Enterprise Architecture Capability

Maturity Model
The table below defines the characteristics for each element that validate the score for each
level of the Maturity Model.

Score Focus Architecture Element

0 No Enterprise No Enterprise Architecture to speak of.
Architecture Program
1 Initial - Informal 1. Processes are ad hoc and localized. Some Enterprise Architecture
Enterprise processes are defined. There is no unified architecture process across
Architecture Process technologies or business processes. Success depends on individual
Underway efforts.
2. Enterprise Architecture processes, documentation, and standards are
established by a variety of ad hoc means and are localized or informal.
3. Minimal, or implicit linkage to business strategies or business drivers.
4. Limited management team awareness or involvement in the architecture
process.
5. Limited Operating Unit acceptance of the Enterprise Architecture
process.
6. The latest version of the Operating Unit's Enterprise Architecture
documentation is on the Web. Little communication exists about the
Enterprise Architecture process and possible process improvements
7. IT Security considerations are ad hoc and localized.
8. No explicit governance of architectural standards.
9. Little or no involvement of strategic planning and acquisition personnel in
enterprise architecture process. Little or no adherence to existing
Standards Profile
2 Enterprise 1. Basic Enterprise Architecture Process program is documented based on
Architecture Process OMB Circular A - 130 and Department of Commerce Enterprise
Is Under Architecture Guidance. The architecture process has developed clear
Development roles and responsibilities.
2. IT Vision, Principles, Business Linkages, Baseline, and Target Architecture
are identified. Architecture standards exist, but not necessarily linked to
Target Architecture. Technical Reference Model and Standards Profile
framework established.
3. Explicit linkage to business strategies.
4. Management awareness of Architecture effort.
5. Responsibilities are assigned and work is underway.
6. The DOC and Operating Unit Enterprise Architecture Web Pages are
updated periodically and is used to document architecture deliverables.
7. IT Security Architecture has defined clear roles and responsibilities.
8. Governance of a few architectural standards and some adherence to
existing Standards Profile.
9. Little or no formal governance of IT Investment and Acquisition Strategy.
Operating Unit demonstrates some adherence to existing Standards
Profile.
Score Focus Architecture Element
3 Defined Enterprise 1. The architecture is well defined and communicated to IT staff and
Architecture Including business management with Operating Unit IT responsibilities. The
Detailed Written process is largely followed.
2. Gap Analysis and Migration Plan are completed. Fully developed
Procedures and
Technical Reference Model and Standards Profile. IT goals and
Technical Reference methods are identified. The architecture aligns with the DOC and
Model Federal Enterprise Architectures.
3. Enterprise Architecture is integrated with capital planning &
investment control and supports e-government.
4. Senior-management team aware of and supportive of the
enterprise-wide architecture process. Management actively
supports architectural standards.
5. Most elements of Operating Unit show acceptance of or are actively
participating in the Enterprise Architecture process.
6. Architecture documents updated regularly on DOC Enterprise
Architecture Web Page.
7. IT Security Architecture Standards Profile is fully developed and is
integrated with Enterprise Architecture.
8. Explicit documented governance of majority IT investments.
9. IT acquisition strategy exists and includes compliance measures to
IT Enterprise Architecture. Cost-benefits are considered in
identifying projects.
4 Managed and 1. Enterprise Architecture process is part of the culture. Quality metrics
Measured Enterprise associated with the architecture process are captured.
Architecture Process 2. Enterprise Architecture documentation is updated on a regular cycle to
reflect the updated Enterprise Architecture. Business, Information,
Application and Technical Architectures defined by appropriate de-jure
and de-facto standards. The architecture continues alignment with the
DOC and Federal Enterprise Architectures. An automated tool is used to
improve the usability of the architecture.
3. Capital planning and investment control are adjusted based on the
feedback received and lessons learned from updated Enterprise
Architecture. Periodic re-examination of business drivers.
4. Senior-management team directly involved in the architecture review
process.
5. The entire Operating Unit accepts and actively participates in the
Enterprise Architecture process.
6. Architecture documents are updated regularly, and frequently reviewed
for latest architecture developments/standards.
7. Performance metrics associated with IT Security Architecture are
captured.
8. Explicit governance of all IT investments. Formal processes for managing
variances feed back into Enterprise Architecture.
9. All planned IT acquisitions and purchases are guided and governed by the
Enterprise Architecture.
 Score Focus Architecture Element
5 Optimizing - 1. Concerted efforts to optimize and continuously improve architecture
Continuous process.
Improvement of 2. A standards and waivers process are used to improve architecture
Enterprise development process improvements.
Architecture Process 3. Architecture process metrics are used to optimize and drive business
linkages. Business involved in the continuous process improvements of
Enterprise Architecture.
4. Senior management involvement in optimizing process improvements in
Architecture development and governance.
5. Feedback on architecture process from all Operating Unit elements is
used to drive architecture process improvements.
6. Architecture documents are used by every decision maker in the
organization for every IT-related business decision.
7. Feedback from IT Security Architecture metrics are used to drive
architecture process improvements.
8. Explicit governance of all IT investments. A standards and waivers
process is used to improve governance-process improvements.
9. No unplanned IT investment or acquisition activity.

