Advances in enterprise engineering xii 8th enterprise engineering working conference eewc 2018 luxem

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Advances in Enterprise Engineering XII

Proceedings David Aveiro

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Wided Guédria (Eds.)

Advances in Enterprise Engineering XII

8th Enterprise Engineering Working Conference, EEWC 2018 Luxembourg, Luxembourg, May 28 – June 1, 2018

Proceedings

LectureNotes inBusinessInformationProcessing334

SeriesEditors

WilvanderAalst

RWTHAachenUniversity,Aachen,Germany

JohnMylopoulos UniversityofTrento,Trento,Italy

MichaelRosemann QueenslandUniversityofTechnology,Brisbane,QLD,Australia

MichaelJ.Shaw UniversityofIllinois,Urbana-Champaign,IL,USA

ClemensSzyperski MicrosoftResearch,Redmond,WA,USA

Moreinformationaboutthisseriesat http://www.springer.com/series/7911

DavidAveiro • GiancarloGuizzardi

SérgioGuerreiro • WidedGuédria(Eds.)

8thEnterpriseEngineeringWorkingConference,EEWC2018 Luxembourg,Luxembourg,May28 – June1,2018

Proceedings

Editors

DavidAveiro

UniversityofMadeiraandMadeira InteractiveTechnologiesInstitute Funchal,Portugal

GiancarloGuizzardi

FreeUniversityofBozen-Bolzano Bolzano,Brazil

SérgioGuerreiro

InstitutoSuperiorTécnico, UniversidadedeLisboa

Lisbon,Portugal

WidedGuédria

LuxembourgInstituteofScience andTechnology

Esch-sur-Alzette,Luxembourg

ISSN1865-1348ISSN1865-1356(electronic) LectureNotesinBusinessInformationProcessing

ISBN978-3-030-06096-1ISBN978-3-030-06097-8(eBook) https://doi.org/10.1007/978-3-030-06097-8

LibraryofCongressControlNumber:2018964608

© SpringerNatureSwitzerlandAG2019

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Theuseofgeneraldescriptivenames,registerednames,trademarks,servicemarks,etc.inthispublication doesnotimply,evenintheabsenceofaspecificstatement,thatsuchnamesareexemptfromtherelevant protectivelawsandregulationsandthereforefreeforgeneraluse.

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Preface

TheCIAO!EnterpriseEngineeringNetwork(CEEN)isacommunityofacademicsand practitionerswhostrivetocontributetothedevelopmentofthedisciplineofenterprise engineering(EE)andtoapplyitinpractice.Theaimistodevelopaholisticandgeneral systemstheory-basedunderstandingonhowto(re)designandrunenterpriseseffectively.Theambitionistodevelopaconsistentandcoherentsetoftheories,models,and associatedmethodsthat:enableenterprisestoreflect,inasystematicway,onhowto realizeimprovements;andassistthem,inpractice,inachievingtheiraspirations.

Indoingso,soundempiricalandscienti ficfoundationsshouldunderlieallefforts andallorganizationalaspectsthatarerelevantshouldbeconsidered,whilecombining alreadyexistingknowledgefromthescientifi c fieldsofinformationsystems,software engineering,management,aswellasphilosophy,semiotics,andsociology,among others.Inotherwords,the(re)designofanenterpriseandthesubsequentimplementationofchangesshouldbetheconsequenceofrationalizeddecisionsthat:takeinto accountthenatureandrealityoftheenterpriseanditsenvironment;andrespectrelevantempiricalandscientifi cprinciples.

Enterprisesaresystemswhoserealityhasadualnaturebybeingsimultaneously,on onehand,centrallyandpurposefully(re)designed,and,ontheotherhand,emergentin adistributedway,giventhefactthatitsmainagents,thehumansthatarethepearls oftheorganization,actwithfreewillinacreativeandinaresponsible(orsometimes not)way.Weacknowledgethat,inpractice,thedevelopmentofenterprisesisnot alwaysapurelyrational/evidence-basedprocess.Assuch,webelievethe fieldofEE aimstoprovideevidence-basedinsightsintothedesignandevolutionofenterprises andtheconsequencesofdifferentchoicesirrespectiveofthewaydecisionsaremade.

Theoriginofthescientifi cfoundationsofourpresentbodyofknowledgeisthe CIAO!Paradigm(Communication,Information,Action,Organization)asexpressedin ourEnterpriseEngineeringManifestoandthepaper “TheDisciplineofEnterprise Engineering.” Inthisparadigm,organizationisconsideredtoemergeinhumancommunication,throughtheintermediaterolesofinformationandaction.Basedonthe CIAO!Paradigm,severaltheorieshavebeendevelopedandarestillbeingproposed. Theyarepublishedastechnicalreports.

TheCEENwelcomesproposalsofimprovementstoourcurrentbodyofknowledge, aswellastheinclusionofcompliantandalternativeviews,alwayskeepinginmindthe needtomaintainglobalsystemiccoherence,consistency,andscienti ficrigorofthe entireEEbodyofknowledgeasaprerequisitefortheconsolidationofthisnew engineeringdiscipline.YearlyeventsliketheEnterpriseEngineeringWorkingConferenceandassociatedDoctoralConsortiumareorganizedtopromotethepresentation ofEEresearchandapplicationinpractice,aswellasdiscussionsonthecontentsand currentstateofourbodyoftheoriesandmethods.

Since2005,theCEENhasorganizedtheCIAO!Workshopand,since2008,its proceedingshavebeenpublishedas AdvancesinEnterpriseEngineering inthe

SpringerLNBIPseries.From2011on,thisworkshopwasreplacedbytheEnterprise EngineeringWorkingConference(EEWC).Thisvolumecontainstheproceedings ofthe8thEEWC,heldinLuxembourg.Therewere24submissions.Eachsubmission wasreviewed(double-blind)bythreeProgramCommitteemembersandthedecision wastoacceptninefullpapersandthreeshortpapers,whichwerecarefullyreviewed andselectedforinclusioninthisvolume.

TheEEWCaimsataddressingthechallengesthatmodernandcomplexenterprises arefacinginarapidlychangingworld.Theparticipantsoftheworkingconference shareabeliefthatdealingwiththesechallengesrequiresrigorousandscienti ficsolutions,focusingonthedesignandengineeringofenterprises.ThegoalofEEWCisto stimulateinteractionbetweenthedifferentstakeholders,scientists,aswellaspractitionersinterestedinmakingEEareality.

May2018DavidAveiro

GiancarloGuizzardi

SérgioGuerreiro WidedGuédria

Organization

EEWC2018wastheeighthWorkingConferenceresultingfromaseriesofsuccessful CIAO!WorkshopsandEEWCConferencesoverthepastfewyears.Theseeventswere aimedataddressingthechallengesthatmodernandcomplexenterprisesarefacingina rapidlychangingworld.Theparticipantsintheseeventssharethebeliefthatdealing withthesechallengesrequiresrigorousandscientificsolutions,focusingonthedesign andengineeringofenterprises.

Thisconvictionhasledtotheeffortofannuallyorganizinganinternationalworking conferenceonthetopicofenterpriseengineering,inordertobringtogetherall stakeholdersinterestedinmakingenterpriseengineeringareality.Thismeansthatnot onlyscientistsareinvited,butalsopractitioners.Moreover,italsomeansthatthe conferenceisaimedatactiveparticipation,discussion,andexchangeofideasinorder tostimulatefuturecooperationamongtheparticipants.ThismakesEEWCaworking conferencecontributingtothefurtherdevelopmentofenterpriseengineeringasa maturediscipline.

TheorganizationofEEWC2018andthepeerreviewofthecontributionstothe conferencewereaccomplishedbyanoutstandinginternationalteamofexpertsinthe fieldsofenterpriseengineering.ThefollowingistheorganizationalstructureofEEWC 2018.

AdvisoryBoard

AntoniaAlbaniUniversityofSt.Gallen,Switzerland

JanDietzDelftUniversityofTechnology,TheNetherlands

ConferenceChairs

HenderikA.ProperLuxembourgInstituteofScienceandTechnology, Luxembourg

JanVerelstUniversityofAntwerp,Belgium

ProgramChairs

DavidAveiroUniversityofMadeiraandMadeiraInteractive TechnologiesInstitute,Portugal GiancarloGuizzardiFreeUniversityofBozen-Bolzano,Italy

OrganizingChair

WidedGuédriaLuxembourgInstituteofScienceandTechnology, Luxembourg

ProgramCommittee

AlbertoSilvaINESCandUniversityofLisbon,Portugal CarlosPascoaUniversityofLisbon,Portugal ChristianHuemerViennaUniversityofTechnology,Austria DavidAveiroUniversityofMadeira,Portugal DuarteGouveiaUniversityofMadeira,Portugal EduardBabkinHigherSchoolofEconomics,NizhnyNovgorod, Russia

FlorianMatthesTechnicalUniversityMunich,Germany FrankHarmsenMaastrichtUniversityandErnst&YoungAdvisory, TheNetherlands

GeertPoelsGhentUniversity,Belgium GiancarloGuizzardiFreeUniversityofBozen-Bolzano,Italy GrahamMcLeodUniversityofCapeTownandInspired.org, SouthAfrica

HansMulderUniversityofAntwerp,Belgium JanDietzDelftUniversityofTechnology,TheNetherlands JanHoogervorstSogetiNetherlands,TheNetherlands JensGuldenUniversityofDuisburg-Essen,Germany

JoaoPauloAlmeidaFederalUniversityofEspíritoSanto,Brazil

JoseTriboletINESCandUniversityofLisbon,Portugal JosephBarjisInstituteofEngineeringandManagement, SanFrancisco,CA,USA

JunichiIijimaTokyoInstituteofTechnology,Japan MarcelloBaxFederalUniversityofMinasGerais,Brazil MartinOp ’tLandCapgemini,TheNetherlands;UniversityofAntwerp, Belgium

MauricioAlmeidaFederalUniversityofMinasGerais,Brazil MiguelMiraDaSilvaINESCandUniversityofLisbon,Portugal MonikaKaczmarekUniversityDuisburgEssen,Germany

NiekPluijmertINQAQualityConsultants,TheNetherlands PeterLoosUniversityofSaarland,Germany PetrKremenCzechTechnicalUniversityinPrague,CzechRepublic PhilipHuysmansUniversityofAntwerp,Belgium

RonyFlatscherWirtschaftsuniversitätWien,Austria SérgioGuerreiroINESCandUniversityofLisbon,Portugal StevenvanKervelFormetis,TheNetherlands StijnHoppenbrouwersHANUniversityofAppliedSciences,TheNetherlands SybrendeKinderenUniversityofLuxembourg,Luxembourg TatianaPoletaevaHigherSchoolofEconomics,NizhnyNovgorod, Russia

TiagoPrinceSalesUniversityofTrento,Italy

UlrikFrankeSwedishDefenseResearchAgency,Sweden

Contents

OnArchitecture

TheInstitutionalLogicofHarmonization:LocalVersus GlobalPerspectives.........................................3 MaximilianBrosius,StephanAier,M.KazemHaki,andRobertWinter

