Top 10 Artifacts Needed For Data Governance

The First Step in Information Management
www.firstsanfranciscopartners.com
Top 10 Artifacts Needed for
Data Governance

Why We’re Here
Purpose:
Review the most important and impactful artifacts and
deliverables needed to implement and sustain governance.
Outcome:
 Understanding of the Top 10 Data Governance Artifacts
 Determine how to ensure artifacts are used
 Practical knowledge that can be implemented immediately
© 2015 First San Francisco Partners www.firstsanfranciscopartners.com Proprietary and Confidential
pg 2

Agenda
 Quick Level Setting
 Understanding typical Obstacles
 The Top 10 Artifacts ….
pg 3© 2015 First San Francisco Partners www.firstsanfranciscopartners.com Proprietary and Confidential

Why is Data Governance Important?
Internal pressures:
 Desire to understand customer at any time
from any channel
 Data Quality issues are persistent
 Balance of old mainframe systems with
new technologies
 Movement to the cloud and losing control
of data
 Data Volumes are increasing
 Mobile apps enabling data to be created
and accessed anywhere
 Project oriented approach to addressing
issues/opportunities
External pressures:
 Greater amounts of new
regulations
 Increasing Customer
Demands – my information
anywhere at any time
 Technology and market
changes outpacing ability
to respond
Data Governance Ensures the right people are
involved in determining standards, usage and
integration of data across projects, subject
areas and lines of business

Data Governance Definition
 Data Governance is the organizing
framework for establishing the
strategy, objectives and policy for
effectively managing corporate data.
 It consists of the processes, policies,
organization and technologies required
to manage and ensure the availability,
usability, integrity, consistency,
auditability and security of your data.
Communication
and Metrics
Data
Strategy
Data Policies
and Processes
Data
Standards
and
Modeling
A Data
Governance
Program consists of
the inter-workings
of strategy,
standards, policies
and communication
pg 5

pg 6
Data Governance Framework
• Vision & Mission
• Objectives & Goals
• Alignment with Corporate
Objectives
• Alignment with Business
Operations
• Guiding Principles
• Statistics and Analysis
• Tracking of progress
• Monitoring of issues
• Continuous Improvement
• Score-carding
• Policies & Rules
• Processes
• Controls
• Data Standards & Definitions
• Metadata, Taxonomy,
Cataloging, and Classification
• Operating Model
• Arbiters & Escalation points
• Data Governance Organization
Members
• Roles and Responsibilities
• Data Ownership & Accountability
• Collaboration & Knowledge
Management
• Data Mastering & Sharing
• Data Architecture, Security
and Lifecycle Management
• Data Quality & Stewardship
Workflow
• Metadata Repository
• Communication Plan
• Training Strategy
• Vehicles/Mechanisms
• Content
• Accountability
• Impact & Readiness Assessment
• Leadership Alignment
• Stakeholder Management
• Change Plan and Implementation Checklist
• Transition to Sustaining Plan
Change
Management

Develop and execute architectures, policies and procedures to manage the full data lifecycle
Enterprise Data Management
Enterprise Data Management
Ensure data is available, accurate, complete and secure
Data Quality
Management
Data Architecture
Data
Retention/Archiving
Master Data
Management
Big Data
Management
Metadata Management
Reference Data
Management
Privacy/Security
DATA GOVERNANCE
Develop and execute architectures, policies and procedures to manage the full data lifecycle

pg 8
The Big Picture: EIM Framework
Provides a holistic view of information in order to manage information as a corporate asset
Enterprise Information Management
Information Strategy
Architecture and Technology Enablement
Content Delivery
Business Intelligence and
Performance Management
Data Management
Information Asset
Management
GOVERNANCE
ORGANIZATIONAL ALIGNMENT
Content Management

Obstacles
 Competing priorities and lack of resources
 Data Ownership and other territorial issues
 Lack of cross-business unit coordination
 Lack of data governance understanding
 Resistance to change or transformation
 Lack of executive sponsorship and buy-in
 Resistance to accountability
 Lack of business justification
 Inexperience with cross-functional initiatives
 Change of personnel
Effort
Control

Obstacles

Top 10 Artifacts
Business Alignment Statement
• Articulates Priorities
Operating Model
• Roles & Responsibilities
• Escalation and Decision Making
RACI Matrix
• Accountability
Charter
• Scope and Guiding Principles
Policy
• Codification of Principles and Accountability
pg 11
Standard Processes
• Repeatable Common Activities
Change Management Plan
• Strategy to ensure traction
Measurement Dashboard
• Tracking of progress and impact
Communication and Training Plan
• Maintains Commitment
• Up-skills Resources
Business Data Glossary
• Standardized Data Definitions

Business Alignment Statement(s)

Random House Dictionary: a state of agreement or cooperation
among persons, groups, nations, etc., with a common cause or
viewpoint.
Wikipedia: Alignment is the adjustment of an object in relation
with other objects, or a static orientation of some object or set
of objects in relation to others.
Understanding a process from the perspective of others
Working individually towards a common goal
Definition of Alignment

Impact on Governance Programs
Sources of mis-alignment
 Lack of understanding
− Of how an individual’s role fits into
Corporate Objectives
− Of other jobs, roles, experiences,
objectives
 Conflicting/ competing objectives
 Politics
 Communication styles
 Personality conflicts
Importance of Alignment
 Creates a continual “buy-in”
process with all Stakeholders
 Helps organizations “think globally
and act locally”
 Optimizes resources to manage
costs
 Work towards a common goal
 Minimizes risk

