(EIM) and Data Governance - PPC

Enterprise Information Management (EIM)and Data GovernanceMike FleckensteinMaster Data Management and Data Governance1. Introduction ________________________________________________________Information assets are enterprise assets that must be managed in the same manner as critical physicalassets. The value of information cannot be fully recognized when it is maintained in isolated pockets.Information must be shared in a consistent manner to maximize effective decision making across theorganization. The data from which information is derived must meet high quality standards for integrityand timeliness. A major part of information assets and intellectual property are hosted and maintained inthe IT domain. However, even in those instances where information assets are maintained in domainsoutside IT, this principle still applies.Thus, Enterprise Information Management (EIM) and the implementation of an Information Infrastructureenable a company to adhere to this principle. The purpose of implementing EIM is to elevate “CorporateInformation” to “Corporate Asset.” This can be done by ensuring that at the Enterprise Level, informationis accurate, timely and consistent and that information flows seamlessly and continuously across variousdepartments within the corporation.Project Performance Corporation’s (PPC) core methodology has its foundation in industry andgovernment best practices and has been codified through similar work in both the public and privatesectors. In our solutions, we put together the best of all worlds from Industry Frameworks, Industry BestPractices, Industry Research (Gartner, Forrester, etc.) and personal work experiences. The PPC EIMFramework addresses both the technology components (see “EIM – Considerations for a CIO” by RajeevKumar) as well as the business-side components that are necessary for effective EIM. While thetechnology encompasses tools such as Data as a Service, Master Data Management and EnterpriseData Warehousing, the business-side component addresses the Governance required for EIM to beeffective.This White Paper focuses specifically on data governance and highlights a real-world example that hasbeen generalized for the purposes of this paper. It demonstrates how charters, rules and interactions(i.e., Governance) between the core EIM bodies interact in a systematic way to facilitate consistentinformation flow across the enterprise. These bodies—the EIM Group, Data Governance Council, DataServices Bureau and the Data Stewards—define, regulate and broker the data management flow. Thisdocument describes their functions.www.ppc.com 1

Enterprise Information Management andData GovernanceMike Fleckenstein2. Enterprise Information Management/Governance Overview ________________EIM’s main functions are the collection of decision rights, processes, standards and policies required tomanage, maintain and exploit information as an enterprise resource. This can be achieved by theinteraction of an EIM Group (EIMG), Data Governance Council (DGC), the Services Bureau (SB) andData Stewards (DS).The DGC can be viewed as strategic in nature. Its main function is to regulate and prioritize competinginformation requests. The EIM Group’s main responsibility is to facilitate new data requests and requestsfor changes in data and to ensure that data is being maintained consistently enterprise-wide. The SB’sfunction is operational in nature. Its main mission is to implement the EIMG’s requests. Finally the DSare the individual gatekeepers for specific data. Their main role is to oversee the validation anddissemination a specific sub-set of data. Below is a summary of each body’s role and the interactionbetween these entities:The Enterprise Information Management Group (EIMG) is the central component to Data Governance.They are responsible for facilitating all data requests for new and changed data from the users (via theCustomer Services Group (CSG)). The EIMG works with the Services Bureau (SB) to obtain an estimatefor the requested work and provides this estimate back to the users (via CSG). Once funding isestablished the EIM Group ensures that the data request is architecturally sound. Their tasks include:• Brokering data requests for new and changed data from the users (via CSG);• Advising the Data Governance Council (DGC) on the priority of requests;• Chairing the DGC;• Assuring that data requests are met (i.e., owners of the data request);• Working with the Services Bureau (SB) to ensure that data requests are met in anarchitecturally sound way; and• Monitoring the information architecture to ensure that it is sound and advising the DGC onchanges and strategy.The Services Bureau (SB) is made up of Technical Staff members. There are two main components ofthe SB: the Data Services Bureau (DSB) and the Business Intelligence Service Bureau (BISB). The DSBfocuses on the actual data entering the Infrastructure Data Repositories and the BISB focuses on thedata consumption from Infrastructure Data Repositories data in the form of Reports, Dashboards,Scorecards, etc. The SB tasks include:• Executing the vision of the DGC and working with the EIM on how to best implement a givendata strategy;• Advising the EIMG on technical strategy and limitations related to data;• Assisting the EIMG, DGC and DS with data quality by running, monitoring and explainingdata profile reports;• Assuring a quality physical data architecture (DSB);• Guiding the business intelligence strategy (BISB); and• Developing the standard set of corporate reports requested by the DGC.The Data Stewards (DS) are subject matter experts (SMEs) from the business side. There are bothtactical as well as operational Data Stewards. While both are ‘gatekeepers’ for data completeness,standards and quality, tactical DS help set the guidelines while operational DS apply them on a day-to-www.ppc.com 2

