Proposal of EA Principles

JOHN VON NEUMANN INSTITUTE
VIETNAM NATIONAL UNIVERSITY HOCHIMINH CITY
Subject: Post Graduate 2
RESEARCH AND PROPOSITION OF THE

PRINCIPLES FOR LIGHTWEIGHT
ENTERPRISE ARCHITECTURE
Instructor: Dr. Nguyen Ngoc Truong Huy

Student: Hoang Hai Nguyen – ITBB2011
HCM City, May-2013

Abstract. Architecture can be defined as the fundamental organization of a system and
the principles governing its design and evolution (IEEE 2000). While principles have
been intensely discussed in large-scale Enterprise Architecture (EA), but for the
Lightweight Architecture it is often not defined clearly. This is surprising because EA
principles play an important role in practice. Details, these principles support operation
and development of enterprise. Our literature analysis is based on the principles which
are offered by (The Open Group, 2008), (Erik Proper, 2011), (Guimarães, 2012). We
classify these principles into size of enterprise, domains, necessary level of principles.
As the results, based on characteristics of lightweight architecture and the results we
have after synthetic and analysis principles, we propose 28 principles for lightweight
architecture. With each principle which enterprises want to implement, they will must be
spent cost, resources, people... and consider the compatibility with the other principles
which have deployed or are deploying. So, when Small and Medium Enterprises
(SMEs) apply lightweight architecture, they can choose 10 to 20 principles to
architecture depend on their state.
Table of Contents
I. Overview of Enterprise Architecture and Principles .................................................. 2
1.1. The need of Architecture for Enterprise ............................................................. 2

1.2. The Enterprise Architecture................................................................................ 3
1.3. The Elements of Enterprise Architecture and why Principles are very important.
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1.4. The Architecture Principles ................................................................................ 6
II. Synthesis of the Architecture Principles.................................................................... 7
2.1. From Lightweight Architecture............................................................................ 7

2.2. From TOGAF ..................................................................................................... 8
2.3. From other resources: ...................................................................................... 17
III. Classification of Architecture Principles ............................................................... 26
3.1. Based-on Architecture domains ....................................................................... 26

3.1.1. From Lightweight Architecture ................................................................... 26
3.1.2. From TOGAF ............................................................................................. 28
3.2. Based on sizes of Enterprise and necessary levels of Principles ..................... 35

3.2.1. The classification of Architecture ............................................................... 35
3.2.2. Small Enterprises ...................................................................................... 38
3.2.3. Medium Enterprises ................................................................................... 40
3.2.4. Large Enterprises ...................................................................................... 42
3.3. The statistical results........................................................................................ 44

IV. Proposal of Principles for Lightweight Enterprise Architecture ............................ 49
V. Conclusions and Perspectives ............................................................................ 54
5.1. Conclusions...................................................................................................... 54
5.2. Perspectives..................................................................................................... 54
Appendix: List of Principles ........................................................................................... 56
Bibliography .................................................................................................................. 63
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I. Overview of Enterprise Architecture and Principles
1.1. The need of Architecture for Enterprise
Business performance, nowadays, increasingly depends on a balanced and integrated

design of the enterprise, involving people, their competencies, organizational structures,
business processes, IT, finances, products and services, as well as its environment.
Given the challenges as the ones discussed above, it is important for senior
management (CEO, CFO, CIO, et cetera) of an enterprise to make conscious decisions
about the design of their enterprise. Even more, given the need for agility, the ability to
change effectively and efficiently, becomes almost as important as the normal execution
of core business processes.
This is where enterprise architecture is positioned as an instrument to articulate an

enterprise’s future direction, while serving as a coordination and steering mechanism
toward the actual transformation of the enterprise. In articulating an enterprise’s future
direction, the multi-perspective approach, which is typical of enterprise architecture,
enables the achievement of organizational cohesion and integration (Zachman1987;
Lankhorst et al. 2005a; Op ’t Land et al. 2008; TOGAF2009). Furthermore, by focusing
on what is core in the design of the desired enterprise, enterprise architecture
harnesses organizational complexity. As such it provides the overview and insights
needed to translate strategy into execution, enabling senior management to take
ownership of the key decisions on the design of the future enterprise.
Enterprise architecture, and the associated formulation, implementation and

governance processes, are increasingly recognized by organizations as an important
capability (Lankhorst et al.2005a; Op ’t Land et al. 2008; TOGAF 2009). As part of the
Clinger–Cohen Act (USA Government1996), the government of the United States of
America even requires government agencies to appoint a Chief Information Officer
(CIO) with the responsibility of “developing, maintaining, and facilitating the
implementation of sound and integrated information technology architecture”. Even
though the Clinger–Cohen act limits itself to IT architectures, the needed alignment
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between the many aspects such as including people, processes, IT, finances, products
and services, usually entails the use of an enterprise architecture encompassing the IT
architecture.
1.2. The Enterprise Architecture
As a way to make the role of enterprise architecture more explicit, this section provides
our definition of enterprise architecture. As will be shown below, the goal is not to
provide yet another definition, but rather to make the role of enterprise architecture
more explicit. In that sense, the definition offered in this section represents our
fundamental understanding of the concept, while at the same time aiming to remain
compatible with other definitions (IEEE 2000; TOGAF2009). Before providing the
definition used in this report, we first discuss the concept from three different
perspectives:
 The purpose which enterprise architecture serves.

 The meaning of enterprise architecture, i.e. what it does.
 The elements of enterprise architecture in terms of the typical components used
in capturing enterprise architecture.
We will then finalize this section with the definition of enterprise architecture as we will
use it in this report. From this definition, the role of principles will also be made clear,
setting the scene for the remainder of this report.
Finally, as a summary we will now provide a definition of enterprise architecture which

summarizes our understanding of the concept of enterprise architecture. How-ever,
before doing so, we first define the general concept of architecture in general.
“ARCHITECTURE: Those properties of an artifact those are necessary and sufficient to

meet its essential requirements”.
This definition also shows the clear distinction between a design and architecture. While
the design provides a full elaboration of ‘the design’ of an artifact such that it leaves no
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room for undesired results in the implementation, the architecture focuses on how the
essential requirements will be met.
The definition of architecture, allows us to summarize our understanding of enterprise

architecture as:
“ENTERPRISE-ARCHITECTURE: The architecture of an enterprise. As such, it

concerns those properties of an enterprise that are necessary and sufficient to meet its
essential requirements”.
The focus of enterprise architecture on the essential requirements allows it to be used

as a means to align the design of an enterprise to its strategy, where the strategy
should fuel the identification of the essential requirements. By necessity, these should
be requirements which, when not attained, have a high impact on the goals of the key
stakeholders. This focus allows enterprise architecture to be used effectively when
steering and coordinating transformation programs and projects. The meaning of the
enterprise architecture then becomes that it provides a normative restriction of design
freedom toward projects and programs.
1.3. The Elements of Enterprise Architecture and why Principles are

very important.
As discussed by Op’t Land et al. (2008), key concepts in the field of enterprise
architecture include concerns, principles, models, views and frameworks.
An enterprise has many stakeholders, and the future development of the enterprise is
likely to impact on the interests of these stakeholders. A stakeholder typically is an
individual, a team, or an organization (or classes thereof) with interest in, or concerns
relative to, a system (such as an enterprise). Concerns are interests pertaining to the
system’s development, its operation or any other aspect that is critical or otherwise
important to one or more stakeholders. In making decisions about an enterprise’s future
directions, stakeholders want to obtain insight into the impact these directions will have
on their concerns, and understand the risks involved in current and future initiatives.
Even more, since present day enterprises are complex social systems of interrelated
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processes, people and technology, stakeholders are keen on finding a way to harness
this complexity when judging the impact on their concerns.
Models are generally understood to be purposeful abstractions of (some relevant part

of) reality (Falkenberget al.1998). Models can be used to represent systems, and
actually can be regarded as systems themselves. For example, Apostel (1960) defines
a model as a system representing another system: “any subject neither using a system
A that is directly nor indirectly interacting with a system B, to obtain information about
the system B, is using A as a model for B”. In colloquial use, in the context of enterprise
architecture, the term model is equated to some diagram. This colloquialism can be
explained as most models used in process modeling and software development are
graphical models. Models, however, do not necessarily have to be graphical. In the
context of enterprise architecture, a multitude of models are used that describe different
aspects:
 Different levels of realization: from conceptual via logical to physical.

 Different aspects of transformation: from contextual (why) via design (where to)
to the actual transformations (how).
 Different aspects of enterprises: from goals via services, products and processes
to IT.
 Different levels of aggregation: from enterprise level to the level of specific
(partial) processes or applications.
It is in these models where we will find the components, their relationships to each
other, and to the environment as referred to by the IEEE (2000) definition of
architecture. A view is a representation of (a part of) a system from the perspective of a
related set of concerns (IEEE 2000). Different views based upon the stakeholders
concerns are an important communication means to obtain the cooperation of the
stakeholders. Views are typically derived from models. While models focus more the
architecture principles are key in ensuring enterprise architecture effectiveness (Op ’t
Land and Proper 2007), and we are certainly not alone in doing so. Several approaches
position principles as an important ingredient while some even go so far as to position
principles as being the essence of architecture (Dietz2008; Hoogervorst2009;
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PRISM1986; Fehskens2010). Architecture principles fill the gap between high-level
strategic intentions and concrete design decisions. They ensure that the enterprise
architecture is future directed, and can actually guide design decisions, while preventing
analysis paralysis by focusing on the essence. Furthermore, they document
fundamental choices in an accessible form, and ease communication with all those
affected. They also represent continuity and relative stability in an atmosphere of
change and uncertainty.
1.4. The Architecture Principles
According to TOGAF, architecture principles are general rules and guidelines, intended
to be enduring and seldom amended, which inform and support the way in which an
organization sets about fulfilling its mission. Op ’t Land et al. (2008) position architecture
principles as a way to capture an univocal understanding about what is of fundamental
importance to the enterprise. Given the central position of architecture principles in this
book, the ensuing chapters will provide a more elaborate discussion on the nature and
definition of architecture principles. The IEEE (2000) definition of architecture: “The
fundamental organization of a system embodied in its components, their relationships to
each other, and to the environment, and the principles guiding its design and evolution”
also explicitly refers to the role of principles in guiding the design and evolution of
systems.
Architecture principles also provide (service-oriented) enterprises with a mechanism to

better balance top-down directive steering, with bottom-up emergence, by focusing on
what is key from a strategy point of view. Principles can be used to more precisely meet
the needs to steer enterprise transformations, reducing the risk of falling into the pit of
over-specifying. Unfortunately, however, architecture principles suffer from the
immaturity of the enterprise architecture field in general. Cur-rent methods and
techniques for enterprise architecture are unclear about how to actually position, create
and apply architecture principles. A notable exception is the recent book by Beijer and
De Klerk (2010) which has also been used as source of inspiration for this report. As
also observed in the literature survey on architecture principles as provided by Stelzer
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(2009), not much work has been done on fundamentally defining the concept of
architecture principles in the context of enterprise architecture. This report therefore
aims to clarify the role of architecture principles in enterprise architecture, and to
provide guidance in their development and application. More specifically, this report
aims to provide a first reference work on the concept of architecture principles, thereby
contributing to the professionalization and maturation of the enterprise architecture
profession.
As limitation of this project, I will focus to study about Principles of Lightweight

Enterprise Architecture. Structure of this essay include: Part I Introduction to Enterprise
Architecture and the importance of Principles; Part II Synthetic of Principles of
Enterprise Architecture; Part III The classification of Principles based on specified
structure such as: Enterprise Architecture, domain, quality,…;Part IV Proposal of
principles for Lightweight Enterprise Architecture (LEA).
II. Synthesis of the Architecture Principles
2.1. From Lightweight Architecture
In LEA, goals are specific to the business strategy that provides the input to the
principles, which is a translation for the measure of technology across the enterprise.
Defining Tangible Principles
Enterprise Principles need to provide a tangible set of measures that technology can
readily adopt. These include the following principles:
 Systems need to be scalable to meet future demand.

