SOA Governance Framework – SOA Governance Process Information Entities

This appendix describes all information used by The Open Group SOA Governance Framework. The individual artifacts are grouped into a set of components that belong to the high-level areas of the SOA Governance Framework.

Governing Process Artifacts

Compliance artifacts
Dispensation artifacts
Communication artifacts

Governed Process Artifacts

Enterprise architecture
Service description
Service roadmap
Solution description
Solution roadmap

SOA Governance Vitality Method (SGVM) Artifacts

Plan phase:

Maturity assessment
SOA governance vision & strategy
SOA governance scope
SOA governance principles

Define phase:

Descriptions of governed process and associated guidelines
Descriptions of governing processes and metrics
Description of SOA governance organization, roles, and responsibilities
Descriptions of SOA governing processes artifacts
Description of SOA governance technology
Implementation plans for SOA governance organization, roles, and responsibilities, SOA governing processes, and SOA governance technology

Implement phase:

Adoptions of the artifacts from the Define phase
….

Monitor phase:

Collected metrics from the SOA governing processes
Collected metrics from the SOA governed processes
Change plans for governing and governed processes

SOA Governing Process Artifacts

Information Artifact	Description
Appeal Record	Documentation of an appeal to an exception and the resolution.
Exception Record	Documentation of an exception at a compliance checkpoint.
Dispensation Record	Documentation of a dispensation to a exception.
Compliance Record	Documentation of the approval at a checkpoint.
Communication Plan	A plan describing how information about SOA governance should be communicated.

SOA Governed Process Artifacts

Enterprise Architecture

This information applies to the overall SOA implementation within the organization.

Information Artifact	Description
Business, IT, and SOA Principles	Business, IT, and SOA principles will guide the decision-making for SOA-based solutions.
IT Funding Model	Description of existing IT funding model for the business domain(s) and the IT group(s) supporting that business domain.
SOA Governance Principles	Principles used for guiding the SOA governance within an organization.
SOA Maturity	A measure of the progression of the organization’s adoption of SOA.

Service Description

The service description information component contains all the information about a service from inception to run-time.

