson & Venkatraman) Extension: Architecture and Alignment What is alignment? Definitions Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Architecture Framework (Maes et al. ) Validation case study (Avison et al. ) Quantitative approach (e. g. , Tallon, Chan) GRAAL framework (Univ. Twente)

You’ve seen this one before Architecture is about fundamental structural choices and their motivation You’ve seen this one before Architecture is about fundamental structural choices and their motivation Taken from: Stijn Hoppenbrouwer’s presentation, delivered yesterday. © Pascal van Eck, University of Twente, 2006 6/60

Architecture and granularity Software architecture Intel Microcode architecture © Pascal van Eck, University of Architecture and granularity Software architecture Intel Microcode architecture © Pascal van Eck, University of Twente, 2006 Enterprise architecture 7/60

Architecture alignment • Architecture alignment: • Allocation of IT budgets such that business functions Architecture alignment • Architecture alignment: • Allocation of IT budgets such that business functions are supported in an optimal way (outcome) • “the continuous process, …, of consciously and coherently interrelating all components of the business – IT relationship in order to contribute to the organisation’s performance over time” (process) (From Maes et al. , 2000) © Pascal van Eck, University of Twente, 2006 8/60

Strategy, tactics and operations • Strategy: external position of the organization • Examples: Product/market Strategy, tactics and operations • Strategy: external position of the organization • Examples: Product/market combinations, make-or-buy decisions, human resource acquisition • Impact of decisions: years Tactical level: realizing the strategy by internal means • Impact of decisions: month(s) – 1 year • Example: organization structure • Operational level: day-to-day decisions • Impact of decisions: day(s) – month(s) • Example: hire temps in case of sudden increase in sales © Pascal van Eck, University of Twente, 2006 9/60

The Strategic Alignment Model What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: The Strategic Alignment Model What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Architecture Framework (Maes et al. ) Validation case study (Avison et al. ) Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging information technology for transforming organisations. IBM Systems Journal, 32(1): 472 -484. http: //researchweb. watson. ibm. com/journal/sj/382/henderson. pdf Quantitative approach (e. g. , Tallon, Chan) GRAAL framework (Univ. Twente)

Pre-1993 view on business/IT integration Adapted from: Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging Pre-1993 view on business/IT integration Adapted from: Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging information technology for transforming organisations. IBM Systems Journal, 32(1): 472 -484. © Pascal van Eck, University of Twente, 2006 11/60

Henderson & Venkatraman’s take home message #1 • Similar to business strategy, IT strategy Henderson & Venkatraman’s take home message #1 • Similar to business strategy, IT strategy has to consider both internal as well as external aspects © Pascal van Eck, University of Twente, 2006 12/60

The Strategic Alignment Model (SAM) Taken from: Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging The Strategic Alignment Model (SAM) Taken from: Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging information technology for transforming organisations. IBM Systems Journal, 32(1): 472 -484. © Pascal van Eck, University of Twente, 2006 13/60

Henderson & Venkatraman’s take home message #2 • Both internal/external alignment as well as Henderson & Venkatraman’s take home message #2 • Both internal/external alignment as well as functional integration must be taken into account. Only one of them is not sufficient © Pascal van Eck, University of Twente, 2006 14/60

Four alignment perspectives Taken from: Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging information technology Four alignment perspectives Taken from: Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging information technology for transforming organisations. IBM Systems Journal, 32(1): 472 -484. © Pascal van Eck, University of Twente, 2006 15/60

The Unified Architecture Framework [HV 93] + [Maes 99] = GAF What is alignment? The Unified Architecture Framework [HV 93] + [Maes 99] = GAF What is alignment? Strategic Alignment Model (Henderson & Venkatraman) GAF + IAF = UAF Extension: Unified Architecture Framework (Maes et al. ) Validation case study (Avison et al. ) Maes, R. , Rijsenbrij, D. , Truijens, O. and Goedvolk, H. (2000). Redefining business–IT alignment through a unified framework. Prima. Vera Working Paper 2000 -19, Univ. of Amsterdam. http: //imwww. fee. uva. nl/~maestro/PDF/2000 -19. pdf Quantitative approach (e. g. , Tallon, Chan) GRAAL framework (Univ. Twente)