 The architecture needs to be flexible to add future functionality.
 The designs need high adaptability to minimize effort.
Scalability for an operations manager means handling current capacity demands with
the given infrastructure and adding hardware as demand increases. A marketing
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manager sees scalability as the ability to handle current and future numbers of
customers.
For an organization’s success, scalability needs to have tangible boundaries to

design the system environment optimally. An organization cannot continually just add
more customers and then have operations increase hardware.
Systems require a design that clearly anticipates tangible measures. Hence, a better
statement on scalability would be:
Initial systems needs for the next three years require the enterprise to handle 750
orders per day the first year and a 33 percent increase each year after. Peak hourly
orders can reach 25 per-cent of a daily total. Planning for additional years will happen
after analyzing the first year’s data of growth through better forecasting models. The
goal of the enterprise is to achieve 2500 orders per day within five years to reach
profitability
2.2. From TOGAF
The Open Group Architecture Framework (TOGAF) is a framework — a detailed

method and a set of supporting tools — for developing enterprise architecture. It may be
used freely by any organization wishing to develop enterprise architecture for use within
that organization.
TOGAF is developed and maintained by members of The Open Group, working within
the Architecture Forum (refer to www.opengroup.org/architecture). The original
development of TOGAF Version 1 in 1995 was based on the Technical Architecture
Framework for Information Management (TAFIM), developed by the US Department of
Defense (DoD). The DoD gave The Open Group explicit permission and
encouragement to create TOGAF by building on the TAFIM, which itself was the result
of many years of development effort and many millions of dollars of US Government
investment.
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Too many principles can reduce the flexibility of the architecture. Many organizations
prefer to define only high-level principles, and to limit the number to between 10 and 20.
The following example illustrates both the typical content of a set of architecture
principles, and the recommended format for defining them, as explained above.
Another example of architecture principles is contained in the US Government’s Federal

Enterprise Architecture Framework (FEAF).
List of principles is suggested by TOGAF.
Business Principles
Principle 1: Primacy of Principles
Statement:
These principles of information management apply to all organizations within the
enterprise.
Rationale:
The only way we can provide a consistent and measurable level of quality information to
decision-makers is if all organizations abide by the principles.
Principle 2: Maximize Benefit to the Enterprise
Statement:
Information management decisions are made to provide maximum benefit to the
enterprise as a whole.
Rationale:
This principle embodies "service above self". Decisions made from an enterprise-wide
perspective have greater long-term value than decisions made from any particular
organizational perspective. Maximum return on investment requires information
management decisions to adhere to enterprise-wide drivers and priorities. No minority
group will detract from the benefit of the whole. However, this principle will not preclude
any minority group from getting its job done.
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Principle 3: Information Management is Everybody's Business
Statement:
All organizations in the enterprise participate in information management decisions
needed to accomplish business objectives.
Rationale:
Information users are the key stakeholders, or customers, in the application of
technology to address a business need. In order to ensure information management is
aligned with the business, all organizations in the enterprise must be involved in all
aspects of the information environment. The business experts from across the
enterprise and the technical staff responsible for developing and sustaining the
information environment need to come together as a team to jointly define the goals and
objectives of IT.
Principle 4: Business Continuity
Statement:
Enterprise operations are maintained in spite of system interruptions.
Rationale:
As system operations become more pervasive, we become more dependent on them;
therefore, we must consider the reliability of such systems throughout their design and
use. Business premises throughout the enterprise must be provided with the capability
to continue their business functions regardless of external events. Hardware failure,
natural disasters, and data corruption should not be allowed to disrupt or stop enterprise
activities. The enterprise business functions must be capable of operating on alternative
information delivery mechanisms.
Principle 5: Common Use Applications
Statement:
Development of applications used across the enterprise is preferred over the
development of similar or duplicative applications which are only provided to a particular
organization.
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Rationale:
Duplicative capability is expensive and prolife rates conflicting data.
Principle 6: Service Orientation
Statement:
The architecture is based on a design of services which mirror real-world business
activities comprising the enterprise (or inter-enterprise) business processes.
Rationale:
Service orientation delivers enterprise agility and Boundary less Information Flow.
Principle 7: Compliance with Law
Statement:
Enterprise information management processes comply with all relevant laws, policies,
and regulations.
Rationale:
Enterprise policy is to abide by laws, policies, and regulations. This will not preclude
business process improvements that lead to changes in policies and regulations.
Principle 8: IT Responsibility
Statement:
The IT organization is responsible for owning and implementing IT processes and
infrastructure that enable solutions to meet user-defined requirements for functionality,
service levels, cost, and delivery timing.
Rationale:
Effectively align expectations with capabilities and costs so that all projects are cost-
effective. Efficient and effective solutions have reasonable costs and clear benefits.
Principle 9: Protection of Intellectual Property
Statement:
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The enterprise's Intellectual Property (IP) must be protected. This protection must be
reflected in the IT architecture, implementation, and governance processes.
Rationale:
A major part of an enterprise's IP is hosted in the IT domain.
Data Principles
Principle 10: Data is an Asset
Statement:
Data is an asset that has value to the enterprise and is managed accordingly.
Rationale:
Data is a valuable corporate resource; it has real, measurable value. In simple terms,
the purpose of data is to aid decision-making. Accurate, timely data is critical to
accurate, timely decisions. Most corporate assets are carefully managed, and data is no
exception. Data is the foundation of our decision-making, so we must also carefully
manage data to ensure that we know where it is, can rely upon its accuracy, and can
obtain it when and where we need it.
Principle 11: Data is shared
Statement:
Users have access to the data necessary to perform their duties; therefore, data is
shared across enterprise functions and organizations.
Rationale:
Timely access to accurate data is essential to improving the quality and efficiency of
enterprise decision-making. It is less costly to maintain timely, accurate data in a single
application, and then share it, than it is to maintain duplicative data in multiple
applications. The enterprise holds a wealth of data, but it is stored in hundreds of
incompatible stovepipe databases. The speed of data collection, creation, transfer, and
assimilation is driven by the ability of the organization to efficiently share these islands
of data across the organization.
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Shared data will result in improved decisions since we will rely on fewer (ultimately one
virtual) sources of more accurate and timely managed data for all of our decision-
making. Electronically shared data will result in increased efficiency when existing data
entities can be used, without re-keying, to create new entities.
Principle 12: Data is Accessible
Statement:
Data is accessible for users to perform their functions.
Rationale:
Wide access to data leads to efficiency and effectiveness in decision-making, and
affords timely response to information requests and service delivery. Using information
must be considered from an enterprise perspective to allow access by a wide variety of
users. Staff time is saved and consistency of data is improved.
Principle 13: Data Trustee
Statement:
Each data element has a trustee accountable for data quality.
Rationale:
One of the benefits of an architected environment is the ability to share data (e.g., text,
video, sound, etc.) across the enterprise. As the degree of data sharing grows and
business units rely upon common information, it becomes essential that only the data
trustee makes decisions about the content of data. Since data can lose its integrity
when it is entered multiple times, the data trustee will have sole responsibility for data
entry which eliminates redundant human effort and data storage resources.
Note:
A trustee is different than a steward - a trustee is responsible for accuracy and currency
of the data, while responsibilities of a steward may be broader and include data
standardization and definition tasks.
Principle 14: Common Vocabulary and Data Definitions
Statement:
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Data is defined consistently throughout the enterprise, and the definitions are
understandable and available to all users.
Rationale:
The data that will be used in the development of applications must have a common
definition throughout the Headquarters to enable sharing of data. A common vocabulary
will facilitate communications and enable dialog to be effective. In addition, it is required
to interface systems and exchange data.
Principle 15: Data Security
Statement:
Data is protected from unauthorized use and disclosure. In addition to the traditional
aspects of national security classification, this includes, but is not limited to, protection
of pre-decisional, sensitive, source selection-sensitive, and proprietary information.
Rationale:
Open sharing of information and the release of information via relevant legislation must
be balanced against the need to restrict the availability of classified, proprietary, and
sensitive information.
Existing laws and regulations require the safeguarding of national security and the
privacy of data, while permitting free and open access. Pre-decisional (work-in-
progress, not yet authorized for release) information must be protected to avoid
unwarranted speculation, misinterpretation, and inappropriate use.
Application Principles
Principle 16: Technology Independence
Statement:
Applications are independent of specific technology choices and therefore can operate
on a variety of technology platforms.
Rationale:
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Independence of applications from the underlying technology allows applications to be
developed, upgraded, and operated in the most cost-effective and timely way.
Otherwise technology, which is subject to continual obsolescence and vendor
dependence, becomes the driver rather than the user requirements themselves.
Realizing that every decision made with respect to IT makes us dependent on that
technology, the intent of this principle is to ensure that Application Software is not
dependent on specific hardware and operating systems software.
Principle 17: Ease-of-Use
Statement:
Applications are easy to use. The underlying technology is transparent to users, so they
can concentrate on tasks at hand.
Rationale:
The more a user has to understand the underlying technology, the less productive that
user is. Ease-of-use is a positive incentive for use of applications. It encourages users
to work within the integrated information environment instead of developing isolated
systems to accomplish the task outside of the enterprise's integrated information
environment. Most of the knowledge required to operate one system will be similar to
others. Training is kept to a minimum, and the risk of using a system improperly is low.
Using an application should be as intuitive as driving a different car.
Technology Principles
Principle 18: Requirements-Based Change
Statement:
Only in response to business needs are changes to applications and technology made.
Rationale:
This principle will foster an atmosphere where the information environment changes in
response to the needs of the business, rather than having the business change in
response to IT changes. This is to ensure that the purpose of the information support -
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the transaction of business - is the basis for any proposed change. Unintended effects
on business due to IT changes will be minimized. A change in technology may provide
an opportunity to improve the business process and, hence, change business needs.
Principle 19: Responsive Change Management
Statement:
Changes to the enterprise information environment are implemented in a timely manner.
Rationale:
If people are to be expected to work within the enterprise information environment, that
information environment must be responsive to their needs.
Principle 20: Control Technical Diversity
Statement:
Technological diversity is controlled to minimize the non-trivial cost of maintaining
expertise in and connectivity between multiple processing environments.
Rationale:
There is a real, non-trivial cost of infrastructure required to support alternative
technologies for processing environments. There are further infrastructure costs
incurred to keep multiple processor constructs interconnected and maintained.
Limiting the number of supported components will simplify maintainability and reduce
costs.
The business advantages of minimum technical diversity include: standard packaging of

