INFORMATION ARCHITECTURE PRINCIPLES

Document notes:

This document was extracted from a world wide web document titled Information Architecture - Principles, from the State of Maine. Organization oriented paragraphs were modified to reflect the Employment Development Department. Some reformatting for easier reading was done. Source:
http://www.state.me.us/ispb/iap.txt

DESCRIPTION OF INFORMATION ARCHITECTURE

An information architecture is a planning tool which helps develop technically compatible systems by providing a consistent approach to information technology across an organization. It is an underlying foundation for dealing in a consistent and integrated manner with the technology, program and organizational issues in an enterprise. A well-designed information architecture can help create integrated technical solutions to program needs and can be used to manage complexity and changing technology.

An information architecture identifies the components of an organization's information technology environment and defines their relationship to the mission of that organization. An information architecture also details the principles, guidelines and standards which specify the strategy and style for the consistent implementation of information technology. In the Department, the information architecture provides a framework for information sharing within Branches, between Branches, and, with the public.

Several key elements articulate an information architecture, namely: principles, standards, and models. Statements of principle describe an organization's philosophy regarding how it wants to use information technology. Standards are developed based on the principles and specify how the principles will be implemented. Models are graphic representations of principles and standards.

THE FUTURE

Perhaps most importantly the information architecture accomplishments have positioned the Department to effectively capitalize on the national and international superhighway and conduct business in the global economy.

The information architecture principles support continuous quality improvement and business reengineering concepts. Implementation of the architecture expands the horizons in which state workers can improve quality and better serve the public.

The principles and the information architecture process, by their nature, will be subject to review and refinement every two years.

INFORMATION ARCHITECTURE PRINCIPLES

Principles are an important element of an information architecture. They represent continuity and relative stability in an environment of change, and serve as a starting point for difficult evaluations and decisions.

In the document which follows, the Department's information architecture principles are presented within four domains - infrastructure, data, application systems, and organization. The principles will guide the construction of data processing and telecommunications standards in the areas of equipment and software acquisition, data management, application systems development, and organizational structure.

The attached statements of principles are supported with rationale for each, along with implications for the Department associated with their adoption. Each principle is a statement of belief articulating a desired direction for the state; each supporting rationale is a reason why the principle has value for the Department; each implication attempts to identity the impact that changes resulting from adopting these principles may have on current practice.

INFORMATION ARCHITECTURE PRINCIPLES SUMMARY

INFORMATION ARCHITECTURE PRINCIPLES DETAIL

INFRASTRUCTURE ARCHITECTURE PRINCIPLES

The infrastructure's ability to adapt to user needs is paramount.

Rationale:

Branch requirements are both unique and dynamic. The infrastructure should support an environment that allows applications to start small, quickly, and inexpensively.
An adaptable infrastructure provides the capability to add onto the current investment with minimum inconvenience to the user.
Applications should be able to expand or contract in concert with the demand for services.
The infrastructure should support applications that are flexible and portable.

Implications:

Adaptability and life expectancy are major criteria in setting infrastructure standards and selecting components.
Solutions which demonstrate a growth path and support portability are more likely to be maintained or supported in the future.

Interoperability is a goal of infrastructure, data management, and applications development.

Rationale:

Interoperability enhances the ability to share data and other resources which is critical to the effective delivery of services by the Department.
Interoperability fosters better interbranch cooperation by eliminating many of the barriers which make interbranch efforts difficult.
By promoting and providing interoperable components, scarce training and support resources can be directed in the most cost-effective manner.
A consistent user view of the infrastructure leads to productivity gains.

Implications:

A branch may incur higher initial costs to achieve statewide compatibility. This may delay upgrade for some Branches. However, this will position the branch to realize future cost savings.
Branches may need budgeting and staffing support to migrate to an infrastructure that supports interoperability.
Branch management needs to be educated as to the benefits of a common infrastructure so they will support the strategic plan for such an infrastructure.

The Department's infrastructure is based on open technology/architecture.

Rationale:

Open technology/architecture enables the Department to take advantage of industry trends and future technology.
An open systems approach provides for a better return on investment by prolonging the useful life of infrastructure components. It facilitates the portability of applications to smaller or larger platforms without extensive retooling and increases the likelihood that the replaced hardware can be effectively utilized elsewhere in the organization.