The table below shows the scoring criteria for each of the nine Architecture Elements.

Score Element 1. Architecture Process

0 Not established or does not exist.
No EA
Exists in ad-hoc or localized form or early draft form may exist. Some Enterprise Architecture
1 processes are defined. There is no unified architecture process across technologies or business
Initial processes. Success depends on individual efforts.
Being actively developed. Basic Enterprise Architecture Process program is documented based on
2 OMB Circular A-130 and Department of Commerce Enterprise Architecture Guidance. The
Developing architecture process has developed clear roles and responsibilities.
3 The architecture is well defined and communicated to IT staff and business management with
Defined Operating Unit IT responsibilities. The process is largely followed.

Enterprise Architecture process is part of the culture, with strong linkages to other core IT and
business processes. Quality metrics associated with the architecture process are captured. These
4 metrics include the cycle times necessary to generate Enterprise Architecture revisions, technical
Managed environment stability, and time to implement a new or upgraded application or system.
5 Concerted efforts to optimize and continuously improve architecture process.
Optimizing
 Score Element 2. Architecture Development
0 No Enterprise Architecture documentation to speak of.
No EA
1 Enterprise Architecture processes, documentation, and standards are established by a variety of ad
Initial hoc means and are localized or informal.

IT Vision, Principles, Business Linkages, Baseline, and Target Architecture are identified.
2 Architecture standards exist, but not necessarily linked to Target Architecture. Technical Reference
Developing Model and Standards Profile framework established.
Gap Analysis and Migration Plan are completed. Architecture standards linked to Business Drivers
3 via Best Practices, IT Principles, and Target Architecture. Fully developed Technical Reference Model
Defined and Standards Profile. The architecture aligns with the DOC and Federal Enterprise Architectures.
Enterprise Architecture documentation is updated on a regular cycle to reflect the updated
Enterprise Architecture. Business, Information, Application and Technical Architectures defined by
appropriate de-jure and de-facto standards. The architecture continues alignment with the DOC and
4 Federal Enterprise Architectures. An automated tool is used to improve the usability of the
Managed architecture.
Defined and documented Enterprise Architecture metrics are used to drive continuous process
5 improvements. A standards and waivers process is used to improve architecture development
Optimizing process improvements.
Score Element 3. Business Linkage
0 No linkage to business strategies or business drivers.
No EA
1 Minimal, or implicit linkage to business strategies or business drivers.
Initial
2 Explicit linkage to business strategies.
Developing
3 Enterprise Architecture is integrated with capital planning and investment control and supports e-
Defined government. Explicit linkage to business drivers and information requirements.

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

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

Score Element 4. Senior-Management Involvement

0 No support from senior executives. Status quo is actively defended
No EA

Limited management team awareness or involvement in the architecture process.