components; predictable implementation impact; predictable valuations and returns;
redefined testing; utility status; and increased flexibility to accommodate technological
advancements. Common technology across the enterprise brings the benefits of
economies of scale to the enterprise. Technical administration and support costs are
better controlled when limited resources can focus on this shared set of technology.
Principle 21: Interoperability
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Statement:
Software and hardware should conform to defined standards that promote
interoperability for data, applications, and technology.
Rationale:
Standards help ensure consistency, thus improving the ability to manage systems and
improve user satisfaction, and protect existing IT investments, thus maximizing return
on investment and reducing costs. Standards for interoperability additionally help
ensure support from multiple vendors for their products, and facilitate supply chain
integration.
2.3. From other resources:
The Principles are collected from (Erik Proper, 2011) and (Guimarães, 2012) as a
element of enterprise architecture
Principle 1: Business Units Are Autonomous
Domain: business
Rationale:
•Autonomous business units can adapt to changes quickly because they do not need to
align with other business units.
•Autonomous business units can be separated more easily from a financial and
organizational perspective, and eases future restructuring.
Principle 2: Customers Have a Single Point of Contact
Domain: business
Rationale:
It is much more customer friendly when the customer can direct all his communication
to a single point, is serviced directly, and does not have to contact multiple people.
A single point of contact also ensures that consistent information is provided to the
customer.
It is more efficient to dedicate resources to handling customer contacts, and prevent
interruptions in operational activities.
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Principle 3: Stock Is Kept to a Minimum
Domain: business
Rationale:
•Keeping stock at a minimum saves costs since unnecessary investment, storage and
transport is prevented.
•A small stock allows quality problems to be detected and solved quickly, so that the
quality of additional delivery increases.
Principle 4: Processes Are Straight Through
Domain: business
Rationale:
Straight through processes strive to deliver the output with a minimum delay, which
increases customer satisfaction.
Straight through processing aims to streamline processes and make them as efficient
as possible.
Principle 5: Processes Are Standardized
Domain: business
Rationale:
Standard processes are repeatable, predictable, scalable and more efficient.
Process standardization is often required in order to comply with certain legislation or
quality standards.
Principle 6: Management Layers Are Minimized
Domain: business
Rationale:
Elimination of management layers minimizes overhead costs.
By eliminating management people tend to take more responsibility for their work, which
increases the quality and efficiency.
Principle 7: Tasks Are Designed Around Outcome

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Domain: business
Rationale:
By making workers responsible for the delivery of the outcome they feel more involved
and tend to take more responsibility for their work, which increases the quality and
efficiency.
Giving people more responsibility also increases their job satisfaction.
Principle 8: Routine Tasks Are Automated
Domain: business, application

Rationale:
Routine tasks require relatively little specific knowledge and can be automated fairly
easy.
Automated tasks are more efficient in time and costs, and less error-prone than manual
tasks.
Principle 9: Primary Business Processes are not disturbed by Implementation of

Changes
Domain: business, application, technology

Rationale:
Primary business processes are the core of the organization, and disturbances in these
have a major impact on the organization.
Organizations change continuously, and frequent disturbances are unacceptable.
Principle 10 Components Are Centralized
Domain: business, data, application, technology

Rationale:
Central components are easier to manage since management can be targeted at one
location.
Centralization eases consolidation and standardization.
Centralization can benefit from economies of scale.
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Principle 11 Front-Office Processes Are Separated from Back-Office Processes
Domain: business, data, application

Rationale:
Front-office processes are different from back-office processes: the first is focused on
customer intimacy while the other is focused on operational excellence.
Front-office processes require different skills and knowledge than back-office
processes.
Separating back-office processes from front-office processes allows for reusing these
back-office processes.
Principle 12 Channel-Specific Is Separated from Channel-Independent
Domain: business, data, application

Rationale:
A lot of business activity is independent of the channel (telephone, mail, Internet, office)
through which customers are contacted, and can be shared for multiple channels.
•Data are ideally available through all channels, which is only possible when the data
are managed in channel-independent processes.
Principle 13: The Status of Customer Requests Is Readily Available
Inside and Outside the Organization

Domain: data, application
Rationale:
Customers want to know when to expect a response to their request.
The status of a customer request is also important for the internal organization, since
service levels must be met.
Principle 14: Data Are Provided by the Source

Rationale:
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When those who have the data also provide them, unnecessary intermediate layers
(e.g. people or IT components) are prevented.
The performance and reliability of the data also increases, since each link in the chain
adds performance overhead and potential errors.
Principle 15: Data Are Maintained in the Source Application

Rationale:
Maintaining data in multiple places introduces risks of inconsistencies, which is
undesirable at best.
It is inefficient to gather similar data from multiple places and resolve any potential
conflicts.
Principle 16: Data Are Captured Once

Rationale:
It is inefficient and user-unfriendly to ask for the same data twice or more.
Principle 17: Data Are Consistent Through All Channels
Domain: data
Rationale:
This enables sharing data more effectively, through all channels (e.g. branch, Internet,
mail).
It enables users to work at their preferred appropriate time, location, and device for
given task.
Principle 18: Content and Presentation Are Separated
Domain: data
Rationale:
Content that is separated from presentation can be reused in multiple channels.
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If content and presentation are separated they can be authored independently from
each other.
Principle 19: Data Are Stored and Exchanged Electronically
Domain: data
Rationale:
Storing data in electronic form makes sharing the data much easier.
Data that are available electronically can be manipulated and retrieved in structured
form and make it available for automated handling in IT systems.
Electronic data exchange is much more efficient and less error-prone than manual
exchange.
Principle 20: Data That Are Exchanged Adhere to a Canonical Data Model
Domain: Data
Rationale:
Using common data definitions prevents unnecessary translations and semantic
differences.
A Canonical Data Model standardizes the definitions of data that are exchanged within
the organization.
Principle 21: Data Are Exchanged in Real-Time
Domain: data
Rationale:
Users expect the most recent data in most of their work processes.
Decisions made based on old data have a lower accuracy and may lead to errors and/or
inconsistencies.
Principle 22: Bulk Data Exchanges Rely on ETL Tools
Domain: data, technology

Rationale:
22
ETL tools provide the most efficient solution for bulk data exchanges, minimizing the
time needed for the exchange.
ETL tools are proven solutions for bulk data exchanges.
Principle 23: Documents Are Stored in the Document Management System
Domain: data
Rationale:
This allows finding and retrieving documents from one location and sharing them
between workers.
Electronic storage of documents prevents physical handing of documents.
Generic measures for security and archiving the documents can be enforced by the
document management system.
Principle 24: Reporting and Analytical Applications Do Not Use the Operational
Environment

Rationale:
Reporting from a separate environment prevents interruptions and delays in the
operational environment.
Reports often require data that are spread over multiple applications.
Analytical applications require their own data, and using a separate environment
prevents polluting the operational data.
Principle 25: Applications Do Not Cross Business Function Boundaries
Domain: application
Rationale:
This allows business functions (e.g. procurement, sales, production, et cetera) to
operate as independently as possible.
It shields business functions from changes in other business functions.
Principle 26: Applications Have a Common Look-and-Feel
23
Domain: application
Rationale:
Inconsistency leads to a lower productivity and irritation of users.
A consistent user interface optimally supports the business process.
Principle 26: Applications Respect Logical Units of Work

Quality attributes: reliability
Rationale:
Business processes consist of logical units of work that need to succeed or fail as a
whole.
Inconsistency of data should be prevented.
Logical units of work provide well-defined moments in time in which data are consistent.
Principle 27: IT Systems Are Standardized and Reused Throughout the

Organization
Domain: application, technology
Rationale:
Standardized systems are cheaper because redundant investments are prevented, and
economies of scale can be exploited.
Principle 28: IT Systems Adhere to Open Standards
Domain: data, application, technology

Quality attributes: maintainability, portability
Rationale:
Open standards ease the integration of IT systems.
Open standards prevent a vendor lock-in.
Principle 29: IT Systems Are Preferably Open Source
24
Quality attributes: efficiency, maintainability
Rationale:
Open source software prevents vendor lock-in.
Open source software is much cheaper to procure and maintain than commercial
software.
Principle 30: Security Is Defined Declaratively

Quality attributes: functionality, maintainability
Rationale:
Security is a cross-cutting concern that should be defined only once for maintainability
and consistency reasons.
Security should not depend (solely) upon the discipline of application developers to
embed security controls in programming code.
Principle 31: All Messages Are Exchanged Through the Enterprise
Service Bus
Domain: data, application, technology
Rationale:
The Enterprise Service Bus shields IT systems from changes in other systems, such as
changes in location, data model or technology.
Manageability of message exchanges increases since all exchanges are defined in the
bus, and the bus can guard the quality of service.
25
III. Classification of Architecture Principles
3.1. Based-on Architecture domains
3.1.1. From Lightweight Architecture
a. Approaches:
Enterprise Principles need to provide a tangible set of measures that technology can
readily adopt. Often, companies make principles that are vague, using “-able” terms.
These include the following principles:
 Systems need to be scalable to meet future demand.