Enterprise Information Management andData GovernanceMike Fleckensteinday basis. An operational DS is responsible for acquiring, validating, enriching, authorizing, publishingand distributing a specific set of Master Data. In general the DS’s tasks include:• Keeping the data quality of the data set for which they are responsible very high by assuringcorrect data input;• Routinely executing data profile reports against their data set and cleansing data whereapplicable;• Alerting the Manager of Enterprise Information (MEI) of data quality issues;• Working with the EIMG and DGC to ensure data standards (tactical);• Working with the EIMG and DGC to accommodate changes to their data set;• Working with the EIMG to ensure proper dissemination of their Master Data set; and• Mentoring one or more support DS that can step in if required.The Data Governance Council (DGC) is made up of the head of the EIMG, three CSG Directors, at leastthree Customer Representatives (one each for respective business areas) and an Executive Sponsor.Their tasks include:• Tracking data quality (with help the Services Bureau) by profiling/reviewing data andmonitoring metrics on data quality;• Determining what new data will be captured and/or standardized;• Prioritizing projects with respect to data;• Specifying what data must be shared organizationally or otherwise;• Overseeing key standard corporate reports and dashboards; and• Assuring that legal and corporate compliance standards are being followed.Note that the makeup of these corporate entities is specifically designed to fit seamlessly with theorganizational structure and vision for this case study and consists of the Enterprise Architecture (EA),Enterprise Solutions (ESG), Customer Service (CSG), IT Effectiveness (ITG) and TechnologyOptimization (TOG) organizational components. However, such a governance framework can be easilyadapted to other organizational structures.In this example the EIMG function will fall under the Enterprise Architecture Group. User data requestswill go through the CSG. The EIMG will process new or changed data requests from CSG and, inconjunction with the SB, provide estimates for the work to be completed. The SB will then work with theinfrastructure team as well as with developers from CSG and/or the business side to implement therequest. Note that access to existing data can be directly facilitated between users/CSG and the SB.The Data Governance Council exists to provide an objective data strategy and to prioritize requests. Itsmakeup from the EA, CSG and User sides ensures this balance. While this independent body is chairedby the head of the EIMG, an Executive Sponsor owns this group to ensure that its mission isaccomplished. The DGC will follow the change management processes put in place by the TechnologyOptimization Group.This interaction between the Enterprise Information Management Group (EIMG), Data GovernanceCouncil (DGC), Services Bureau (SB) and Data Stewards (DS) is represented pictorially in the followingdiagram:www.ppc.com 3

Enterprise Information Management andData GovernanceMike Fleckenstein3. The Enterprise Information Management (EIM) Charter ____________________The EIM Charter requires that the above groups (e.g., Data Stewards, EIM Group, Data GovernanceCouncil and Services Bureau) be formed and meet between and among each other on a regular basis tomonitor the health of corporate data and decide on scope changes of that data.Enterprise Information Management Charter• A team of Staff Members will be established and maintained for Enterprise Information Managementat CI. This Data Governance Team in general will consist of Executives, IT Managers, BusinessManagers, Data Stewards and IT Operations Staff. The EIM functions of this team are a part-timeeffort for most members.• This team will be grouped in the following three teams: Governance Council (DGC), EnterpriseInformation Management Group (EIMG), Data Stewards (DS) and Services Bureau (SB). Thesegroups will interact routinely and form the basis for data governance at CI.• The EIMG will be made up of an Enterprise Information Manager (MEI) and Information Architects.www.ppc.com 4

