keys to successful governance with soa3674

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May 22-24, 2007Washington Dulles HiltonThe Business Transformation Conference

1

Dr Mohamad Afshar Sr. Director, Product Management Oracle Corporation

SessionTitle: Keys to Successful Governance with SOA

Welcome to Transformation and Innovation 2007The Business Transformation Conference

Ben Moreland Director, Foundation Services The Hartford




2

<Insert Picture Here>

³Specifying the decision rights and

accountability framework to

encourage desirable behavior in the

use of IT.´

Peter Weill

Professor, MIT




3

leadership and organisationalstructures and processes that

ensure that the organisation·s IT sustains and extends theorganisation·s strategies and objectives

IT Governance Institute

Delivery of value to the

business and mitigation of risk: mitigation throughaccountability in theenterprise; driven by strategic alignment

Organizational structuresand processes that ensureorganizations IT sustainsand extends theorganizations strategy and objectives

Not about making specificIT decisions (managementdoes that), but rather determines whichindividuals and roles with

the company systematically make and contribute to thosedecisions.

Establish chains of responsibility

authority and communication to

empower people (decision rights)

And establish measurement and

policy control mechanisms to

enable people to carry out

their roles and responsibilities

Governance is about getting

people to do the right thing at

the right time in the right way




4

Marks of Good IT Gove rnance With SOA

Differentiated Business Strategies Enabled by SOA

Business Objectives for Evaluating SOA Investments

Executives Engaged and Can Describe Arrangements

Stable with Few Changes Year to Year

Well-Defined Formal IT Exception Processes

Multiple Formal Communications Methods to Engage

Business Leaders




5

Wh ere Do You St and?

? SOA by Accident

IT Plan Non Existent or NotAligned with Business PlanIT Reactive to Business

InitiativesNo SOA StrategyNo SOA RoadmapSilos of SOA

SOA By Design

IT Plans Aligned with BusinessPlans and InitiativesSOA Strategy that is

Communicated WidelyWell-Defined Business BenefitsSought from SOA StrategySOA Roadmap Aligned toDeliver on Business and SOAStrategy




6

Delivery With Control &

Reduced Risk

Governance with SOA

Governance i s K ey t o D elivering on SOA by D esign

Business Strategy

SOA Strategy

SOA Roadmap

Business Plan

EA Strategy




7

C onstituents of a SOA RoadmapSOA Strategy

SOA Roadmap Planning Helps

Avoid Duplicated Effort, Realize

SOA Benefits Earlier and

Support Improved Ability to

Deliver Projects to SOA

Risk Identificationand MitigationAgainst them

Capability Developmentto Improve Abilityto Deliver on SOA Project

Leverage Services PortfolioMaximize ReuseAlign with Platform Availability

SOA Requires Competencein a Range of Areas

Source of RiskHow to Lessen Impact

Business ServicesPortfolio Plan

Which Services, When

Buy-in from BusinessLeverage Projects to Build InfrastructureSOA Benefits Expected

Risk Profile ForProjectsSOA Requires Capability

Planning

Prioritized ProjectsIn Project Portfolio




8

Essence of Governance w ith SOA

Processes(How)

Decisions(Who)

Policies(What)

GOVERNANCE with SOA ADDRESSES

What decisions must be made for effective managementWho should make those decisions and who has input rights?

How will the decisions be formed and enacted




9

K ey Leverage Points for SOA Governance |Prevalent View

Financial

PortfolioPeople

OperationsProjects /ServiceLifecycle

Technology Architecture

Service Usage Fees

Service Funding Model

Projects

Applications

Platform Funding Business Services

Roles & Responsibilities

Service Ownership

EA Group

Service & Process Owners

Service Lifecycle Gov

Shared Artifacts

Capacity Planning

Enforce Service Levels

Enforce Policies

Strategic SOA Platform

Shared Foundation Srvcs

Enforce Platform Decisions

Reference Architectures

Architectural Standards

Blueprints & Patterns

DRIVEN BY

EXECUTIVES

Information

Data Standards

Data Quality

Data Ownership




10

K ey Leverage Points for SOA Governance |Full Picture

Financial

PortfolioPeople

OperationsProjects


Service Usage Fees


Projects

Applications



Service Ownership

EA Group



Shared Artifacts

Capacity Planning


Enforce Policies







DRIVEN BY

EXECUTIVES

Information

Data Standards

Data Quality

Data Ownership




11

FinancialSOA may require governance of new policies and

procedures around SOA Funding and Chargebacks

Distribution of Budget

± Funding the SOA Journey and Programs

Allocation and Funding of SOA Software License, Hardware

± Based on Priorities

SOA Center of Excellence Funding ± Allocating cost of SMEs

± Covering costs of outside consulting

Defining the Service Usage Fee Model

± Chargebacks for shared services usage

Foundational, architectural services such as Error Handling, Notification, etc.

