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Contents Foreword Preface Acknowledgements 1 Introduction 1.1 Why this Book? 1.2 Change, Risk, and Compliance 1.3 Objectives 1.3.1 Value Proposition for a Vertical Domain 1.3.2 Tradeoffs in Large, Multinational Corporations 1.4 Scope 1.5 Who Should Read this Book? 1.6 Contents and Organization I Changing the Way You Change 2 The Role of Metadata in Supporting Change 2.1 Overview 2.2 Managing Change Adoption: When Change Impact Begins to Bite . 2.3 The Essence of Metadata: Reification of Data 2.3.1 Model Separation and Data Reification 2.3.2 Model Evolution, Mapping, and Integration 2.3.3 Understanding and Executing Change 2.4 The Essence of Metadata Management: Coupling Processes for Systematic Change 2.4.1 Different Types of Processes 2.4.2 How Business, IT, and Metadata Management are Coupled 2.4.3 Constituent Processes of Metadata Management 2.5 What is ?Meta?? What isn?t? 3 Aligning Business and IT: the Role of Metadata, Strategy and Architecture 3.1 Overview 3.2 Change, Alignment, Models, and Metadata 3.2.1 Layers of Abstraction: Business v. IT 3.2.2 Dealing with Reality: Managing Exceptions . 3.2.3 Alignment Modes and Managing Change on Different Layers 3.3 Architecture: Structure, Compliance, and the Management of Portfolios 3.4 Supporting Evolution Towards and Adoption of Standards 3.4.1 Top-Down or Bottom-Up? How Changes Reverberate Through Models 3.5 Aligning Business and IT: Using a Global Data Language 3.5.1 Business v. IT Perspective 3.5.2 Systematic Alignment with Master Sources 3.5.3 Dealing with Exceptions: Compliance Levels 3.5.4 Managing Changes and Automating their Adoption II The Value Proposition 4 Improving Performance 4.1 Overview 4.2 Reducing the Cost and Improving the Speed of Change 4.2.1 In an Ideal World 4.2.2 In the Real World: Customization v. Commoditization 4.3 From Technology-Neutral to Company-Specific Viewpoints 4.4 Sources of Substantial Change and Impact . 4.4.1 Mergers & Acquisitions 4.4.2 Disaggregation and Reintegration 4.4.3 Brokerage 4.4.4 Outsourcing 4.4.5 Analysis of Long-Term Business Trends 4.5 Financial Services: not a ?One-Size-Fits-All? Industry 4.6 The Big Picture: a Mixed Bag 4.7 Case Studies 4.7.1 Using Business Rules for Trade Automation 4.7.2 Speeding Up the Design Process in Asset Management 4.7.3 Credit Product Parametrization for Private and Corporate Clients 5 Managing Risk 5.1 Overview 5.2 Why Risk Has Become a Concern to IT 5.3 Risk Management in a Nutshell 5.3.1 The Risk Management Process 5.3.2 Types of Risks 5.3.3 Risk Management and Regulation 5.4 The Value Proposition: Risk and the Role of IT 5.4.1 Direct and Indirect Effects 5.4.2 Risks Introduced by IT 5.4.3 IT, Change, and Risk 5.5 The Role of Metadata Management in Managing Risk 5.5.1 Risk Transformation 5.5.2 Data Quality: Ensuring (Risk) Data Makes Sense 5.5.3 Architectural Alignment: Measuring and Mitigating Operational Risks 5.6 Case Studies 5.6.1 Data Quality Management in (Risk) Data Warehousing 5.6.2 Data Quality Management with Role-Based Exception Handling 5.6.3 Using Architecture for Operational Risk Control 5.6.4 Managing Operational Risk with Platforms 5.6.5 Terminology-Based Data Quality Management 6 Ensuring Compliance 6.1 Overview 6.2 The Goals and Means of Compliance 6.2.1 External v. Internal Regulation, and Industry Standards 6.2.2 Oversight, Governance, Control, and Audit 6.2.3 