SystemsApproachesintheEnterpriseArchitectureFieldofResearch: ASystematicLiteratureReview................................18 JarkkoNurmi,MirjaPulkkinen,VilleSeppänen,andKatjaPenttinen

Affordance-DrivenSoftwareAssembling..........................39 OndřejDvořák,RobertPergl,andPetrKroha

UnderstandingArchitecturePrinciplesasWorkingMechanisms..........55 MarkPaauwe

OnSecurityandBlockchain

DecentralizedEnforcementofBusinessProcessControlUsingBlockchain...69 DiogoSilva,SérgioGuerreiro,andPedroSousa

EnterpriseEngineeringinBusinessInformationSecurity...............88 YuriBobbertandHansMulder

ExploringaRoleofBlockchainSmartContracts inEnterpriseEngineering.....................................113 BarboraHornáčková,MarekSkotnica,andRobertPergl

OnDEMO

ValidatingtheDEMOSpecificationLanguage......................131 M.A.T.Mulder

ModelingtheSystemDescribedbytheEUGeneralDataProtection RegulationwithDEMO......................................144 DuarteGouveiaandDavidAveiro

DEMOasaToolofValueCo-creationStrategyRealization.............159 EduardBabkinandPavelMalyzhenkov

ColoredPetri-NetforImplementingDEMO/PSITransactions forNActorRoles(N>=2)...................................168 DuarteGouveiaandDavidAveiro

OnTeaching

TowardsaMulti-stageStrategytoTeachEnterpriseModelling...........181 HenderikA.Proper,MarijaBjeković,BasvanGils, andStijnJ.B.A.Hoppenbrouwers

AuthorIndex ............................................203

OnArchitecture

TheInstitutionalLogicofHarmonization: LocalVersusGlobalPerspectives

MaximilianBrosius(&),StephanAier,M.KazemHaki, andRobertWinter

InstituteofInformationManagement,UniversityofSt.Gallen, St.Gallen,Switzerland {maximilian.brosius,stephan.aier, kazem.haki,robert.winter}@unisg.ch

Abstract. Perspectivesinorganizationsdiffertowhichextentinformation systems(IS)shouldbetailoredtowardslocal(e.g.,businessunit)needsor towardorganization-wide,globalgoals(e.g.,synergies,integration).ForcontributingtooverallISperformancesuccess,theharmonizationofdifferent perspectivesbecomesessential.Whilemanyscholarshavehighlightedtherole ofISmanagementapproaches,institutionalstudiesarguethatharmonizationis notsolelytheresultofmanagerialaction,butaconsequenceofinstitutional pressuresthatguideorganizationaldecision-making.Inthepaperathand,we followthecallforadoptinginstitutionaltheoryontheintra-organizationallevel ofanalysisandstudythelogicofattainingharmonizationalonginstitutional pressures.Bymeansofarevelatorycasestudy,we findharmonizationattained inadynamicinterplaybetweendifferentinstitutionalpressures.Mimeticpressuresinfluencenormativepressures,whichinturninfluencecoercivepressures. Our findingsaswellasourimplicationsforenterpriseengineeringguide prospectiveresearchinstudyingtheattainmentofharmonizationthroughan institutionallens.

Keywords: Institutionaltheory Institutionalpressures Harmonization

1Introduction

Invirtueofever-growingcomplexorganizationalenvironments,perspectivesonthe developmentofinformationsystems(IS)differonwhethertomeetlocalbusinessneeds ororganization-wide,globalISperformancegoals[1].WhiletailoredISsolutionsmay supportlocalbusinessunitoperations[2],costefficienciesandsynergiesaresaidto becomerealizedthroughalignedandconsistentISlandscapesatthegloballevel,which requiresharmonizationefforts[3].Consequently,ithasbecometheunderpinning rationaleofnumerousISmanagementapproachestoharmonizelocal(i.e.business unit)needswithglobal(i.e.organization-wide)goals[4].Yet,MigneratandRivard [5,p.369]positthatresearchersmightnotbeabletoexplain “everythingthathappens inorganizationsbyconsideringonlyrationalactionsofmanagers”.Forstudyinghow globalgoalsareachieved,the institutionallogic thatsurroundsdecision-makersin exercisingtheirtasksneedstobeconsidered,andrequiresacloserinvestigation[6].

© SpringerNatureSwitzerlandAG2019

D.Aveiroetal.(Eds.):EEWC2018,LNBIP334,pp.3–17,2019. https://doi.org/10.1007/978-3-030-06097-8_1

Institutionallogic isdefinedasthepatternsofrules,values,assumptions,and beliefsbywhichindividuals(re-)producetheirmaterialsubsistence,organizetimeand space,andprovidemeaningtotheirsocialreality[7].Itintendstoexplaintheformal andinformalrationalesofactionandinteractionforaccomplishingorganizationalgoals andtasks[8, 9].Institutionallogicispromotedbyinstitutionaltheory,whichisamong themostvibranttheoreticallensesinISresearch[5].However,todate,institutional theoryhasbeenappliedmainlyatthe inter-organizational level,i.e.explainingharmonizationbetweenorganizations.

Inthepaperathand,wefollowseveralcallsintherootdisciplineofinstitutional theory[10–13]aswellasinISresearch[5]andtakean intra-organizational perspectivethrougharevelatorycasestudyofahighlydecentralizedorganization.High decentralizationisawell-suitedstructureforourpurposeasithelpstotranslatethe settingofpressuresamongdifferentorganizationsintoasettingofpressuresamong differentunitswithinanorganization.Wethusaimtolearnhowthedistinctive influenceofeachpressurealoneaswellasthedynamicinfluenceofpressuresinteracting(e.g.,shaping,constraining,orconstitutingeachotheramongdifferentunits) contributetotheattainmentofharmonization.Weseektoanswerthefollowing researchquestion:

Whatistheinstitutionallogicofharmonizationinadecentralizedorganization?

Theremainderofthispaperisstructuredasfollows: fi rst,weprovidethetheoretical foundation,i.e.institutionaltheory,itsstateofresearchinIS,aswellastheresearch gapalongwhichwepositionourcontribution.Nexttotheresearchmethod,thecase analysisispresented,followingthereflectionofinstitutionalpressuresandtheir influence.Weconcludebydiscussingimplicationsofourinsightsforfutureresearch.

2TheoreticalBackground

2.1InstitutionalTheory

Institutionaltheory[14–16]understandsorganizationsassocialconstructions,which seektogainlegitimacyintheirenvironment.Togainlegitimacy,organizationsmust adheretoassumptions,values,beliefs,andrulesthatareprevailingintheirenvironment.Inturn,adheringtoacommonsetofassumptions,values,beliefs,andrulesleads organizationstobecomehomogenousovereachother,i.e.astateofharmonization, whichshapesandconstrainsorganizationalactionandbehavior[8].

Numeroustheoristshavecontributedtoexplainhowharmonizationbecomes attained.Moreprominently,regulative,normative,andculturalsystemshavebeen associatedbytheoristsas “vitalingredientsofinstitutions” [8,p.59].Theseassociationsareparticularlyreflectedinthethree institutionalpressures introducedby DimaggioandPowell[16],namely, coercive, normative,and mimeticpressures Theoryfurtherarguesthateachpressureiscateredbytypesof carriers,namely, symbolicsystems(codedmeaningfulinformation),relationalsystems(horizontaland verticalstructuresfosteringcommitment),activities(actions,routines),andartifacts (objects,materials)[8].Coercivepressuresbuildonthelogicofinstrumentality,

throughwhichorganizationsconstrainandregularizebehavior.Rules,laws,orsanctionsareprominentcarriers.Normativepressuresintroduceanobligatorydimension intosociallifetowhichbehaviorscanbecompared.Normativepressuresaretypically carriedbyvalues,norms,andstandards,buildingonthelogicofappropriatenessand socialobligations.Finally,mimeticpressuresresultfromsimilarresponsestouncertaintyandrefertotheimitationofoneorganizationseenbyanotherasmorelegitimate orsuccessful,followingthelogicofperceivedbenefits.Observation,communication, andtheworkclimateareprominentcarriersofmimeticpressures.

ISresearchhasappliedinstitutionaltheoryasalensonavarietyofsettings,suchas ISinnovation,ISimplementation,andISadoption[5, 17].Agrowingbodyofwork therebyexplicatestheimportanceofinstitutionalpressuresontheinter-organizational level,leadingtoharmonizedcoursesofactionbetweenorganizations[5].Forinstance, Teoetal.[18]foundthatallthreepressuresworkinparallelandrespectivelyhavean influenceonanorganization’sintentiontoadoptIS.However,theyfoundthatpressures’ effectsvaryinstrengthwithregardstothelevelofexertion(competitors,parent organization,customers,andsuppliers).Pressuresalsovaryduetodifferent firm characteristics(i.e.dominant/lessdominantmarketplayer),aperspectivethathasbeen promotedbyBalaandVenkatesh[19].Whileworkingsimultaneously,pressuresare alsoshapedbyexternalinfluences:Liangetal.[20],forinstance,examinedmediating effectsonexternalinstitutionalpressures,highlightingtheroleoftopmanagementon informationtechnology(IT)assimilation.Furthermore,thecombinationofinstitutional pressuresmayvaryovertime.Forinstance,Bendersetal.[21]foundvaryingeffects andstrengthsofinstitutionalpressuresoverseveralISadoptionphases.Finally, Nielsenetal.[17]demonstratedthatorganizationschangetheirresponsestoinstitutionalpressuresovertime.Their findingsbroadenedtheunderstandingofinstitutional pressures,reflectingorganizationalconcernsofconformityandnonconformity.

2.2IntendedContribution

Todate,theexistingdiscoursesinISresearchoninstitutionaltheorymainlyrefertothe inter-organizationallevel,studyingtheinfluenceofpressuresonharmonization betweenorganizations[5].AccordingtoMigneratandRivard’s[5]reviewof53IS studiesthatadoptinstitutionaltheory,onlytwofocusedtheintra-organizationallevel. InlinewithGreenwoodetal.’s[13]outlineinorganizationscience,Migneratand Rivard[5]motivatetheadoptionofinstitutionaltheoryontheintra-organizationallevel suchason/amongunits forfutureISresearch.Wefollowtheircallandstudythe attainmentofharmonizationalonginstitutionalpressuresonthe intra-organizational level.

Furthermore,thediscoursesinISresearchillustratepressurestoworkincombination[5],indifferentorganizationalcontexts[e.g.,18],aswellasindifferenttemporal circumstances[21].Byshiftingthefocusfromtheorganizationassuchtodifferent unitswithinanorganization,weassumethatharmonizationmaybeexplainedbymore thanjustthedistinctiveinfluenceofeachpressureseparately.Particularly,weaimto accountforthedynamicsofinstitutionalpressuresinteractingamongdifferentunits, whichmaybeshaping,constraining,orevenconstitutingoneanother.

