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Subject: Re: [soa-rm-ra] random and nonrandom thoughts on governance
Hi Ken There is a lot I agree with here. I do have a few differences though ... (life would be *so* boring :) 1. I agree completely that participants can be organizations. And that the cardinalities are *..*. 2. I have a bit of heartache with the way that you characterize goals of participants and organizations. I do not think that they should be conflated: a. An organization may have goals; and governance may be in furtherance of those goals. (A link that is not to be assumed, but to be strived for I believe.) b. A participant's goals are (IMO) distinct from any organization's goals. In particular, I do not believe that governance attempts to satisfy participants' goals except in so far as they satisfy the organization's goals. c. One of the questions that a potential participant (or potential non-participant) must answer is whether the organization's goals are sufficiently aligned with the participants goals to permit the membership. We all know that this is normally not a 100% fit; but is some kind of balance/juggling act. 3. I used the term organ as a kind of abstraction of representative body. For me, organs of control are the people/bodies that have authority of some kind. Different governance frameworks will lead to different arrangements of organs (some on the left, some on the right :-) And yes, in a large well managed framework, there are likely to be many layers of organs. 4. A defining characteristic of an organ of control is its remit (an English-english word meaning sphere of control/understanding/ influence/authority). The difference between a democratic congress and a dictator is one of degree not kind. The remit identifies the kinds of policies and rules that the organ may promulgate and expect to have enforced. I think that bob's functions are another way of expressing the concept of remit; but am hesitant to claim this. 5. I do not see the relationship between organization and participant as strictly membership. Organizations are also about the relationship between the participants. Again, there is normally a limit/definition/constraint on the kind of relationships captured by an organization. This allows both of us to be both members of the local gym and a company and have separate relationships in the different contexts. Frank On Sep 6, 2007, at 2:35 PM, Ken Laskey wrote: > I'm looking at the diagram I uploaded at the beginning of > yesterday's meeting and at the diagram Danny uploaded after the > meeting and I'm trying to merge all this with what was said during > the meeting. Let's see where this collection of thoughts takes me > (and you hearty enough to read on). > > I started with the diagrams but then got stuck on Bob's thoughts on > governance where there is one "type" that has overriding authority > and another "type" where somewhat independent groups work > together . We've often talk about this as within enterprises and > across enterprises but for this discussion I'd like to call them > Authoritative and Cooperative. How do these fit with the > diagrams? Well, they could be subclasses of Governance but I think > they may more appropriately be at (or near) the ends of a (maybe > continuous, maybe stepwise) spectrum. We'll see where that goes > later. > > To back up a second, note that my diagram has Participants agreeing > to Governance and Danny has Governance having jurisdiction over > Participants. After a chuckle or two, I think these can work > together because part of what the participant agrees to is being > under a jurisdiction. Participants can remove themselves from a > jurisdiction by moving in some physical sense (e.g. where you live > or where you work) or by selectively ignoring the Governance (e.g. > outright defiance or the time honored approach of slow-rolling). > This doesn't cover being born in an authoritarian (note difference > with authoritative) regime and having no escape, but for SOA I > think we can consider that an edge case. > > So I start with Participants who may be members of Organizations. > I could just note that an Organization can be a Participant and do > away with this but I wanted to show (although didn't include the > cardinality) that a Participant can be a member of more than one > Organization and both the Participant and the Organization can (and > do) come under multiple sets of Governance Processes (yes, it > should probably be plural in my diagram). > > While we're at subclasses of Participant, Danny has Decision Makers > as a subclass and these entities do all the governance work. I > don't think this is accurate because it isn't always "decision > makers" that express Goals. Participants can act as individuals or > representatives of organizations. If representing an organization, > they probably act with some level of cognizance by Decision Makers > but the specifics (at least at some level of detail) may not > (probably not?) have Decision Makers review. I would say the whole > Participant/Decision Maker combination is demonstrated by Working > Group/TC participants. On the other hand, I see a correspondence > between Danny's Decision Makers and my Representative Body, so > let's not downplay it too quickly. (Note, I am no more ond of > Decision Makers than I was of Representative Body. Any other > suggestions?) > > So let's get back to Authoritative and Cooperative Governance. > With Authoritative governance, there is a recognized entity who > should be running things. This says nothing about whether the > recognized entity is officially blessed or whether it is > particularly effective. The recognized entity is almost certainly > a Participant and a Decision Maker. > > With Cooperative governance, the independent entities agree to a > Governance Framework under which there will be Governance > Processes, and the collection of independent entities form the > Decision Makers. Actually, the collection becomes the recognized > entity of the Authoritative governance. > > Is it appropriate to say that any Governance requires cooperation > and the question of authoritative is really authoritative to whom > and can you make decisions (reflected through Rules and Policies) > stick? If this is true, a single governance diagram covers both > cases without either being explicitly represented in the diagram. > > Some other notes on Danny's diagram: > - My intent for Governance Framework is it would form the structure > for the Governance Processes rather than "support" it. > - Management needs to have more than knowledge of policy; it has to > provide direction for Management. > > With respect to Bob's question of where functions fit in, there are > processes for performing functions and rules and regulations that > provide details. The operational how falls to management. That > said, I don't think functions get added to the diagrams but can be > included in the accompanying text. > > Something captured in my diagram I don't think appears in others is > the idea that participants create local management to create local > rules and regulations in addition to those that may be created more > globally. Thus, Management Body is instantiated at multiple levels. > > While writing this, I have been modifying my diagram to capture > these and other thoughts. The result so far is no additional > classes but many additional relationships. I think it is an > improvement but YMMV. > > One final thing: processes for assessing and enforcing compliance > have to be part of the Governance Processes and the particulars are > defined by Rules and Regulations. This includes adjudication, from > voluntary negotiation to no-nonsense enforcement. Compliance is > with Rules and Regulation, not Policy; here, I define Policy as > statements of what you want to occur whereas Rules and Regulations > supply the metrics on which compliance is evaluated. Now the last > couple sentences may form the basis of a couple more lines on the > attached diagram, but frankly at the moment I'm not up to adding them. > > Diagram is attached for those who can see it directly. For others, > I'll upload to OASIS. > > Ken > > > > > ---------------------------------------------------------------------- > -------------------- > Ken Laskey > MITRE Corporation, M/S H305 phone: 703-983-7934 > 7515 Colshire Drive fax: 703-983-1379 > McLean VA 22102-7508 >
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