Maes’ (1999) extension: the Generic framework • More detail in the two H&V-dimensions • Maes’ (1999) extension: the Generic framework • More detail in the two H&V-dimensions • Extra row: internal -> structure + operations • “Designing and managing this organisational structure is above all an architectural issue: the combined contribution of business, information and technology architects is key to the long term health of present-day organisations, …” • Extra column: IT -> information & communication + Technology • “It is appropriate to state that the use and the internal and external sharing of information and not its provision are of strategic nature. ” © Pascal van Eck, University of Twente, 2006 17/60

Maes’s (1999) Generic framework © Pascal van Eck, University of Twente, 2006 18/60 Maes’s (1999) Generic framework © Pascal van Eck, University of Twente, 2006 18/60

Maes’ et al. ’s (2000) extensions: the Unified Framework • Cap. Gemini’s Integrated Architecture Maes’ et al. ’s (2000) extensions: the Unified Framework • Cap. Gemini’s Integrated Architecture Framework (IAF) adds: • Extra column: Technology -> Information Systems + Technology infrastructure • Third dimension: five design phases • Contextual (why? ): mission & strategy • Conceptual (what? ): describes four architecture areas • Logical (how? ): operations & structures • Physical (with what? ): resources • Transformational: roll-out • Fourth dimension: specific viewpoints (e. g. , security, governance) © Pascal van Eck, University of Twente, 2006 19/60

The Unified Architecture Framework Where is the ? 4 th dimension Taken from: Maes, The Unified Architecture Framework Where is the ? 4 th dimension Taken from: Maes, R. , Rijsenbrij, D. , Truijens, O. , Goedvolk, H. (2000). Redefining business–IT alignment through a unified framework. Prima. Vera Working Paper 2000 -19, Univ. of Amsterdam. © Pascal van Eck, University of Twente, 2006 20/60

Cap. Gemini’s IAF = UAF – (strategy/structure/operations) Taken from: http: //msdn. microsoft. com/library/en-us/dnmaj/html/aj 1 Cap. Gemini’s IAF = UAF – (strategy/structure/operations) Taken from: http: //msdn. microsoft. com/library/en-us/dnmaj/html/aj 1 entarch. asp See also: http: //www. capgemini. com/services/soa/ent_architecture/iaf/ © Pascal van Eck, University of Twente, 2006 21/60

Validation case study What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Validation case study What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Architecture Framework (Maes et al. ) Validation case study (Avison et al. ) Quantitative approach (e. g. , Tallon, Chan) Avison, D. , Jones, J. , Powell, P. , Wilson, D. (2004). Using and validating the strategic alignment model. J. Strat. Inf. Sys. 13: 223 -246. http: //dx. doi. org/10. 1016/j. jsis. 2004. 08. 002 GRAAL framework (Univ. Twente)

Validation • Case study source: financial custody services firm • Worldwide: 18. 000 employees Validation • Case study source: financial custody services firm • Worldwide: 18. 000 employees • Australia: 400 employees • Studied 55 IT projects carried out in 2000 © Pascal van Eck, University of Twente, 2006 23/60

© Pascal van Eck, University of Twente, 2006 24/60 © Pascal van Eck, University of Twente, 2006 24/60

Observed alignment • Project category: • OE: operating efficiency • CD: client demand • Observed alignment • Project category: • OE: operating efficiency • CD: client demand • IU: infrastructure upgrade • R: regulatory • Area impacted: • CA: competitive advantage • H: health (ongoing maintenance) • R: repositioning Taken from: Avison, D. , Jones, J. , Powell, P. , Wilson, D. (2004). Using and validating the strategic alignment model. J. Strat. Inf. Sys. 13: 223 -246. © Pascal van Eck, University of Twente, 2006 25/60

