Version

Date

Description

1.0

06/12/2001

Initial Draft

1.1

07/01/2003

Revised to even scoring across the various areas

1.2

12/10/2007

Updated to conform to newer OMB requirements

 Focus

 Architecture Element

0

No Enterprise Architecture Program

 No Enterprise Architecture to speak of. 

1

 Initial - Informal Enterprise Architecture Process Underway

1.       Processes are ad hoc and localized.  Some Enterprise Architecture processes are defined.  There is no unified architecture process across technologies or business processes.  Success depends on individual efforts.

2.       Enterprise Architecture processes, documentation, and standards are established by a variety of ad hoc means and are localized or informal. 

3.       Minimal, or implicit linkage to business strategies or business drivers. 

4.       Limited management team awareness or involvement in the architecture process. 

5.       Limited Operating Unit acceptance of the Enterprise Architecture process. 

6.       The latest version of the Operating Unit's Enterprise Architecture documentation is on the Web.  Little communication exists about the Enterprise Architecture process and possible process improvements

7.       IT Security considerations are ad hoc and localized. 

8.       No explicit governance of architectural standards. 

9.       Little or no involvement of strategic planning and acquisition personnel in enterprise architecture process.  Little or no adherence to existing Standards Profile

2

Enterprise Architecture Process Is Under Development

1.       Basic Enterprise Architecture Process program is documented based on OMB Circular A - 130 and Department of Commerce Enterprise Architecture Guidance.  The architecture process has developed clear roles and responsibilities. 

2.       IT Vision, Principles, Business Linkages, Baseline, and Target Architecture are identified.  Architecture standards exist, but not necessarily linked to Target Architecture.  Technical Reference Model and Standards Profile framework established.  

3.       Explicit linkage to business strategies. 

4.       Management awareness of Architecture effort. 

5.       Responsibilities are assigned and work is underway. 

6.       The DOC and Operating Unit Enterprise Architecture Web Pages are updated periodically and is used to document architecture deliverables.

7.       IT Security Architecture has defined clear roles and responsibilities. 

8.       Governance of a few architectural standards and some adherence to existing Standards Profile.

9.       Little or no formal governance of IT Investment and Acquisition Strategy.  Operating Unit demonstrates some adherence to existing Standards Profile.

3

 Defined Enterprise Architecture Including Detailed Written Procedures and Technical Reference Model

1.       The architecture is well defined and communicated to IT staff and business management with Operating Unit IT responsibilities.  The process is largely followed. 

2.       Gap Analysis and Migration Plan are completed.  Fully developed Technical Reference Model and Standards Profile.  IT goals and methods are identified.  The architecture aligns with the DOC and Federal Enterprise Architectures. 

3.       Enterprise Architecture is integrated with capital planning & investment control and supports e-government. 

4.       Senior-management team aware of and supportive of the enterprise-wide architecture process.  Management actively supports architectural standards. 

5.       Most elements of Operating Unit show acceptance of or are actively participating in the Enterprise Architecture process. 

6.       Architecture documents updated regularly on DOC Enterprise Architecture Web Page. 

7.       IT Security Architecture Standards Profile is fully developed and is integrated with Enterprise Architecture. 

8.       Explicit documented governance of majority IT investments. 

9.       IT acquisition strategy exists and includes compliance measures to IT Enterprise Architecture.  Cost-benefits are considered in identifying projects. 

4

Managed and Measured Enterprise Architecture Process

1.       Enterprise Architecture process is part of the culture.  Quality metrics associated with the architecture process are captured. 

2.       Enterprise Architecture documentation is updated on a regular cycle to reflect the updated Enterprise Architecture.  Business, Information, Application and Technical Architectures defined by appropriate de-jure and de-facto standards.  The architecture continues alignment with the DOC and Federal Enterprise Architectures.  An automated tool is used to improve the usability of the architecture. 

3.       Capital planning and investment control are adjusted based on the feedback received and lessons learned from updated Enterprise Architecture.  Periodic re-examination of business drivers. 

4.       Senior-management team directly involved in the architecture review process.

5.       The entire Operating Unit accepts and actively participates in the Enterprise Architecture process. 

6.       Architecture documents are updated regularly, and frequently reviewed for latest architecture developments/standards.

7.       Performance metrics associated with IT Security Architecture are captured.

8.       Explicit governance of all IT investments.  Formal processes for managing variances feed back into Enterprise Architecture. 