 The architecture needs to be flexible to add future functionality.
 The designs need high adaptability to minimize effort.
While these are worthy attributes, they are useless because they have different
meanings for various resources. Scalability for an operations man-ager means handling
current capacity demands with the given infrastructure and adding hardware as demand
increases. A marketing manager sees scalability as the ability to handle current and
future numbers of customers.
b. Scopes:
Another important aspect of developing measures is that they be reason-able within the
context of the realm. In one Fortune 500 computer manufacturer, I approached a vice
president of the Architecture Group and asked what the organization perceived as
acceptable transaction cycles for a consumer Web site. The VP responded that all Web
site interactions with any customer required sub-second performance, as was the
principle of the technology outlined in their architecture.
While this is a tangible measure, it is unreasonable to believe that system performance

should obtain such metrics, as they would become cost prohibitive. This is especially
the case when response depends on outside influences, such as network response time
26
at the customer location, transactions that span multiple companies (e.g., credit card
purchases are handled through financial clearing houses), and other factors.
Additionally, the customer may not expect all transactions to be sub-second responses
(although that would be nice). For example, the ordering of a new computer does not
complete in a sub-second timeframe, but rather consists of the following chain of
events:
 Selecting the computer

 Selecting the payment method and obtaining approval
 Building/configuring the computer
 Testing the computer
 Shipping the computer
 Receiving the computer
A common mistake that I have noticed is the inclusion of dozens of principles for
technology to follow. Unfortunately, as the number of principles increases, the “law of
diminishing returns” comes into effect and eventually principles begin to contradict
each other. A good analogy is the engineering pick list.
For new system development, the system designed needs the selection of the following
attributes chosen before development occurs:
 Fast
 Cheap
 Good
Unfortunately, only two of the above three items can be selected for any new projects.
Too few principles do not provide enough criteria to define a product or service, and too
many principles widen the scope, which again prohibits the execution of technology to
support a product or service.
Another failure of too many principles is that enterprises cannot readily adopt all these
principles in their efforts.
27
The number (i.e., 5 to 7) of principle statements is not an exact number to
achieve, but it does seem optimal for most organizations. For an example of NASA,
there were only three principles. However, upon reflection, it is easy to see that there
were several additional principles. One principle outlined by Kennedy was budgetary
constraints, as the American people would only tolerate a certain level of expenditure. In
addition, another principle was security, inherited from a previous charter by the
government agency — NASA.
The bottom line for LEA is that there exists a core set of Enterprise Principles (around
five to seven) that are measurable and indicate the priorities of the enterprise identified
to the organization. At a minimum, basic measures of the principles should include
the following:
 Product or service demands at various phases (including hourly, daily, annually,

etc.)
 Time constraints
 Resource constraints (resources are not infinite in any organization, so what are
the limits)
However, the notion of profitability or any generic money related statement is not a
principle. Every organization needs to be profitable and not spend all of its capital. Even
nonprofit organizations cannot deploy technology that costs more than the monies
raised in funding. Profitability or maintaining capital assets is a given; principles need
to identify how the organization expects technology to achieve this basic idea.
3.1.2. From TOGAF

A qualitative statement should be met by the architecture. There are at least a
supporting rationale and a measure of importance
a. Approaches:
Principles are general rules and guidelines, intended to be enduring and seldom
amended, that inform and support the way in which an organization sets about fulfilling
its mission.
28
In their turn, principles maybe just one element in a structured set of ideas that
collectively define and guide the organization, from values through to actions and
results.
Depending on the organization, principles maybe established at any or all of three

levels:
Enterprise principles provide a basis for decision-making throughout an enterprise, and

inform how the organization sets about fulfilling its mission. Such enterprise-level
principles are commonly found in governmental and not-for-profit organizations, but are
encountered in commercial organizations also, as a means of harmonizing decision-
making across a distributed organization. In particular, they are a key element in a
successful architecture governance strategy (see Chapter 50).
Information Technology (IT) principles provide guidance on the use and deployment of
all IT resources and assets across the enterprise. They are developed in order to make
the information environment as productive and cost-effective as possible.
 Architecture principles are a subset of IT principles that relate to architecture

work. They reflect a level of consensus across the enterprise, and embody the
spirit and thinking of the enterprise architecture. Architecture principles can be
further divided into:
 Principles that govern the architecture process, affecting the development,
maintenance, and use of the enterprise architecture
 Principles that govern the implementation of the architecture, establishing the
first tenets and related guidance for designing and developing information
systems
These sets of principles form a hierarchy, in that IT principles will be informed by, and
elaborate on, the principles at the enterprise level; and architecture principles will
likewise be informed by the principles at the two higher levels.
The remainder of this section deals exclusively with architecture principles.
b. Scopes:
29
Architecture principles define the underlying general rules and guidelines for the use
and deployment of all IT resources and assets across the enterprise. They reflect a
level of consensus among the various elements of the enterprise, and form the basis for
making future IT decisions.
Each architecture principle should be clearly related back to the business objectives and
key architecture drivers.
c. List:
Business Principles
Principle 1: Business Commitment
Statement: These principles of information management apply to the enterprise.

Rationale:
The only way we can provide a consistent and measurable level of quality information to
decision makers is if all involved support these principles.
Principle 2: Maximize Benefit to the enterprise > Common Use of Services
Statement:
Information management decisions are made to provide maximum benefit to the
enterprise as a whole with common use of services as a permanent goal.
Rationale:
By re-using existing technology within the enterprise we maximize our existing
investment. Therefore applications and technology already deployed and maintained
should be considered when deploying new systems and proposing solutions.
Decisions made from an enterprise-wide perspective have greater long-term value than
decisions made from the isolated perspective of individual business units.
Minimize fragmentation of information and maximize investment by deploying fewer

services that serve enterprise-wide purposes as opposed to multiple (and overlapping)
solutions that serve individual business units purposes.
Duplicative capability is expensive and proliferate conflicting data.
30
Principle 3: Business Continuity
Statement:
Enterprise operations disruptions are minimized due to system interruptions.
Rationale:
The business will decide the level of availability and recoverability of its systems
balancing criticality of each system with the resources available (cost, management,
etc.) for the enterprise to operate.
The enterprise users must be provided the capability to continue their business
functions within parameters established by the enterprise.
Principle 4: IT Responsibility
Statement:
The IT organization is responsible for owning and implementing IT processes and
infrastructure that enable solutions to meet user defined requirements for functionality,
service levels, cost, and delivery.
Rationale:
Effectively align expectations with capabilities and costs so that all projects are cost
effective.
Efficient and effective solutions have reasonable costs and clear benefits.
Data Principles
There are three closely-related foundation data principles: Data is an Asset; Data is
shared; and Data is Easily Accessible. All entities within the enterprise must understand
the relationship between value of data, sharing of data, and accessibility to data.
Principle 5: Data is an Asset
Statement:
Data is an asset that has value to the enterprise and is managed accordingly. Data is an
enterprise asset that should be leveraged across the enterprise over time.
31
Rationale:
Data is a valuable corporate resource; it has real, measurable value. In simple terms,
the purpose of data is to aid decision making.
Accurate, timely data is critical to accurate, timely decisions; data is the foundation of
our decision making, so we must also carefully manage data to assure that we know
where it is, can rely upon its accuracy, and can obtain it when and where we need it.
Principle 6: Data is shared
Statement:
Data is appropriately shared across relevant functions and systems.
Rationale:
Appropriate data sharing improves the quality and efficiency of enterprise decision-
making.
It is less costly to maintain timely, accurate data in a single application, and then share
it, than it is to maintain duplicative data in multiple applications.
The speed of data collection, creation, transfer, and assimilation is driven by the ability
of the organization to efficiently and appropriately share data across the organization.
Shared data will result in increased efficiency when existing data entities can be used,
without re-keying, to create new entities.
Principle 7: Data is Accessible
Statement:
Data is accessible for authorized users to perform their functions.
Rationale:
Wide access to data leads to efficiency and effectiveness in decision-making, and
enables timely response to information requests and service delivery.
Using information must be considered from an enterprise perspective to allow access by

a wide variety of users.
32
Staff time is saved and consistency of data is improved.
Principle 8: Data is Reliable
Statement:
Each data set has a Data Owner that ensures the data is reliable, consistent across all
systems and data sources.
Rationale:
Unreliable data will impede appropriate, efficient and accurate business decision-
making.
Principle 9: Ease of Use
Statement:
Applications are easy to use and intuitive. The underlying technology is transparent to
users, so they can concentrate on tasks at hand.
Rationale:
The more a user has to understand the underlying technology the less productive that
user is.
Ease of use is a positive incentive for use of applications.
Training is kept to a minimum, and the risk of using a system improperly is low.
Principle 10: Technology Independence
Statement:
Applications are independent of specific technology choices and therefore can operate
on a variety of technology platforms.
Rationale:
Independence of applications from the underlying technology allows applications to be
developed, upgraded, and operated in the most cost-effective and timely way.
33
Otherwise technology, which is subject to continual obsolescence and vendor
dependence, becomes the driver rather than the user requirements themselves.
Realizing that every decision made with respect to IT makes us dependent on that
technology, the intent of this principle is to ensure that Application Software is not
dependent on specific hardware and operating systems software - within reason.
Technology Principles
Principle 11: Requirements-Based Change
Statement:
Only in response to business needs are changes to applications and technology made.
Rationale:
This principle will foster an atmosphere where the information environment changes in
response to the needs of the business, rather than having the business change in
response to information technology changes. However, a change in technology may
provide an opportunity to improve the business process and hence, change business
needs.
Principle 12: Responsive Change Management
Statement:
Changes to the enterprise information environment are implemented in a timely manner.
Rationale:
If users are expected to work within the enterprise information environment, this
information environment must be responsive to their needs.
Principle 13: Control Technical Diversity
Statement:
Technological diversity is controlled to minimize costs of maintaining multiple and often
duplicate technologies and the connectivity between them.
Rationale:
34
Limiting the number of supported components will simplify maintainability and reduce
costs.
Technological diversity is controlled based on a defined set of business needs and

standards to ensure that IT services are efficient, sustainable, robust and secure.
Less technology to maintain will improve the response time to support issues.
Principle 14: Interoperability
Statement:
Software and hardware should conform to defined standards that promote
interoperability for data, applications and technology.
Rationale:
Standards help ensure consistency, thus improving the ability to manage systems and
improve user satisfaction, and protect existing IT investments.
Standards for interoperability additionally help ensure support from multiple vendors for
their products.
3.2. Based on sizes of Enterprise and necessary levels of Principles
3.2.1. The classification of Architecture

