Development and Usage of Information Architecture: A Management Perspective Kanapaty Pelly Periasamy Wolfson College, University of Oxford Submitted in Partial Fulfilment of the Degree of Doctor of Philosophy Michaelmas 1994 This thesis is dedicated to the memory of my parents. Acknowledgements In writing a thesis one accumulates numerous debts. I wish to take this opportunity to thank all those who have contributed directly or indirectly to this thesis. My sincere gratitude to my supervisor, David Feeny, for his unfailing guidance and encouragement throughout this research. Thanks to the members of the Oxford Institute of Information Management and the various faculty members of Templeton College (Oxford) who were patient sounding boards for my ideas and provided constructive and stimulating feedback. I am grateful to my employer, the Institute of Systems Science, National University of Singapore, for the study leave and financial support to undertake this course of study. I wish to also thank the consultancy business of IBM United Kingdom for providing funds to undertake this research. This research would not have been possible without the active participation of the case study organisations and the cooperation of the survey respondents. Thanks to the consultants - IBM UK, Andersen Consulting, and Nolan, Norton & Co.- for being a source of helpful and provocative interaction. Finally on a personal note, I would like to express my heartfelt appreciation to my wife, Parimala, and my daughters, Shaaretha and Sangeetha, without whose understanding, support and patience this thesis would not have become a reality. Development and Usage of Information Architecture: A Management Perspective Kanapaty Pelly Periasamy Wolfson College, University of Oxford Submitted in Partial Fulfilment of the Degree of Doctor of Philosophy Michaelmas 1994 Abstract Despite its emergence more than a decade ago, information architecture remains a problematic concept. A study of relevant literature suggests significant advocacy with inadequate supporting evidence on its existence, application or value. The available limited research evidence generally presents unsatisfactory information architecture experience. Notwithstanding the unresolved issues and reported unsatisfactory experience, information architecture continues to be referenced as an important information management issue. Hence this doctoral study sought to investigate it In the first stage, the study set out to clarify the position of information architecture via a large scale postal survey of 294 organisations. The survey found that information architecture is being used in association with IS planning, particularly in organisations which position IT as a strategic resource, but perceptions on its two conventional key components vary. While application architecture is viewed as being useful for IS planning, corporate data model is seen as being more relevant to data management and project implementation. Both models are regarded as tools facilitating integrated information systems development. In the second stage of research, case studies on 6 large organisations were conducted to gain an in-depth understanding of successful information architecture practice. The investigation reaffirmed application architecture's position as an IS planning tool and cast further doubt on corporate data model's role not only in IS planning but also in IS practice as a whole. Business area/project data model was identified as the pragmatic high-level data model for both application/database development and data management. A major finding of the case studies was on business system architecture, a pictorial model depicting IT in its business setting. It is seen as being of value for integrating IS planning with strategy development and business planning - a tool for fusing IT with the business. The case studies concluded that the value and effectiveness of information architecture is dependent on the targeting of its components - business system architecture, application architecture and business area/project data model - in terms of tasks and recipients. The case for a holistic approach to business/IS planning and implementation is currently being argued by a number of leading management and IS scholars. This thesis embraces the holistic approach and positions the (redefined) information architecture as a valuable tool in its implementation. Table of Contents TABLE OF CONTENTS Chapter 1: Introduction 1 1. Research Issue 2 2. Research Methodology 3 3. Research Findings 4 4. Outline of Thesis 7 Chapter 2: The Case for Research in Information Architecture 9 1. What is Information Architecture? 9 Definition of Information Architecture and its Components 10 Information Systems Architecture 12 2. Information Systems Planning 14 IS Planning Methodology 16 IS Planning Process - An Example 17 3. Development of Information Architecture 18 Value Activity-Entity Matrix and CRUD Matrix 18 Application Architecture Development 19 Corporate Data Model Development 22 4. Claims and Assertions About Information Architecture 23 Business/IS Planning Tool 23 IS Framework 24 IS Integration 24 Project Management 25 Application Development 25 Relevance to IT Architecture 25 Managing Change 26 5. Criticisms on Information Architecture 27 Consumption of Significant Time and Resource 27 Senior Management and Information Architecture 27 Need for Expertise in Methodology and Tools 27 Obsolescence of Information Architecture 28 Failure of Information Architecture 28 6. Research Evidence on Information Architecture 29 Information Systems Planning in UK Companies (Earl, 1990, 1993) 30 Table of Contents Strategic Data Planning (Goodhue, et al., 1992a) 32 Building an IS Architecture (Kim and Everest, 1994) 33 7. The Need for Research in Information Architecture 34 8. Proposed Research 35 9. Summary 38 Chapter 3: Research Methodology 39 1. Research Methodology Typology 39 2. Research Paradigms and Methods 41 Positivism and Phenomenology 41 Research Methods 42 3. Specific Research Methods 44 Experiments 44 Survey Research 44 Combined Research Approach 45 Case Study Research 46 4. Methodology for Information Architecture Research 47 5. Large Scale Postal Survey 49 6. Case Studies 50 Case Study Organisations 51 Case Study Process 52 7. Summary 53 Chapter 4: Survey - Examining the Adoption of Information Architecture 55 1. Hypotheses and Research Issues 55 Issues to be Explored 56 2. Large Scale Postal Survey 58 Survey Sample 59 Derivation of New Data 62 3. Hypothesis Testing 62 Selection of Statistical Tests 63 HI: Information Architecture is Used by a Majority of Organisations 63 H2: Information Architecture is Perceived to be of Significant Value. 