Todevelopa firstunderstandingofhowinstitutionalpressuresleadtoharmonizationinanintra-organizationalsetting,westudythe institutionallogic.Institutional logicintendstoexplainthepatternsofrules,values,assumptions,andbeliefs(i.e. carriersofinstitutionalpressures)bywhichindividuals(re-)producetheirmaterial subsistence,organizetimeandspace,andprovidemeaningtotheirsocialreality[7].It explainstheformalandinformalrationalesofactionandinteractionforaccomplishing organizationalgoalsandtasks[8, 9].Forourpurpose,itmayhelptoexplainhowlocal (i.e.businessandIS)needsbecomeharmonizedwithglobalbusinessandITgoals.As organizationsareinfusedwithvarious(oftencompeting)rationalesofwhatconstitutes globalgoalsandhowtopursuethese,institutionallogicmaybewell-suitedtoexplain thedistinctiveaswellasthedynamicinfluenceofinstitutionalpressuresinplace[22]. Inrecentyears,institutionallogichasbeenpertinentlyusedforexplaininghowintraorganizationalprocessesaffectorganizationalgoals,change,andsuccess[23–25].

3ResearchMethod

Casestudiesareadominantlyusedapproachforstudyinginstitutionallogic[23, 26, 27].Weselectedasinglecasealongthecriteriaofcriticalnessandrevelatoryinsights, conductingaseriesoftwelvesemi-structuredinterviews[28].Followingourresearch objective,weoptedforahighlydecentralizedorganization,operatingunderlabor divisionandgrantedautonomy.Thisstructuremaybewell-suitedtoexplainhow unboundedlocalunits,focusedonmeetingspeci ficdemandsoftheirrespectivecustomers,maybecomeguidedtowardglobalgoals.Highdecentralizationalsohelpedus magnifyingthefocusonthe(dynamic)influenceofinstitutionalpressureswithinand betweendifferentunitsaswellasbetweenlocalandgloballevels.

3.1CaseDescription

ThecaseorganizationisoneoftheEurope’sleadingprovidersofpublicservicesinits respective field.Withayearlyoperatingbudgetofover €200millionandmorethan 3,000employees,itsuppliesitsservicestoover8,000internationalcustomersonthree continentsnamely,SouthAmerica,Europe,andEasternAsia.Additionally,the organizationhasover50partnershipagreementswithpeerorganizationsaroundthe world.Theorganizationisstructuredhighlydecentralized:whileadheringtoshared globalgoals,theattainmentofthesegoalsisleftautonomouslyinthehandsofitslocal units.Overall,theorganizationoffersfourtypesofservices.The fi rstisastandardized serviceforaheterogeneousmarketofabout7,000customers.Thesecondisspecialized andtailoredtoanexclusivemarketofaround1,000customers.Thethirdservicetypeis aknowledge-centeredpublicservice,offeredtoasmallmarketofinternationalexperts. Thefourthservicetypeisalsoknowledge-centered,however,mostlyofferedlocally.

GlobalBusiness. Theorganizationisoperatingunderaglobalmanagementboard.Its presidentistemporarilyelectedoutoftheover100localbusinessunitmanagers,being responsibleforsupervisingthelegitimacyofinternaldecisions.Threevice-presidents supportthepresidentinthe fieldsofservices,internaloperations,andinternational

relations.Whiledecisionsareexercisedthroughtheboardofmanagement,decisionmakingiscommissionedbyanauthorizedcommittee.Thiscommitteeconsolidates goalsandinterestsoflocalunitsbytheleadingbusinessunitmanagers,whoare membersofthiscommittee.

GlobalIT. TheglobalITdepartmentemploysaround50full-timeequivalentsandis headedbytheChiefInformationOfficer(CIO).TheCIOmanagestheprojectportfolio andstandsinclosecontactwiththeglobalbusiness.Intotal,upto50projectson differentlevelsofcomplexityarerunsimultaneouslybytheglobalITdepartment, rangingfromlarge,globaltransformationprojectstodailybusinessincidents.

LocalBusiness. Intotal,thereareover1,000localemployeesandover100leading servicemanagersinaround40businessunits.Whilespecializedontheirrespective marketsegment,theyoperateautonomously.Forservicetypes1and2,businessunits areinterdependentandhavetoaligntheiractivitieswithotherlocalunitsandtheglobal businesslevel.Servicetypes3and4followindividualmarketsegments.Aslocalunits arenotinterdependentinservice3and4,noalignmentisnecessarythere.

LocalIT. ThelocalITareindependentlyoperatingunitsintheorganizationand complementtheglobalIT.Thebusinesssupportaswellastheirmodesofoperationlie autonomouslyinthehandsofthelocalIT.Currently, fivebusinessunitsexclusively employlocalITfortheiroperationalsupport.ThestrengthsofthelocalITareprimarily aquickerandmore flexiblemodeofoperation ascomparedtotheglobalIT suchas intechnological(e.g.,toolsupport,incidents)andbusinessprocesssolutions.

3.2DataCollection

ThedatacollectiontookplacebetweenNovember2016andNovember2017.The collectioncomprisedempiricaldatafromprimaryandsecondarysources.

Primarysources refertotheinterviewsconductedintheorganization.Intotal,we conductedtwelvesemi-structuredinterviewsunderthethematicframeofthethree institutionalpressures.Eachofthethreeinterviewpartsstartedwithastructured question,followedbyanopendiscussionforcollectingcarriersofinstitutional pressures:

(1)Coercive: “Whataretherules,laws,regulations,guidelinesorsanctionsthatdirect localgoalstoglobalgoals?”

(2)Normative: “Whatarethebehaviors,norms,values,ideals,orphilosophiesthat directlocalgoalstoglobalgoals?”

(3)Mimetic: “Whatareyourperceptions,thoughts,beliefs,routinesorbest-practices thatdirectlocalgoalstoglobalgoals?

Followingourresearchobjectivesofunderstandingthelogicofharmonizationfrom anorganizational(notsolelyIS-specific)perspective,intervieweeswerechosenfrom fourdistinctareas(Table 1):businessglobal,businesslocal,ITglobal,andITlocal. Allinterviewswererecordedandtranscribed.Complementingourinterviewsbysecondarysourcesallowedatriangulationofthedata.Weuseddifferentsourcestogainan in-depthunderstandingoftheorganization’sstructure,goals,functions,roles,and

dependencies.Westudiedorganigrams,regulations,jobdescriptions,annualreports, strategies,mission/visionstatements,newspaperarticlesandthecontentofwebpages.

Table1. Profilesofinterviewees

Role Function(length)

Global business Vice-presidentDirectorofinternaloperations(60min)

Vice-presidentDirectorofadministration(60min)

Vice-presidentDirectorofcorporateservices(60min)

GlobalITCIODirectorofITadministrationandservices (90min)

HeadofglobalunitResponsibleforserviceevolution(60min)

LocalbusinessHeadoflocalunitMainlyengagedinservice1,2,and3(60min)

HeadoflocalunitMainlyengagedinservice4(60min)

HeadoflocalunitEngagedinservice1,2,3,and4(60min)

HeadoflocalunitEngagedinservice1,2,3,and4(60min)

Memberoflocal unit Mainlyengagedinservice1and3(90min)

LocalITITservicemanagerEngagedincentralITadministration(60min)

HeadoflocalITEngagedinlocalITadministration/services (90min)

3.3Scheme-GuidedAnalysis

FollowingMilesandHubermann[29]aswellasEisenhardt[30],thedataanalysiswas dividedintotwophases: coding and caseanalysis (nextsection).Thecodingscheme wasdevelopedbasedonthethreeinstitutionalpressurespromotedbyinstitutional theory[8].Thesewerestudiedonbothlocal(operationalunits)andglobal(administrativeunits)levels.Table 2 illustratesouranalysisscheme(adaptedfrom[8]).

Table2. Codingscheme(adaptedfrom[8])

PressuresCoerciveNormativeMimetic

GloballevelExamples:

Locallevel

• Rules,regulations

• Sanctions

• Incentives

Examples:

• Values,norms

• Standards

• Expectations

Examples:

• Thoughts,beliefs

• Sharedunderstanding

• Workculture/climate

WecodedtheentirecasetranscriptusingAtlas.tisoftware.Inordertoidentify institutionalpressures,wefollowedScott’s[8,p.60]theoreticaldescriptionsaswellas illustrativeexamplesofcarriers(Table 2).ConsistentwithScott[8],weconsideredthe reflectionofpressuresviasymbolicsystems,relationalsystems,activities,andartifacts.

4CaseAnalysis

Inthefollowing,wedescribetheidenti fiedcarriersreflectingthepressuresthatcontributetotheattainmentofharmonizationintheorganization.Consistentwithour focusofanalysis,westudythereflectionofpressuresonglobalandlocalbusinessand ITlevels.Wereportonthebothdistinctive(i.e.separate)aswellasdynamic(i.e. interacting)influenceofpressures.

4.1InstitutionalPressures

CoercivePressures. Attheglobalbusinesslevel,coercivepressuresarecarriedbythe overallvisionandstrategy.Visionandstrategyreflectnegotiatedcompromisesofthe organization’scommittee.Theycompriseaglobalbusinessorientation,whichisused toinitiateanddirectlocalchangeanddevelopmentprojects.Furthermore,theglobal businessmonitorsandevaluatesstandardsoflocalbusinessservice.Togetherwiththe globalbusiness,theglobalITdevelopsIT-relatedpartsoftheoverallstrategy.For operationalizingIT-relatedstrategies,theglobalITisinconstantnegotiationwiththe globalbusinessfortheallocationofbudgets.Towardthelocalbusiness,theglobalITis requiredtosteerITdevelopmentsthateitheroperationalizeglobalgoalsornonstandardizedbusinesssupportsolutions.Despitetheseregulations,theglobalITis grantedautonomyinpursuingtechnologicalsupportforthelocalbusiness.

Onthelocalbusinesslevel,coercivepressuresarereflectedinthestandardizationof services,instrictdefinitionsofserviceprocessesandminimumqualityrequirements. Fordevelopingtechnologicalsolutionstowhichnostandardizedproductsexist,the globalbusinessrequiresmandatoryconsultanciesfromlocalbusinessunitswiththeIT. Despitetheseconsultanciesandtheminimumqualityrequirements,thereareno coercivepressuresontheoperationsoflocalbusinessunits.Moreover,autonomyis grantedbytheregulationnottoregulatelocalunits’ operations.Bygrantedautonomy, localunitsspecializeintasksandlabortosupplytheirservicestotheirrespective market,guidedbytheglobalframeofvisionandstrategies.ThelocalITisconstrained bybudgets,whichareallocatedbytheglobalITandthelocalbusinesslevel.For servicesthatsupporttheglobalIT,thelocalITtakesadvantageof financialsubsidies fromtheglobalIT.Yet,theoperationalizationoflocalbusinessdemandsliesautonomouslyinthehandsofthelocalITandisnotfurtherregulated.

NormativePressures.