1
Initial
2 Management awareness of Architecture effort. Occasional, selective management team involvement
Developing in the architecture process with various degrees of commitment/ resistance.

3 Senior-management team aware of and supportive of the enterprise-wide architecture process.

Defined Management actively supports architectural standards.

4 Senior management reviews architecture and variances.

Managed
5 Senior-management team directly involved in the optimization of the enterprise-wide architecture
Optimizing development process and governance.
 Score Element 5. Operating Unit Participation
0 No part of Operating Unit participates or is involved with Enterprise Architecture process.
No EA
1 Limited Operating Unit acceptance of the Enterprise Architecture process. Support exists only to the
Initial extent that the architecture process maintains the status quo.

Enterprise Architecture responsibilities are assigned and work is underway. There is a clear
2 understanding of where the organizations architecture is at present time. Recognition that it is
Developing costly supporting too many kinds of technologies.
Most elements of Operating Unit show acceptance of or are actively participate in the Enterprise
3 Architecture process. Recognition that architectural standards can reduce integration complexity
Defined and enhance overall ability to Operating Unit IT to achieve business goals.
4 The entire Operating Unit accepts and actively participates in the Enterprise Architecture process.
Managed
5 Feedback on architecture process from all Operating Unit elements is used to drive architecture
Optimizing process improvements.

Score Element 6. Architecture Communication

0 None.
No EA
Little communication exists about the Enterprise Architecture process and possible process
1 improvements. The DOC Enterprise Architecture Web Page contains the latest version of the
Initial Operating Units Enterprise Architecture documentation.
The Operating Unit Architecture Home Page, which can be accessed from the DOC Enterprise
Architecture Web Page, is updated periodically and is used to document architecture deliverables.
2 Few tools (e.g., office suite, graphics packages) are used to document architecture. Communication
Developing about architecture process via meetings, etc., may happen, but sporadic.
Architecture documents updated and expanded regularly on DOC Enterprise Architecture Web Page.
3 Tools are used to support maintaining architecture documentation. Periodic presentations to IT staff
Defined on Architecture content.
Architecture documents are updated regularly, and frequently reviewed for latest architecture
4 developments/ standards. Regular presentations to IT staff on Architecture content. Organizational
Managed personnel understand the architecture and its uses.
5 Architecture documents are used by every decision maker in the organization for every IT-related
Optimizing business decision.

Score Element 7. IT Security

0 No IT Security considerations in Enterprise Architecture.
No EA
1 IT Security considerations are ad hoc and localized.
Initial
2 IT Security Architecture has defined clear roles and responsibilities.
Developing
3 IT Security Architecture Standards Profile is fully developed and is integrated with Enterprise
Defined Architecture.

4 Performance metrics associated with IT Security Architecture are captured.

Managed
5 Feedback from IT Security Architecture metrics are used to drive architecture process
Optimizing improvements.
 Score Element 8. Governance
0 None. Funding is the sole decision point for projects.
No EA
1 No explicit governance of architectural standards. Limited agreement with governance structure.
Initial
Governance of a few architectural standards (e.g. desktops, database management systems) and
2 some adherence to existing Standards Profile. Variances may go undetected in the design and
Developing implementation phases. Various degrees of understanding of the proposed governance structure.
Explicit documented governance of majority IT investments. Formal processes for managing
3 variances. Senior management team is supportive of enterprise-wide architecture standards and
Defined subsequent required compliance.
Explicit governance of all IT investments. Formal processes for managing variances feed back into
4 Enterprise Architecture. Senior-management team takes ownership of enterprise-wide architecture
Managed standards and governance structure.
5 Explicit governance of all IT investments. A standards and waivers process is used to improve
Optimizing architecture development and governance - process improvements.

Score Element 9. IT Investment and Acquisition Strategy

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

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

2 Little or no formal governance of IT Investment and Acquisition Strategy. Operating Unit

Developing demonstrates some adherence to existing Standards Profile.

IT acquisition strategy exists and includes compliance measures to IT Enterprise Architecture.