64 H3: Information Architecture is Associated with IS Planning 66 Table of Contents iii 4. Exploratory Analysis of Information Architecture: General Issues 69 Role of IT and Information Architecture 69 Usage of IT and Information Architecture 71 5. Analysis of Application Architecture/Corporate Data Model 73 Adoption/Valuation of Application Architecture/Corporate Data Model 74 Sources of Application Architecture/Corporate Data Model 74 Developing Application Architecture/Corporate Data Model 75 Users of Application Architecture/Corporate Data Model 76 6. Benefits and Problems of Application Architecture/Corporate Data Model 77 Benefits/Purposes of Application Architecture/Corporate Data Model 77 Problems of Application Architecture/Corporate Data Model 79 7. Discussion and Propositions 81 Information Architecture: The General Message from the Survey 81 Comments and Propositions on Corporate Data Model 82 The 'Data Vs Process' Debate from an IS Planning Perspective 83 Comments and Propositions on Application Architecture 84 8. Summary 86 Chapter 5: A Redefined Information Architecture - The Theoretical Model 87 1. Research Domain 87 2. Management Requirements 90 3. Managerial Communication 94 4. Management Behaviour 96 5. Management Information Characteristics 99 6. Strategy Development and Business Planning 101 Strategy and Business Plan 101 The Strategy Development-Business Planning Framework 103 7. Information Systems Planning 104 8. Earl's 'Organisational Approach' 105 Project Implementation 106 Information Architecture and the 'Organisational Approach' 107 Support for the 'Organisational Approach' from the Literature 108 9. IT Architecture 109 Reach and Range of IT Architecture 111 10. Component of Information Architecture: Business Model 112 Table of Contents iv 11. The Theoretical Research Model 113 Development of the Research Model 113 Strategy Development and Business Planning 114 Functional Level Planning 116 Project Implementation 117 The Organisational Behaviour Setting 118 Systems Thinking and Information Architecture 119 12. Verifying the Theoretical Research Model 120 Zachman's (1987) Information Systems Architecture (ISA) Framework 120 Verification of the Research Model with Zachman's ISA Framework 122 Other Verification Effort 124 13. Summary 124 Chapter 6: Case Studies - 125 The Case Study Process 125 Framework for Case Study 126 Scope of Case Study 126 Data Collection 127 Case Study Report 128 1. Case Study No. 1: Shell UK Exploration and Production (Shell Expro) 129 Company Profile 129 IT Function 130 Strategy Development and Business Planning 131 Information Systems Planning 133 Project Implementation 135 Business Model: The Exploration and Production Business Model 136 Application Architecture: The Output of Business Area Analysis 139 High Level Data Model: The Exploration and Production Data Model 140 IT Architecture 143 Conclusion 144 2. Case Study No. 2: Thames Water Utilities Ltd. 145 Company Profile 145 IT Function 146 Strategy Development and Business Planning 147 Information Systems Planning 148 Table of Contents Project Implementation 152 Business Model 153 Application Architecture 158 High Level Data Model 162 IT Architecture 165 Conclusion 168 3. Case Study No. 3: Rover Group Ltd. 169 Company Profile 169 IT Function 170 Strategy Development and Business Planning 172 Information Systems Planning 174 Project Implementation 176 Business Model 177 Application Architecture 181 High Level Data Model 183 IT Architecture 185 Conclusion 189 4. Case Study No. 4: Allied Dunbar Assurance Pic. 190 Company Profile 190 IT Function 191 Strategy Development and Business Planning 192 Information Systems Planning 196 Project Implementation 200 Business Model 202 Application Architecture 205 High Level Data Model 208 IT Architecture 212 Conclusion 215 5. Case Study No. 5: Safeway Stores Pic. 216 Company Profile 216 IT Function 217 Strategy Development and Business Planning 221 Information Systems Planning 223 Project Implementation 225 Business Model 227 Table of Contents vi Application Architecture 231 High Level Data Model 233 IT Architecture 235 Conclusion 237 6. Case Study No. 6: British Rail 238 Organisation Profile 238 IT Function 239 Initiation of Information Architecture Project 241 The Information Architecture Project 242 Key Deliverables of the Information Architecture Project 245 Other IS Models Relevant to the Project 249 Major Project Issues 250 The Outcome of the Information Architecture Project 254 Conclusion 255 7. Summary of Chapter 257 Chapter 7: Case Study Synthesis - Theory vs Practice 258 1. Context for Analysis of Information Architecture 259 Strategy Development and Business Planning 259 Information Systems Planning 261 Project Implementation 262 Summary of the Context Related to Information Architecture Practice 263 2. Business System Architecture 265 Characteristics of Business System Architecture 266 Organisational-level Business Processes and Models of Industry 267 CRUD Matrix and Business System Architecture 268 Value and Usage of Business System Architecture 269 3. Application Architecture 271 Overall Application Architecture 271 Detailed Application Architecture 273 4. High-Level Data Model 275 Corporate Data Model 275 Business Area/Project Data Model 278