Attheglobalbusinesslevel,normativepressuresarecarriedby norms,values,andtheoverallidentity.Normsfocusthegenerationofqualityand innovativenessinoutputsandservices,comprisingdesiredperformancetowardthe customer.Valuesrefertotheorganization’sbrandandreputation,creatingacommon desireofbelongingandfosterthemotivationtoactivelyengageincorporatedevelopment.Anothermajorcarrierofnormativepressuresisthecommittee,whichcomprisesover100representativesfromglobalandlocallevelswiththegoalofcorporate development.Whiledecisionsareexecutedattheglobalbusinesslevel,thecommittee collectsandnegotiatescontestingandpotentiallyconflictinglocalgoalsandexpectations,fosteringacompromiseamongthese.Compromisesthenbecomeexternalizedin

visionandstrategies.Finally,identityisamongthenormativepressures,carryingthe meaningattachedtogoalsthatarenegotiatedamonglocalandgloballevels.Moreover, identityencompassessharedexpectations,suchastowardrolesandcontributions.The globalITsharesvaluesandnormsoftheglobalbusiness,understandingitsroleas supportingfunctionfortheglobalbusiness.Inordertoexcelsupport,theglobalIT employshighstandardsoftechnicalresourcesdeploymentaswellaspersonnel capabilities.Duetohighstandards,theglobalITbecomesinvolvedinorganizational developmentregardingIT-relatedaspectsinglobalvisionandstrategies.

Aslocalunitsservedifferentmarkets,theydifferwithregardstonormsandvalues. Expectationstopursuethesevaluesarealsospeci fic,differingparticularlywithinlocal units:whilehavingastrongteamfocus,unitmembersvaluespecializationsintasksas wellastheirdifferentlevelsofknowledgeandexpertise.Inturn,theyvaluepro-active engagementincorporatedevelopment.Aslocalunitrepresentativesaremembersofthe committee,contestingandpotentiallyconflictinggoals,norms,values,andexpectationsbecomemutuallynegotiatedtowardaglobalcompromise.Operatingautonomously,thelocalITunderstandsitsroleasa flexiblebusinesssupportprovider. LocalITunitsoperatedirectlywiththebusiness,independentlyfromglobalsupervision.Serviceorientation,whilenotdirectlydeliveringontheorganization ’soutput, drivesthelocalIT.ThemodeofworkingwithinthelocalITissimilarlycharacterized byahighdegreeof flexibilityinpursuingoperations(emphasizingaservicewayof thinking).

MimeticPressures.

Attheglobalbusinesslevel,mimeticpressuresaretriggeredby transparentcommunicationchannelsandanendorsedfeedbackculture.Transparent channelsofcommunicationfostertheexchangeofknowledgeandexperienceamong globalandlocallevels.Thereby,theglobalbusinesslearnshowoverallgoalsare operationalized,andwhatbestpracticesorperformancechallengesresulted.Inthis vein,personalcontactandbilateralcommunicationbetweenglobalandlocalrepresentativesisvaluedandencouragedforasharedunderstandingoncorporatedevelopment.Besides,theglobalbusinesslearnsfromtheobservationofindustry competitors.AttheglobalITlevel,mimeticpressuresarealsotriggeredbyobservations:ontheoneside,theglobalITobservestheglobalbusinessinjointoperations, learningfromacentralizedbodyoperatinginacomparableadministrationfunction.On theotherside,globalITunitsobserveindustrycompetitorsinregularpeermeetings, whereprojectmanagementpractices,successstories,and fieldreportsareshared. CommunicationandreportingchannelsaswellasbilateralcontactamongglobalIT representativesfollowthisrelation.Learningsandexperiencearealsosharedwiththe localITbasedonpersonalcontactsaswellasthebilateralexchangeofknowledgeand bestpractices.

Atthelocalbusinesslevel,mimeticpressuresarereflectedinmutualperceptionand communication,supportedbytheworkclimate.Businessunitscloselyobservetheir counterparts’ performance.Basedoncommunicatedknowledge,successstories,and bestpractices,theylearnandderivebenchmarksfortheirownoperations.Bythesame token,learningandthederivationofbenchmarksoccurswithinlocalbusinessunits: unitmembersvaluedifferentquali ficationsoftheircolleagues(e.g.,educationbackgrounds,specializedskills),bywhichtheyindividuallycontesttowardagreater

performanceoftherespectiveunit.Especiallytrust,reliability,curiosityaswellasthe willingnesstolearnareimportantfactorsoftheworkclimatethatsupportcommunicationandobservation.ThecomparablysmallsizeofthelocalITunitpermitsclose physicalcolocationformutualobservation,helpinglocalITunits’ memberstogather anunderstandingofbestpracticesandsuccessstories.Asaresultofpro-active endorsementofthelocalIT’ssupervisors,experience,knowledge,andlearningsare collectivelyshared.Likewise,trustandreliabilitysupportcommunicationandinteractiononthelocalITlevel.

4.2InstitutionalLogicofHarmonization

Buildingonouranalysis,inthefollowing,wesynthesizeour findingsintosixpressurespeci ficpropositionsonexplainingtheinstitutionallogicofharmonizationattainedina decentralizedorganization.Wefurtherreportonthedynamicsbetweeninstitutional pressures,derivingaseventhpropositionontheinterplayofpressures(Table 3).

Table3. Propositionsoninstitutionalpressuresandtheirdynamics

P1 Indecentralized organizations,…

P2

P3

P4

P5

P6

P7

P7a

P7b

Whilelocalunitsadheretotheirowncoercive mechanisms,globally-enforcedcoercive pressuresreflectasetofmutuallynegotiated compromisesamonglocalunits

Globalcoercivepressuresfosterguided interactionamonglocalunitsbyprovidinga generalorientationframefordecision-making

Localunitsretaintheirowndistinctivenormsand values,thataresharedbythemarketsegmentsin whichtheyoperateandcompete

Distinctionsinnormsandvaluesamonglocal unitsarenegotiatedatthegloballeveltowarda mutually-generatedidentity

Theappreciationofdistinctqualificationsand perceptionofbestpracticessetthebenchmarks withinlocalunits

Theappreciationofdistinctnorms/valuesand perceptionofbestpracticessetthebenchmarks amonglocalunits

Harmonizationbecomesattainedinadynamic interplaybetweeninstitutionalpressures,i.e. betweenmimeticandnormativeaswellas normativeandcoercivepressures

Coercivepressuresareinfluencedbynormative pressures

Normativepressuresareinfluencedbymimetic pressures

Coercive pressures

Normative pressures

Mimetic pressures

Dynamics of pressures

Indecentralizedorganizations,coercivepressuresarenotenforcedfromonelevel toanother.Theyareaproductoflocalandglobalnegotiationsofindividualexpectationstopursuevaluedends.Thisleadstoacompromiseofgoalsandexpectations, becomingreflectedinasetofmutually-agreedmechanisms(e.g.,vision)(P1).Ineffect, thesemechanismsharmonizedifferencesamonglocalunitsandprovideanorientation framefordecision-makingtowardvaluedends(e.g.,outputs)aswellasguided interaction(e.g.,transparencyincommunication)amonglocalandgloballevels(P2).

Locallevelsadheretoindividualnormsandvalues.Thismainlyresultsfromthe specializationoflocalunitsastheyoperateandcompeteindifferentmarketsegments. Therefore,eachlocalunitsharestheprevailingnormsandvaluesoftheirrespective marketsegment(P3).Inturn,normativepressuresarealsofoundtostimulatethe adherenceoflocallevelstoglobalvalues(feelingofbelonging).Thatis,localunits engageinthenegotiationofgoalsandexpectations,whichcontributesnotonlytothe findingofcompromises,butalsotoanoverallidentityduetosharedexpectations(P4).

Communicationchannelsallowformimeticbehaviorwithinandamonglocalunits. Withinlocalunits,membersappreciatedifferentqualificationsoftheircolleagues,all contestingtowardgreaterperformanceoftherespectiveunit.Simultaneously,best practicesareperceivedasbenchmarksformembers’ performanceintheirownunit (P5).Thisfosterstheformationofcross-marketknowledgeamonglocalunits,which performtodifferentmarketsegments,andeventuallyleveragesmimeticbehaviorbased onlessonslearnedfromothermarketsegments.Also,localunitsperceivebestpractices asbenchmarks,triggeringoutputperformanceonthegloballevel(P6).

Coercivepressuresareexternalizedintheorganization’soverallvisionand strategies.Coercivecarriersaretheresultofmutualagreementsamonglocalunitson howtoregulateanddeveloptheoverallbusinessatthegloballevel.Theresultant compromisescomprisenorms,values,andexpectationsamongglobalandlocallevels. Thisbringsustoadynamicinterplaybetweencoerciveandnormativepressure,in whichcoercivepressuresareimpactedbynormativepressuresthatcaternegotiated norms,values,andexpectationsoflocalunits(P7a).Atthelocallevel,twotypesof normativepressuresarereflected.Onetypeoriginatesinthespecifi cmarketsegmentto whichtherespectivelocalunitbelongs.Consequently,localunitstrytogainlegitimacy intheirrespectivemarketthroughcompliancewiththegivenmarket’snormsand values.Theothertypeofnormativepressuresstemsfromtheorganizationitself:as such,localunitsgainlegitimacyintheorganizationthroughrespectingsharednorms andvaluesamongdifferentlocalunits.Ineffect,localunitsappreciatetheirdifferences, whilederivingbenchmarksfromeachotherbasedonsuccessstoriesandbestpractices. Thisfosterstheriseandacquisitionofcommonnormsandvaluesaslocalunitstryto mimicthebehavioroftheirsuccessfulcounterparts(P7b).

Toconclude,theinstitutionallogicofharmonizationinhighlydecentralized organizationscanbeexplainedthroughadynamicinterplaybetweeninstitutional pressures(P7).Aslocalunitstrytomimicbehavioroftheirsuccessfulcounterparts, sharednormsandvaluesamonglocalunitsbecomeleveraged.Inturn,sharednorms andvaluesbecomereflectedinmeanstocommunicateandregulatetheminthe organization.

5DiscussionandConclusion

Ourresearchrespondstorecentcallsforconductinginstitutionalresearchonthe intraorganizationallevelofanalysis [13].Wemaketwocontributions: firstly,ourresults providesixpressure-speci ficpropositionsontheinstitutionallogicofharmonizationat theintra-organizationallevel,whicharesimilarlysupportedbyISliteratureattheinterorganizationallevel[19, 21, 31–35].Secondly,ourresultsshowthedynamicsof institutionalpressures,whicharemutuallyinteractingandconstitutive.Forprospective research,this findingprovidesnewinsightsandoffersavantagepointfordiscussion.

5.1Contribution

Forcoercivepressures,wefounddiverginggoalsandexpectationsoflocallevels reflectedinasetofmutually-negotiatedmechanisms(P1).ISliteraturesupportsthis findingattheinter-organizationallevel.Forexample,BalaandVenkatesh[19]found thatinter-organizationalbusinessprocessstandardsareco-developedbyorganizations tostandardizetheirbusinessprocessesaswellastostrengthentheirrelationstoother firms.Assetconnectedness,resourcesynergies,andcollaborationareaimedfor mutually-developedstandards.Ourpropositionthatcoercivepressuresfosterguided interactionamonglocalunitsbyprovidinganorientationframefordecision-making (P2)isalsolinewiththeinter-organizationalISliterature:mechanismsthatroutinize decision-making,forinstancetheallocationofmaterialorauthorizationofhuman resources,areshowntoprovidearegulativeframeforguideddecision-making [31, 32].

