2. Introduction – Sheila Jeffrey
35+ years of experience in data processing/information technology.
Experience mostly in financial services industry (currently at
Bank of America).
Became interested in data modeling through CASE implementation
in the 1980s (Computer Aided System Engineering), and the rest
is history ….
Background in software development, systems architecture,
application development support, channel strategy and Enterprise and
information architecture.
Strive for work/life balance as a wife, mother & grandmother, daughter and
community member.
Seek to maintain awareness of the ‘big issues’ as well as solves today’s problems.
3. Purpose and Structure
Provide an overview of some classic components of enterprise architecture with
a focus on principles, and examples of their use in the information domain.
• Why have principles?
• How do they relate to other architecture artifacts?
• What makes them ‘real’?
• An overview of information architecture context
• Getting started with principles for information management
• A few examples
4. What is a Principle? Definition …
Definition
“A rule or code of conduct.” Merriam-Webster
A principle states a value or expectation that will underpin the requirements of
correct outcomes for a sphere of activity.
5. What is a Principle?
A group of related principles –
• Encapsulate the relevant vision
• Can be organized into hierarchies
• Set scope and boundaries
• Provide reference for decisions
Each constituent principle –
• Should embody a durable value
• Is widely applicable to processes (how/method) and/or artifacts
(what/outcome)
6. Why do architects care about principles?
It is necessary to articulate principles to ensure that the appropriate values and
objectives guide (business and technology) decisions (for a given organization or
exercise).
The ability to ensure a useful architecture requires governance. Governance
requires policies - how do we know if we are pursuing the right one(s)?
Characteristics of Architecture Principles (TOGAF 8.1.1)
Architecture principles define the underlying general rules and guidelines for
the use and deployment of all IT resources and assets across the enterprise. They
reflect a level of consensus among the various elements of the enterprise, and
form the basis for making future IT decisions.
Each architecture principle should be clearly related back to the business
objectives and key architecture drivers.
7. So where do Principles fit in …
Principles Policies
Subordinate
Principles
Standards
Guidelines
8. (Definitions … )
Policy
Statement of minimum thresholds for behavior and performancewith assigned
governance responsibilities.
Standard
Specification of required degree of excellence for a particular purpose.
Guideline
Recommended but discretionary preferred approach, often providing practical
guidance and suggestions.
Subordinate Principle
Additional principle which may further constrain, but may not expand, the
scope of a superior principle.
9. … and relate to Governance?
Principles Policies
Subordinate
Principles
Standards
Guidelines
Governance
11. Structure of a Principle
Name Should both represent the essence of the rule as
well as be easy to remember. Specific technology
platforms should not be mentioned in the name
or statement of a principle.
Statement Should succinctly and unambiguously
communicate the fundamental rule.
Rationale Should highlight the business benefits of adhering
to the principle, using business terminology. Also
describe the relationship to other principles, and
the intentions regarding a balanced
interpretation. Describe situations where one
principle would be given precedence or carry more
weight than another for making a decision.
Implication Should highlight the requirements, both for the
business and IT, for carrying out the principle - in
terms of resources, costs and activities/tasks. It
will often be apparent that current systems,
standards, or practices would be incongruent with
the principle upon adoption. The impact to the
business and consequences of adopting a principle
should be clearly stated.
Recommended Format for Defining Principles – TOGAF 8.1.1
12. Principles for Information Architecture
All of the discussion to date can be applied to any relevant context or
architectural domain.
Information Architecture is tasked with providing a comprehensive overview of
an organization’s static and dynamic data to ensure its effective management
(e.g. ownership, security, protection, accessibility) and use (e.g. accessibility,
delivery , reliability).
Identifying the foundational principles for an information architecture is –
• contextual (with other organizational, business and technology
principles, if specified)
• urgent (if not done already)
• potentially transformative.