Business Services built by projects such as Customer Lookup, Item Validation, etc.

± Allocating support costs (operations, enhancement, bug fix)of shared services




12

PortfolioSuccessful SOA Governance requires alignment of

the IT Portfolio with the SOA Strategy andRoadmap

Application Portfolio Planning

± Ensure application lifecycles (upgrades, enhancements,maintenance, sunset) are consistent with the SOAStrategy

Infrastructure and Technology Portfolio Planning

± Ensure hardware and software agendas are consistentwith the SOA Strategy

Project Portfolio Management

± Create projects to align applications and infrastructure tothe milestones and goals of the SOA Roadmap

Services Portfolio Planning ± Business Services Portfolio

± Foundational/Technical Services Portfolio



May 22-24, 2007

Washington Dulles HiltonThe Business Transformation Conference

13

PeopleSOA is not only a Technology Shift. Policies governing

employees must be included in SOA GovernanceClarity Around Roles and Responsibilities

± Process Ownership ± NEW

± Service Ownership ± NEW

± Architecture

± Development Approach - NEW

± Testing Approach ± Operations

± Training

Enable and Support People Making theChange

- Organize around the SOA Vision

Knowledge Centers ± SOA CoEs

Enterprise Architecture Group

Cross Project Governance Board

Foster Innovation and Creativity

± Demonstrate Leadership

Affirm Executive Buy in andSupport

Monitor progress

Provide Rewards/Incentives



May 22-24, 2007


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Pr ojects

Project Prioritization

± Align with Strategy/Roadmap

Ongoing Service Ownership and Management

Consistency in Service Implementation

± Design, Code Reviews

Create, Store, Find Shared Artifacts

Utilization Shared Services

Service Lifecycle Governance

Business Process Lifecycle Governance

Policies, processes and decisions must guide the projects

designed to deliver on the SOA Vision



May 22-24, 2007


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Ser vice Lif ecycle

Service Identification and Design

± Services Identification Framework

± Service Interface Design

± Approving a Service

Service Development ± Consistency in Service Implementation

± Building for Reuse

Service Deployment

± Publishing a Service

Service Operations

± Policies Relating to Services - Security

± Service Change Requests ± Service Versioning

± Service Retirement/Sunset

Proper Service Lifecycle Governance is a critical component of SOA

success. Without this, you may have services and SOA technology, butyou will not realize benefits of an enterprise Service OrientedArchitecture



May 22-24, 2007


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Architecture

Standards Compliance

± WSDLs WS-I Compliance

± Architecture Assessments

± Review & Change Processes

Reference Architecture(s)

Guidelines ± Service Interface Design

± What to Repeat (patterns)

± What to Share (reuse)

Blueprints

± Multi-Channel

Patterns ± Data Integration

Architecture Documents

± Goals, Use Cases, Views, Standards

SOA Architecture provides the foundation to ensure consistent,

shareable services



May 22-24, 2007


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Technology

Select technical technical solutions that

adhere to industry standards

Platforms and Infrastructures should Evolve

± Aligned with Service Portfolio Plan

and SOA RoadmapBuild Consensus to Migrate to an SOA

Platform

Enforce Platform Decision Across IT Teams

Manage Timing and Implementation of SOA

Platform EnhancementsDesign and Build Shared Foundation

Services as Part of SOA Infrastructure

Technology must be identified, sourced and managed like any

other component of SOA - It is not a one-time ³fire-and-forget´decision



May 22-24, 2007


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O perations

Develop an Operational Model for Services

Formalize Capacity Monitoring and Planning

Control Service Execution

± Define/Enforce Service Levels

± Define/Enforce Runtime Policies

(Security, Access, Logging, Billing)

SOA Infrastructure Monitoring and Management

Polices for Review and Handling of Exceptions

and Violations

Operations of an SOA could be different than standard IT operations.