Information Artifact	Description
Service Contract	There is a contract between a service provider and its consumers for the performance of that service. Contains expected or required volume and other qualities of service requirements.
Service Exceptions	Records of service contract exceptions and contract violations and resolution.
Contract Violation Resolution	Resolution of contract violation: Agreement of parties to meet the terms of the contract Amendment of contact Cancellation of contract
Service Performance Reports	Performance reports for the service are produced as required by contracts or for financial reports.
Service Requirements	Description of the service(s) function, visibility, and access methods supported, including: A description of any known quality of service or capacity requirements (non-functional requirements) Confidentiality, privacy, audit, and data integrity concerns above and beyond those listed in the Reference Architecture Definition of any common information models that will serve as the basis for entities that are passed to and from services It also contains service identification results and any requirements documents gathered in the service focus and identification phases
Service Change Proposal	Proposal of change in a service.
Service Ownership	Description of the service ownership including: A document recording the service ownership model and the rationale for the service ownership model for a business domain Should include contact details for requesting and authorizing changes to the service and the decision-making, or “governance” plan specific to that service Confirmation that the service is in the right domain or if it is cross-domain, or if it is application/solution-specific
Service Classification	A taxonomy used to indicate that a service belongs to one of several predefined types based on the nature of the logic it encapsulates, the re-use potential of this logic, and how the service may relate to domains within its enterprise. For example, the following three service models are common to most enterprise environments, and therefore common to most SOA projects: Task service – performs a task within a business process Entity service – performs a CRUD against an information element Utility service – performs a common processing function such as logging
Service Identity	Description of the service identity including, for example: Proposed service name Proposed service description
Service User Interaction Report	Report on an interaction with a service consumer.
Incident Report	Report on a specific incident with a service usually detected by the consumers or end-users.
Problem Report	Report on problem with a service usually detected by the service monitoring and management process.
Service Performance Feedback	Feedback report(s) to service repository to help ensure trust in service.
Service Infrastructure	The description of IT infrastructure available to support the service contracts (i.e., system pools and failover plans).
Service Audit Reports	Information is produced for periodic security or regulatory audits as well as any security incident reports.
Service Test Results	Description of the test results.
Service Metrics	Service metrics define specific metrics for measuring the reliability of a service and how those metrics are to be transferred from the service to a manager. For each service that requires monitoring, the organization will define the Quality of Service (QoS) requirements for the service and these six metrics that will help the organization manage its services: Number of requests Number of failed requests Number of successful requests Service time Maximum response time Last response time Also monitoring requirements for the service to support audit, logging, charge-back, and financial reporting.
Service Processes	Processes that the service is participating in.
Service Realization Plan	Defines the key activities of the analysis to build the service, including the service deployment platform.
Service Characteristics	Description of the service capacity, performance plan, and supported qualities of service.
Service Deploy Results	Description of the service deployment results including: Publicizing the service Deploy environment Deploy configuration
Service Definition	The textual description of a service for others to understand its purpose.
Service Test Plan	Plan to validate the accuracy of the service functionality.
Service Test Metrics	Metrics resulting from the service validation and testing.
Service Techniques	Defines the techniques required to design, assemble, test, and deploy the service. These can be predetermined by the Service Portfolio and SOA Reference Architecture.
Service Interface Design Model	Detailed design and specification of the service including: Service policies to be used Detailed design of the interface definition: Model via use-cases or sequence diagrams to analyze and understand the necessary scope of the new service and how it would be used Supporting documentation; for example, if a data set is part of the arguments or returns, it will need to be referenced or described in detail For web services interfaces, the WSDL definition file and associated XML Schema definitions if needed For non-web services interfaces, specific artifacts will vary, but should be stored here
Services Model	Model to depict the logical relations and characteristics of services.
Service Implementation Design Model	Description of the service implementation design including: Identified service implementation patterns Legacy re-use patterns Re-used legacy functionality Re-used services and their contracts
Service Policy	A service policy offers mechanisms to represent the capabilities and requirements of a service. Service policy metadata can describe the capabilities and requirements of a service; i.e., representing whether and how a message must be secured, whether and how a message must be delivered reliably, whether a message must flow a transaction, etc. Exposing this class of metadata about the capabilities and requirements of a service enables tools to generate code modules for engaging these behaviors. Tools can use this metadata to check the compatibility of requestors and providers. The Web Services Policy standard can be used to represent the capabilities and requirements of a web service. Each service can have one or more policies associated with it. Normally, the service policies are not implemented as part of the service itself, but reside outside the service implementation as metadata and can be changed at any time.
Implemented Service	Description of the implemented service including: Code, documentation Deployment platform Used legacy functionality Used external services

Service Portfolio Management

Information Artifact	Description
Service Roadmap	A description of the service roadmap, by quarter or by project, over the next two to five years. These are referenced to particular business initiatives to simplify adapting service portfolio plans when business plans change.
Service Usage Plan	Plan for how existing services should be used.
Service Incentive Model	A program to encourage or reward solutions for re-using existing services or developing new services for the service plan.
Business Needs	The business needs initiating the solution.
Service Funding Model	Description of the rules for service funding as well as enhancing the services and mechanisms used to provide incentives for service re-use (or charge-back) including: Defines the service funding model and the rationale for the service funding model Should include whether the funding model is designed to encourage re-use of the service (incentive and disincentive models) Should specify the project that will bear the cost of developing the service for re-use and if and how cost savings/increased revenue will be directed to the service owner Funding plan guidance for complementing the schedule for the service realization and operation Funding plan for shared SOA infrastructure used – examples are registry/repository and service bus What’s wrong with the funding model for the network/phone infrastructure… treat them as common IT services from a funding perspective… user count or transaction count?
Service Catalog	A collection of available services. A catalog may be stored in electronic or physical media.
Service Change	Any update to an existing service.
Contract Violation Resolution	Documentation that describes the results of a service contract non-conformance.

Solution Description

The solution description component contains all information about the component from requirements to run-time.