Furthermore,weproposednormativepressuresalongdistinctivenorms,values,and beliefsoflocallevels(P3)aswellastheirnegotiationatthegloballeveltowarda mutually-generatedidentity(P4).Thedistinctivenessofnormsandvaluescorresponds totheinter-organizationalperspective[33].Ageneralassumptionisthatduetodifferentspatialandhierarchicallevels,norms,values,andbeliefsdifferinanorganization [36].Simultaneously,values,rationales,andopinionsaresharedwithintheorganizationandthusyieldacollective,assimilatedsocialstructure[33].DavidsonandChismar [34],amongothers,discussthatexpectationsbetweenactorsmayspilloverto behavioralobligations.Inturn,theseobligationsfosteranoverall “structure ”,which shapesandprovidesmeaningtoorganizationalbehavior[34].

Mimeticpressureswerereflectedintheappreciationofdistinctquali ficationsand perceptionofbestpracticesthatsetbenchmarksamonglocalunits(P6)aswellastheir members(P5).Thisissimilarlyupholdininter-organizationalISstudies,suchasby BalaandVenkatesh[19],whomaintainthatorganizationshaveacompetitiveinterest inexpandingtheirrelationstootherstobenefitfromsharedknowledge,IT/ISassets, androutines.AccordingtoNicolaou[35,p.140],communicationandsocialrelations amongpersonnelhelporganizationstolearnabouteachother ’ssolutionsand “whether theyintendtoornot,facilitateimitationofeachothers’ developmentsanddecisions.” Bendersetal.[21]showthatISmanagersareattractedbybestpractices,which simultaneouslyleadstoindustry-widestandardizedpracticesasaresultofcompetitors thatperceivesuccessfulpracticesasanopportunitytocatchupincompetition.

Finally,wediscoveredadistinctivelogic,inwhichharmonizationbecomesattained inadynamicinterplaybetweenpressures(P7).We fi ndthatmimeticpressuresinfluencenormativepressures(P7b),whichinturninfluencecoercivepressures(P7a). Further,coercivepressurescarrynormativereflectionsthroughouttheorganization.In theinter-organizationalISliterature,weselectivelyfoundindicationsthatcoercive pressuresmayderivefromnormativepressures[e.g.,19].Further,wefoundevidence thatnormativepressuresareinfluencedbymimeticpressures[e.g.,33,34,36]. However,our findingsontheinstitutionallogic,occurringdynamicallyfromlocalto globallevelsinadistinctiveinterplayofmimetic,normative,andcoercivepressures, respectively,lacksevidenceintheexistingISliterature.Thisiswhereourresearch contributeswithnewinsightsandsimultaneouslyopensanavenueforprospectiveIS research.

5.2Implications

Our fi ndingshaveimplicationsfortheunderstandingofinstitutionaltheoryonthe intra-organizationallevel(explanatory findings)andthedisciplineof enterprise engineering.

ExplanatoryFindings. Our findingsshowthatharmonizationemergesinadynamic interplaybetweeninstitutionalpressures,a findingthatgoesbeyondexistingexplanationsonthedistinctiveinfluenceofpressures.WhileISresearchhasstudiedhow institutionalpressuresworkinparallel[5],indifferentorganizationalcontexts[18],as wellasindifferenttemporalcircumstances[21],littleisknownabouttheirdynamic, i.e.theirinteractinginfluence.Hence,wemotivatetoconsiderthedynamicinfluenceof institutionalpressuresforfutureresearch.

Whilepressuresaredynamicandtheirinfluencemaychangeovertime,thereare alsocontinuities,i.e.featuresthatarehighlystableandpersistinginorganizations.This iswhatinstitutionaltheoryreferstoas “imprinting ” [8].Suchcontinuitiesmayreflect particularnorms,beliefs,rulesorcombinedconfigurationsofthem[8].Ourcaseshows onemajorcontinuity – theinstitutionallogic – thatwasdiscoveredasapersisting process,stableduetotheconstantnegotiationofnorms,values,andgoals.AlthoughIS scholarshavestartedtofocusmoreonlongitudinalandhistoricalexaminationsof institutionalprocesses[e.g., 37–39],alargeextentofresearchsofarneglectsexplicit considerationsofstableandpersistingfeaturesoforganizations[5].Duetothis shortcoming,weoutlineorganizationalimprintingasatopicforfutureresearch.

EnterpriseEngineering. Inenterpriseengineering(EE),acommondiscourse addressestheempowermentofindividualsforaccomplishingorganizationalgoalsand tasks[40].ResearchhaspropagatedtomitigatetheTayloristseparationofglobal (“thinkers”)andlocal(“workers”)actors.Tothisend,our findingoflocalactorswho negotiateglobalgoalsandtaskstopursuethesehasmajorimplicationsforany approachtoengineertheorganization.Forexample,approachesthatarecoercive(e.g., strictarchitecturerules)andnotbalancedagainstgoals,values,andexpectationsof localactorsmayriskineffectivenessornon-conformity.Thisbringsustothefollowing outline.

Regardingour findingsonnormativeandmimeticpressures,itbecomesevidentthat harmonizationisadynamicprocessthatoccursalongconstantlyre-negotiatedinstitutionaldemands.Consequently,wemotivateamoredynamicperspectiveonEE.In linewithHoogervorst[40]whosuggeststoconsidertheunplanned,self-organizing, andemergingnatureoforganizationalenvironments,wemotivatetoestablishand pursueEEasacontinuousprocessofconsideringandcontinuouslynegotiatinggoals, goals,values,beliefs,andbestpracticesamongdifferentorganizationallevels[e.g.,see also 41, 42].Inlinewithour findingsandEEresearch[43, 44],feedbacksessions, communicationchannels,andalignmentmeetingswithinandbetweenorganizational unitsmayprovideapertinentavenuetodynamicallyestablishandpursueEEovertime.

5.3Limitations

Thisresearchhaslimitations.Inlinewithourresearchobjective,wepurposefullychose ahighlydecentralizedorganization.Yet,organizationsdifferbycontextualfactorsand personalmotives[45].Inconsequence,theyalsoresponddifferentlytoinstitutional pressures.Inordertogeneralizethediscoveredlogicindependentfromcontextual factorsandmotives,wesuggestextendingoursinglecaseapproachbymultiplecase studies,enrichingourqualitativedataandconductingcross-caseanalyses.

Anotherlimitationreconcileswiththisstudy’slackofconsideringtimeliness. Whiledemonstratingtheattainmentofharmonizationasadynamicprocessthrough interplayingpressures,ourstudyneglectsfurtherinsightsontheirtemporalevolvement.Moreover,institutionalizationisaprocessthatoccursovertimeandthusraises theconsiderationoftimeliness[8].Historicconflicts,changes,orunforeseenevents couldleadtoadeeperunderstandingofwhysomepressuresaremeaningfulinagiven situationorenvironment,whileothersarenot.Alongitudinalperspectivemayallow fordeeperinsights.Hence,weoutlinetheconsiderationoftimelinessinstudyingthe attainmentofharmonization[10]complementarilytothefutureprogressofthis research.

Acknowledgement. ThisworkhasbeensupportedbytheSwissNationalScienceFoundation (SNSF).

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SystemsApproachesintheEnterprise ArchitectureFieldofResearch:ASystematic LiteratureReview

JarkkoNurmi,MirjaPulkkinen(&),VilleSeppänen, andKatjaPenttinen

FacultyofInformationTechnology,UniversityofJyvaskyla, P.O.Box35,40014Jyväskylä,Finland {jarkko.nurmi,mirja.pulkkinen,ville.r.seppanen, katja.penttinen}@jyu.fi

Abstract. Thisstudyexplorestheuseofthesystemsapproaches(systems thinkingandsystemstheories)asthetheoreticalunderpinningsforEnterprise Architecture(EA)research.Boththeacademicandthepractitionercommunities havemaintainedaninterestinEAduetoitspotentialbenefits,promisingforthe recenttechnologicalandbusinessadvances.EAasaresearchareais,however, characterizedbydiversifiedviewsdepictedindifferentdefinitionsoftheconcept,andnoacknowledgedcommontheoreticalfoundation.Anumberofprior studieshavenoticedthisgapintheEA fieldofresearch,andcalledfora strengtheningofthetheoryofEA.Variegatedsystemsapproacheshavebeen suggestedasatheorybase.Theaimofthisstudyistoexamineif,andtowhat extentthesystemsapproachescouldprovideacommontheoreticalfoundation. Wecontributewithasystematicliteraturereviewonthestate-of-artofsystems approachesinEAresearch.We findthatthesystemsapproachesare,indeed, frequentlyreferredtointheEAstudies.However,asofyet,theapplicationof thesetheoriesappearstobefragmented,andtheapproachesarerarelysystematicallyusedinempiricalstudies.Wediscussthe findings,reflectingtothe typesoftheoryandtheuseoftheoryinourareaofresearch.

Keywords: Enterprisearchitecture Systemsthinking Systemstheory Systemsapproaches Literaturereview

1Introduction

Enterprisearchitecture(EA)appearstomaintainsomeinterestinresearch.Thismight beduetothepotentialsolutionsitofferstosomeofthepresentproblemsorganizations facewiththecurrentemergingtechnologiesandgrowingcomplexity[33].EApresents atoolforalignmentbetweenbusinessandIT,anissuestilljudgedasoneofthetop threemanagementconcerns[34].Further,someevidenceofbusinessbenefitsattained withthisapproachhavebeenbroughtuprecently[49].

Definitionofenterprisearchitecturevariesbyitsuse[6, 32, 39, 55].However,we startoutbyde finingEAlooselyasanapproachtomanage,plananddevelopenterprisesandtheirIT.Asaunitofanalysis,enterprisesororganizations,that,evenif

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D.Aveiroetal.(Eds.):EEWC2018,LNBIP334,pp.18–38,2019. https://doi.org/10.1007/978-3-030-06097-8_2

networkedorfederatedandthusdependingontheirenvironments,havesomedecisionmakingauthorityovertheirownresourcesandtheirgoalsetting(Seee.g.[22];De finition2.7).TheneedforanarchitecturalapproachtothemanagementofthebusinessITalignmentemergedwiththediffusionofITandtheemergenceofnetworking technologiesalreadydecadesago[6].Technologydevelopmentstodaykeepdrivingthe need,givingnewemphasistothevision: “enterpriseanalysistoolsthataregrowingin importanceandarelikelytobecomemandatoryforanybusinessthatcontinuestogrow andevolve” [62].Thisoutlinestheneedforanapproachtoapplytoatleastmediumor largesizeorganizations.TheneedappearsinthecontextoftheuseofITinorganizations.Theterm ‘enterprisearchitecture’,wascoinedlater,anditsfocushasbeen enlargingtocoveralsothestrategicplanning[27, 42],tosupportthebusinessandIT alignment[6, 44].

