DSI322 Data Governance

Overview of
Data Governance Framework and Program

Rachada Kongkachandra Semester 2/2023

 Definitions & Concepts
Concepts behind data governance

! Data Management
! Enterprise Information Management
! Data Architecture

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 Data Management (DM)
According to DMBOK

1. The business function that develops and executes plans, policies,

practice and projects that acquire, control, protect, deliver and
enhance the value of data and information.
2. A program for implementation and performance of the data
management function.
3. The field of disciplines required to perform the data management
function.
4. The profession of individuals who perform data management
disciplines.

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 Enterprise Information Management
EIM

! The program that manages enterprise information assets to support

the business and improve value.
! EIM manages the plans, policies, principles, frameworks, technologies,
organizations, people and processes in an enterprise toward the goal
of maximizing the investment in data and content.
! EIM represents more of the direction, philosophy, and mindset required
to manage data assets.

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 Data Architecture
! Technology Definition:
– A master set of data models and design approaches identifying the
strategic data requirements and the components of data management
solutions, usually at an enterprise level.
– In some common usage, the physical technology infrastructure supporting
data management including database servers, data replication tools, and
middleware.
! Business Definition:
– The diagram or picture of the information management environment, its
components, and their interactions. This diagram interrelates the
framework, people, processes, projects, policies, technologies, and
procedures to manage and use valuable information assets.

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 Data Governance
Definition

! Data governance is the organization and implementation of policies,

procedures, structure, roles, and responsibilities which outline and
enforce rules of engagement, decision rights, and accountabilities for
the effective management of information assets.
! DG is the use of authority combined with policy to ensure the proper
management of information assets.

! Is not the management of data assets, but rather ensuring data is

managed.

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 Data Governance “V”
! Data governance is NOT a
function performed by those who
manage information

Data,
Information
and
Content
Lifecycles

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 UDOT Definition for DG
This internal definition takes the generic definition of DG, incorporates
the Governance V, and adds UDOT organizational characteristics.

! Data Governance represents the program used by UDOT to manage

the organizational bodies, policies, principles, and quality that will
ensure access to accurate and risk-free data and information. Data
governance will establish standards, accountabilities, responsibilities,
and ensure that data and information usage achieves maximum value
to UDOT while managing the cost and quality of information handling.
Data governance will enforce the consistent, integrated, and disciplined
use of information at UDOT.

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 Why do we treat information different?
Program (Function), Govern, Activity

Enterprise Info Financial Pavement

Management Management Management

Information Audit & Quality Asset

Data Gov. Accounting
Mgmt. Control Control Mgmt.

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 Solutions

! Master Data Management

! Data Quality
! Business Intelligence

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 Solutions

! One key theme is critical

– Regardless of the type of data or content being governed, data governance
is essentially done the same way.
– From a “how to” data governance perspective, none of the solutions
defined make a difference in how UDOT deploys data governance.

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 Master Data Management
MDM

! Customer Data Management evolved into Master Data Management

and is often times refereed to as the “gold copy”.
– Examples include: Customer, Assets, Products, Vendors, Address
! The “Single Source of Truth”
! Processes that ensure reference data is kept up to date and
coordinated across UDOT’s enterprise.
! If MDM represents the process to manage a category of data across
UDOT’s enterprise, then DG needs to come into the picture.

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 DG Supports MDM

! Ensures standards are defined, maintained, and enforced

! Ensures MDM efforts are aligned to business needs and are not
technology-only efforts.
! Ensures data quality, process change, and other new activity that are
rooted in MDM are accepted and adapted by UDOT.

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 Data Quality

! The root cause of the majority of data and information problems.

! Remediating data quality is one of the main drivers of data governance
and MDM.