Implications:

Department standards, based on open technology/architecture standards will be developed. Purchasing procedures will incorporate these standards.
The cost of excluding non-conforming solutions will require us to grandfather current non-conforming products for a period of time while a plan for their replacement is put in place.
The Department needs to maximize use of existing open technology/architecture standards.

The distribution and interconnection of information technology empowers users.

Rationale:

The use of intelligent workstations and personal computers in a networked environment, when situations and applications warrant, enhances productivity.
The availability of computing processing power and network connectivity to users is often a critical part of the appropriate solution of business system needs.
Increased productivity and improved job satisfaction can result from a work force which is able to take advantage of computing resources, while minimizing the need for using ITB specialists.

Implications:

Users must be trained to use computing power and network capabilities to attain optimal results.
Some users will proceed with their own development, independent of ITB involvement.
Computer resource location decisions will be based on effectiveness and not unilateral rules.
The effective management of networks and distributed computing resources will increase the ITB workload.

DATA ARCHITECTURE PRINCIPLES

Data owners are responsible for data integrity and distribution.

Rationale:

Data owners must be accountable for the effective and efficient management of data.
The accuracy, currency and security of data are management concerns best handled by data owners.

Implications:

The Department needs to develop security procedures and standards which are consistent across the infrastructure.
The Department needs to establish procedures for data sharing.
For distribution to the public, data owners need to establish fee schedules within freedom of information guidelines and Information Services Policy Board policy.

The Department information is easily accessible.

Rationale:

The public has a right to expect more and better information.
The public has right of access to governmental information, except for that information which is confidential by statute.

Implications:

Branches need to develop strategies and solutions to allow for easy and convenient public access.
Branches need to provide information about the data which is accessible to assist public understanding and minimize misinterpretation.
Financial and human resource investments will be required if the Department is to provide easy and convenient public access to its information.

Department-level data is commonly defined and accessible across Branches.

Rationale:

Standards for common categories of data collected by Branches facilitate information exchange and minimize duplicate information or information systems.
Department-level data definition is important to all Department Branches and as such needs to be available, accessible, consistent, and accurate.
Common definition reduces duplication, mismatching, misuse and misinterpretation of data, promotes inter-branch cooperation, and facilitates data sharing.
Standards for collecting and recording common data definitions can reduce acquisition costs and improve opportunities for maximum use of Department information.

Implications:

Data which is classified as Department-level must be made available by the data owners across the infrastructure taking into account appropriate security concerns.
In many cases Department-level data is duplicated in several Branches. Efforts to coordinate data definitions will require close cooperation among Branches to develop appropriate standards.

Information systems are developed recognizing the future disposition of data.

Rationale:

Data is recognized as a valuable asset in statutes for archiving and records management. These statutes apply to electronic as well as paper documents.
Identifying the useful life of data promotes more effective systems and efficient storage of data which should result in lower storage costs, while providing for future requirements.

Implications:

Archival and records management considerations have been incorporated into the systems development methodology and need to be applied as systems are developed.
Archived electronic records need to be as accessible as paper records. This presents some technical challenges regarding equipment/ media compatibility.
Department personnel need to be trained in archival and records management policies and procedures and Department archival and records management staff needs to be aware of technical considerations.

Branches collect only necessary information, and managers seek to minimize the burden of those who must provide it.

Rationale:

The value of the Department's information lies in its application. Information should be collected or created only to the extent that it has use in fulfilling the branch's mission.
Data collection should be based on a defined need in order to achieve the most productive use of resources involved in the provider/collection stream.

Implications:

ITB developers and users will need to be trained to challenge assumptions requiring the capture of information, testing these against current and future needs.
Branches must coordinate data collection with other Branches.

Data is captured once and validated at the source.

Rationale:

Currently data may be captured and/or rekeyed multiple times.
To reduce redundancy, errors, and costs, data should be captured as close as possible to the originating source.
Interpretation questions are most effectively answered at the point of data capture.
Well-designed processes take into account source data collection.

