Research Doctorate - Doctor of Philosophy (PhD) / It is difficult to decide when to replace (major components of) information systems (IS) used in large organisations. Obstacles include not only the cost and the technical complexities but also the fact that the workplace is dependent on the current IS and the users have familiarity with their functionalities. The problems become more complicated with increasing need for IS interconnectivity within and between organisations. Formal guidelines to assist in making replacement decisions are not commonly used. This thesis aims to develop a model of key factors involved in the IS replacement decision and to investigate the role of interoperability in this decision. It concentrates on the healthcare domain in NSW, Australia, which represents a complex distributed multilevel organisation, which has identified interoperability as a problem and has started initiatives to improve it. Research in IS and software engineering has shed light on many of the issues associated with the replacement decision. For example, studies in technology acceptance have explained why organisations delay in moving to new technologies, and modelled the effect of increasing popularity of such technologies. IS success models have explored the factors that contribute to success and failure of deployed systems, providing checklists to assess the appropriateness of current systems from the point of view of the users and other organisational stakeholders. Research into the value of user feedback has helped managers to align user expectations with workplace IS. In terms of software function, metrics have been developed to measure a range of factors including performance, usability, efficiency and reliability that help determine how well the systems are performing from a technical perspective. Additional research has identified important points to consider when comparing custom made systems versus buying off-the-shelf systems, such as skill availability and after sale support. Maturity models and life cycle analyses consider the effect of age on IS, and Lehman’s laws of software evolution highlight the need for maintenance if an IS is to survive. Improvements in interoperability at the information level have been achieved through domain specific standards for data integrity, and modular approaches for partial changes in IS. In particular, the healthcare domain has developed a number of standardised terminological systems such as SNOMED, LOINC, ICD and messaging standards such as HL7. Template high level data models have also been trialled as a way to ensure new IS remain compatible with existing systems. While this literature partially covers and contributes to the understanding of when and how to replace IS and/or components, to our knowledge there has been no attempt to provide an integrated model identifying factors to be considered in the replacement decision. The thesis adopts a multi method approach to build a model of IS replacement and to explore aspects of interoperability. Preliminary factors and their potential interactions were first identified from the literature. In depth interviews were conducted with 10 experts and 2 IS users to investigate the validity and importance of the factors and interactions and to elicit further potential items. The analysis of the transcripts guided review of further literature and contemporary data, which led to the development of a final model and insights into the role of interoperability. A member check was used to validate both the model and the researcher’s conclusions on interoperability. The final model is centred about the change request, that is, any request made by or on behalf of an executive officer in order to maintain or replace part or all of an IS. The change request is informed by user feedback but our research distinguishes the two factors because the change request factor filters and manages requests for change from multiple sources. Other factors that have an important direct or indirect effect on generating change requests include: the extent of system specialisation, that is, how the system is tailored to satisfy organisational requirements; popularity, the degree to which an IS or a component is liked or supported by its user community; the prevalence and severity of errors and failures in the systems; the usability and performance of the systems; and the adequacy of support, including training, documentation, and so on. The dependent factors are maintenance and replacement, determined through the change requests. The validation through member checking showed that IS practitioners found our model useful in explaining the replacement process. The model provided an interpretation of the change requests. By exposing and clustering reasons behind the change requests, the complexity of deciding whether to maintain or replace system components can be reduced. Individual factors can be addressed more specifically. Formal guidelines on whether to maintain or replace components or entire IS can be drawn up using this understanding. The factors and their interactions as explained in the model could be the basis of a decision tree, which would be customised for organisational jargon and priorities. The requirement for interoperability is an aspect of system specialisation. An important finding from the research was that one of the most significant reasons to change a system is when problems are encountered in exchanging data and information. Conversely, as long as systems can exchange data, there is less pressure to replace them. Organisations benefit more from systems that provide more support for interoperability. Findings on interoperability in the health domain were that existing messaging standards (mostly HL7) used in the information exchange between subsystems including legacy databases are useful and are used. Also, ambiguities are diminished with vocabularies (mostly SNOMED, LOINC and ICD are used in NSW health domain). However, a methodology known as Interoperability Framework supported by government funding bodies for comparing data models has not been adopted and is not given any significant credit by the users. Likewise, a government proposal to use an overarching high level data model has not been adopted, in part because it is too complex. To guide use of such a data model requires a methodology for comparing data models: an example of such a methodology is developed in this thesis. The thesis research found that replacement decisions in the healthcare domain are affected by the existing quasi-monopoly of large vendors which tend to use proprietary standards that limit interoperability. The research concludes that interoperability should be achieved by increased use of vendor-independent messaging and terminological standards. In order to get the co-operation of individual health institutions within the domain, initial investments should be concentrated on simple and easy to adopt standards. A primary limitation of this thesis is the extent of testing of the findings. Data from a broader range of organisations, in different sectors and different countries, is needed to validate the model and to guide development of decision making tools that are based on it. Particularly valuable would be case studies of IS replacement decision making and the process which executives use in determining change requests. The priorities of the factors and their attributes as well as the strengths of the relationships in the model need to be tested empirically using tailored survey instruments. Another interesting research avenue which was only touched on in the thesis was the effect of policies and legislation on interoperability and on replacement decisions.