Changes to existing, or even new policies may be needed to governOperations for a SOA



May 22-24, 2007


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Information

Establish Data Ownership and Stewardship Model:

± Define Roles & Responsibilities for Data Consumers

and Produces

± Set Data Standards

Build aD

ata Services ArchitectureMandate Data Access:

± Schemas for Exchanging Core Enterprise Data

± Services as Single Sources of Truth Key Enterprise

Entities

± Policies for Access Control

Policies for Resolving Data Conflicts to Improve

Data QualityPolicies for Ensuring Quality of Service

Performance Tuning of Data Services for Multiple

Application Scenarios

Unless data quality and interoperability issues are addressed,

SOA apps will rest on top of a very weak foundation.



May 22-24, 2007


20

6 Steps to Successf ul SO A Governance

1. Define Goals and Strategies

3. Define Metrics

5. Analyze and Improve

Existing Processes 4. Put Governance

Mechanisms in Place

2. Define Standards, Policies, Procedures

Around Financial, Portfolio, Project, Service, etc

These 6 steps allow a company

to incrementally develop

and mature t heir overall SOA

and t hus business goals

6. Refine and Go to the Next

Level of SOA Maturity



May 22-24, 2007


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Goals & Strategies

Business and IT Goals

SOA Strategy

Existing Capabilities

SOA RoadmapJourney Management



May 22-24, 2007


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C reate Standards, Policies & Pr ocesses

Communicate

Executives

Developers

Architects

Administrators

IT Managers

Business Analysts

Feedback & Monitor

Enterprise

Architects

Governance

Board

Policies

Create

Manage

Issues:

Decision RightsInput Rights

Exception Management



May 22-24, 2007


23

Def ine Metrics for Success

Why Measure ?

±Ensure Business Goals

±Deliver SOA Strategy

What to Measure ?

±standards, compliance, # of projects adhering to processes, #

of reference architectures, usability of reference architectures,

# of exceptions, # of services created, # of reusable services,

service reuse metrics, etc

How to Measure ?

±What can be automated?

±What can be easily captured?



May 22-24, 2007


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Put Governance Mechanisms in Place1. Decision, Policies, Pr ocesses


Financial

PortfolioPeople

OperationsProjects


Service Usage Fees


Projects

Applications



Service Ownership

EA Group



Shared Artifacts

Capacity Planning


Enforce Policies






DRIVEN BYEXECUTIVES

Information

Data Standards

Data Quality

Data Ownership



May 22-24, 2007


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Put Governance Mechanisms in Place2. Mechanisms

Vision for Governance Endorsed by Executives

± Force Behavioral Change

± Ensure Participation of Appropriate People

Awareness

± Communication & Collaboration

± Center of Excellence

Roles and Responsibilities

± Financial, Portfolio, People, Architecture, Projects, Technology, etc

± Education Strategies

Processes (Automated)

± Capture and Report on Metrics Administration, Monitoring and Enforcement

± Exceptions Handling Mechanisms

± Upward Communication when Policies are not followed



May 22-24, 2007


26

<Insert Picture Here>

³It is an overkill to apply formaldiscipline and governance to small

SOAs (consisting of 50 or fewer

services).´

Paolo Malinvero

VP, Gartner



May 22-24, 2007


27

Analyze and Impr ove

Metrics on Governance Process Itself

Metrics on Progress of Goals and Roadmap

± How Often are People Going off the Path?

±D

o they Tell us When they do? ± Do we need to change restrictive policies?

± Do we need to have stricter enforcement?

What do you do with the Information?

Make Decisions

Create Feedback Loop



May 22-24, 2007


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Ref ine and Go to the Next Maturity Level

SOA Strategies, Goals, Objectives Met for this

SOA Maturity Level level

Refine SOA Strategies, Goals, Objectives for

Current Maturity LevelCreate New SOA Strategies, Goals, Objectives for

next SOA Maturity Level



May 22-24, 2007


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May 22-24, 2007


30



May 22-24, 2007


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The H artford F inancial Ser vices Gr oup, Inc.

Founded in 1810

One of the largest investment and insurance companies inthe United States.