9.       All planned IT acquisitions and purchases are guided and governed by the Enterprise Architecture. 

5

Optimizing - Continuous Improvement of Enterprise Architecture Process

1.       Concerted efforts to optimize and continuously improve architecture process. 

2.       A standards and waivers process are used to improve architecture development process improvements. 

3.       Architecture process metrics are used to optimize and drive business linkages.  Business involved in the continuous process improvements of Enterprise Architecture. 

4.       Senior management involvement in optimizing process improvements in Architecture development and governance. 

5.       Feedback on architecture process from all Operating Unit elements is used to drive architecture process improvements. 

6.       Architecture documents are used by every decision maker in the organization for every IT-related business decision.  

7.       Feedback from IT Security Architecture metrics are used to drive architecture process improvements. 

8.       Explicit governance of all IT investments.  A standards and waivers process is used to improve governance-process improvements. 

9.       No unplanned IT investment or acquisition activity. 

Not established or does not exist. 

Exists in ad-hoc or localized form or early draft form may exist.  Some Enterprise Architecture processes are defined.  There is no unified architecture process across technologies or business processes.  Success depends on individual efforts. 

Being actively developed.  Basic Enterprise Architecture Process program is documented based on OMB Circular A-130 and Department of Commerce Enterprise Architecture Guidance.  The architecture process has developed clear roles and responsibilities. 

The architecture is well defined and communicated to IT staff and business management with Operating Unit IT responsibilities.  The process is largely followed. 

Enterprise Architecture process is part of the culture, with strong linkages to other core IT and business processes.  Quality metrics associated with the architecture process are captured.  These metrics include the cycle times necessary to generate Enterprise Architecture revisions, technical environment stability, and time to implement a new or upgraded application or system.  

Concerted efforts to optimize and continuously improve architecture process. 

No Enterprise Architecture documentation to speak of. 

Enterprise Architecture processes, documentation, and standards are established by a variety of ad hoc means and are localized or informal. 

IT Vision, Principles, Business Linkages, Baseline, and Target Architecture are identified.  Architecture standards exist, but not necessarily linked to Target Architecture.  Technical Reference Model and Standards Profile framework established. 

Gap Analysis and Migration Plan are completed.  Architecture standards linked to Business Drivers via Best Practices, IT Principles, and Target Architecture.  Fully developed Technical Reference Model and Standards Profile.  The architecture aligns with the DOC and Federal Enterprise Architectures. 

Enterprise Architecture documentation is updated on a regular cycle to reflect the updated Enterprise Architecture.  Business, Information, Application and Technical Architectures defined by appropriate de-jure and de-facto standards.  The architecture continues alignment with the DOC and Federal Enterprise Architectures.  An automated tool is used to improve the usability of the architecture. 

Defined and documented Enterprise Architecture metrics are used to drive continuous process improvements.  A standards and waivers process is used to improve architecture development process improvements. 

No linkage to business strategies or business drivers. 

Minimal, or implicit linkage to business strategies or business drivers. 

Explicit linkage to business strategies. 

Enterprise Architecture is integrated with capital planning and investment control and supports e-government.  Explicit linkage to business drivers and information requirements. 

Capital planning and investment control are adjusted based on the feedback received and lessons learned from updated Enterprise  Architecture.  Periodic re-examination of business drivers. 

Architecture process metrics are used to optimize and drive business linkages.  Business involved in the continuous process improvements of Enterprise  Architecture. 

No support from senior executives.  Status quo is actively defended

Limited management team awareness or involvement in the architecture process.

Management awareness of Architecture effort.  Occasional, selective management team involvement in the architecture process with various degrees of commitment/ resistance. 

Senior-management team aware of and supportive of the enterprise-wide architecture process.  Management actively supports architectural standards. 

Senior management reviews architecture and variances. 

Senior-management team directly involved in the optimization of the enterprise-wide architecture development process and governance. 

No part of Operating Unit participates or is involved with Enterprise Architecture process. 

Limited Operating Unit acceptance of the Enterprise Architecture process.  Support exists only to the extent that the architecture process maintains the status quo. 

Enterprise Architecture responsibilities are assigned and work is underway.  There is a clear understanding of where the organizations architecture is at present time.  Recognition that it is costly supporting too many kinds of technologies. 

Most elements of Operating Unit show acceptance of or are actively participate in the Enterprise Architecture process.  Recognition that architectural standards can reduce integration complexity and enhance overall ability to Operating Unit IT to achieve business goals. 

The entire Operating Unit accepts and actively participates in the Enterprise Architecture process. 