VarioussystemsapproachesareappliedinEAresearch,andtheideaofviewing enterprisesassystems fi ndssupportintherelatedresearchareas.Inmanagement science,theresearchofmanagementandorganizations,systemstheoryusedtohavea strongresonance[15],summarizedinarelatedspecialissueoftheAcademyof ManagementJournal[1],however,theinterestappearingtofadeovertime[3].

ForEA,anearlyexampleofsystemstheoryuseistheSystemicEAMethod (SEAM)[59].Recently,Santanaetal.[46]conductedaliteraturereviewanda descriptionofEAnetworkanalysisthatseesenterprisesascomplexnetworks.Fuetal. [16]discussedcomplexitycyberneticsinrelationtoEA,and,basedonananalysisof 33papers,concludedthatdespitegrowinginterest,neitherEAcybernetics,norother systemsapproacheshavebeenyetestablishedasatheoreticalfoundationforstudiesin this field.Lapalme[32]encouragestakingonthesystemsthinkingandsystem-inenvironmentparadigmsfortheevolvingEAapproach.

TheneedforanacknowledgedtheoreticalfoundationforEAhasbeennotedby previousresearch[e.g. 7, 25, 26].Severalotherstudies[e.g. 19, 21]havediscussedthe systemsnatureofanenterprise,andresearchershavenotedaneedtostrengthenthe theoreticalrootsofenterprisearchitectureaswellastostudyitsrelationstoother fields, suchassystemsthinking[5, 33].Forexample,KappelmanandZachman[28]pointthat “[…]theEAtrendofapplyingholisticsystemsthinking,sharedlanguage,andengineeringconcepts,albeitintheearlystagesoftheirapplication,isheretostay”.Furthermore,[42]statethe “importanceofsystemsthinkingand,especially,ofadopting theopensystemsprinciple,formanagingEAdesignandevolution” .

Theaimofthisstudyisto findindications,if,andtowhatextent,thesystems approachescouldprovideacommontheoreticalfoundationforEA.Weconducta systematicliteraturereviewtoanswertheresearchquestions:

• RQ1:TowhatextentdifferentsystemsapproachesarealreadyinuseinEA research?

• RQ2:Whataspectsoftheorydothesystemsapproachescoverinearlierstudies?

Theremainderofthispaperisstructuredasfollows:First,theconceptofenterprise architectureispresentedinSect. 2.Next,Sect. 3 presentsandbrieflydiscussesthe systemsapproaches,andtheelementssharedacrossthedifferentapproaches.Additionally,wetakealookintothesignifi canceoftheoryforaresearcharea.InSect. 4, theresearchmethodofthisstudy,thesystematicliteraturereview(SLR)protocolis

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Barclay’s Refutation of Astrology.

Astrological superstition, it is said, transcended from the Chaldeans, who transmitted it to the Egyptians, from whom the Greeks derived it, whence it passed to the Romans, who, doubtless, were the first to disseminate it over Europe, though some will have it to be of Egyptian origin, and ascribe the invention to C; but it is to the Arabs that we owe it. At Rome, the people were so infatuated with it, the Astrologers, or, as they are called, the mathematicians, maintained their ground in spite of all the edicts to expel them out of the city[11] .

The Brahmins introduced and practised this art among the Indians, and thereby constituted themselves the arbiters of good and evil hours, which gives them vast authority, and in consequence of this supererogation, they are consulted as Oracles, and take good care they never sell their answers but at a good price.

The same superstition, as we have already shewn, has prevailed in more modern ages and nations. The French historians remark, that, in the time of Queen Catherine of Medicis, Astrology was in so great repute, that the most inconsiderable thing was not undertaken or done without consulting the stars. And in the reigns of king Henry III. and IV. of France, the predictions of Astrologers were the common theme of the court conversation.

This predominant humour in the French court was well rallied by Barclay in his Argenis, lib. ii, on account of an Astrologer who had undertaken to instruct king Henry in the event of a war then threatened by the faction of the Guises.

“You maintain,” says Barclay, “that the circumstances of life and death depend on the place and influence of the celestial bodies, at the time when the child first comes to light; and yet you own, that the heavens revolve with such vast rapidity that the situation of the stars is considerably changed in the least moment of time. What certainty then can be in your art, unless you suppose the midwives constantly careful to observe the clock, that the minute of time may be conveyed to the infant, as we do his patrimony? How often does the mother’s

danger prevent this care? And how many are there who are not touched with this superstition? But suppose them watchful to your wish; if the child be long in delivery; if, as is often the case, a hand or the head come first, and be not immediately followed by the rest of the body; which state of the stars is to determine for him; that, when the head made its appearance, or when the whole body was disengaged? I say nothing of the common errors of clocks, and other time-keepers, sufficient to elude all your cares.

“Again, why are we to regard only the stars at his nativity, and not those rather which shone when the fœtus was animated in the womb? and why must those others be excluded, which presided while the body remained tender, and susceptible of the weakest impression, during gestation?

“But setting this aside, and supposing, withal, the face of the heavens accurately known, whence arises this dominion of the stars over our bodies and minds, that they must be the arbiters of our happiness, our manner of life, and death? Were all those who went to battle, and died together, born under the same position of the heavens? and when a ship is to be cast away, shall it admit no passengers but those doomed by the stars to suffer shipwreck? or rather, do not persons born under every planet go into the combat, or aboard the vessel; and thus, notwithstanding the disparity of their birth, perish alike? Again, all who were born under the same configuration of the stars do not live or die in the same manner. All, who were born at the same time with the king, monarchs? Or are all even alive at this day? I saw M. Villeroy here; nay, I saw yourself: were all that came into the world with him as wise and virtuous as he; or all born under your own stars, astrologers like you? If a man meet a robber, you will say he was doomed to perish by a robber’s hand; but did the same stars, which, when the traveller was born, subjected him to the robber’s sword, did they likewise give the robber, who perhaps was born long before, a power and inclination to kill him? For you will allow that it is as much owing to the stars that the one kills, as that the other is killed. And when a man is overwhelmed by the fall of a house, did the walls become faulty, because the stars had doomed him to perish thereby; or rather, was his death not owing to this, that the walls were faulty? The same may be said with regard to honours or employ: because the stars which

shone at a man’s nativity, promised him preferment; could those have an influence over other persons not born under them, by whose suffrages he was to rise? or how do the stars at one man’s birth annul, or set aside, the contrary influences of other stars, which shone at the birth of another?

“The truth is, supposing the reality of all the planetary powers; as the sun which visits an infinity of bodies with the same rays, has not the same effect on all, as some things are hardened thereby, as clay; others softened, as wax; some seeds cherished, others destroyed; the tender herbs scorched up, others secured by their coarser juice: so, where so many children are born together, like a field tilled so many different ways, according to the various health, habitude, and temperament of the parents, the same celestial influx must operate differently. If the genius be suitable and towardly, it must predominate therein: if contrary, it will only correct it. So that to foretel the life and manners of a child, you are not only to look into the heavens, but into the parents, into the fortune which attended the pregnant mother, and a thousand other circumstances utterly inaccessible.

“Further, does the power that portends the new-born infant a life, for instance of forty years; or perhaps a violent death at thirty; does that power I say, endure and reside still in the heavens, waiting the destined time, when, descending upon earth, it may produce such an effect? Or is it infused into the infant himself; so that being cherished, and gradually growing up together with him, it bursts forth at the appointed time, and fulfils what the stars had given it in charge? Exist in the heavens it cannot; in that depending immediately on a certain configuration of the stars; when that is changed the effect connected with it must cease, and a new, perhaps a contrary one, takes place. What repository have you for the former power to remain in, till the time comes for its delivery? If you say it inherits or resides in the infant, not to operate on him till he be grown to manhood; the answer is more preposterous than the former; for this, in the instance of a shipwreck, you must suppose the cause why the winds arise, and the ship is leaky, or the pilot, through ignorance of the place, runs on a shoal or a rock. So the farmer is the cause of the war that impoverishes him; or of the favourable season, which brings him a plenteous harvest.

“You boast much of the event of a few predictions, which, considering the multitude of those your art has produced, plainly confess its impertinency. A million of deceptions are industriously hidden and forgot, in favour of some eight or ten things which have succeeded[12] . Out of so many conjectures, it must be preternatural if some do not hit; and it is certain, that, by considering you only as guessers, there is no room to boast you have been successful therein. Do you know what fate awaits France in this war; and yet are not apprehensive what shall befal yourself? Did you not foresee the opposition I was this day to make you? If you can say whether the king will vanquish his enemies, find out first whether he will believe you.

D C and A, as they inveigh much against some other sciences, especially Agrippa, so the latter of them does not favour or spare astronomy, but particularly astrology, which he says, is an art altogether fallacious, and that all vanities and superstitions flow out of the bosom of astrology, their whole foundation being upon conjectures, and comparing future occurrences by past events, which they have no pretence for, since they allow that the heavens never have been, nor ever will be, in one exact position since the world commenced, and yet they borrow the effects and influence of the stars from the most remote ages in the world, beyond the memory of things, pretending themselves able to display the hidden natures, qualities, &c. of all sorts of animals, stones, metals, and plants, and to shew how the same does depend on the skies, and flow from the stars. Still Eudoxus, Archelaus, Cassandrus, Halicarnassus, and others, confess it is impossible, that any thing of certainty should be discovered by the art of judicial astrology, in consequence of the innumerable co-operating causes that attend the heavenly influences; and Ptolemy is also of this opinion. In like manner those who have prescribed the rules of judgments, set down their maxims so various and contradictory, that it is impossible for a prognosticator out of so many various and disagreeable opinions, to be able to pronounce any thing certain, unless he is inwardly inspired with some hidden instinct and sense of future things, or unless by some occult and latent communication with the devil. And antiquity witnesseth that Zoroaster, Pharaoh, Nebuchadnezzar, Cæsar, Crassus, Pompey, Diatharus, Nero, Julian the Apostate, and several others most addicted to astrologers’ predictions, perished

unfortunately, though they were promised all things favourable and auspicious. And who can believe that any person happily placed under Mars, being in the ninth, shall be able to cast out devils by his presence only; or he who hath Saturn happily constituted with Leo at his nativity, shall, when he departs this life, immediately return to heaven, yet are the heresies maintained by Petrus Aponensis, Roger Bacon, Guido, Bonatus, Arnoldus de Villanova, philosophers; Aliacensis, cardinal and divine, and many other famous Christian doctors, against which astrologers the most learned Picus Mirandola wrote twelve books, so fully as scarcely one argument is omitted against it, and gave the death blow to astrology! Amongst the ancient Romans it was prohibited, and most of the holy fathers condemned, and utterly banished it out of the territories of Christianity, and in the synod of Martinus it was anathematized. As to the predictions of Thales, who is said to have foretold a scarcity of olives and a dearth of oil, so commonly avouched by astrologers to maintain the glory of their science, Des Cartes answers with an easy reason and probable truth, that Thales being a great natural philosopher, and thereby well acquainted with the virtue of water, (which he maintained was the principle of all things,) he could not be ignorant of the fruits that stood the most in need of moisture, and how much they were beholden to rain for their growth, which then being wanting, he might easily know there would be a scarcity without the help of astrology; yet if they will have it that Thales foreknew it only by the science of this art, why are not others who pretend to be so well skilled in its precepts, as able to have the same opportunities of enriching themselves? As for the foretelling the deaths of emperors and others, it was but conjectures, knowing most of them to be tyrants, and hated, and thereupon would they pretend to promise to others the empires and dignities, which sometimes spurring up ambitious minds, they neglected no attempts to gain the crown, the astrologers thereby occasioning murders, add advancements by secret instructions, rather than by any rules of art, which they publicly pretended to, to gloss their actions and advance the honour of their conjecturing science: by the same manner might Ascletarion have foretold the death of Domitian, and as for himself being torn to pieces by dogs, it was but a mere guess, for astrologers do not extend their predictions beyond death, and therefore he did not suppose his body would be torn to pieces after his death, as it proved, but alive as

a punishment for his boldness in foretelling the death of the emperor, which being a common punishment, had it proved so, it had been by probability from custom, but not of the rules of astrology.—See B’s Body of Philosophy, pt. iii. chap. 14, in the history of Nature.