Enterprise Information Management CharterEnterprise Information Management andData GovernanceMike FleckensteinThe number of Information Architects will be dependent on the amount of data requests funneledthrough this group. The function of this group is to ensure that data requests are fulfilled in a mannerconsistent with the overall enterprise data architecture.• The Services Bureau (SB) is made up of Technical Staff. There are two main components of the SB:the Data Services Bureau (DSB) and the Business Intelligence Service Bureau (BISB). The DSB willfocus on the actual data entering the Data Repositories and the BISB will focus on the dataconsumption from Data Repositories in the form of Reports, Dashboards, Scorecards, etc. They willcarry out the vision of the DGC by determining how a given data strategy is implemented andmaintained. The SB will meet weekly.• Data Stewards (DS) are subject matter experts from the business side whose primary responsibilityis to ensure data quality for a specific set of Master Data. Most Data Stewards will be operationaland will focus on the day-to-day data quality issues of their respective dataset; some data stewardswill be tactical and help to set standards for data quality and stewardship.• Members from these groups will meet at bi-weekly and form the DGC. The DGC will be made up ofManager of Enterprise Information (MEI), Directors from CSG Group, and Customer Representativesfor the respective CSG areas, and an Executive Sponsor. Their main task is to form the vision ofdata to ensure consistency and regulatory compliance. They will meet to determine the state of dataquality and determine data strategy. The DGC may also include one or more members of the SB.• All meetings will result in a written status of the state of data and specific action items.Table 1: EIM Charter4. The Enterprise Information Management Group (EIMG) ____________________The EIMG is the central component for managing the health of corporate data. They reside within theEnterprise Architecture Group and are responsible for assuring that there is an overall, consistentinformation architecture. They work closely with the CSG to facilitate user requests for new or changeddata and with the SB to ensure that these requests get implemented in an architecturally consistent way.The table below outlines the activities of the EIMG.Enterprise Information Management Group (EIMG)Activities, Roles and Responsibilities• The EIMG facilitates user requests for new or changed data (via CSG) and works with the SB toboth provide an estimate for the work and to implement these requests once approved and funded;the EIMG is the owner of a given request, once approved.• The EIMG advises the DGC on the priority of these requests and the respective impact. TheManager of Enterprise Information will chair the DGC.• It is the role of the EIMG to ensure a consistent information architecture. This includes limiting theuse of information in local databases, spreadsheets and other sources.www.ppc.com 5