Main results • Project category: • OE: operating efficiency • CD: client demand • Main results • Project category: • OE: operating efficiency • CD: client demand • IU: infrastructure upgrade • R: regulatory • Area impacted: • CA: competitive advantage • H: health (ongoing maintenance) • R: repositioning Taken from: Avison, D. , Jones, J. , Powell, P. , Wilson, D. (2004). Using and validating the strategic alignment model. J. Strat. Inf. Sys. 13: 223 -246. © Pascal van Eck, University of Twente, 2006 26/60

How to measure strategic alignment? The ‘American business What is alignment? Strategic Alignment Model How to measure strategic alignment? The ‘American business What is alignment? Strategic Alignment Model (Henderson & Venkatraman) schools’ approach Extension: Unified Architecture Framework (Maes et al. ) Validation case study (Avison et al. ) Quantitative approach (e. g. , Tallon, Chan) Tallon, P. , Kraemer, K. (2003). Investigating the Relationship between Strategic Alignment and Business Value. Idea Publications, Hershy, PA, pp. 1 -22. GRAAL framework (Univ. Twente)

Introduction Is ‘more’ alignment always ‘better’? Relation alignment & value Tallon & Kraemer, ‘ Introduction Is ‘more’ alignment always ‘better’? Relation alignment & value Tallon & Kraemer, ‘ 03 (book chapter) Chan et al, 1997 (article in ISR) Venkatraman, 1989 a (article in Ac. Mngt. Review) 6 models of linkage © Pascal van Eck, University of Twente, 2006 STROEPIS instrument Venkatraman, 1989 b (article in Mngt. Sc. ) STROBE instrument 28/60

Tallon & Kraemer © Pascal van Eck, University of Twente, 2006 29/60 Tallon & Kraemer © Pascal van Eck, University of Twente, 2006 29/60

Strategic alignment • Essence of the papers in my words: Strategic alignment is the Strategic alignment • Essence of the papers in my words: Strategic alignment is the extend to which the IT infrastructure of an organization supports its strategic orientation © Pascal van Eck, University of Twente, 2006 30/60

Strategic orientation • What is it? • An attempt to operationalize the notion of Strategic orientation • What is it? • An attempt to operationalize the notion of strategy • How to measure it? • For instance using Venkatraman’s STROBE instrument • Reference: • Venkatraman, N. (1989 b). Strategic orientation of business enterprises: The construct, dimensionality, and measurement. Management Science, 35(8): 942 -962. © Pascal van Eck, University of Twente, 2006 31/60

Strategy: 6 (or 8) dimensions • Strategy is a multi-dimensional construct Taken from: Chan, Strategy: 6 (or 8) dimensions • Strategy is a multi-dimensional construct Taken from: Chan, Y. E. , Huff, S. L. , Barclay, D. W. , Copeland, D. G. (1997). Business Strategic Orientation, Information Systems Strategic Orientation, and Strategic Alignment. Information Systems Research, 8(2): 125 -150. © Pascal van Eck, University of Twente, 2006 32/60

Example item Taken from: Chan, Y. E. , Huff, S. L. , Barclay, D. Example item Taken from: Chan, Y. E. , Huff, S. L. , Barclay, D. W. , Copeland, D. G. (1997). Business Strategic Orientation, Information Systems Strategic Orientation, and Strategic Alignment. Information Systems Research, 8(2): 125 -150. © Pascal van Eck, University of Twente, 2006 33/60

Dimensions of strategy 1/2 © Pascal van Eck, University of Twente, 2006 34/60 Dimensions of strategy 1/2 © Pascal van Eck, University of Twente, 2006 34/60

Dimensions of strategy 2/2 © Pascal van Eck, University of Twente, 2006 35/60 Dimensions of strategy 2/2 © Pascal van Eck, University of Twente, 2006 35/60

Mind you … • … this really at the strategic level • Strategy: seeking Mind you … • … this really at the strategic level • Strategy: seeking the reasons why the organization still exists 3 years from now • External orientation: adapting to the environment, choosing how to differ from the competition • Tactical level: e. g. capacity planning for next month © Pascal van Eck, University of Twente, 2006 36/60

IS support for strategic orientation • Chan et al. (1997): STROEPIS instrument © Pascal IS support for strategic orientation • Chan et al. (1997): STROEPIS instrument © Pascal van Eck, University of Twente, 2006 37/60