Implications:

The Department needs to continue to explore and recommend alternative technologies for data capture at the source.
Data collectors/validators need to understand what the data means and why it is important.
Solutions must account for control branch statutory responsibilities for data validity even though the data may be collected elsewhere.
An improved work flow and simplified work process will reduce the resources needed for data capture and increase the availability of data.
ITB developers need to develop work-flow analysis skills and incorporate them into the systems development life cycle.

The Department information is a valuable resource which has been entrusted to public officials and must be managed and protected as such.

Rationale:

Information has value to the Department beyond the individual application. It is key to program planning and decision making.
Attention should be shifted from technology to the content, quality, use, and value of information.
Managers are responsible for assuring that information is protected and that controls are in place which assure that information is being collected and used properly.

Implications:

The Department must develop data and information management skills between users and owners including security, back up, and disaster recovery.
Confidential data needs to be identified and protected.
A policy is required to distinguish invalidated raw data, notes, working papers, etc. from official data and information.

APPLICATION ARCHITECTURE PRINCIPLES

Application systems maximize the effectiveness of the user.

Rationale:

Applications should be driven by the business requirements of an organization and supported by available technology.
Effective systems aid the delivery of services, maximize the use of high efficiency resources, and respond to user needs.
An effective user can better serve the customers.

Implications:

This requires both ITB developers and branch program staff to look beyond how things are being done and at what needs to be accomplished. Training support will be needed for both.

Application systems are developed using standard, common methodologies.

Rationale:

Standard development methodologies increase the likelihood of high quality results and promote reusable components.
Training and support economies of scale can be realized by using common methodologies and tools. Training is more apt to be offered and delivered in this environment.

Implications:

Systems Development Life Cycle standards must be adaptable to changes in proven industry methodologies and maximize the effectiveness of the development environment.
Training programs will be required to support standard, common methodologies.
The ITB staff will be more mobile within the Department as the development approach will be similar across Branches.

Branches employ common user presentation methods within their applications and coordinate presentation methods with other Branches on multi-branch systems.

Rationale:

Common user interfaces increase user productivity and promote interoperability.
Training economies of scale can be realized by common user interfaces. Training is more apt to be offered and delivered in this environment.

Implications:

Branch standards will be developed for user interfaces.
Training programs will be required to support the standards.
Branch staff will be able to learn to use new systems quicker as the interface will be familiar.
Branches developing cross-functional systems will need to work together to accommodate differences in user presentation methods.

Cross-functional application systems are highly encouraged.

Rationale:

Today there are many common information system needs in the Department but few cross-functional systems are available. Those that have been developed have successfully demonstrated the value of this approach.
There are economies of scale to be realized in systems development and administration by incorporating cross-functional systems.
Cross-functional systems encourage cooperation between program and ITB staffs.
Multi-branch efforts should result in increased effectiveness and efficiency.

Implications:

Systems may cost more in the short-term and take longer to build as a result of obtaining multi-branch participation. However, more Branches will benefit from the investment which may reduce overall Department costs.
The ITB community needs to stimulate the development of cross-functional systems.
BIS will need to provide staff resources to guide and support the development of cross-functional systems.

Application systems are a joint responsibility of program management and ITB management.

Rationale:

It is important that both branch management and ITB staff recognize that they have a stake in the outcome of a development effort.
An application should maximize functional utility within ITB capabilities.
Application development is an investment which must be jointly managed to maximize the return to the branch.

Implications:

Both ITB and program managers will need to understand applications from the other's perspective. This will require development of supportive and dependent working relationships over the life of the application.
ITB professionals need to understand the mission and program goals of the branch.
Program managers need to understand the potential limitations and tradeoffs of technology.

Management anticipates and plans for the replacement of obsolete application systems.

Rationale:

Every application has a limited useful life span. Beyond this life span, the application becomes functionally deficient and costly to operate and maintain.
Planning for the replacement of applications will reduce crisis replacement and maintenance efforts.
Newer applications can be more responsive to changing requirements by incorporating proven technology in solving program problems.

Implications:

Systems need to be managed as an asset and linked to program and budget plans in order to obtain executive and legislative support.
Both branch and ITB management must work together in the search for the best possible replacement.
Branches need to develop priorities for the replacement of obsolete systems.
Managers must be skilled in analyzing the value of investments in replacement systems.