Enterprise Information Management andData GovernanceMike FleckensteinEnterprise Information Management Group (EIMG)• The EIMG documents and maintains a diagram depicting data sources for data.• The EIMG works with the DGC, CSG, DS and SB to improve the data architecture, where required.• The EIMG determines how new or changed data requests are ingrained into the corporateinformation architecture. This may require changes to the existing architecture and thus consultationwith the DGC.• The EIMG routinely profiles Master Data (and possibly other data) to assess its health. It generateskey metrics to share with the DGC, CSG, DS and SB and works to maintain data quality. This mayrequire a change in business process.• The EIMG generates and publishes use cases that detail data governance with respect to MasterData as a reference for Data Stewards as well as projects.• The EIMG works closely with Data Stewards to address data quality issues. They facilitate changesto business process and/or data architecture where required.Table 2: EIM Group Roles and Responsibilities5. The Data Governance Council (DGC) ___________________________________The Data Governance Council (DGC) is made up of Manager of Enterprise Information (MEI), who chairsthe DGC, three CSG Directors, three Customer Representatives for the respective CSG areas, and anExecutive Sponsor. The DGC size should be no more than ten people, the majority of which come fromBusiness Operations. However, it is equally critical that key Executives participate and take ownership inthe DCG. We recommend the Chief Information Officer (CIO) or the Chief Financial Officer (CFO). Thishelps set the standard for enterprise-wide reporting. The table below outlines the activities of the DGC.Data Governance Council (DGC)Activities, Roles and Responsibilities• The DGC will be responsible for the strategic vision of data. They will determine what data isconsidered Master Data and how this data evolves. Candidates include donor, child and product.They will determine what meta-data should be standardized. For example, address is meta-datathat is critical to child and donor.• The DGC will determine the overall data strategy when launching a new organizational initiative.For example, the DGC will work with the EIMG to determine the type of data to be captured andthe extent to which this data can be re-used, and must be shared and reported.• The Governance Council will conduct a routine health check on the types of the Master Data storedwithin the enterprise. They will evaluate if the current data is adequate to support all existingprogram. They will work with the SB to profile data and maintain and report metrics regarding dataquality.• Data that is used by the entire company needs to be consistent and one of the ways to ensurewww.ppc.com 6

Enterprise Information Management andData GovernanceMike FleckensteinData Governance Council (DGC)consistency is by sharing data. The DGC will determine which data needs to be consistent acrossthe enterprise.• The DGC will work with the SB to create a set of standard corporate reports and/or dashboards.• The DGC will advise on the selection of data stewards.• The DGC will monitor data security standards. This may require periodic assessments by thirdparties. The DGC will work with the SB and IT to ensure that data security weaknesses areaddressed in a timely manner.• The DGC will determine the priority of data requests.• The DGC will ensure data enterprise-wide complies with applicable regulations and guidelineswithin United States and other countries to the extent required.• The DGC will follow the change management processes put in place by the TechnologyOptimization Group.Table 3: Data Governance Council Roles and Responsibilities6. The Services Bureau (SB) ____________________________________________The SB is made up of Technical Staff. There are two main components of the SB: the Data ServicesBureau (DSB) and the Business Intelligence Service Bureau (BISB). The DSB will focus on the actualdata entering the Data Repositories and the BISB will focus on the data consumption from DataRepositories in the form of Reports, Dashboards, Scorecards, etc. One or more of the SB’s members maysupport the SB full time (e.g., data profiling, working with projects, publishing use cases, etc.). Membersof the SB are primarily tasked with implementing the requests of the EIMG and vision of the DGC. Theymake decisions regarding how the data is physically managed (DSB) and accessed via standard reportsand business intelligence tools (BISB). Therefore, the members of this group must have sufficientauthority to facilitate the implementation of data storing, maintenance, cleansing and sharing across theenterprise. The table below details the role of the SB.Services BureauActivities, Roles and Responsibilities• Once the EIMG and DGC decide on Master Data, it is the role of the SB to architect how eachtype of Master Data will be physically maintained and shared across the enterprise. Similarly, theSB must architect how related meta-data will be maintained and shared. This responsibility maybe extended to other reference data.• The SB must manage the physical data architecture (DSB). For example, they decide to whatextent Master Data will be redundant. Such data must be managed in central repositories andmay be shared with DWs, ODS, Data Marts, etc.• Once the DGC decides on the types of standard reports it wants, it is the role of the SB to createwww.ppc.com 7