Feedback on architecture process from all Operating Unit elements is used to drive architecture process improvements. 

None.

Little communication exists about the Enterprise Architecture process and possible process improvements.  The DOC Enterprise Architecture Web Page contains the latest version of the Operating Units Enterprise Architecture documentation. 

The Operating Unit Architecture Home Page, which can be accessed from the DOC Enterprise Architecture Web Page, is updated periodically and is used to document architecture deliverables.  Few tools (e.g., office suite, graphics packages) are used to document architecture.  Communication about architecture process via meetings, etc., may happen, but sporadic. 

Architecture documents updated and expanded regularly on DOC Enterprise Architecture Web Page.  Tools are used to support maintaining architecture documentation.  Periodic presentations to IT staff on Architecture content. 

Architecture documents are updated regularly, and frequently reviewed for latest architecture developments/ standards.  Regular presentations to IT staff on Architecture content.  Organizational personnel understand the architecture and its uses. 

Architecture documents are used by every decision maker in the organization for every IT-related business decision. 

No IT Security considerations in Enterprise Architecture. 

IT Security considerations are ad hoc and localized. 

IT Security Architecture has defined clear roles and responsibilities. 

IT Security Architecture Standards Profile is fully developed and is integrated with Enterprise Architecture. 

Performance metrics associated with IT Security Architecture are captured. 

Feedback from IT Security Architecture metrics are used to drive architecture process improvements. 

None.  Funding is the sole decision point for projects.

No explicit governance of architectural standards.  Limited agreement with governance structure. 

Governance of a few architectural standards (e.g. desktops, database management systems) and some adherence to existing Standards Profile.  Variances may go undetected in the design and implementation phases.  Various degrees of understanding of the proposed governance structure. 

Explicit documented governance of majority IT investments.  Formal processes for managing variances.  Senior management team is supportive of enterprise-wide architecture standards and subsequent required compliance. 

Explicit governance of all IT investments.  Formal processes for managing variances feed back into Enterprise Architecture.  Senior-management team takes ownership of enterprise-wide architecture standards and governance structure. 

Explicit governance of all IT investments.  A standards and waivers process is used to improve architecture development and governance - process improvements. 

No regard for Enterprise Architecture in formulation of strategic IT acquisition strategy by Operating Unit. 

Little involvement of strategic planning and acquisition personnel in enterprise architecture process.  Little or no adherence to existing Standards Profile. 

Little or no formal governance of IT Investment and Acquisition Strategy.  Operating Unit demonstrates some adherence to existing Standards Profile. 

IT acquisition strategy exists and includes compliance measures to IT Enterprise Architecture.  Operating Unit adheres to existing Standards Profile.  RFQ, RFI and RFP content is influenced by the Enterprise Architecture.  Acquisition personnel are actively involved in Enterprise Architecture governance structure.  Cost-benefits are considered in identifying projects. 

All planned IT acquisitions are guided and governed by the Enterprise Architecture.  RFI and RFP evaluations are integrated into the Enterprise Architecture planning activities. 

Operating Unit has no unplanned IT investment or acquisition activity. 

1. Architecture Process: Is there an established Enterprise Architecture process?

     Level 0:   Architecture process not established.

1:   Ad-hoc and localized architecture process defined.

2:   Basic Enterprise Architecture Process program is documented based on OMB

      Circular A-130 and Department of Commerce Enterprise Architecture Guidance.

      The architecture process has developed clear roles and responsibilities.

3:   The architecture is well defined and communicated to IT staff and 

      business management with Operating Unit IT responsibilities.  The

      process is largely followed.

4:   Enterprise Architecture process is part of the culture, with strong linkages to other

      core IT and business processes.  Quality metrics associated with the

      architecture process are captured.  These metrics include the cycle times

      necessary to generate Enterprise Architecture revisions, technical environment

      stability, and time to implement a new or upgraded application or system.

5:   Concerted efforts to optimize and continuously improve architecture

      process.

2. Architecture Development: To what extent is the development and progression of

the Operating Units' Enterprise Architecture documented?

     Level 0:   No Enterprise Architecture documentation to speak of.

1:   Enterprise Architecture processes, documentation and standards are established

      by a variety of ad hoc means, and are localized or informal.

2:   IT Vision, Principles, Business Linkages, Baseline, and Target

     Architecture are documented.  Architecture standards exist, but not

     necessarily linked to Target Architecture.  Technical Reference Model

     and Standards Profile framework established.