EA is classified into three levels: Large EA, Medium EA, Lightweight EA
This classification based on the level of detail of document which each domain contains.
Range of ranked mark is from 1 to 4, the domain which has lowest level of detail is
assessed to be 1, the domain which has more detail of document will be higher mark,
and maximized mark is assigned to the most detail to be 4. So, we have the following
table1:
1
Author’s table
35
Large EA Medium EA Lightweight EA
Business Architecture 4 3 1
Data Architecture 4 3 1
Application Architecture 4 2 1
Technology Architecture 4 2 1
Based on the maturity of EA, and sizes of Enterprise, the author offer appropriate
architecture to enterprise such as following table2:
Maturity Large Enterprise Medium Enterprise Small Enterprise
Short-term LEA LEA LEA
Intermediate-term MEA MEA LEA
Long-term HEA MEA LEA
The small business should be deployed LEA. For medium-sized enterprises, in the
initial period of implementation, LEA will be applied, after intermediate-term time,
lightweight architecture will be become medium architecture. For large enterprises,
firstly, LEA is applied, and the deployment over time, the architecture will be expanded
into medium EA and then a larger architecture.
Small and medium enterprises are small enterprises with little in terms of capital, labor
or revenue. Enterprises can be divided into three categories based on size as well as
small businesses, medium and large-sized enterprises such as following table3:
2
LEA: Lightweight Enterprise Architecture; MEA: Medium Enterprise Architecture; HEA: Heavy Enterprise
Architecture
3
vi.wikipedia.org/wiki/Doanh_nghiệp_nhỏ_và_vừa
36
Small Enterprise Medium Enterprise Large Enterprise
World Bank 10-50 50-300 > 300
Vietnam 10-200 200-300 > 300
According to the criteria of the World Bank Group, small enterprises are enterprises with
the number of employees from 10 to 50 people, medium businesses have the number
of employees from 50 to 300 people, while large-sized enterprises with more 300
labors.
In each country, we have to determine its own criteria of small and medium enterprises
in their countries. In Vietnam, according to Decree No. 56/2009/ND-CP dated 30/6/2009
of the Government, the amount of labor required annual average of 200 or less is
considered small o enterprises, 200 less than 300 employees are considered medium
enterprises and more 300 workers are to be treated as large Enterprises.
Small and medium businesses can keep an important role in the economy: the small
and medium enterprises account for a large proportion, even overwhelming number of
businesses.
 In Vietnam, only at registered businesses, the rate is above 95%). Therefore,

their contribution to total output and employment is significant.
 in Europe, There are 20.8 million SMEs in Europe (99.8% of all companies), 19.2
million micro enterprises (<= 10 employees, turnover <= 2 million euros or total
assets <= 2 million euros), 70% of European jobs, 58.4% of gross production.4
4
European Commission (2010) Are EU SMEs Recovering from the Crisis? Annual Report on EU Small and Medium
Sized Enterprise
37
The principles are classified based on sizes of enterprise (Large, Medium, Small) and
with each type of enterprise sizes is assigned to necessary level such as: mandatory
(M) or recommended (R) or optional (O).
Number of principles is analyzed to be 40, view more detail in Appendix A, are got from
3 sources: (The Open Group, 2008), (Erik Proper, 2011), (Guimarães, 2012)
3.2.2. Small Enterprises

Most of small enterprises is newly established, they need these enterprises need the
agility to develop business and get more profit.
a. Business Principles
Principle Name Quality Statement

These principles of information management apply to
1 Primacy of Principles M
all organizations within the enterprise.
Information management decisions are made to
Maximize Benefit to
2 M provide maximum benefit to the enterprise as a
the Enterprise
whole.
Information All organizations in the enterprise participate in
3 Management is M information management decisions needed to
Everybody's Business accomplish business objectives.
Enterprise information management processes
4 Compliance with Law M comply with all relevant laws, policies, and
regulations.
•Autonomous business units can adapt to changes
quickly because they do not need to align with other
Business Units Are business units.
5 M
Autonomous •Autonomous business units can be separated more
easily from a financial and organizational perspective,
and eases future restructuring.
It is much more customer friendly when the customer
Customers Have a
can direct all his communication to a single point, is
6 Single Point of M
serviced directly, and does not have to contact
Contact
multiple people.
By making workers responsible for the delivery of the
Tasks Are Designed outcome they feel more involved and tend to take
7 M
Around Outcome more responsibility for their work, which increases the
quality and efficiency.
Enterprise operations are maintained in spite of
8 Business Continuity R
system interruptions
38
Development of applications used across the
Common Use enterprise is preferred over the development
9 O
Applications of similar or duplicative applications which are only
provided to a particular organization.
The architecture is based on a design of services which
10 Service Orientation O mirror real-world business activities comprising the
enterprise (or inter-enterprise) business processes.
Processes Are Standard processes are repeatable, predictable,
11 O
Standardized scalable and more efficient
Management Layers Elimination of management layers minimizes
12 O
Are Minimized overhead costs, increases the quality and efficiency
b. Data Principles

The enterprise's Intellectual Property (IP) must be
Protection of
protected. This protection must be reflected in the IT
13 Intellectual M
architecture, implementation, and governance
Property
processes.
Data is an asset that has value to the enterprise and is
14 Data is an Asset M
managed accordingly
Users have access to the data necessary to perform
15 Data is shared R their duties; therefore, data is shared across
enterprise functions and organizations.
Data is defined consistently throughout the enterprise,
Common Vocabulary
16 R and the definitions are understandable and available
and Data Definitions
to all users.
17 Data is Accessible O Data is accessible for users to perform their functions
c. Application Principles

Applications are independent of specific technology
Technology
18 R choices and therefore can operate on a variety of
Independence
technology platforms.
Applications are easy to use. The underlying
19 Ease-of-Use R technology is transparent to users, so they can
concentrate on tasks at hand
d. Technology Principles

Responsive Change Changes to the enterprise information environment
20 M
Management are implemented in a timely manner.
39
Requirements-Based Only in response to business needs are changes to
21 R
Change applications and technology made.
Software and hardware should conform to defined
22 Interoperability R standards that promote interoperability for data,
applications, and technology
Technological diversity is controlled to minimize the
Control Technical non-trivial cost of maintaining expertise in and
23 O
Diversity connectivity between multiple processing
environments
3.2.3. Medium Enterprises

Maximize Benefit to
the Enterprise
whole.
Everybody's Business accomplish business objectives
4 Business Continuity M
Enterprise information management processes comply
5 Compliance with Law M
with all relevant laws, policies, and regulations.
The IT organization is responsible for owning and
implementing IT processes and infrastructure that
6 IT Responsibility M enable solutions to meet user-defined requirements
for functionality, service levels, cost, and delivery
timing.
Customers Have a can direct all his communication to a single point, is
7 M
Single Point of Contact serviced directly, and does not have to contact
multiple people.
8 M
9 M
Around Outcome more responsibility for their work, which increases the
quality and efficiency.
40
Common Use enterprise is preferred over the development of
10 R
Applications similar or duplicative applications which are only
The architecture is based on a design of services which
11 Service Orientation R mirror real-world business activities comprising the
enterprise (or inter-enterprise) business processes.
Management Layers Elimination of management layers minimizes overhead
12 R
Are Minimized costs, increases the quality and efficiency
b. Data Principles

Protection of protected. This protection must be reflected in the IT
13 M
Intellectual Property architecture, implementation, and governance
processes.
Data is an asset that has value to the enterprise and is
14 Data is an Asset
M managed accordingly
Data is defined consistently throughout the enterprise,
Common Vocabulary
15 M and the definitions are understandable and available
to all users.
16 Data is shared R their duties; therefore, data is shared across
17 Data is Accessible R Data is accessible for users to perform their functions

Technology
18 M choices and therefore can operate on a variety of
Independence
19 Ease-of-Use M technology is transparent to users, so they can

20 M
21 M
41
22 Interoperability M standards that promote interoperability for data,
23 R
environments
3.2.4. Large Enterprises

Maximize Benefit to
the Enterprise
whole.
Everybody's Business accomplish business objectives
4 Business Continuity M
Enterprise information management processes
5 Compliance with Law M comply with all relevant laws, policies, and
regulations.
implementing IT processes and infrastructure that
6 IT Responsibility M enable solutions to meet user-defined requirements
for functionality, service levels, cost, and delivery
timing.
7 M
Management Layers Elimination of management layers minimizes
8 M
Are Minimized overhead costs, increases the quality and efficiency
9 M
Around Outcome more responsibility for their work, which increases
the quality and efficiency.
Common Use enterprise is preferred over the development of
10 R
Applications similar or duplicative applications which are only
42
The architecture is based on a design of services
which mirror real-world business activities comprising
11 Service Orientation R
the enterprise (or inter-enterprise) business
processes.
Customers Have a can direct all his communication to a single point, is
12 R
Single Point of Contact serviced directly, and does not have to contact
multiple people.
b. Data Principles

Protection of protected. This protection must be reflected in the IT
13 M
Intellectual Property architecture, implementation, and governance
processes.
Data is an asset that has value to the enterprise and
14 Data is an Asset
M is managed accordingly
15 Data is shared M their duties; therefore, data is shared across
16 Data is Accessible M Data is accessible for users to perform their functions
Data is defined consistently throughout the
Common Vocabulary
17 M enterprise, and the definitions are understandable
and available to all users.