ORGANIZATION ARCHITECTURE PRINCIPLES

The information architecture principles provide a framework for branch management resource decisions.

Rationale:

The mission and culture of each branch is best known from within.
This clarifies and balances the responsibilities between BIS and Branches.
Establishment of responsibility and authority fosters ownership and facilitates the decision-making process.

Implications:

Branches will comply with Department-wide policies and standards.
BIS needs to provide consulting resources to support Branches in making information architecture decisions.
Program and ITB management need to work closely together to insure that resource decisions meet branch goals.

ITB management participates fully in program planning to maximize branch effectiveness.

Rationale:

Technology is becoming increasingly important to the successful operation of the Department. It is also of strategic importance to the future well-being of the Department.
Business decisions have technology consequences just as technology decisions have business consequences.
Joint involvement increases the likelihood of the ITB solution to the business problem being funded and reduces the likelihood of last minute, inadequate application support for the solution.

Implications:

The ITB head in each organization needs to be recognized as part of the branch management team.
Financial analysis and planning for ITB expenditures must be incorporated into the program planning process.
Both ITB and branch management must make a conscious effort to educate the other about their responsibilities and requirements.

Management plans for the impact that changes in information technology have on the organization, its employees, and the public.

Rationale:

The processes and procedures that humans use to interact with information systems are vitally linked to successful utilization of the information resource.
Information systems technology has the impact of reducing the manual labor involved in information processing. Employees need to be retrained to work smarter, not harder.
Proper planning can aid in the understanding of I/T capabilities and make it easier to adapt to and implement change.
Planning for changes in business processes and new technology will help assure realization of expected outcomes.

Implications:

ITB management needs to help program management understand the changing nature and impacts of ITB technology.
Organizational change issues must be dealt within every systems development project.
Management must involve all levels of their organization when introducing new technology.

Information technology planning recognizes and supports the way people work.

Rationale:

There is great creativity and energy that can be gained by recognizing and enhancing the work group. Information technology should not isolate the worker from peers, supervisors or subordinates.
Successful computer systems recognize the important role of people in the business processes which they perform.
The purpose of technology is to support business requirements.

Implications:

Human systems engineering training may be necessary for ITB and program staff.
End users need to participate in information technology planning.
Continuous quality improvement efforts will be key to realizing the synergy potential of information systems.

Standards are reviewed at least every two years with the participation of Department Branches.

Rationale:

Standards are best understood and followed when a sense of ownership is evident.
A collaborative definition of standards is more likely to result in standards which are followed.
Cooperative development will identify diverse needs as standards are developed and anticipate possible exceptions to the standards.
Technical standards should recognize individual branch capabilities, characteristics, and needs as well as the common good.

Implications:

This requires Branches to make resources available to participate in the standards process.
A participatory effort between BIS and Branches will result in better acceptance and application of standards.
Biennial reviews will result in timely revisions of standards where necessary.

Successful information systems depend on well-trained staff.

Rationale:

The effective use of methodologies, tools and techniques which can empower developers, and speed delivery and maintenance of the systems, requires timely training.
Optimal utilization of information systems requires that the users and user managers of such systems understand the processes and procedures necessary to utilize fully the system's capabilities.
Training is a fundamental ingredient of information systems and therefore, of doing business. Then, the costs of training, both direct and indirect, will be part of branch planning.

Implications:

Training investments may rise, but ITB staff, users, and branch management will be better able to take advantage of information systems and technology.
Well-trained staff needs to be readily available to system users.
A training plan, including funding, will be developed to support new systems.
ITB management must gain the support of branch management to achieve the training plan.

Management cooperates and seeks out partnerships with other Branches in information technology areas.

Rationale:

Research and development into new technologies is a costly investment. Sharing the cost among Branches may permit more technology exploration and further the exploitation of promising technologies.
Economies of scale can be realized by sharing new technology hardware/software platforms.

Implications:

The ITB community needs to work together to identify and develop action plans to explore new technologies.
Branches that have implemented new technologies have an obligation to assist other Branches in applying the technology.
Branches need to develop budgeting and accounting solutions for technology sharing.

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