Enterprise Information Management andData GovernanceMike FleckensteinServices Bureauand maintain standard reports; in fact, the BISB of the SB will act as the central reporting officethrough which all requests for standardized reports come.• It is the SB’s (specifically DSB’s) role to understand and integrate various repositories (MDM,ODS, DW, Data Marts, etc.) that are critical to data and data sharing.• The SB will implement most changes in business process and recommend major changes inbusiness process to the DGC.• The SB has the responsibility to advise the EIMG and DGC of technology (or other types of)limitations regarding the DGC vision; this is why one or more members of the SB might also beDGC members.• The SB will work with the EIMG on projects requiring Master Data to ensure that the project hasthe required access to the data from the proper source and that reports correctly reflect all MasterData enterprise-wide.• Upon approval of the DGC, the SB will work with the EIMG to retire legacy and unusedapplications after a certain acceptable period of time when newer applications or tools aredeployed to replace them. It may require the help of IT persons to execute this.Table 4: Services Bureau Roles and Responsibilities7. The Data Stewards (DS)The Data Stewards (DS) are subject matter experts (SME) from the business side. These ‘power users’are identified by the business with the recommendation of the DGC. DS work with users and the EIMG toensure that data quality remains high, by monitoring and correcting data errors and duplications.DS are considered data SMEs for their respective business functions and processes. Their role asstewards is to guide and influence others in implementing the changes necessary to improve data quality.They are viewed as the leaders of the data quality improvement effort and they define and monitor qualitymeasures to justify the program. They work closely with the EIMG to facilitate Master Data dissemination.Data Stewards (DS)Activities, Roles and Responsibilities• The majority of Data Stewards will be operational; their main mission is to ensure data quality for thedataset they are assigned. A few Data Stewards will be tactical; they will work with the EIMG andDGC to set the data quality and stewardship standards and guidelines.• Data Stewards will be identified for all major pieces of Master Data within the organization. Their jobwill be to assist with Data Governance across the board. These stewards may physically reside invarious departments, such as Operations, Finance, HR, etc.www.ppc.com 8

Enterprise Information Management andData GovernanceMike FleckensteinData Stewards (DS)• A given DS is responsible for acquiring, validating, enriching, authorizing, and publishing anddistributing a specific set of Master Data; they work with both the business users to ensure that MasterData is acquired from the right source and they approve this step; they also work closely with theEIMG to ensure that Master Data is disseminated properly.• The Data Steward will be responsible for the following attributes of his/her subset of Master Data: dataaccuracy, data integrity, data quality, freshness/timeliness of the data.• DS should identify, maintain and publish a “List” of their Master Data.• The MIL Data Stewards will be responsible for assuring all relevant meta-data for various programs isactually being acquired.• DS will analyze data profiling reports run by the SB and cleanse Master Data accordingly; they mayalso run profiling reports themselves.• The Data Stewards will enrich the data by identifying the missing elements from the data repositoriesand then working with other resources to bring this missing data to the centralized repositories.• The DS will work closely with the EIMG to publish data quality reports.• The Data Stewards will participate as and when needed in any new business initiatives to provideinformation on how the data in their domain can be leveraged to help the business move forward.• The Data Stewards will work in a consulting role with IT resources when new systems and applicationsare being designed. This will enable the proper use of the data within their domain.• DS are responsible for mentoring a backup for themselves.Table 5: Data Steward Roles and ResponsibilitiesThe Data Governance approach described in this White Paper can also easily be extended to incorporatea corporate-specific version of the Data Reference Model and integration with Taxonomy.For more information on this White Paper, and for information about PPC’s MDM, Data Governance andEnterprise Information Management solutions, please contact Mike Fleckenstein at 571-527-6453 ormfleckenstein@ppc.com.About the AuthorMike Fleckenstein has 20 years experience developing and deploying data solutions for public and private sectorclients worldwide. He currently leads the Master Data Management & Data Governance Practice at ProjectPerformance Corporation (PPC) using best-of-breed technologies. He also works closely with related Practices,including Data Warehousing, Business Intelligence and Knowledge Management, among others, to provideEnterprise Information Management solutions. He is a regular speaker and author on these topics. Prior to joiningPPC Mr. Fleckenstein served as Application Manager at Medmarc Insurance, a P&C insurer, and ran his own ITconsulting firm, Windsor Systems Inc, specializing in IT and data solutions.www.ppc.com 9