3:  Gap Analysis and Migration Plan are completed.  Architecture standards

     linked to Business Drivers via Best Practices, IT Principles and Target

     Architecture.  Fully developed Technical Reference Model and Standards

     Profile.

4:  Enterprise Architecture documentation is updated on a regular cycle to reflect the

     updated Enterprise Architecture.  Business, Information, Application and

     Technical Architectures defined by appropriate de-jure and de-facto

     standards.

5:  Defined and documented Enterprise Architecture metrics are used to drive

     continuous process improvements.  A standards and waivers process are

     used to improve architecture development process improvements.

3. Business Linkage: To what extent is the Enterprise Architecture linked to business strategies or drivers.

     Level 0:   No linkage to business strategies or business drivers.

1:   Minimal, or implicit linkage to business strategies or business drivers.

2:   Explicit linkage to business strategies or drivers.

3:   Enterprise Architecture is integrated with capital planning and investment control.

      Explicit linkage to business drivers and information requirements.

4:   Capital planning and investment control are adjusted based on the

      feedback received and lessons learned from updated Enterprise Architecture.

      Periodic re-examination of business drivers.

5:   Architecture metrics are used to optimize and drive business linkages.

      Business involved in the continuous process improvements of IT

      Architecture.

4. Senior Management Involvement: To what extent are the senior managers of the

Operating Unit involved in the establishment and ongoing development of an IT

Architecture?

    Level 0:    No management team awareness or involvement in the architecture

      process.

1:   Limited management team awareness or involvement in the architecture

      process.

2:   Occasional/selective management team involvement in the architecture

      process with various degrees of commitment.

3:   Senior-management team aware of and supportive of the enterprise-wide

      architecture process.  Management actively supports architectural

      standards.

4:   Senior-management team directly involved in the architecture review

      process.

5:   Senior-management team directly involved in the optimization of the

      enterprise-wide architecture development process and governance.

5A. Operating Unit Participation: To what extent is the Enterprise Architecture process

accepted by the Operating Unit?

     Level 0:   No Operating Unit acceptance.

1:   Limited Operating Unit acceptance of the Enterprise Architecture process.

2:   Enterprise Architecture responsibilities are assigned and work is underway.

      There is a clear understanding of where the organization’s architecture is

      at present time.

3:   Largest elements of Operating Unit show acceptance of the IT

      Architecture process.

4:   The entire Operating Unit accepts and actively participates in the IT

      Architecture process.

5:   Feedback on architecture process from all Operating Unit elements is

      used to drive architecture process improvements.

5B. Operating Unit Participation: To what extent is the Enterprise Architecture process an

effort representative of the whole organization?

     Level 0:   No enterprise-wide effort.

1:   Localized individual support of Enterprise Architecture process.

2:   Limited organizational involvement.

3:   Majority of organization is involved.

4:   Cross-enterprise architecture involvement.

5:   Entire organization uses feedback on the architecture process to improve

      its process.

6A. Architecture Communication: To what extent are the decisions of Enterprise Architecture

practice documented?

     Level 0:   No documentation is available.

1:   Little communication exists about the Enterprise Architecture process and

      possible process improvements.  The DOC Enterprise Architecture Web Page

      contains the latest version of the Operating Unit’s Enterprise Architecture

      documentation.

2:   The Operating Unit Architecture Home Page, which can be accessed

      from the DOC Enterprise Architecture Web Page is updated periodically and is

      used to document architecture deliverables.  Communication about

      architecture process via meetings, etc., may happen, but sporadic.  Few

      tools (e.g., office suite, graphics packages) are used to document

      architecture.

3:   Architecture documents updated and expanded regularly on DOC IT

      Architecture Web Page.  Periodic presentations to IT staff on Architecture

      process, content.  Tools are used to support maintaining architecture

      documentation.

4:   Architecture documents are updated regularly, and frequently reviewed

      for latest architecture developments/standards.  Regular presentations to

      IT staff on architecture content.

5:   Architecture documents are used by every decision maker

6B. Architecture Communication: To what extent is the content of the Enterprise Architecture

made available electronically to everybody in the organization?

     Level 0:   No electronic means of communication.

1:   Limited electronic means of communication.

2:   Occasional updates published via e-mail.

3:   More widespread electronic publication of Enterprise Architectures.

4:   An online Web site is used to make available communications across the

      organization.

5:   All Operating Units are actively involved through electronic updates.

6C. Architecture Communication: To what extent is architecture education done

across the business on the Enterprise Architecture process and contents?

     Level 0:   No education.