Technology
18 M choices and therefore can operate on a variety of
Independence
19 Ease-of-Use M technology is transparent to users, so they can

20 M
21 M
43
22 M
environments
23 Interoperability M standards that promote interoperability for data,
3.3. The statistical results
We have number of principles distribute to base on sizes of enterprise, domains,

necessary level as following table:
Large Enterprise Medium Enterprise Small Enterprise
Domain Necessary Number of Necessary Number of Necessary Number of

Level Principles Total Level Principles Total Level Principles Total
M 16 M 11 M 8
Business R 3 19 R 7 19 R 2 15
O 0 O 1 O 5
M 8 M 3 M 2
Data R 1 9 R 4 8 R 3 6
O 0 O 1 O 1
M 2 M 2 R 2
Application 6 3 2
R 4 O 1 M 0
M 5 M 3 M 1
Technology R 1 6 R 2 5 R 3 5
O 0 O 0 O 1
Total 40 35 28
44
Charts of pie show us to see the ratio of distribution of principles in domains:
Principles of Large Enterprise Principles of Medium Enterprise

Business Data Application Technology Business Data Application Technology
15% 14%
9%
15% 47%
54%
23%
23%
Principles of Small Enterprise

Business Data Application Technology
18%
7%
54%
21%
With enterprise is big, number of principles is in Data, Application Technology domain to

be more. So, the principles of Data, Application, Technology Domain is more important
for large enterprise, while smaller businesses will focus on principles of Business
domain
We will make view the distribution of Principles about domains
45
20
18
16
14
12 Business Principles
10 Data Principles
8
6
Technology
4
2
0
Large Enterprise Medium Small Enterprise
Enterprise
See the chart; from right to left, we see that the number of Principles in Data,
Application, and Technology Domains is to increase by developing size of enterprise.
Enterprises are larger size, they needs to manage information more and more. So, they
require great support by information technology systems.
Similarly, the number of principles in Business also increases from right to left. Firm size
is larger, it need more principles.
We make view the distribution of Principles about necessary levels
Distribution of Principles
35
30
25
20
15
10
5
0
Small Enterprise Medium Enterprise Large Enterprise
Mandatory Recommended Optional
46
The most of small enterprise is newly established, they want to earn more benefit to
develop. So, they need the agile principles to support strongly business. With the bigger
enterprise, they need principles which are consistency, sustainable to support their daily
operation
 Mandatory principles: The Enterprises is bigger size; number of Mandatory

principles is more.
 Recommended principles: Number of principles of each size is same.
 Optional principles: The Enterprises is smaller size; number of Optional
principles is more.
Besides, we offer some principles will be perforce applied or all enterprise,
Principles Domain Name Statement
These principles of information

1 Business Primacy of Principles management apply to all organizations
within the enterprise.
Information management decisions are

2 Business Maximize Benefit to the Enterprise made to provide maximum benefit to
the enterprise as a whole.
All organizations in the enterprise

Information Management is participate in information management
3 Business
Everybody's Business decisions needed to accomplish business
objectives
Enterprise operations are maintained in
4 Business Business Continuity
spite of system interruptions
Enterprise information management

5 Business Compliance with Law processes comply with all relevant laws,
policies, and regulations.
The IT organization is responsible for

owning and implementing IT processes
and infrastructure that enable solutions
6 Business IT Responsibility
to meet user-defined requirements for
functionality, service levels, cost, and
delivery timing.
47
Standard processes are repeatable,
7 Business Processes Are Standardized
predictable, scalable and more efficient
Management Layers Are
8 Business Not Available
Minimized
The enterprise's Intellectual Property
(IP) must be protected. This protection
9 Data Protection of Intellectual Property must be reflected in the IT architecture,
implementation, and governance
processes.
Data is an asset that has value to the
10 Data Data is an Asset
enterprise and is managed accordingly
Only in response to business needs are

11 Technology Requirements-Based Change changes to applications and technology
made.
48
IV. Proposal of Principles for Lightweight Enterprise
Architecture
Mike Kavis, an enterprise architect and consultant currently working for a small startup –
20 people - affirms they are using EA methods because it is valuable to them:
Kavis mentions they are not using the whole stack, but are using planning and business
elements that make sense, considering their target and available resources:
My company consists of less than 20 full time employees, advisors, and consultants
(Size=small). Our culture is comprised of seasoned veterans who are entrepreneurial in nature.
We don’t believe in rigid process. Our budget is limited since are funded by angel investors. We
have extremely talented engineers and business people with years of domain knowledge. We
don’t see ourselves exiting in the next two three years yet we don’t expect to be here in 20 years
either (longevity=medium term). Our desired outcome is to be agile, easily integrate with
partners and customers, and to be respected as first class organization. So I analyzed this
criteria and came up with the following components of EA that I believed would help us meet our
goals:
 Business architecture
 3-5 year business roadmap
 Portfolio management (prioritizing what we work on and when)
 Various technology visuals (infrastructure, information, etc.)
As the above synthetic and analysis of Principles we collected. We propose list of the
principles associated to Lightweight Enterprise Architecture which is applied to SMEs.
No. Domain Name Statement Rationale
These principles of information The only way we can provide a consistent and
Primacy of
1 Business management apply to all measurable level of quality information to decision-
Principles
organizations within the enterprise. makers is if all organizations abide by the principles.
This principle embodies ‘‘service above self ’’. Decisions
made from an enterprise-wide perspective have greater
long-term value than decisions made from any
Information management decisions
particular organizational perspective. Maximum return
Maximize Benefit are made to provide maximum
2 Business on investment requires information management
to the Enterprise benefit to the enterprise as a
decisions to adhere to enterprise-wide drivers and
whole.
priorities. No minority group will detract from the
benefit of the whole. However, this principle will not
preclude any minority group from getting its job done.
49
This principle means "service above all." A better
alignment between IT and the business must generate
a competitive edge for the financial institution.
Information management decisions
Decisions based on the corporate perspective have
are always made under the
greater long-term value than decisions based on a
IT and business business alignment perspective in
3 Business certain perspective of a group with a specific interest.
alignment order to generate maximum
An optimal ROI requires information management
benefits for the company as a
decisions to be aligned with the company's priorities
whole.
and positioning. No single area must affect the benefit
of the company. This principle, however, must not
prevent anyone from performing tasks and activities.
Corporate information The information management corporate policy must
Compliance with
management processes must comply with internal policies and regulations. This does
4 Business standards and
comply with all applicable not prevent improving corporate processes that
policies
internal policies and regulations. conduct policy and regulation changes.
Information users are the key stakeholders, or
customers, in the application of technology to address a
business need. In order to ensure Information
Information All organizations in the enterprise management is aligned with the business, all
Management is participate in information organizations in the enterprise must be involved in all
5 Business
Everybody's management decisions needed to aspects of the Information environment. The business
Business accomplish business objectives experts from across the enterprise and the technical
staff responsible for developing and sustaining the
Information environment need to come together as a
team to jointly define the goals and objectives of IT.
As system operations become more pervasive, we
become more dependent on them; therefore, we must
consider the reliability of such systems throughout their
design and use. Business premises throughout the
Enterprise operations are enterprise must be provided with the capability to
6 Business Business Continuity maintained in spite of system continue their business functions regardless of external
interruptions events. Hardware failure, natural disasters, and data
corruption should not be allowed to disrupt or stop
enterprise activities. The enterprise business functions
must be capable of operating on alternative
Information delivery mechanisms.
Enterprise information Enterprise policy is to abide bylaws, policies, and
Compliance with management processes comply regulations. This will not preclude business process
7 Business
Law with all relevant laws, policies, and improvements that lead to changes in policies and
regulations. regulations.
The IT organization is responsible
for owning and implementing IT
Effectively align expectations with capabilities and costs
processes and infrastructure that
so that all projects are cost-effective. Efficient and
8 Business IT Responsibility enable solutions to meet user-
effective solutions have reasonable costs and clear
defined requirements for
benefits.
functionality, service levels, cost,
and delivery timing.
•Standard processes are repeatable, predictable,
Processes Are scalable and more efficient.
Standardized •Process standardization is often required in order to
comply with certain legislation or quality standards.
50
•Elimination of management layers minimizes
Management overhead costs.
10 Business Layers Are Not Available •By eliminating management people tend to take more
Minimized responsibility for their work, which increases the quality
and efficiency.
By making workers responsible for •By making workers responsible for the delivery of the
the delivery of the outcome they outcome they feel more involved and tend to take
Tasks Are Designed feel more involved and tend to take more responsibility for their work, which increases the
11 Business
Around Outcome more responsibility for their work, quality and efficiency.
which increases the quality and •Giving people more responsibility also increases their
efficiency. job satisfaction.
•Elimination of management layers minimizes
Management overhead costs.
12 Business Layers Are Not Available •By eliminating management people tend to take more
Minimized responsibility for their work, which increases the quality
and efficiency.
Development of applications used
across the enterprise is preferred
Common Use over the development of similar or Duplicative capability is expensive and prolife rates
13 Business
Applications duplicative applications which are conflicting data.
only provided to a particular
organization.
The architecture is based on a
design of services which mirror
Service orientation delivers enterprise agility and
14 Business Service Orientation real-world business activities
Boundaryless Information Flow.
comprising the enterprise (or inter-
enterprise) business processes.
•It is much more customer friendly when the customer
can direct all his communication to a single point, is
serviced directly, and does not have to contact multiple
Customers Have a people.
15 Business Single Point of Not Available •A single point of contact also ensures that consistent
Contact information is provided to the customer.
•It is more efficient to dedicate resources to handling
customer contacts, and pre-vent interruptions in
operational activities.
The enterprise's Intellectual
Property (IP) must be protected.
Protection of
This protection must be reflected in A major part of an enterprise's IP is hosted in the IT
16 Data Intellectual
the IT architecture, domain
Property
implementation, and governance
processes.
Data is a valuable corporate resource; it has real,
measurable value. In simple terms, the purpose of data
is to aid decision-making. Accurate, timely data is
Data is an asset that has value to critical to accurate, timely decisions. Most corporate
17 Data Data is an Asset the enterprise and is managed assets are carefully managed, and data is no exception.
accordingly Data is the foundation of our decision-making, so we
must also carefully manage data to ensure that we
know where it is, can rely upon its accuracy, and can
obtain it when and where we need it.
51
Timely access to accurate data is essential to improving
the quality and efficiency of enterprise decision-
making. It is less costly to maintain timely,
Users have access to the data accurate data in a single application, and then share it,
necessary to perform their duties; than it is to maintain duplicative data in multiple
18 Data Data is shared therefore, data is shared across applications. The enterprise holds a wealth of
enterprise functions and data, but it is stored in hundreds of incompatible
organizations. stovepipe databases. The speed of data collection,
creation, transfer, and assimilation is driven by the
ability of the organization to efficiently share these
islands of data across the organization.
Wide access to data leads to efficiency and
effectiveness in decision-making, and affords timely
response to Information requests and service delivery.
Data is accessible for users to
19 Data Data is Accessible Using information must be considered from an
perform their functions
enterprise perspective to allow access by a wide variety
of users. Staff time is saved and consistency of data
is improved.
The data that will be used in the development of