ON THE ORIGIN AND IMAGINARY EFFICACY OF AMULETS & CHARMS,

In the Cure of Diseases, Protection from Evil Spirits, &c.

Amulets are certain substances to which the peculiar virtue of curing, removing, or preventing diseases, was attached by the superstitious and credulous; for which purpose they were usually worn about the neck or other parts of the body. The council of Laodicea prohibited ecclesiastics from wearing amulets and phylacteries, under pain of degradation. St. Chrysostome and Jerome were likewise zealous against the same practice. “Hoc apud nos,” says the latter, “superstitiosæ mulierculæ in parvulis evangeliis, et in crucis ligno, et istiusmodi rebus, quæ habent quidam zelum Dei, sed non juxta scientiam usque hodie factitant.”—Vide Kirch. Oedip. Egypt.

At the present day, although by no means entirely extinct, amulets have fallen into disrepute; the learned Boyle nevertheless considered them as an instance of the ingress of external effluvia into the habit, in order to shew the great porosity of the human body. He moreover adds, that he is persuaded “some of these external medicaments do answer;” for that he was himself subject to a bleeding from the nose; and being obliged to use several remedies to check this discharge, he found the moss of a dead man’s skull, though only applied so as to touch the skin until the moss became warm from being in contact with it, to be the most efficacious remedy. A remarkable instance of this nature was communicated to Zwelfer, by the chief physician to the states of Moravia, who, having prepared some troches, or lozenges of toads, after the manner of Van Helmont, not only found

that being worn, as amulets, they preserved him, his domestics, and friends, from the plague, but when applied to the carbuncles or buboes, a consequence of this disease, in others, they found themselves greatly relieved, and many even saved by them. Mr. Boyle also shews how the effluvia, even of cold amulets, may, in the course of time, pervade the pores of the living animal, by supposing an agreement between the pores of the skin and the figure of the corpuscules. Bellini has demonstrated the possibility of this occurrence, in his last proposition de febribus; the same has also been shewn by Dr. Wainwright, Dr. Keil, and others. There were also verbal or lettered charms, which were frequently sung or chaunted, and to which a greater degree of efficacy was ascribed; and a belief in the curative powers of music has even extended to later times. In the last century, Orazio Benevoli composed a mass for the cessation of the plague at Rome. It was performed in St. Peter’s church, of which he was maestro di capella, and the singers, amounting to more than two hundred, were arranged in different circles of the dome; the sixth choir occupying the summit of the cupola.

The origin of amulets may be traced to the most remote ages of mankind. In our researches to discover and fix the period when remedies were first employed for the alleviation of bodily suffering, we are soon lost in conjecture, or involved in fable; we are unable to reach the period in any country, when the inhabitants were destitute of medical resources, and we find among the most uncultivated tribes, that medicine is cherished as a blessing, and practised as an art, as by the inhabitants of New Holland and New Zealand, by those of Lapland and Greenland, of North America and the interior of Africa. The personal feelings of the sufferer, and the anxiety of those about him, must, in the rudest state of society, have incited a spirit of industry and research to procure alleviation, the modification of heat and cold, of moisture and dryness; and the regulation and change of diet and habit, must intuitively have suggested themselves for the relief of pain, and when these resources failed, charms, amulets, and incantations, were the natural expedients of the barbarians, ever more inclined to indulge the delusive hope of superstition than to listen to the voice of sober reason. Traces of amulets may be discovered in very early history. The learned Dr. Warburton is evidently wrong, when he assigns the origin of these magical instruments to the age of the Ptolemies, which was not more than

300 years before Christ; this is at once refuted by the testimony of Galen, who tells us that the Egyptian king, Nechepsus, who lived 630 years before the Christian era, had written, that a green jasper cut into the form of a dragon surrounded with rays, if applied externally, would strengthen the stomach and organs of digestion. We have moreover the authority of the Scriptures in support of this opinion: for what were the ear-rings which Jacob buried under the oak of Sechem, as related in Genesis, but amulets? and we are informed by Josephus, in his Antiquities of the Jews, (lib. viii. c. 2, 5,) that Solomon discovered a plant efficacious in the cure of epilepsy, and that he employed the aid of a charm or spell for the purpose of assisting its virtues; the root of the herb was concealed in a ring[13] , which was applied to the nostrils of the demoniac; and Josephus himself remarks, that he himself saw a Jewish priest practise the art of Solomon with complete success in the presence of Vespasian, his sons, and the tribunes of the Roman army. Nor were such means confined to dark and barbarous ages; Theophrastus pronounced Pericles to be insane, because he discovered that he wore an amulet about his neck; and in the declining era of the Roman empire, we find that this superstitious custom was so general, that the Emperor Caracalla was induced to make a public edict, ordaining, that no man should wear any superstitious amulets about his person.

In the progress of civilization, various fortuitous incidents[14] , and even errors in the choice and preparation of aliments, must gradually have unfolded the remedial powers of many natural substances: these were recorded, and the authentic history of medicine may date its commencement from the period when such records began.

We are told by Herodotus, that the Chaldeans and Babylonians carried their sick to the public roads and markets, that travellers might converse with them, and communicate any remedies which had been successfully used in similar cases; this custom continued during many ages in Assyria: Strabo states that it also prevailed among the ancient Lusitanians, or Portuguese: in this manner, however, the results of experience descended only by oral tradition. It was in the temple of Æsculapius in Greece, that medical information was first recorded; diseases and cures were then registered on durable tablets of marble; the priests and priestesses, who were the guardians of the temple, prepared the remedies and

directed their application; and as these persons were ambitious to pass for the descendants of Æsculapius, they assumed the name of the Asclepiades. The writings of Pausanias, Philostratus, and Plutarch, abound with the artifices of those early physicians. Aristophanes describes in a truly comic manner, the craft and pious avarice of these godly men, and mentions the dexterity and promptitude with which they collected and put into bags the offerings on the altar. The patients, during this period, reposed on the skins of sacrificed rams, in order that they might procure celestial visions. As soon as they were believed to be asleep, a priest, clothed in the dress of Æsculapius, imitating his manners, and accompanied by the daughters of the God, that is, by young actresses, thoroughly instructed in their parts, entered and delivered a medical opinion.

Definition of Amulets, &c.

All remedies working as it were sympathetically, and plainly unequal to the effect, may be termed Amulets; whether used at a distance by another person, or immediately about the patient: of these various are related. By the Jews, they were called Kamea; by the Greeks, Phylacteries, as already mentioned; and by the Latins, Amuleta or Ligatura; by the Catholics, Agnus Dei, or consecrated relicts, and by the natives of Guinea, where they are still held in great veneration, Fetishes. Different kinds of materials by these different people, have been venerated and supposed capable of preserving from danger and infection, as well as to remove diseases when actually present.

Plutarch relates of Pericles, an Athenian general, that when a friend came to see him, and inquiring after his health, he reached out his hand and shewed him his Amulet; by which he meant to intimate the truth of his illness, and, at the same time, the confidence he placed in these ordinary remedies.

Amulets still continue among us to the present day, indeed there are few instances of ancient superstition some parcel of which has not been preserved, and not unfrequently they have been adapted by men of otherwise good understanding, who plead in excuse, that they are not nauseous, cost little, and if they can do no good they can do no harm. Lord Bacon, whom no one can suspect of being an ignorant man, says, that if a man wear a bone ring or a planet seal, strongly believing, by that means, that he might obtain his mistress, or that it would preserve him unhurt at sea, or in battle, it would probably make him more active and less timid; as the audacity they might inspire would conquer and bind weaker minds in the execution of a perilous duty.

There are a variety of Amulets used by the common people for the cure of ague; and however this may be accounted for, whether by the imagination or the disease subsiding of its own accord, many have been apparently cured by them, when the Peruvian bark had previously failed. Agues, says Dr. Willis, resisting Amulets have often

been applied to the wrist with success. A written in a conical form, i. e. in the shape of an Isoceles triangle, beginning with A, then A B, A B R, and so on, and placed under each other, will have a good effect. The herb Lunaria, gathered by moonlight, we are assured by very respectable authorities, has performed some surprising cures. Naaman, we are told (numero deus impare gaudet) was cured by dipping seven times in the river Jordan. An old gentleman, of eighty years of age, who had nearly exhausted his substance upon physicians, was cured of a strangury, by a new glass bottle that had never been wet inside, only by making water in it, and burying it in the earth. There were also certain formalities performed at the pool of Bethseda for the cure of diseases. Dr. Chamberlayne’s Anodyne necklace for a long time was the sina qua non of mothers and nurses, until its virtue was lost by its reverence being destroyed; and those which have succeeded it have nearly run their race. The Grey Liverwort was at one time thought not only to have cured hydrophobia, but, by having it about the person, to have prevented mad dogs from biting them. Calvert paid devotions to St. Hubert for the recovery of his son, who was cured by this means. The son also performed the necessary rites at the shrine, and was cured not only of the hydrophobia, “but of the worser phrensy with which his father had instilled him.” Cramp rings were also used, and eel skins tied round the limbs, to prevent this spasmodic affection; and also by laying the sticks across on the floor in going to bed, have also performed cures this way. Numerous are the charms, amulets, and incantations, used even in the present day for the removal of warts. We are told by Lord Verulam (vol. iii. p. 234,) that when he was at Paris he had above an hundred warts on his hands; and that the English Ambassador’s lady, then at court, and a woman far above all superstition, removed them all only by rubbing them with the fat side of the rind of a piece of bacon, which they afterwards nailed to a post, with the fat side towards the south. In five weeks, says my Lord, they were all removed.

As Lord Verulam is allowed to have been as great a genius as this country ever produced, it may not be irrelevant to the present subject, to give, in his own words, what he has observed relative to the power of Amulets. After deep metaphysical observations in nature, and arguing in mitigation of sorcery, witchcraft, and divination, effects that far outstrip the belief in Amulets, he observes

“we should not reject all of this kind, because it is not known how far those contributing to superstition depend on natural causes. Charms have not their power from contracts with evil spirits, but proceed wholly from strengthening the imagination; in the same manner that images and their influence, have prevailed in religion; being called from a different way of use and application, sigils, incantations, and spells.