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 Data Quality
Definition
! Data quality is the degree to which data is accurate, complete, timely,
consistent with all requirements and business rules, and relevant for a
given use.
! Data quality is that the content in question has to be effective or fit for
its purpose
– This means if UDOT feels that asset data is not of “good quality”, we need
to understand what purpose, action, or context is involved and how the
shortfall is measured.
! Bad data is corrected by a change in process or habits, or both.
! Without governance, data quality efforts become costly one-off
exercises.
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 DG Supports Data Quality

! Ensuring that data quality standards and rules are defined and
integrated into development and day-to-day operations.
! Ensuring that on-going evaluation of data quality occurs.
! Ensuring that organization issues related to changed processes and
priorities are addressed.

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 Business Intelligence
Definitions

! Query, analysis and reporting activity by knowledge workers to monitor

and understand the financial and operational health of the enterprise.
! BI means – using information to achieve UDOT’s organizational goals.

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 DG Supports and Enhances BI

! DG is used to ensure BI activities are aligned with UDOT business

activities.
! DG ensures that data quality is defined and supportive of BI.
! DG is used to ensure consistency in data standards and algorithms.
! DG is important to enforcing the defined BI delivery architecture (i.e.,
make sure UDOT avoids exponential growth of spreadsheets, Access
DBs, and uncontrolled redundancy.

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 Key Terms – Taxonomy of Policy
Principles & Policy

Taxonomy of Policy

Principle Standards

Policy Controls

Processes

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 Key Terms Principle
Principles

! Principles are statements of Philosophy

– The bill of rights
! Remember rules do not have the weight of belief, and they are hard to
maintain and are inflexible.
! Data Governance is a behavior change effort

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 Information Principles
Principle Description

Content as Asset Data and content of all types are assets with all the characteristics of any other asset.
Therefore, they should be managed, secured, and accounted for as other material and
financial assets.
Real Value There is value in all data and content, based on their contribution to UDOT’s business/
operational objectives, their intrinsic marketability, and/or their contribution to UDOT’s overall
image in the State of Utah.
Going Concern Data and content are not viewed as temporary means to achieve results (or merely as a
business by-product), but are critical to successful, ongoing business operations and
management.
Risk There is risk associated with data and content. This risk must be formally recognized, either
as a liability or through incurring costs to manage and reduce the inherent risk.
Due Diligence If a risk is known, it must be reported. If a risk is possible, it must be confirmed.

Quality The relevance, meaning, accuracy, and life cycle of data and content can affect the financial
status and citizen perception of UDOT.

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 Information Principles cont.
Principle Description

Audit The accuracy of data and content is subject to periodic audit by an independent body.

Accountability UDOT must identify parties which are ultimately responsible for data and content assets

Liability The risks in information means there is a financial and public image related liability inherent
in all data or content that is based on regulatory and ethical misuse or mismanagement.

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 Key Terms Policies
Policies

! A statement of a selected course of action and high-level description of

desired behavior to achieve a set of goals.
! The real essence of policy is that it is a codification of principles.
! Policies are enforceable processes.
! Policies need to be repeatable, and easily trained.
! Standards, which are important to governance, are a type of policy, or
even a characteristic of a particular policy, such as data naming
standards or data quality standards.

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 Information Asset Management
IAM

! Describes a business-based approach to ensure that data, information,

and content are all treated as assets in the true business and
accounting sense – avoiding increased risk and cost due to data and
content misuse, poor handling, or exposure to regulatory scrutiny.

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 Questions
IAM

! What other corporate asset can function without;

– Standards of use
– Accurate financial tracking
– Statement of value to the organization
– Assignment of accountability and responsibility

! EIM, DG, MDM and all the concepts discussed exist to manifest IAM!

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 Agenda

! Definition & Concepts

! Overview of Data Governance Program
! Business Case
! Process Overview for Deploying Data Governance
! Artifacts & Tools

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 Overview

DG program really has one goal – to disappear

! True mark of success is UDOT treating its information as it treats its
roads, bridges, vendors and customers.

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 Scope

Are we governing everything?

! Three factors effect the scope of DG
– Business Model: The type of organization, its hierarchy, and its operating
environment. (What type of business model is UDOT)
– Content Being Governed: The type of content, its location, and its business
relevance.
– Degree of Federation: The extent or intensity by which different content is
governed at UDOT.