1:   Limited education.

2:   Architecture education done for IT staff.

3:   More widespread education done across various Operating Units.

4:   Most Operating Units participate actively in Enterprise Architecture education.

      Ongoing education on the value of an Enterprise Architecture across Operating

      Units.

5:   All Operating Units participate in staff education and understanding of IT

      Architecture.  Various education/communication tools utilized across all

      Operating Units.

7. IT Security: To what extent is IT Security integrated with the Enterprise Architecture?

     Level 0:   No IT Security considerations in Enterprise Architecture.

1:   IT Security considerations are ad hoc and localized.

2:   IT Security Architecture has defined clear roles and responsibilities.

3:   IT Security Architecture is fully developed and is integrated with IT

      Architecture.

4:   Performance metrics associated with IT Security Architecture are

      captured.

5:   Feedback from IT Security Architecture metrics are used to drive

      architecture process improvements. 

8. Governance: To what extent is an Enterprise Architecture governance (governing body)

process in place and accepted by senior management ?

     Level 0:   None.  Everyone does their own thing.

1:   No explicit governance of architectural standards.  Limited agreement

      with governance structure.

2:   Governance of a few architectural standards (e. g. desktops, database

      management systems) and some adherence to existing Standards

      Profile.  Various degrees of understanding of the proposed governance

      structure.

3:   Explicit documented governance of majority IT investments.  Formal

      processes for managing variances.  Senior management team is

      supportive of enterprise-wide architecture standards and subsequent

      required compliance.

4:   Explicit governance of all IT investments.  Formal processes for

      managing variances feed back into Enterprise Architecture.  Senior-management

      team takes ownership of enterprise-wide architecture standards and

      governance structure.

5:   Explicit governance of all IT investments.  A standards and waivers

      process is used to improve governance process improvements.

9. IT Investment and Acquisition Strategy: To what extent does the Enterprise

Architecture influence the IT Investment and Acquisition Strategy?

     Level 0:   No regard for Enterprise Architecture in formulation of strategic IT

      Acquisition strategy by Operating Unit.

1:   Little or no involvement of strategic planning and acquisition personnel in

      enterprise architecture process.  Little or no adherence to existing

      Standards Profile.

2:   Little or no form al governance of IT Investment and Acquisition Strategy.

      Operating Unit demonstrates some adherence to existing Standards

      Profile.

3:   IT acquisition strategy exists and includes compliance measures to IT

      Enterprise Architecture.  Operating Unit adheres to existing Standards

      Profile.  RFQ, RFI and RFP content is influenced by the Enterprise Architecture.

      Acquisition personnel are actively involved in Enterprise Architecture governance

      structure.  Cost-benefits are considered in identifying projects.

4:   All planned IT acquisitions and acquisitions are guided and governed by

      the Enterprise Architecture.  RFI and RFP evaluations are integrated into the IT

      Architecture planning activities.

5:   Operating Unit has no unplanned IT investment or acquisition activity.

Architecture Characteristic

1.

2.

3.

4.

5. = (5A+5B)/2

6. = (6A+6B+6C)/3

7.

8.

9.

Score =  (1…9)/9

METHOD #1  EXAMPLE

This method calculates an Operating Unit's mean Architecture Capability Maturity Level.

1. First: map the Enterprise Architecture Characteristic with each of the six Maturity Levels

2. Second: sum the occurrences of each Maturity Level

3. Third: divide the sum by nine Enterprise Architecture Characteristics

The example below indicates that the Operating Unit achieves a Maturity Level of 2.66

Architecture Level

Characteristic  Accomplished

1

3

2

2

3

4

4

3

5

1

6

3

7

5

8

2

9

1

Total Score / Number of Characteristics

24/9 = 2.7

METHOD #2.  EXAMPLE

This method shows the percent achieved at each maturity level for the nine architecture characteristics.  This method complements method #1 by allowing an Operating Unit to clearly assess and identify the target improvement they need at each level.

·         Count the number of elements that have achieved each level of maturity.  It is cumulative, so if an element has achieved level 4 rating, it is counted in levels 1, 2, & 3 also.

·         Divide the number at each level by 9 and multiply by 100 to get the percentage

Maturity Level

Occurrences at Each Level

Percent (out of 9)

5

1

11.11%

4

2

22.22%

3

5

55.55%

2

7

77.77%

1

9

100.00%

0

9

100.00%

1

2

3

4

5

6

7

8

9

Total Score / Number of Characteristics

5

4

3

2

1

0