Effect of the Imagination on the Mind, &c.

Imagination, indubitably, has a powerful effect on the mind, and in all these miraculous cures is by far the strongest ingredient. Dr. Strother says, the influence of the mind and passions works upon the body in sensible operations like a medicine, and is of far the greater force upon the juices than exercise. The countenance, he observes, betrays a good or wicked intention; and that good or wicked intention will produce in different persons a strength to encounter, or a weakness to yield to the preponderating side. “Our looks discover our passions; there being mystically in our faces, says Dr. Brown, certain characters, which carry in them the motto of our souls, and therefore probably work secret effects in other parts,” or, as Garth, in his “Dispensatory,” so beautifully illustrates the idea:

“Thus paler looks impetuous rage proclaim, And chilly virgins redden into flame: See envy oft transformed in wan disguise, And mirth sits gay and smiling in the eyes: Oft our complexions do the soul declare, And tell what passions in the features are. Hence ’tis we look, the wond’rous cause to find, How body acts upon impassive mind.”

Addison, on the power and pleasure of the imagination (Spect. vol. vi.) concludes, from the pleasure and pain it administers here below, that God, who knows all the ways of afflicting us, may so transport us hereafter with such beautiful and glorious visions, or torment us with such hideous and ghastly spectres, as might even of themselves suffice to make up the entire of Heaven or Hell of any future being.

St. Vitus’ dance was cured by visiting the tomb of the saint, near Ulm, every May. Indeed, there is some reason in this assertion; for exercise and change of scene and air will cure many obstinate diseases. The bite of the Tarantula is cured by music; and what is more wonderful still, persons bitten by this noxious animal are only to be cured by certain tunes; thus, for instance, one might be cured

with “Nancy Dawson,” while another could only reap a similar benefit from “Moll in the wood,” or “Off she goes.”

The learned Dr. Willis, whom we have already mentioned, in his treatise on Nervous diseases, does not hesitate to recommend Amulets in epileptic disorders. “Take,” says he, “some fresh Pæony roots, cut them into square bits, and hang them round the neck, changing them as often as they dry. In all probability the hint from this circumstance was taken for the Anodyne necklaces, which was in such strong requisition some time ago, and which produced so much benefit to the proprietors; as the doctor, a little further on, prescribes the same root for the looseness, fevers, and convulsions of children during the time of dentition, mixed, to make it appear more miraculous, with some elk’s hoof.

Turner, whose ideas on hydrophobia are so absurd, where he asserts, that the symptoms may not appear for forty years after the bite; and who asserts, “that the slaver or breath of such a dog is infectious; and that men bit, will bite like dogs again, and die mad; although he laughs at the Anodyne necklace, argues much in the same manner. It is not so very strange that the effluvia from external medicines entering our bodies, should effect such considerable changes, when we see the efficient cause of apoplexy, epilepsy, hysterics, plague, and a number of other disorders, consists, as it were in imperceptible vapours.

Lapis Ætites (blood stone) hung about the arm, by some similar secret means is said to prevent abortion, and to facilitate delivery, when worn round the thigh. Dr. Sydenham, in the iliac passion, orders a live kitten to be laid constantly on the abdomen; others have used pigeons split alive, and applied to the soles of the feet with success, in pestilential fevers and convulsions. The court of king David thought that relief might be obtained by external agents; otherwise they would not have advised him to seek a young virgin; doubtless thereby imagining that the virgin of youth would impart a portion of its warmth and strength to the decay of age. “Take the heart and liver of the fish and make a smoke, and the devil shall smell it and flee away.” (Tobit, c. vi.)

During the plague of London, arsenic was worn as an amulet against infection. During this melancholy period, Bradley says, that

Bucklersbury was not visited with this scourge, which was attributed to the number of druggists and apothecaries living there.

During the plague at Marseilles, which Belort attributed to the larvæ of worms infecting the saliva, food, and chyle; and which, he says, were hatched by the stomach, took their passage into the blood, at a certain size, hindering the circulation, affecting the juices and solid parts, advised amulets of mercury to be worn in bags suspended at the chest and nostrils, either as a safeguard or as a means of cure; by which method, through the admissiveness of the pores, effluvia specially destructive of all venemous insects, were received into the blood. “An illustrious prince,” continues Belort, “by wearing such an amulet, escaped the small-pox.”

An Italian physician (Clognini) ordered two or three drachms of crude mercury to be worn as a defensive against the jaundice; and also as a preservative against the noxious vapours of inclement seasons: “it breaks,” he observes, “and conquers the different figured seeds of pestilential distempers floating in the air; or else, mixing with the air, kills them where hatched.”

Other philosophers have ascribed the power of mercury in these cases, to an elective faculty given out by the warmth of the body; which attracts the infectious particles outwards. For, say they, all bodies are continually emitting effluvia more or less around them, and some whether they be external or internal. The Bath waters change the colour of silver in the pockets of those who use them; mercury the same; cantharides applied externally (or taken inwardly) affects the urinary organ; and camphor, in the same manner, is said to be an antiphrodesiac. Quincey informs us, that by only walking in a newly-painted room, a whole company had the smell of turpentine in their urine. Yawning and laughing are infectious; so is fear and shame. The sight of sour things, or even the idea of them, will set the teeth on edge. Small-pox, itch, and other diseases, are infectious; if so, mercurial amulets bid fair to destroy the germ of some complaints when used only as an external application, either by manual attrition or worn as an amulet, or inhaled by the nose. One word for all; amulets, medicated or not, are precarious and uncertain; and, now a-day, are seldom resorted to, much less confided in.

Baglivi refines on the doctrine of effluvia, by ascribing his cures of the bite of the tarantula to the peculiar undulation any instrument or tune makes by its strokes in the air; which, vibrating upon the external parts of the patient, is communicated to the whole nervous system, and produces that happy alteration in the solids and fluids which so effectually contributes to the cure. The contraction of the solids, he says, impresses new mathematical motions and directions to the fluids; in one or both of which, is seated all distempers, and without any other help than a continuance of faith, will alter their quality, a philosophy as wonderful and intricate as the nature of the poison it is intended to expel; but which, however, supplies this observation, that, if the particles of sound can do so much, the effluvia of amulets may do more.

The Moors of Barbary, and generally throughout the Mahomedan dominions, the people are remarkably attached to charms, to which and nature they leave the cure of almost every distemper; and this is the more strongly impressed on them from the belief in predestination; which, according to this sect, stipulates the evils a man is to suffer, as well as the length of time it is ordained he should live upon the land of his forefathers: consequently, they conceive that the interference of secondary means would avail them nothing, an opinion said to have been entertained by King William, but by no means calculated for nations, liberty, and commerce; upon the principle, that when the one was entrenched upon, men would probably be more sudden in their revenge and dislike physic and its occupation, and when actuated with religious enthusiasm, nothing could stand them in any service.

“A long and intense passion on one object,” observes an old navy surgeon[15] , “whether of pride, love, anger, fear, or envy, we see have brought on some universal tremors; on others, convulsions, madness, melancholy, consumption, hecticks, or such a chronical disorder, as has wasted their flesh or their strength, as certainly as the taking in of any poisonous drugs would have done. Any thing frightful, sudden, and surprising, upon soft, timorous natures, not only shews itself in the countenance, but produces sometimes very troublesome consequences; for instance, a parliamentary fright will make even grown men sh-t themselves, scare them out of their wits, turn the hair grey. Surprise removes the hooping-cough; looking

from precipices, or seeing wheels turn swiftly, gives giddiness, &c. Shall then these little accidents or the passions, (from caprice or humour perhaps,) produce those effects, and not be able to do any thing by amulets? No, as the spirits in many cases resort in plenty, we find where the fancy determines, giving joy and gladness to the heart, strength and fleetness to the limbs, lust a flagrancy to the eyes, palpitation, and priapism; so amulets, under strong imagination, is carried with more force to a distempered part; and, under these circumstances, its natural powers exert better to a discussion.

“The cures compassed in this manner are not more admirable than many of the distempers themselves. Who can apprehend by what impenetrable method the bite of a mad dog[16] or tarantula should produce their symptoms? The touch of a torpedo, numbness? or a woman impress the marks of her longings and her frights on her fœtus? If they are allowed to do these, doubtless they may the other; and not by miracles, which Spinoza denies the possibility of, but by natural and regular causes, though inscrutable to us.

“The best way, therefore, in using amulets, must be in squaring them to the imagination of patients: let the newness and the surprise exceed the invention, and keep up the humour by a long roll of cures and vouchers: by these and such means many distempers, especially of women, that are ill all over, or know not what they ail, have been cured, I am apt to think, more by a fancy to the physician than his prescription; which hangs on the file like an amulet. Quacks again, according to their boldness and way of addressing (velvet and infallibility particularly) command success by striking the fancies of an audience. If a few, more sensible than the rest, see the doctor’s miscarriages, and are not easily gulled at first sight, yet when they see a man is never ashamed, in time jump in to his assistance.”

Our inability upon all occasions to appreciate the efforts of nature in the cure of disease, must always render our notions, with respect to the powers of art, liable to numerous errors and multiplied deceptions. Nothing is more natural, and at the same time more erroneous, than to attribute the cure of a disease to the last medicine that had been employed; the advocates of amulets and charms[17] have ever been thus enabled to appeal to the testimony of what they are pleased to call experience, in justification of their superstitions; and cases which in truth ought to have been considered lucky

escapes, have been triumphantly puffed off as skilful cures; and thus have medicines and practitioners alike acquired unmerited praise or unjust censure.

HISTORY OF POPULAR MEDICINES, ETC.— HOW

INFLUENCED BY SUPERSTITION.

“Did Marcus say ’twas fact? then fact it is. No proof so valid as a word of his.”

Devotion to authority and established routine has always been the means of opposing the progress of reason, the advancement of natural truths, and the prosecution of new discoveries; whilst, with effects no less baneful, has it perpetuated many of the stupendous errors which have been already enumerated, as well as others no less weighty, and which are reserved for future discussion.

To give currency to some inactive substance as possessing extraordinary, nay wonderful medicinal properties, requires only the sanction of a few great names; and when established upon such a basis, ingenuity, argument, and even experiment, may open their impotent batteries. In this manner have all the nostra and patent medicines got into repute that ever were held in any estimation. And the same devotion to authority which induces us to retain an accustomed remedy upon the bare assertion and presumption either of ignorance or partiality, will, in like manner, oppose the introduction of a novel practice with asperity, unless indeed it be supported by authorities of still greater weight and consideration.

The history of various articles of diet and medicine, will amply prove how much their reputation and fate have depended upon authority. For instance, it was not until many years after ipecacuanha had been imported into England, that Helvetius, under the patronage of Louis XIV. succeeded in introducing it into practice: and to the praise of Katherine, queen of Charles II. we are indebted for the general introduction of tea into England. Tobacco, notwithstanding its fascinating powers, has suffered romantic vicissitudes in its fame and character; it has been successively

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