Enterprise system replacement projects within the property and casualty insurance industry are costly, high-risk undertakings that carry a significant risk of project failure. The decision to replace policy administration systems for companies with over $250 million in direct written premium is a multimillion dollar investment for corporate strategic decision makers. This study examined the financial impact of enterprise policy administration system replacement in the property and casualty insurance industry by comparing financial performance results for companies that performed policy administration system replacements with those that did not. Insurance industry financial results for the years 2009 through 2014 were used for the analysis and examined in a quantitative quasi-experimental study using repeated measures MANOVA with 6 levels for US companies with over $250 million in 2009 direct written premiums. This analysis showed that enterprise system replacement was not financially significant for revenue growth or operational efficiency. This finding suggests that system replacement should not be used as a financial growth strategy for organizations, although other justifications for system replacement may make replacement beneficial. Additional research is recommended to determine whether financial performance gains seen in 2014 for companies performing system replacements carry into future years, or whether particular companies with positive performance results following system replacement employed strategies that could be generalized across the industry. This study promotes positive social change by informing sound financial decision making and investment by insurance companies, thereby improving their financial health and stability.

Syfte – Syftet med denna studie är att underlätta implementeringen av produktlivscykelhantering (product lifecycle managmenet (PLM)) genom att öka förståelsen för vilka förmågor som krävs av organisationer när de ersätter ett produktlivscykelhanteringssystem (product lifecykle managament system (PLMS)) och vilka aktiviteter som realiserar dessa förmågor. Metod – Studien är en kvalitativ fallstudie och observerade en ersättning av ett PLMS på ett företag inom fordonsindustrin i Sverige. Intervjuer hölls med projektledare, affärsarkitekter, affärsanalytiker, utvecklare och användare, alla involverade i eller hade kunskap om den studerade systemersättningen. Totalt genomfördes 21 intervjuer och resultat genererades genom en tematisk analys. Resultat – Studien resulterade i sex domäner (1) business process and practice, (2) communication, (3) people, (4) user experience, (5) technology, och (6) system management bestående av förmågor som krävs av organisationer vid en PLMS-ersättning. Sammanlagt identifierades 15 förmågor underbyggda av 42 aktiviteter och samtliga domäner och förmågor är sammanfattade i ett utvecklat ramverk.   Teoretiska Bidrag och Praktiska Implikationer – Studien bidrar med en grundlig genomgång av den befintliga litteraturen inom PLMS-implementering, en empirisk studie av PLMS-ersättning samt vidareutveckling och upptäckt av domäner som presenteras i ett ramverk. Dessutom hjälper ramverket chefer att utvärdera om organisationer besitter de förmågor som gör att de kan utföra de aktiviteter som krävs för PLMS-ersättningar eller inte.  Begränsningar och Framtida Forskning – Studien begränsas av en fallstudie av en PLMS-ersättning i en tidig fas. Därför rekommenderas framtida forskning att validera och utöka studiens resultat i andra sammanhang. Det är också av praktiskt intresse att kartlägga aktörer inom en PLMS-ersättning och undersöka när, hur ofta och av vem aktiviteter som stöder förmågorna ska genomföras. Nyckelord – Product lifecycle management; Product lifecycle management system; Product data management; System implementation; System replacement. / Purpose – The purpose of this study is to facilitate the implementation of a product lifecycle management (PLM) approach by enhancing the understanding of what capabilities are required by organizations when replacing a product lifecycle management system (PLMS) and what activities realize these capabilities.  Method – The study employed an abductive single case-study approach, observing a PLMS replacement effort within the automotive industry in Sweden. Interviews were held with project managers, business architects, business analysts, developers, and superusers, all involved with or had knowledge about the studied replacement effort. In total, 21 interviews were conducted, and results were generated through a thematic analysis. Findings – The study resulted in six domains (1) business process and practice, (2) communication, (3) people, (4) user experience, (5) technology, and (6) system management consisting of capabilities that are required by organizations when replacing PLMS. In total, 15 capabilities underpinned with 42 activities were identified, and the domains and capabilities were summarized in a developed framework.  Theoretical Contribution and Practical Implications – The study contributes with a thorough review of the existing literature on PLMS implementation, an empirical study of PLMS replacement, and further development and discovery of domains presented in a framework. Furthermore, the framework assists managers in evaluating whether organizations possess the capabilities that allow them to perform the activities needed for PLMS replacements or not.  Limitations and Further Research – The study is limited by a single case study of a PLMS replacement effort in an early phase. Therefore, future work to validate and extend the study’s findings in other contexts is recommended. Also, mapping actors within a PLMS replacement effort and investigating when, how often, and, by whom activities underpinning the capabilities should be performed is of practical interest.   Keywords – Product lifecycle management; Product lifecycle management system; Product data management, System implementation; System replacement.