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 Business Model
DG program should match UDOT’s business model

UDOT Large Enterprise (GE)

Business Unit
Business Unit Business Unit Business Unit
Division Division Division

Info Info Info Info Info Info Info Info Info Info
Subject Subject Subject Subject Subject Subject Subject Subject Subject Subject

Data Gov. Data Gov. Data Gov. Data Gov.

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 Content

What types of content should we focus on?

! Types of content being governed will influence the detailed governance
processes being embraced.
– Address
– LRS etc.
! Differing content types will have unique life cycles.
! Different technologies / tools are needed to manage content.
– ETL, DB, SOA etc.

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 Federation

One of the most important concepts affecting SCOPE!

! Federation of DG = Defining an entity (DG Program) that is a distinct
blend of governance functions where the various aspects of DG are
touched by UDOT.
! Where and How standards will be applied across various layers and
segments of UDOT.
! Think of the United States Government – Some elements will require
central and tight governing, while others will be afforded greater
flexibility.

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 Federation

Scope factors that affect the federated layers and activities are:
! Size of Enterprise
! Brands
! Countries – (PS = Departments, Agencies)
! IT Portfolio Condition
! Culture and Information Maturity

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 Elements of Data Governance Programs

DG is no different than any other business program at UDOT

! Organization
! Principles
! Policies
! Functions
! Metrics
! Technology and Tools
! CSFs for DG

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 Organization
Official designation of Accountability and Responsibility are key
! Most important for new DG programs is the concept of accountability
for data.
– To be clear, it will seem very new and different to hold someone
accountable for data quality. This accountability must be tied to
performance and compensation at UDOT.
! Responsibility = Stewards or Custodians
! Take away = Some form or structure, hierarchy and organization is
critical to success of the program.
– Remember DG does not exist to “manage” information, but rather “guide
and “monitor”.

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 DG “V” Structure
Typical assignment of
roles on the DG Side
DG Oversight &
Direction

DG Accountability;
Ownership Issue
Resolution

DG Responsibility;
Stewardship
Monitoring
Data,
Information
and
Content
Lifecycles

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 Principles
General adopted rules that guide conduct & application of data
philosophy
! Principles will succeed where rules and policies will not
! Revisit and Repeat principles often
! Print and publish for easy access across UDOT

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 DG Principles
Principle Description

Master Principle We will manage all Enterprise Data and Content as a corporate asset.

Federation We will specify enterprise standards for all content and data structures.

Information Efficiency Relevant data, information, and content needs to be available at the right time, at the right
place, and in the right format to authorized users/consumers, at an efficient cost.
Business Alignment Information management applications and technology will be acquired in response to
business needs verified through a formal annual process.
Information Quality All enterprise data/information will be managed and measured for quality. Quality will be
consistently measured to ensure the data can be utilized for its intended purpose.
Risk Management Appropriate due diligence will be conducted to comply with all relevant statutory and federal
laws, policies, and regulations.
Collaborate Enterprise data will be a shared resource across UDOT. Data is not a resource which can be
“owned” by specific business areas.

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 Policies
Codification of Principles

! Policies include Standards

! The marriage of principle with policy ensures UDOT executives can
support the DG program and hold teams/regions accountable.

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 Functions
The “What” has to happen in DG
! Points out what team members must do
! Reviewing functions (Bridges, Pavement, Safety etc.) required by
UDOT typically aids in determining which areas or individuals will be
accountability and responsibility
! Specifies HOW the V operates
! Defines the “right things to do”

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 Metrics
UDOT can’t manage what it does not measure
! UDOT’s DG program must create a means to monitor its own
effectiveness
! Common Metrics
– IMM Index: Information Management Maturity
– DG Stewardship Progress: # of individuals trained in DG
– DG Stewardship Effectiveness: # of issues resolved by the DG bodies
– Data Quality: Data profiling results calculated into a DQ index
– Business Value: How is DG supporting the business

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 Technology and Tools
Does a tool = success? NO
! As the program evolves UDOT will know immediately where tools are
needed to satisfy the demands of the business.