Linkage / strategic alignment • How to link STROBE and STROEPIS? • Venkatraman (1989 Linkage / strategic alignment • How to link STROBE and STROEPIS? • Venkatraman (1989 a) gives 6 options for this © Pascal van Eck, University of Twente, 2006 38/60

Venkatraman’s linkage Venkatraman, N. (1989 a). The concept of fit in strategy research: Towards Venkatraman’s linkage Venkatraman, N. (1989 a). The concept of fit in strategy research: Towards verbal and statistical correspondence. Academy of Management Review, 14(3): 423 -444. © Pascal van Eck, University of Twente, 2006 39/60

Linkage as moderation • Z=f(X, Y, XY), with • X: STROBE score • Y: Linkage as moderation • Z=f(X, Y, XY), with • X: STROBE score • Y: STROEPIS score • Z: dependent variable (e. g. , shareholder value) • Data in Chan et al. (1997): • This model has best fit © Pascal van Eck, University of Twente, 2006 40/60

Conclusion • Tallon & Kraemer’s book chapter • Similar approach, not enough detail • Conclusion • Tallon & Kraemer’s book chapter • Similar approach, not enough detail • This community focuses on the strategic level exclusively • How about tactical and operational alignment? • You can only ask so much in a questionnaire © Pascal van Eck, University of Twente, 2006 41/60

The GRAAL framework What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified The GRAAL framework What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Architecture Framework (Maes et al. ) Validation case study (Avison et al. ) Eck, P. van, Blanken, H. and Wieringa, R. (2004). Project GRAAL: Towards Operational Architecture Alignment. Int. J. of Cooperative Information Systems, 13(3): 235 -255. http: //is. cs. utwente. nl/GRAAL/eck_blanken_wieringa_ijcis 04. pdf Quantitative approach (e. g. , Tallon, Chan) GRAAL framework (Univ. Twente)

Project GRAAL • Guidelines Regarding Architecture ALignment • Goal: discovery of patterns in enterprise-level Project GRAAL • Guidelines Regarding Architecture ALignment • Goal: discovery of patterns in enterprise-level application architecture • Based on case studies in Dutch financial service organizations and large government organizations Project page: http: //graal. ewi. utwente. nl © Pascal van Eck, University of Twente, 2006 43/60

What is a system? • A system is an assembly of components that behaves What is a system? • A system is an assembly of components that behaves as a whole • There is synergy between components … • … and this synergy results in emergent properties • A product is a system with properties that are useful for someone • Examples • The system of law • The Dutch national soccer team uses a 3 -3 -4 system • ‘A systematic way of working’ © Pascal van Eck, University of Twente, 2006 44/60

System dimensions • System aspects: externally observable properties • Aggregation hierarchy: system composition in System dimensions • System aspects: externally observable properties • Aggregation hierarchy: system composition in terms of components • System life cycle: from conception to disposal © Pascal van Eck, University of Twente, 2006 45/60

System life cycle Conception Acquisition (build or buy) Usage Disposal Time Maintenance (Corrective and System life cycle Conception Acquisition (build or buy) Usage Disposal Time Maintenance (Corrective and perfective) • Typical stages in the life of a system • During design, we should deal with all stages © Pascal van Eck, University of Twente, 2006 46/60

Software product aspects SW product aspect The only aspect peculiar for symbol-manipulating systems Services Software product aspects SW product aspect The only aspect peculiar for symbol-manipulating systems Services Behavior Communication Meaning Quality For user For developer Usability Efficiency Security. . Maintainability Portability. . . • Aspects are what observers can observe • Service = interaction • Behavior: in what sequence (time) • Communication: with whom (space) • Meaning: about what © Pascal van Eck, University of Twente, 2006 47/60

Aggregation Behavior Composite Communication Meaning system Quality External entity Behavior Communication Meaning Quality . Aggregation Behavior Composite Communication Meaning system Quality External entity Behavior Communication Meaning Quality . . . System Behavior Communication Meaning Quality Behavior Communication Component Meaning Quality External entity . . . Aspect and aggregation are independent © Pascal van Eck, University of Twente, 2006 48/60