Information Artifact	Description
Solution Testing Metrics	Metrics resulting from the results of the solution validation and testing.
Solution User Interaction Report	Description of solution user interactions.
Solution Version	An updated iteration or variation of a solution.
Solution Audit Results	Validation results of an independent evaluation of a solution’s functionality and conformance to the solution requirements and organization’s legal obligations.
Solution Design	The design of the solution.
Solution Techniques	The techniques to be used to implement the solution.
Solution Model	The design model of the solution.
Solution Definition	The general definition of the solution including, e.g., purpose, scope, context.
Solution Canonical Information Model	Represents the universal concept and format of solution data without regard to specific source or target system implementations.
Solution Process	Description of the processes of the solution.
Solution Deploy Results	Report of certification for the deployed solution: Test results for the final configuration and execution of tests that can only be done on final configuration due to variance from test configuration (such as confidentiality verification) Report of capacity and operational and virtualization plan based on load requirements Document describing the IT environment configuration and virtualization techniques used (if any) to meet the solution requirements Should include a list of any shared services used for service dependencies
Solution Change Proposal	Description of proposal for solution change.
Solution Requirements	Description of the requirements of the solution including: Process requirements Business rules Functionality needs
Solution Incident Reports	Description of a solution incident usually detected by the consumers or end-users.
Solution Problem Reports	Description of solution problem usually detected by the service monitoring and management process.
Solution Performance Report	Description of the performance of the solution.
Solution Constraints	Description of constraints on the solution such as: Schedule Resource (business and IT) Cost
Solution Audit Reports	Information is produced for periodic security or regulatory audits as well as any security incident reports.
Solution Modeling Metrics	Numerical statistics associated with a solution model. Examples include number of input systems, number of interfaces, and number of services.
Solution Constraints	Constraints on the solution which limit its scope, functionality, cost, design options, architecture, etc.
Solution Test Results	Description of the solution test results.
Solution Test Plan	Description of the test plans to validate the solution’s functionality and performance.
Business Case	Business case for new investment (business and IT development). This could also be initiated as a cost-savings exploration initiative.
Solution Realization Plan	Description of the key activities of the analysis to build the solution and the techniques required in design, assembly, testing, and deployment of the solution.
Solution Architecture	Description of the solution including: Process requirements UI requirements Information requirements Functional requirements Non-functional requirement Security requirements Agility needs
SOA Solution	Description of the implemented solution including: Code, documentation Deployment platform Used internal & external services

Solution Roadmap

The solution roadmap information component contains an up-to-date roadmap of planned development and integration activities.

Information Artifact	Description
Solution Roadmap	Description of the solution roadmap including any anticipated solution sunset (end-of-life) plans.

SGVM Artifacts

This section describes artifacts used and created in the SOA Governance Vitality Method (SGVM).

Plan Phase

Information Artifact	Description
Maturity Assessment	An evaluation of the organization to determine its level of SOA governance adoption.
SOA Governance Vision and Strategy	The long-term SOA governance goals and action plans for successfully achieving the goals.
SOA Governance Scope	The breadth and depth boundaries of the SOA governance program.
SOA Governance Principles	The underlying foundational beliefs of an SOA governance program.

Define Phase

Information Artifact	Description
Governed Process and Associated Guidelines	The processes and guidelines which the governed processes follow to adhere to the SOA governing processes.
Governing Processes and Metrics	The directional processes and numerical measures which are followed by SOA solutions to implement SOA governance.
SOA Governance Organization, Roles, and Responsibilities	The organizational structure, duties, and obligations of its members.
SOA Governing Processes Artifacts	The documents and templates developed to support the SOA governing processes.
SOA Governance Technology	The products which are used to implement and enforce SOA governance.
Transition Plans for SOA Governance Organization, Roles, and Responsibilities	Plans to evolve or migrate the SOA governance organization, roles, and responsibilities.
Transition Plans for SOA Governing Processes	Plans for maturing and changing SOA governing processes.
Transition Plans for SOA Governance Technology	Plans for migrating or transferring from one set of SOA governance-related technologies to another, such as a next generation software technology.

Implement Phase

Information Artifact	Description
Implementation Plans	Plans to deploy and execute SOA governing processes and SOA governed processes within an organization.

Monitor Phase

This information relates to the continuous improvements of the SOA governance activities and processes.

Information Artifact	Description
SOA Metrics	Statistics that are regularly gathered as part of the normal SOA process to measure what is happening or not happening.
SOA Governance Checkpoint Metrics	Statistics that are regularly gathered as part of the normal SOA Governance Checkpoints to measure what is happening or not happening.
SOA Processes Change Document	Document which identifies the changes needed in the current effort to optimally perform SOA at this organization. This document will be used by the SOA governance effort to drive the needed changes.

⇒ SOA Governance Metrics Example

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