Fortune 100 company

30,000 employees

Two Companies:

± Hartford P&C ± Auto, Home, Business insurance

± Hartford Life ± investment plans, Life insurance, Group benefits



May 22-24, 2007


32

Step 1: Goals & Strategies ² Level 1

Business Goals

± Reduce TCO

± Speed To Market

± Ease of Doing Business

SOA Roadmap

± Project-based (WSM & UDDI Registry selected)

Governance

± ³Do No Harm´



May 22-24, 2007


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Step 2: C reate Standards, Policies & Pr ocesses ²

Level 1

Standards

- SOAP 1.1, XML 1.0, UDDI 2.0, WSDL 1.1

First SOA initiatives were project-based SOA governance was atthe project (LOB) level

Governance processes created to assess projects againstReference Architecture (Application)

Aligned LOB architects and project scoring

Created IT Roadmaps and Blueprints

PCAC formed



May 22-24, 2007


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Step 3: Def ine Metrics ² Level 1

At SOA MM level 1, The Hartford didn¶t have any explicit

metrics other than project-based metrics

Discussions around SOA metrics began

No reusability at this point



May 22-24, 2007


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Step 4: Put Governance Mechanisms in Place ²

Level 1

PCAC put in place to score all projects against

Reference Architecture primarily and LOB Roadmap

and Blueprint if they existed

Scoring was a learning exercise at level 1

Assessment process being defined



May 22-24, 2007


36

Step 5: Analyze and Impr ove ² Level 1

Analyzed where we were against business goals

Findings: ± Architecture standards applied inconsistently across LOBs

± Projects going forward that were not moving the overall architecturein the right direction.

± Initial services deployed showed promise of re-usability with the oneLOB

Are you moving forward or closer to your goals? ± The eB&T organization decided:

Centralize the enterprise architects and SOA practice (FoundationServices group)

Begin to push back on negatively scored projects Continue with the SOA initiatives (still project based) due to early

success (primarily insight into SEMCI application)



May 22-24, 2007


37

Step 1: Goals & Strategies ² Level 2

Business Goals (same):

± Reduce TCO

± Speed To Market

± Ease of Doing Business

SOA Roadmap ± Project-based (WS-addressing, WS-Security, Central EA

organization)

± Align LOB project decisions with architecture recommendations

Governance

± Score projects to influence business decisions ± Track all projects assessed and not assessed

± Track all projects with and without ³architects´



May 22-24, 2007


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Step 2: C reate Standards, Policies & Pr ocesses ²

Level 2

Standards (added)

- WS-Addressing, WS-Security, Reference Architecture 2.0

Governance processes improved to assess projects against the

Reference Architecture (SOA based) based on CIOs feedback

Project assessments more mature

Enterprise Architecture group formed under CTO (also new)

SOA governance through EA Foundation Services group, but still

project-based



May 22-24, 2007


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Step 3: Def ine Metrics ² Level 2

# of services (course-grained vs fine-grained)

Service Sharability, Component Reusability

# of projects assessed and not assessed

# of projects with assigned ³architects´ and without architects

Cost savings on projects based on architecture assessment and re-

use



May 22-24, 2007


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Step 4: Put Governance Mechanisms in Place ²

Level 2

Central EA organization (ASC) for IT Governance

Projects scored and evaluated to ³+´, ³0´, ³-´

Projects assessed as short term adequate, near-long term

adequate and long term adequate

CIOs agree to ³tax´ if negatively scored project pushed

through to delivery

SAD course developed and delivered to all architects

Service Policies

- WS-Addressing and ³contract ID´ required for all services



May 22-24, 2007


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Step 5: Analyze and Impr ove ² Level 2

Analyzed where we were against business goals.

Findings:

± Architecture standards applied consistently across LOBs

± Some projects still being pushed forward with negative scores, butnow high level discussions and justification at executive level

± Reusability in certain LOBs very high, others low ± Still not addressing ³Ease of doing business´

± TCO lowered through SOA efficiencies in maintenance

Are you moving forward or closer to your goals?

± The eB&T organization decided:

5 year business & IT roadmap developed

Foundational projects

Need better metrics



May 22-24, 2007


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SO A Governance - Level 3

Portfolio transformation program identifying high value business

services

Standards committee and Services committee formed to formalize

standards maturity and P&C SOA policies and procedures

Service criteria and processes definedLarge number of new metrics with constant feedback from CIOs

No projects may be considered without EA involvement

Need SOA Governance automation to scale



May 22-24, 2007


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Summary

Increasing SOAMaturity Only

Achievable through SOA

Governance

SOA Governance Requires More

than Technology Build on Existing IT Governance

Mechanisms

Executive Buy-In Vital to Catalyze

Change Required for SOA

Complexity of SOA GovernanceProportional to CompanySize



May 22-24, 2007


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Dr Mohamad Afshar Sr. Director, Product Management Oracle Corporation

Contact Information: [email protected] [email protected]

Ben Moreland Director, Foundation Services The Hartford

Than k You