Data is defined consistently applications must have a common definition
Common
throughout the enterprise, and the throughout the Headquarters to enable sharing of data.
20 Data Vocabulary and
definitions are understandable and A common vocabulary will facilitate communications
Data Definitions
available to all users. and enable dialogue to be effective. In addition, it is
required to interface systems and exchange data.
Open sharing of information and the release of

information via relevant legislation must be balanced
against the need to restrict the availability of classified,
Data is protected from
proprietary, and sensitive information.
unauthorized use and disclosure. In
Existing laws and regulations require the safeguarding
addition to the traditional aspects
of national security and the privacy of data, while
of national security classification,
permitting free and open access. Pre-decisional (work-
21 Data Data Security this includes, but is not limited to,
in-progress, not yet authorized for release) information
protection of pre-decisional,
must be protected to avoid unwarranted speculation,
sensitive, source selection-
misinterpretation, and inappropriate use. Open sharing
sensitive, and proprietary
of information and the release of information via
information.
relevant legislation must be balanced against the need
to restrict the availability of classified, proprietary, and
sensitive information.
Independence of applications from the underlying
technology allows applications to be developed,
upgraded, and operated in the most cost-effective and
timely way .Otherwise technology, which is subject to
Applications are independent of continual obsolescence and vendor dependence,
Technology specific technology choices and becomes the driver rather than the user requirements
22 Application
Independence therefore can operate on a variety themselves.
of technology platforms. Realizing that every decision made with respect to IT
makes us dependent on that technology, the intent of
this principle is to ensure that Application Software is
not dependent on specific hardware and operating
systems software.
52
The more a user has to understand the underlying
technology, the less productive that user is. Ease-of-use
is a positive incentive for use of applications. It
encourages users to work within the integrated
Applications are easy to use. The information environment instead of developing isolated
underlying technology is systems to accomplish the task outside of the
23 Application Ease-of-Use
transparent to users, so they can enterprise’s integrated information environment. Most
concentrate on tasks at hand of the knowledge required to operate one system will
be similar to others. Training is kept to a minimum, and
the risk of using a system improperly is low. Using an
application should be as intuitive as driving a different
car.
This principle will foster an atmosphere where the
information environment changes in response to the
needs of the business, rather than having the business
change in response to IT changes. This is to ensure that
Only in response to business needs
Requirements- the purpose of the information support —the
24 Technology are changes to applications and
Based Change transaction of business — is the basis for any proposed
technology made.
change. Unintended effects on business due to IT
changes will be minimized. A change in technology may
provide an opportunity to improve the business process
and, hence, change business needs.
Changes to the enterprise
Responsive Change
25 Technology information environment are
Management
implemented in a timely manner.
Technological diversity is controlled
to minimize the non-trivial cost of
Control Technical
26 Technology maintaining expertise in and
Diversity
connectivity between multiple
processing environments
•Standardized systems are cheaper because redundant
IT Systems Are
investments are prevented, and economies of scale can
Standardized and
27 Technology Not Available be exploited.
Reused Throughout
•It is easier to focus attention, resources, knowledge
the Organization
and investments in a standardized environment.
Standards help ensure consistency, thus improving the
ability to manage systems and improve user
Software and hardware should
satisfaction, and protect existing IT investments,
conform to defined standards that
28 Technology Interoperability thus maximizing return on investment and reducing
promote interoperability for data,
costs. Standards for interoperability additionally help
ensure support from multiple vendors for their
products, and facilitate supply chain integration.
53
V. Conclusions and Perspectives
5.1. Conclusions
With heavy architecture, number of principles is in Data, Application Technology domain

to be more, while smaller businesses will focus on principles of Business domain.
With the bigger architecture, they need principles which are consistency, sustainable to
support their daily operation
 Mandatory principles: The architecture is bigger size; number of Mandatory

principles is more.
 Recommended principles: Number of principles of each size is same.
 Optional principles: The architecture is smaller size, number of Optional
principles is more
Desired outcome of Small Enterprise is to be agile, easily integrate with partners and
customers, and to be respected as first class organization. So, the principles are
designed to focus to meet their goals:
 Business architecture
 3-5 year business roadmap
 Portfolio management (prioritizing what we work on and when)
 Various technology visuals (infrastructure, information, etc.)
Principles of Lightweight Architecture need to be quality, and enough to operation of

enterprise. These principles will focus on agility, and most of them is support for the
Business Domain.
5.2. Perspectives
As work to extend subject in the future; two following things will need to be done:
 The classification of the principles in the business sector is important; it will help
enterprises in every sector will choose suitable principles. In addition, we need to
54
arrange the principles with the same priority in group and build relations of
supportive or conflicting between the Principles. When enterprises deploy
Principles, they will implement the priority from high to low and conflict is at least.
 In the future, in order to facilitate the selection of appropriate principles for state
and development needs of the business, constructing software is also necessary.
The software allows company to enter their information and level of architecture
maturity; they will get the results to be a list of matching principles, and the
resources to implement the Principles.
55
Appendix: List of Principles
List of Principles are collected from the following sources:
[1]: (The Open Group, 2008) [2]; (Erik Proper, 2011) [3]: (Guimarães, 2012)
No. Domain Name Statement Rationale Source
These principles of information management The only way we can provide a consistent and measurable level of quality 1
1 Business Primacy of Principles
apply to all organizations within the enterprise. information to decision-makers is if all organizations abide by the principles.
This principle embodies ‘‘service above self ’’. Decisions made from an
enterprise-wide perspective have greater long-term value than decisions
Information management decisions are made to made from any particular organizational perspective. Maximum return on 1,3
Maximize Benefit to the
2 Business provide maximum benefit to the enterprise as a investment requires information management decisions to adhere to
Enterprise
whole. enterprise-wide drivers and priorities. No minority group will detract from
the benefit of the whole. However, this principle will not preclude any
minority group from getting its job done.
This principle means "service above all." A better alignment between IT and
the business must generate a competitive edge for the financial institution.
Information management decisions are always Decisions based on the corporate perspective have greater long-term value
made under the business alignment perspective than decisions based on a certain perspective of a group with a specific 3
3 Business IT and business alignment
in order to generate maximum benefits for the interest. An optimal ROI requires information management decisions to be
company as a whole. aligned with the company's priorities and positioning. No single area must
affect the benefit of the company. This principle, however, must not prevent
anyone from performing tasks and activities.
Corporate information management processes The information management corporate policy must comply with internal 3
Compliance with standards
4 Business must comply with all applicable policies and regulations. This does not prevent improving corporate
and policies
internal policies and regulations. processes that conduct policy and regulation changes.
Information users are the key stakeholders, or customers, in the application

of technology to address a business need. In order to ensure information
All organizations in the enterprise participate in management is aligned with the business, all organizations in the enterprise 1
Information Management
5 Business information management decisions needed to must be involved in all aspects of the information environment. The business
is Everybody's Business
accomplish business objectives experts from across the enterprise and the technical staff responsible for
developing and sustaining the information environment need to come
together as a team to jointly define the goals and objectives of IT.
56
As system operations become more pervasive, we become more dependent
on them; therefore, we must consider the reliability of such systems
throughout their design and use. Business premises throughout the
Enterprise operations are maintained in spite of enterprise must be provided with the capability to continue their business 1,3
6 Business Business Continuity
system interruptions functions regardless of external events. Hardware failure, natural disasters,
and data corruption should not be allowed to disrupt or stop enterprise
activities. The enterprise business functions must be capable of operating on
alternative information deliver y mechanisms.
Enterprise information management processes Enterprise policy is to abide bylaws, policies, and regulations. This will not 1
7 Business Compliance with Law comply with all relevant laws, policies, and preclude business process improvements that lead to changes in policies and
regulations. regulations.
implementing IT processes and infrastructure Effectively align expectations with capabilities and costs so that all projects 1
8 Business IT Responsibility that enable solutions to meet user-defined are cost-effective. Efficient and effective solutions have reasonable costs and
requirements for functionality, service levels, clear benefits.
cost, and delivery timing.
•Standard processes are repeatable, predictable, scalable and more efficient. 1
Processes Are
9 Business Not Available •Process standardization is often required in order to comply with certain
Standardized
legislation or quality standards.
•Elimination of management layers minimizes overhead costs. 2

10 Business Not Available •By eliminating management people tend to take more responsibility for
Minimized
their work, which increases the quality and efficiency.
By making workers responsible for the delivery of •By making workers responsible for the delivery of the outcome they feel
Tasks Are Designed the outcome they feel more involved and tend to more involved and tend to take more responsibility for their work, which 1
11 Business
Around Outcome take more responsibility for their work, which increases the quality and efficiency.
increases the quality and efficiency. •Giving people more responsibility also increases their job satisfaction.
•Standard processes are repeatable, predictable, scalable and more efficient. 2

Processes Are
12 Business Not Available •Process standardization is often required in order to comply with certain
Standardized
legislation or quality standards.
•Elimination of management layers minimizes overhead costs. 2

13 Business Not Available •By eliminating management people tend to take more responsibility for
Minimized
their work, which increases the quality and efficiency.
57
•By making workers responsible for the delivery of the outcome they feel
Tasks Are Designed more involved and tend to take more responsibility for their work, which 2
Around Outcome increases the quality and efficiency.
•Giving people more responsibility also increases their job satisfaction
•Autonomous business units can adapt to changes quickly because they do
Business Units Are not need to align with other business units. 2
Autonomous •Autonomous business units can be separated more easily from a financial
and organizational perspective, and eases future restructuring.
Primary Business
Processes Are not •Primary business processes are the core of the organization, and
Disturbed by disturbances in these have a major impact on the organization. 2
Implementation of •Organizations change continuously, and frequent disturbances are
Changes Type of unacceptable.
information:
enterprise is preferred over the development of 1
17 Business Common Use Applications Duplicative capability is expensive and prolife rates conflicting data.
similar or duplicative applications which are only
The architecture is based on a design of services
which mirror real-world business activities Service orientation delivers enterprise agility and Boundary less Information 1
18 Business Service Orientation
comprising the enterprise (or inter-enterprise) Flow.
business processes.
•It is much more customer friendly when the customer can direct all his
communication to a single point, is serviced directly, and does not have to
contact multiple people. 2
Customers Have a Single
19 Business Not Available •A single point of contact also ensures that consistent information is
Point of Contact
provided to the customer.
•It is more efficient to dedicate resources to handling customer contacts, and
pre-vent interruptions in operational activities.
The enterprise's Intellectual Property (IP) must