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 CSFs for Data Governance
Critical Success Factors

1. Data governance is mandatory for the successful implementation of

any project or initiative that uses information. Any project requiring
reports, BI, cleansing of data, or development of a “single source of
truth” requires DG to be sustainable and successful.
2. Data governance has to show value explicitly. This means UDOT
cannot do data governance in a vacuum. Something has to be
governed, even if it is data quality and UDOT implements data
governance as a means to improve data quality. UDOT must show
benefit, and that means tying the DG effort to a visible initiative.

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 CSFs for Data Governance
Critical Success Factors

3. UDOT must manage organizational change. Orient, train, educate,

communicate, encourage, and offer incentives. Overall, behaviors
and processes must change!
4. Data Governance must be viewed as an enterprise effort. UDOT
can implement DG in segments, but the enterprise perspective must
be retained.

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 Agenda

! Definition & Concepts

! Overview of Data Governance Program
! Business Case
! Process Overview for Deploying Data Governance
! Artifacts & Tools

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 Contents of the Business Case

! Objectives
! Vision
! Program Risks
! Business Alignment
! Costs of Data Quality
! Costs of Missed Opportunities
! Obstacles, Impacts, and Changes
! Presentation of the Case

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 Objectives

Direct Benefits
! Improvements in efficiency
! Increase in revenue, citizen value
! Reduction in risk
– Privacy
– Data Security
– Civil Liability
– Incorrect Decisions
– Regulatory

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 Objectives

Indirect Benefits
! Support activities that ensure good data and information is available to
accomplish business goals
! Support business programs that work towards increasing revenue, lowering
costs, and reducing risk

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 Objectives
Build a response to historical shortcomings of IT projects
! Perception:
! Data and information initiatives always fail
! Spending on “pure” information management projects is wasteful
! Historical criticism of IT
! Ongoing complaints that the IT data is not correct
! A growth of “stealth” or shadow IT in reaction to a poor perception of IT
! List of projects that “we will get running with these shortcomings and then fix
them later.” Late never happens!

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 Objectives
Recap – The DG business case needs to accomplish the following:
! Identify where it can support UDOT regions and business directly – such as
risk avoidance
! Identify where information is used to move UDOT’s business forward
! Associate DG with those IM activities (MDM, BI, etc.)
! Address historical shortcomings of IT projects

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 Vision
The “big picture” is incredibly important for the acceptance of DG
! What will a day in the life look like when DG is in place?
! What will you see changed at UDOT?
! What business goals will be more achievable?

! Help team members and executives understand:

! Data accountability is there issue.
! Data does not belong to IT

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 Vision
UDOT’s Vision

UDOT will manage its information

assets to increase citizen value and
reduce enterprise risk.

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 Program Risks
What risks does the DG program itself create?
! Business Risks – The DG program fails to do its part toward adding citizen
value and preserving revenue.

! Regulatory Risk – DG fails to connect with compliance requirements and there

are violations of regulations.

! Cultural Risk – UDOT fails to engage in the DG process and continues poor
data asset management practices.

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 Business Alignment
Call out specific value points or scenarios DG will enable

! Actual business benefits of DG at UDOT will come from major initiatives in the
regions and divisions. Be sure to find these “hot topics” and use DG to add
value.

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 Cost of Data Quality
Data quality issues consume an enormous about of cost and resources

! Data Quality is the primary manifestation and metric of a functioning DG

program.

! UDOT’s business case must mention the current costs and risks associated
with data quality.

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 Cost of Missed Opportunities
What will happen or continue to happen without DG

! Recap existing issues with data at UDOT

! Reporting
! Dashboards
! Poor content management
! Compliance issues
! High cost of ownership due to redundancy in data management
environments

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 Obstacles, Impacts, and Changes
Culture, culture, culture, culture, culture, culture

! It is fair to cover possible cultural and any other organizational challenges that
exist at UDOT.
! Any obstacles?

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 Presentation of the Case
This is a business document

! Since IT is creating this document at UDOT:

! Avoid three letter acronyms
! No techno babble
! No exotic abstract pictures
! Be crystal clear and conversational

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