Operating Unit adheres to existing Standards Profile. RFQ, RFI and RFP content is influenced by the
3 Enterprise Architecture. Acquisition personnel are actively involved in Enterprise Architecture
Defined governance structure. Cost-benefits are considered in identifying projects.
4 All planned IT acquisitions are guided and governed by the Enterprise Architecture. RFI and RFP
Managed evaluations are integrated into the Enterprise Architecture planning activities.

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

Optimizing
The table below is the evaluation matrix. For each of the nine characteristics, score your
organization according to the definitions below. This score is an evaluation of where your
organization is now. Appropriate artifacts that demonstrate the attainment of the maturity level
should be available to substantiate your score.

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

Level 0: Architecture process not established.

1: Ad-hoc and localized architecture process defined.

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

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

The architecture process has developed clear roles and responsibilities.

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

business management with Operating Unit IT responsibilities. The
process is largely followed.

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

core IT and business processes. Quality metrics associated with the

architecture process are captured. These metrics include the cycle times

necessary to generate Enterprise Architecture revisions, technical environment

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

5: Concerted efforts to optimize and continuously improve architecture

process.

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

the Operating Units' Enterprise Architecture documented?

 Evaluation Score

Level 0: No Enterprise Architecture documentation to speak of.

1: Enterprise Architecture processes, documentation and standards are established

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

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

Architecture are documented. Architecture standards exist, but not

necessarily linked to Target Architecture. Technical Reference Model

and Standards Profile framework established.

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

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

Architecture. Fully developed Technical Reference Model and Standards

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

updated Enterprise Architecture. Business, Information, Application and

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

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

continuous process improvements. A standards and waivers process are

used to improve architecture development process improvements.

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

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

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

2: Explicit linkage to business strategies or drivers.
3: Enterprise Architecture is integrated with capital planning and investment control.
Explicit linkage to business drivers and information requirements.
4: Capital planning and investment control are adjusted based on the

feedback received and lessons learned from updated Enterprise Architecture.

Periodic re-examination of business drivers.
5: Architecture metrics are used to optimize and drive business linkages.
Business involved in the continuous process improvements of IT

Architecture.

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

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

Architecture?

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

process.
1: Limited management team awareness or involvement in the architecture

process.
2: Occasional/selective management team involvement in the architecture

process with various degrees of commitment.

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

architecture process. Management actively supports architectural

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

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

enterprise-wide architecture development process and governance.

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

accepted by the Operating Unit?

 Evaluation Score

Level 0: No Operating Unit acceptance.

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

2: Enterprise Architecture responsibilities are assigned and work is underway.
There is a clear understanding of where the organization’s architecture is

at present time.
3: Largest elements of Operating Unit show acceptance of the IT

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

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

used to drive architecture process improvements.

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

effort representative of the whole organization?

Level 0: No enterprise-wide effort.

1: Localized individual support of Enterprise Architecture process.

2: Limited organizational involvement.
3: Majority of organization is involved.
4: Cross-enterprise architecture involvement.
5: Entire organization uses feedback on the architecture process to improve

its process.
 Evaluation Score
6A. Architecture Communication: To what extent are the decisions of Enterprise Architecture

practice documented?

Level 0: No documentation is available.

1: Little communication exists about the Enterprise Architecture process and

possible process improvements. The DOC Enterprise Architecture Web Page

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

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

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

used to document architecture deliverables. Communication about

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

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

architecture.
3: Architecture documents updated and expanded regularly on DOC IT

Architecture Web Page. Periodic presentations to IT staff on Architecture

process, content. Tools are used to support maintaining architecture

documentation.
4: Architecture documents are updated regularly, and frequently reviewed

for latest architecture developments/standards. Regular presentations to

IT staff on architecture content.

5: Architecture documents are used by every decision maker

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

made available electronically to everybody in the organization?

Level 0: No electronic means of communication.

1: Limited electronic means of communication.