Protection of Intellectual be protected. This protection must be reflected in 1
20 Data A major part of an enterprise's IP is hosted in the IT domain
Property the IT architecture, implementation, and
governance processes.
Data is a valuable corporate resource; it has real, measurable value. In
simple terms, the purpose of data is to aid decision-making. Accurate, timely
data is critical to accurate, timely decisions. Most corporate assets are 1,3
Data is an asset that has value to the enterprise
21 Data Data is an Asset carefully managed, and data is no exception. Data is the foundation of our
and is managed accordingly
decision-making, so we must also carefully manage data to ensure that we
know where it is, can rely upon its accuracy ,and can obtain it when and
where we need it.
58
Timely access to accurate data is essential to improving the quality and
efficiency of enterprise decision-making. It is less costly to maintain timely,
accurate data in a single application, and then share it, than it is to maintain
Users have access to the data necessary to 1,3
duplicative data in multiple applications. The enterprise holds a wealth of
22 Data Data is shared perform their duties; therefore, data is shared
data, but it is stored in hundreds of incompatible stovepipe databases. The
across enterprise functions and organizations.
speed of data collection, creation, transfer, and assimilation is driven by the
ability of the organization to efficiently share these islands of data across the
organization.
Wide access to data leads to efficiency and effectiveness in decision-making,

and affords timely response to information requests and service delivery. 1,3
Data is accessible for users to perform their
23 Data Data is Accessible Using information must be considered from an enterprise perspective to
functions
allow access by a wide variety of users. Staff time is saved and consistency of
data is improved.
The data that will be used in the development of applications must have a
Data is defined consistently throughout the common definition throughout the Headquarters to enable sharing of data. A 1,3
Common Vocabulary and
24 Data enterprise, and the definitions are common vocabulary will facilitate communications and enable dialogue to
Data Definitions
understandable and available to all users. be effective. In addition, it is required to interface systems and exchange
data.
Open sharing of information and the release of information via relevant

legislation must be balanced against the need to restrict the availability of
Data is protected from unauthorized use and classified, proprietary, and sensitive information. Existing laws and
disclosure. In addition to the traditional aspects regulations require the safeguarding of national security and the privacy of
of national security classification, this includes, data, while permitting free and open access. Pre-decisional (work-in- 1,3
25 Data Data Security
but is not limited to, protection of pre-decisional, progress, not yet authorized for release) information must be protected to
sensitive, source selection sensitive, and avoid unwarranted speculation, misinterpretation, and inappropriate use.
proprietary information. Open sharing of information and the release of information via relevant
legislation must be balanced against the need to restrict the availability of
classified, proprietary, and sensitive information.
•When those who have the data also provide them, unnecessary
Data Are Provided by the intermediate layers (e.g. people or IT components) are prevented. 2
26 Data Not Available
Source •The performance and reliability of the data also increases, since each link in
the chain adds performance overhead and potential errors.
59
•Storing data in electronic form makes sharing the data much easier.
•Data that are available electronically can be manipulated and retrieved in 2
Data Are Stored and
27 Data Not Available structured form and make it available for automated handling in IT systems.
Exchanged Electronically
•Electronic data exchange is much more efficient and less error-prone than
manual exchange.
•Users expect the most recent data in most of their work processes. 2
Data Are Exchanged in
28 Data Not Available •Decisions made based on old data have a lower accuracy and may lead to
Real-Time
errors and/or inconsistencies.
Independence of applications from the underlying technology allows

applications to be developed, upgraded, and operated in the most cost-
Applications are independent of specific effective and timely way .Otherwise technology, which is subject to continual
obsolescence and vendor dependence, becomes the driver rather than the
1,3
29 Application Technology Independence technology choices and therefore can operate on
a variety of technology platforms. user requirements themselves. Realizing that every decision made with
respect to IT makes us dependent on that technology, the intent of this
principle is to ensure that Application Software is not dependent on specific
hardware and operating systems software.
The more a user has to understand the underlying technology, the less
productive that user is. Ease-of-use is a positive incentive for use of
Applications are easy to use. The underlying applications. It encourages users to work within the integrated information 1,3
30 Application Ease-of-Use technology is transparent to users, so they can environment instead of developing isolated systems to accomplish the task
concentrate on tasks at hand outside of the enterprise’s integrated information environment. Most of the
knowledge required to operate one system will be similar to others. Training
is kept to a minimum, and the risk of using a system improperly is low. Using
an application should be as intuitive as driving a different car.
Applications Have a •Inconsistency leads to a lower productivity and irritation of users. 2
31 Application Not Available
Common Look-and-Feel •A consistent user interface optimally supports the business process.
Applications Do Not Cross •This allows business functions (e.g. procurement, sales, production, et 2
32 Application Business Function Not Available cetera) to operate as independently as possible.
Boundaries •It shields business functions from changes in other business functions.
60
IT systems are conceived to generate change, and
they reflect alterations in laws,
social needs, or other types of changes. •Modularized applications are much easier to develop, maintain, reuse and
Applications Are Modular, Adaptability and flexibility reduce the complexity migrate than monolithically applications. 2,3
33 Application
Adaptability and flexibility and promote integration, which •Modularized applications are also more reliable since changes have a more
improves the company's business activities. localized and therefore predictable impact.
Excessive customization increases costs and
reduces the ability to adapt
The convergence with the enterprise architecture

is promoted in the right time, and in line with the
company's investment strategy.
The convergence with the enterprise architecture Convergence offers several advantages:
takes place as new applications are built, new • It allows the enterprise architecture to evolve and accommodate changes
Convergence with the technologies are implemented, and older systems in business and technologies. 1
34 Application
enterprise architecture are updated or decommissioned. Exceptions to • It avoids conversions of obsolete systems, which are extremely expensive.
the enterprise architecture might be supported • Over time, it preserves the investment while promoting the benefits of the
for specific cases if there is a consensus that the enterprise architecture.
benefits of using a solution from a specific
technology exceed those arising from the
adoption of the enterprise architecture.
This principle will foster an atmosphere where the information environment
changes in response to the needs of the business, rather than having the
business change in response to IT changes. This is to ensure that the purpose 1,3
35 Technology of the information support —the transaction of business — is the basis for
any proposed change. Unintended effects on business due to IT changes will
be minimized. A change in technology may provide an opportunity to
improve the business process and, hence, change business needs.
Changes to the enterprise information 1
Responsive Change
36 environment are implemented in a timely
Management
Technology manner.
Technological diversity is controlled to minimize
the non-trivial cost of maintaining expertise in 2
37 Technology Control Technical Diversity
and connectivity between multiple processing
environments
IT Systems Are •Standardized systems are cheaper because redundant investments are
Standardized and Reused prevented, and economies of scale can be exploited. 2,3
38 Technology Not Available
Throughout the •It is easier to focus attention, resources, knowledge and investments in a
Organization standardized environment.
61
•A suite of IT systems from one vendor provides the highest level of
integration, and any integration problems that arise should be solved by the 1
IT Systems Support 24*7
39 Technology Not Available vendor.
Availability
•Buying a suite from one vendor provides opportunities to get a high
discount.
Standards help ensure consistency, thus improving the ability to manage

Software and hardware should conform to systems and improve user satisfaction, and protect existing IT investments, 1,3
40 Technology Interoperability defined standards that promote interoperability thus maximizing return on investment and reducing costs. Standards for
for data, applications, and technology interoperability additionally help ensure support from multiple vendors for
their products, and facilitate supply chain integration.
62
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Small-Businesses
Christian Fischer, Robert Winter, and Stephan Aier. ( 2010 ). What Is an Enterprise
Architecture Principle? Springer-Verlag Berlin Heidelberg.
Erik Proper, D. G. (2011). Architecture Principles: The Cornerstones of Enterprise

Architecture. Heidelberg: Springer.
Falkenberg ED, Verrijn-Stuart AA, Voss K, Hesse W, Lindgreen P, Nilsson BE, Oei JLH,
Rolland C, Stamper RK. (1998). A framework of information systems concepts.
Laxenburg.
Guimarães, T. S. (2012). 21 principles of enterprise architecture for the financial sector.

IBM.
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JOHN VON NEUMANN INSTITUTE

VIETNAM NATIONAL UNIVERSITY HOCHIMINH CITY

Subject: Post Graduate 2

RESEARCH AND PROPOSITION OF THE

Instructor: Dr. Nguyen Ngoc Truong Huy

HCM City, May-2013

1.1. The need of Architecture for Enterprise ............................................................. 2

2.1. From Lightweight Architecture............................................................................ 7

3.1. Based-on Architecture domains ....................................................................... 26

3.1.2. From TOGAF ............................................................................................. 28

3.2. Based on sizes of Enterprise and necessary levels of Principles ..................... 35

3.2.2. Small Enterprises ...................................................................................... 38

3.2.3. Medium Enterprises ................................................................................... 40

3.2.4. Large Enterprises ...................................................................................... 42

3.3. The statistical results........................................................................................ 44

V. Conclusions and Perspectives ............................................................................ 54

1.1. The need of Architecture for Enterprise

Business performance, nowadays, increasingly depends on a balanced and integrated

This is where enterprise architecture is positioned as an instrument to articulate an

Enterprise architecture, and the associated formulation, implementation and

1.2. The Enterprise Architecture

 The purpose which enterprise architecture serves.

Finally, as a summary we will now provide a definition of enterprise architecture which

“ARCHITECTURE: Those properties of an artifact those are necessary and sufficient to

The definition of architecture, allows us to summarize our understanding of enterprise

“ENTERPRISE-ARCHITECTURE: The architecture of an enterprise. As such, it

The focus of enterprise architecture on the essential requirements allows it to be used

1.3. The Elements of Enterprise Architecture and why Principles are

Models are generally understood to be purposeful abstractions of (some relevant part

 Different levels of realization: from conceptual via logical to physical.

1.4. The Architecture Principles

Architecture principles also provide (service-oriented) enterprises with a mechanism to

As limitation of this project, I will focus to study about Principles of Lightweight

II. Synthesis of the Architecture Principles

2.1. From Lightweight Architecture

Defining Tangible Principles

 Systems need to be scalable to meet future demand.

For an organization’s success, scalability needs to have tangible boundaries to

2.2. From TOGAF

The Open Group Architecture Framework (TOGAF) is a framework — a detailed

Another example of architecture principles is contained in the US Government’s Federal

List of principles is suggested by TOGAF.

Principle 1: Primacy of Principles

Principle 2: Maximize Benefit to the Enterprise

Principle 4: Business Continuity

Principle 5: Common Use Applications

Principle 6: Service Orientation

Principle 7: Compliance with Law

Principle 9: Protection of Intellectual Property

Principle 10: Data is an Asset

Principle 11: Data is shared

Principle 12: Data is Accessible

Principle 13: Data Trustee

Principle 14: Common Vocabulary and Data Definitions

Principle 15: Data Security

Principle 16: Technology Independence

Principle 17: Ease-of-Use

Using an application should be as intuitive as driving a different car.

Principle 18: Requirements-Based Change