The meaning of aggregation • C is a component of A if • C The meaning of aggregation • C is a component of A if • C provides service to A • A encapsulates C • If we drop encapsulation, we get layering C A 1 B C A 2 A 1 A 2 B C © Pascal van Eck, University of Twente, 2006 49/60

Architecture layers Primary service provision • Layer structure crosses worlds • This is not Architecture layers Primary service provision • Layer structure crosses worlds • This is not possible with encapsulation Business environment Business software SW Infrastructure Physical infrastructure © Pascal van Eck, University of Twente, 2006 Social world Symbol world Physical world 50/60

Structure of the business system layer Primary service provision Business environment Social world Business Structure of the business system layer Primary service provision Business environment Social world Business systems serve Applications: Functionality particular user groups Information systems: Data SW Infrastructure Physical infrastructure © Pascal van Eck, University of Twente, 2006 Symbol world Physical world 51/60

Structure of the SW infrastructure layer Primary service provision Business environment Business Infrastructure Business Structure of the SW infrastructure layer Primary service provision Business environment Business Infrastructure Business systems Office SW, Browser, . . . serves Middleware all user DBMS, WFMS, Directory server, Web server, . . . groups OS, Network software Physical infrastructure © Pascal van Eck, University of Twente, 2006 Social world Symbol world Physical world 52/60

The physical world is BIG! Primary service provision Business environment Business software SW Infrastructure The physical world is BIG! Primary service provision Business environment Business software SW Infrastructure Processors, peripherals, UI devices, wires, electromagnetic waves, wireless access points, . . Radio network, electricity network, telephone network, water supply network, gas supply network, sewage network, road network, . . Buildings, . . . machine tools, . . © Pascal van Eck, University of Twente, 2006 Social world Symbol world Physical world 53/60

The framework Disposal Usage & Maintenance Acquisition Conception System life Quality Services Service provision The framework Disposal Usage & Maintenance Acquisition Conception System life Quality Services Service provision Behavior Communication Meaning Usability. . . Maintainability. . . Business environment Business SW (applications & information systems) SW infrastructure (OS, NW, MW, DBMS, WFMS, . . . ) Physical infrastructure (Computers, network, access points, . . . ) © Pascal van Eck, University of Twente, 2006 Aspects Social world Symbol world Physical world 54/60

Documents studied © Pascal van Eck, University of Twente, 2006 55/60 Documents studied © Pascal van Eck, University of Twente, 2006 55/60

Four alignment perspectives Taken from: Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging information technology Four alignment perspectives Taken from: Henderson, & Venkatraman, (1993). Strategic alignment: Leveraging information technology for transforming organisations. IBM Systems Journal, 32(1): 472 -484. © Pascal van Eck, University of Twente, 2006 56/60

Two perspectives Business strategy 2 IT strategy 1 2 Business processes Business infrastructure © Two perspectives Business strategy 2 IT strategy 1 2 Business processes Business infrastructure © Pascal van Eck, University of Twente, 2006 1 IT applications IT infrastructure 57/60

Conclusion What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Architecture Framework Conclusion What is alignment? Strategic Alignment Model (Henderson & Venkatraman) Extension: Unified Architecture Framework (Maes et al. ) Validation case study (Avison et al. ) Quantitative approach (e. g. , Tallon, Chan) GRAAL framework (Univ. Twente)

Some closing remarks Alignment = a struggle Practice Validation = hard Research © Pascal Some closing remarks Alignment = a struggle Practice Validation = hard Research © Pascal van Eck, University of Twente, 2006 Tools A framework = a to-do lists Alignment = requirements engineering? Relation with Computer Science 59/60

Thanks! Pascal van Eck Department of Computer Science University of Twente P. O. Box Thanks! Pascal van Eck Department of Computer Science University of Twente P. O. Box 217 7500 AE Enschede The Netherlands p. [email protected] nl http: //www. cs. utwente. nl/~patveck © Pascal van Eck, University of Twente, 2006 60/60