Flera företag använder sig än idag av mjukvarusystem som är uppbyggda med äldre mjukvaruarkitektur som den monolitiska. Ett av dessa företag är Consid vars personalsystem är uppbyggt med det utdaterade ramverket klassisk ASP och där användargränssnitt samt logik kan direkt kommunicera med varandra. Detta medför begränsningar som uppstår till följd av brister i modularitet på grund av valet av mjukvaruarkitektur, vilket försvårar vidareutveckling och ändringar i ett system. Dessa begränsningar påverkar i sin tur parametrar som prestanda, skalbarhet, säkerhet, robusthet samt integrering med modernare tekniker.  I denna rapport presenteras en litteraturstudie samt en semistrukturerad intervjustudie, i syfte att undersöka vilka mjukvaruarkitekturer som är lämpliga att implementera vid en modernisering av en monolitisk mjukvaruarkitektur. Arbetet diskuterade också vilka utmaningar som kan uppstå vid en sådan modernisering och hur de hanteras på ett effektivt sätt. Ett bedömningsschema med önskvärda parametrar, med avseende på skalbarhet, prestanda, säkerhet och robusthet, togs fram för att underlätta avgörandet vid val av mjukvaruarkitektur. Utifrån detta, beslutades det att en prototyp med en REST-baserad arkitektur skulle implementeras och utvärderas.  Resultatet av prototypen, till följd av re-architecting, visade en ökad modularisering av mjukvaruarkitekturen. I jämförelse mot med det tidigare systemet har den nya prototypen ingen större påverkan på prestanda i form av responstid. Däremot bidrog prototypen till förbättrad skalbarhet när det gäller vidareutvecklingen av systemet, eftersom det förenklar införandet av ny funktionalitet. Prototypen hade också högre säkerhet genom att isolera lager ifrån varandra samt dölja underliggande detaljer i implementationen. Dessutom blev prototypen inte bara mer robust till följd av modulariseringen, men även enklare att utföra integrationstester samt destruktiva tester mot. / Several companies still use software systems that are built with older software architecture such as the monolithic one. One of these companies is Consid, whose personnel system is built with the outdated framework Classic ASP and where the user interface and logic can directly communicate with each other. This entails limitations that arise because of shortcomings in modularity due to the choice of software architecture, which complicates further development and changes in a system. These limitations in turn, affect parameters such as performance, scalability, security, robustness, and integration with modern technologies. In this work, a literature study was conducted as well as a semi-structured interview study in order to investigate which software architectures are suitable to implement when a modernization of a monolithic software architecture, is carried out. The work also discussed the challenges that may arise in a modernization of the software architecture and how they are handled efficiently. An assessment scheme with desirable parameters regarding scalability, performance, security, and robustness, was developed to facilitate the decision in the choice of software architecture. Based on this, it was decided that a prototype with a REST-based architecture would be implemented and evaluated. The result of the prototype, following re-architecting, showed an increased modularization of the software architecture. Compared to the previous system, the new prototype has no major impact on performance in terms of response time. However, the prototype contributed to better scalability in the further development of the system as it simplifies the introduction of new functionality. The prototype also had higher security by isolating layers from each other and hiding the underlying details in the implementation. In addition, the prototype not only became more robust because of the modularization, but also easier to perform destructive tests against.