2: Occasional updates published via e-mail.
3: More widespread electronic publication of Enterprise Architectures.
4: An online Web site is used to make available communications across the

organization.
5: All Operating Units are actively involved through electronic updates.
6C. Architecture Communication: To what extent is architecture education done

across the business on the Enterprise Architecture process and contents?

 Evaluation Score

Level 0: No education.

1: Limited education.
2: Architecture education done for IT staff.
3: More widespread education done across various Operating Units.
4: Most Operating Units participate actively in Enterprise Architecture education.
Ongoing education on the value of an Enterprise Architecture across Operating

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

Architecture. Various education/communication tools utilized across all

Operating Units.
 Evaluation Score
7. IT Security: To what extent is IT Security integrated with the Enterprise Architecture?

Level 0: No IT Security considerations in Enterprise Architecture.

1: IT Security considerations are ad hoc and localized.

2: IT Security Architecture has defined clear roles and responsibilities.
3: IT Security Architecture is fully developed and is integrated with IT

Architecture.
4: Performance metrics associated with IT Security Architecture are

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

architecture process improvements.

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

process in place and accepted by senior management ?

Level 0: None. Everyone does their own thing.

1: No explicit governance of architectural standards. Limited agreement

with governance structure.

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

management systems) and some adherence to existing Standards

Profile. Various degrees of understanding of the proposed governance

structure.
3: Explicit documented governance of majority IT investments. Formal

processes for managing variances. Senior management team is

supportive of enterprise-wide architecture standards and subsequent

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

managing variances feed back into Enterprise Architecture. Senior-management

team takes ownership of enterprise-wide architecture standards and

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

process is used to improve governance process improvements.

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

Architecture influence the IT Investment and Acquisition Strategy?

 Evaluation Score

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

Acquisition strategy by Operating Unit.

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

enterprise architecture process. Little or no adherence to existing

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

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

Enterprise Architecture. Operating Unit adheres to existing Standards

Profile. RFQ, RFI and RFP content is influenced by the Enterprise Architecture.
Acquisition personnel are actively involved in Enterprise Architecture governance

structure. Cost-benefits are considered in identifying projects.

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

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

Architecture planning activities.

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

Record your scores for each characteristic below. For numbers 5 and 6, total the scores for all
subsections and divide by the number of subsections as noted in the table to derive a composite
score for the whole section. Round your final score to the nearest tenth (0.1) point.

Architecture Characteristic Score

1.
2.
3.
4.
5. = (5A+5B)/2
6. = (6A+6B+6C)/3
7.
8.
9.
Score = (1…9)/9

The Enterprise Architecture Capability Maturity Model measures two parameters: Enterprise
Architecture Characteristics and Maturity Level. Calculate and report the Enterprise Architecture
Capability Maturity Score using Methods One and Two. The two methods complement each other
and can be used as a cross plot for the scorecard calculation.
METHOD #1 EXAMPLE

Maturity Level Occurrences at Each Level Percent (out of 9)

This method calculates
5 an Operating Unit's mean Architecture
1 Capability Maturity 11.11%
Level.

1. First: 4map the Enterprise Architecture Characteristic

2 with each of the six Maturity
22.22% Levels
2. Second: sum the occurrences of each Maturity Level
3. Third:3divide the sum by nine Enterprise Architecture
5 Characteristics 55.55%
The example below indicates that the Operating Unit achieves a Maturity Level of 2.66
2 7 77.77%

1 9 100.00%

0 9 100.00%
Characteristic
Architecture Level Accomplished

1 3

2 2

3 4

4 3

5 1

6 3

7 5

8 2

9 1

Total Score / Number of Characteristics 24/9 = 2.7

METHOD #2. EXAMPLE

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

 Count the number of elements that have achieved each level of maturity. It is cumulative, so if an
element has achieved level 4 rating, it is counted in levels 1, 2, & 3 also.
 Divide the number at each level by 9 and multiply by 100 to get the percentage
Method 1 - Complete table below

Characteristic
Architecture Level Accomplished

Total Score / Number of Characteristics

Method 2 - Complete table below

Maturity Level Occurrences at Each Level Percent (out of 9)