13. Enterprise Architecture Context
Business
Process
LOB LOB LOB
IT
Infrastructure
Architecture
Enterprise
Architecture
Solutions
Architecture
Business
Architecture
Information
Architecture
Software
Designer
DBA
Based on IASA Foundation Course material
14. Information Architecture Characteristics/Concerns
Information architecture addresses business concerns and solution design
relating to:
• What data is of interest to the organization
• What areas are responsible for which data/information
• Acquisition and distribution of data (through business operations)
• Movement of data through business processes (data flows)
• Management of data security and privacy
• Data quality (‘fitness for use’)
• Efficient storage of data
• Enabling appropriate access to data
• Common understanding and reuse of data assets
• Consolidation and integration of data for analytic use
• What regulations or compliance concerns affect which data
• Data retention, archiving and destruction
• Metadata management
15. Information Architecture Principles Urgency
Well managed data is a necessity for effective business
Deliver efficient process
Identify redundant activities and data.
Regulated activities (financial services, healthcare) are being monitored to
demonstrate good data management practices:
Dodd Frank Act
Health Information Technology for Economic and Clinical Health
(HITECH) Act.
Business is generating exponential amounts of data – if it is not of sufficient
quality and appropriately identified it is a liability rather than an asset.
Understanding and providing data security and protection is an imperative in
today’s connected environment.
The investment in data acquisition and storage must be leveraged to provide
competitive advantage.
Address issues of data retention, archiving and disposal.
16. Potential Impact of Information Architecture Principles
Identifying and confirming the principles for guiding information management
requires thoughtful assessment of the organization’s business model, values
and goals.
Formulating the principles that will deliver good data management and
effective use of information puts a focus on the evolution of the ‘information
age’ and ‘data driven’ business.
Many organizations are working through what it means to view data as an asset,
and manage it as such.
The exercise of writing information management principles will require
decisions about the role of the business versus technology in this space.
To ensure that the principles are realistic and actionable, challenges such as
data volume (‘big data’) and how to value data must be surfaced and
considered.
17. Example Principle - 1
Name Primacy of Principles (*1)
Statement The principles of information management apply to all organizations within the
enterprise.
Rationale Ensures consistent and measurable level of quality information to all consumers and
decision makers from reliable data sources.
Implication Prevents exclusions, favoritism and inconsistency of application that would undermine
the consistent management of information.
Initiatives must demonstrate compliance to principles before initiation and through
delivery.
If an initiative does not comply with a principle it must be modified to agree; a
principle cannot be ignored or violated.
*1 - Derived from TOGAF example
18. Example Principle - 2
Name The Quality of Data Supports Its Business Use
Statement The verified quality of data must ensure correct, accurate and defensible business
results.
Rationale Business activity will be reliable, efficient and free of errors caused by incorrect,
missing or defective data
Implication Data quality requirements must be identified, defined, documented and implemented
based on business context and rules.
All legal, regulatory and audit considerations affecting data quality requirements for
specified data must be identified and met.
All dimensions of data quality must be considered when data quality requirements are
identified
Ongoing data quality measurement and reporting will be required.
Initiatives that alter the use of data must reassess and validate data quality
requirements based on the change.
19. Example Principle - 3
Name Data is a Business Asset
Statement Data is recognized as a critical business asset, frequently managed by technology.
Rationale Business activity is dependent on correct data, so it must be owned and managed by
business organizations, which may leverage technology solutions to manage their data.
Implication Business organizations must provide stewards to be responsible for the data required
for their business processes.
Business people must understand their data and are responsible for defining all
requirements of the data involved in their functions.
Business data stewards are responsible for data quality reporting.
Business owners must fund and staff for data management activities, in partnership
with technology.
21. Closing Thoughts
Architectural principles (for data and information) serve to :
• Drive thoughtful discussion of the vision and goals for the organization
• Anchor policies back to core concerns of the organization
• Identify the most significant dimensions for solution development
• Aid in strategy development and initiative prioritization
• Provide ‘guard rails’ for the scope of initiatives
• Contribute to metric identification and effective management of data
Cautions:
• Strive for a select set (10 – 20 ) of principles
• Each organization is unique and requires it own set of principles.
23. References
IASA Foundation Course materials
TOGAF 8.1.1 online materials
Software Systems Architecture – Rozanski, Woods
Data Architecture (from Zen to Reality) – Charles D. Tupper
Information Solutions Guiding Principles - Bank of America
Information Architecture Review Board
Understanding Principles – Dick Wilson, Bank of America
Artifact Definitions and Dependencies - John Kling, Bank of America