From Goals to Controls by Using Frameworks and Reference Models: COSO, COBIT, and ITIL 6.3 The Regulatory Landscape 6.3.1 Financial Reporting 6.3.2 United States: Sarbanes-Oxley Act 6.3.3 Privacy v. Crime Prevention 6.3.4 European Union and the Euro Area 6.4 IT and Regulatory Compliance 6.5 The Role of Metadata Management in Ensuring Compliance 6.6 Case Studies 6.6.1 Ensuring US-GAAP Compliance with Business Terminology 6.6.2 Ensuring SOX 404 Compliance in IT 6.6.3 Terrorism and Money Laundering: Supporting the Customer Investigation Process by Automating Data Mappings 6.6.4 Ensuring Tax Compliance Ex-Post-Facto: another Case of Metadata Extraction 6.6.5 Metadata-Based Reuse of Rules in Money Laundering Detection 6.6.6 Access Control Between Legal Entities in Data Warehousing 6.6.7 Documenting the Opening of Relationships III Practical Problems and their Resolution 7 Evolution: a Practical Guide 7.1 Overview 7.2 The ?Management? in Metadata Management 7.3 Metamodeling 7.3.1 Domain-Orientation and Quality Management Decentralization 7.3.2 Task Flow Liberalization and Late-Term Quality Management 7.3.3 Top-Down Stepwise Refinement 7.4 The Activities of Structured Transformation 7.5 Dealing with Division of Labor: Intermediation v. Direct Modeling of Change Requests 7.5.1 Direct Modeling of Change Requests 7.5.2 Intermediation of Change Requests 7.6 Dealing with Impedance: Embracing v. Overcoming Precedent 7.6.1 Embracing Precedent 7.6.2 Overcoming Precedent: Retaining v. Regaining Consistency 7.6.3 Retaining Consistency: Disambiguating History 7.6.4 Regaining Consistency: Managing Transitory Stages . 7.7 Grouping Changes: Optimizing Risk v. Return . 7.8 Organizing Impact Analysis 7.8.1 The Provider-Consumer Responsibility Model 7.8.2 The Peer-Collaboration Responsibility Model 7.8.3 The (Semi-) Automation Model 7.9 Change Propagation 8 Quality: Achieving and Maintaining Valuable Metadata 8.1 Overview 8.2 Quality Deficits: Origins and Impact 8.2.1 Where Deficits Occur: Quality and the Life Cycle . 8.2.2 What Deficits Do: How Alignment is Impacted 8.3 Intelligibility: Getting a Grip on Language 8.4 Completeness: Maintaining an Overview of Things 8.5 Correctness and Actuality: Making Sure Metadata Reflects Reality 8.6 Consistency: Moving Towards Metadata Reuse 8.7 Granularity: Model and Metadata Working Together 9 Sustainability: Ownership, Awareness, Understanding, and Politics 9.1 Overview 9.2 The Soft Side of Success 9.3 Establishing Ownership 9.3.1 Who Should Take Up the Task? 9.3.2 How to Identify and Keep Candidates 9.3.3 How to Create Buy-In and Alleviate Fears 9.3.4 Scaling to Global Scope 9.3.5 No Stakeholder Left Behind 9.4 Raising Awareness and Understanding 9.5 Playing Politics 9.5.1 On the Nature of Political Activity 9.5.2 Defense: Locking in on Previous Achievements 9.5.3 Offense: Expanding Reach and Influence 10 Parting Words: Institutionalizing Change Management 10.1 Converging Change, Risk, and Compliance Management 10.1.1 The Role of Enterprise Architecture 10.1.2 The Role of Metadata Management 10.1.3 The Model-Centric Convergence of Change, Risk, and Compliance Management 10.2 Elements of a Corporate Change Function 10.3 Do?s and Don?ts 10.3.1 Success Factors 10.3.2 Common Mistakes 10.4 Wrap-Up 10.4.1 What Has Been Said 10.4.2 Keep an Eye on What is Reasonable Index
Library of Congress Subject Headings for this publication:
Business -- Data processing.