Alignment Process
• Why is this
important?
• Why should we
care?
Value
• Who cares?
• Why should
they care?
Stakeholders
• How does the
value benefit
the
stakeholders?
Linkage
pg 15

pg 16Proprietary & Confidential
Stakeholder Map
Value of DG to
Business
Value of DG to
IT
pg 16

Linkage is the tactical process of mapping your delivery to the issues important
to the stakeholder.
• Per Stakeholder, identify what is important to them and why.
 What happens if they don’t achieve their goal?
• List elements of DG solution
• Choose Top 3
• Choose up to 3 elements of the DG solution and articulate how
those deliverables can help that person achieve their goals
 Continually ask yourself, So What?
Linkage delivers Alignment
pg 17
Create Linkage

DG Program
Sales/Marketing
Improve Understanding of
Customers
Improve Segmentation
Understand Risk
IT
Improved Productivity
Proactively support
business
Lower TCO
Improved Data
Quality
Single Repository of
Customer Data
Create Data Lineage
Articulate Linkage
The Single Repository of Customer data will
improve my understanding of customers by
providing me a trusted source of timely,
accurate and pertinent data from which to
execute analytics, segmentation and risk
assessment.
Creating and understanding Data Lineage will
improve IT productivity by reducing the time
spent searching for data, ensure the appropriate
data is used and validating the data. Data
Lineage that is created and understood by both
IT and business will facilitate a common
language and enable IT to better support the
business growth and expansion.

pg 19
Business Information Requirements*
*BIR’s courtesy of John Ladley

Operating Model

Operating Model
 Outlines how Data Governance will operate
 Forms basis for the Data Governance organizational structure – but isn’t an org chart
 Ensures proper oversight, escalation and decision making
 Ensures the right people are involved in determining standards, usage and
integration of data across projects, subject areas and lines of business
 Creates the infrastructure for accountability and ownership
pg 21
Wikipedia: An Operating Model describes the necessary level of business process
integration and data standardization in the business and among trading partners
and guides the underlying Business and Technical Architecture to effectively and
efficiently realize its Business Model. The process of Operating Model design is also
part of business strategy.

Types of Operating Models
 Centralized
− Similar to a top down project model
 Decentralized
− Flat structure, more virtual/grassroots in nature
 Hybrid / Federated

Process
• How are decisions
made?
• Who makes them?
• How are Committee’s
used?
Culture
• Centralized
• Decentralized
• Hybrid
Operating
Model • Data Governance
Owner
• SME’s
• Leadership
People

Pros:
• Formal Data Governance executive position
• Data Governance Steering Committee reports
directly to executive
• Data Czar/Lead – one person at the top;
easier decision making
• One place to stop and shop
• Easier to manage by data type
Cons:
• Large Organizational Impact
• New roles will most likely require Human
Resources approval
• Formal separation of business and technical
architectural roles
Bus / LOBs
pg 24
Operating Model - Centralized
DG
Executive
Sponsor
DG
Steering
Committee
Center of Excellence (COE)
Data Governance
Lead
Technical Support
Data Architecture
Group
Technical Data
Analysis
Group
Business Support
Business
Analysis
Group
Data
Management
Group

LOB/BU
Data Governance Steering Committee
LOB/BU Data Governance Working Group
pg 25
Operating Model - Decentralized
Data Stewards
Application
Architects
Business
Analysts
Data Analysts
Pros:
• Relatively flat organization
• Informal Data Governance bodies
• Relatively quick to establish and implement
Cons:
• Consensus discussions tend to take longer
than centralized edicts
• Many participants compromise governance
bodies
• May be difficult to sustain over time
• Provides least value
• Difficult coordination
• Business as usual
• Issues around co-owners of data and
accountability

pg 26
Operating Model - Hybrid
Pros:
• Centralized structure for establishing appropriate direction
and tone at the top
• Formal Data Governance Lead role serving as a single point
of contact and accountability
• Data Governance Lead position is a full time, dedicated role
– DG gets the attention it deserves
• Working groups with broad membership for facilitating
collaboration and consensus building
• Potentially an easier model to implement initially and sustain
over time
• Pushes down decision making
• Ability to focus on specific data entities
• Issues resolution without pulling in the
whole team
Cons:
• Data Governance Lead position is a full time, dedicated role
• Working groups dynamics may require prioritization of
conflicting business requirements
• Too many layers
Data Governance Office
Data Governance Working Group
Business Stakeholders IT Enablement
Data Governance Organization

pg 27
Operating Model - Federated
Pros:
• Centralized structure for establishing appropriate direction
and tone at the top
• “Federated” Data Governance practices per Line of Business
(LOB) to empower divisions with differing requirements
• Formal Data Governance Leads established per LOB to drive
accountability
• Working Groups at the LOB level create broad membership,
facilitating collaboration and consensus building
• Empowers LOBs while maintaining a level of centralized
efficieny
• Pushes down decision making
• Ability to focus on LOB-specific data entities and activities
• Issues resolution at the local level
Cons:
• Too many layers
• Autonomy at the LOB level can be challenging to coordinate
• Difficult to find balance between LOB priorities and
Enterprise priorities
Enterprise Data Governance Steering
Committee
Enterprise Data Governance Office
Federated DG Practices
DG Office
Data Governance Organization
Working
Group
DG Office
Working
Group
DG Office
Working
Group
DG Office
Working
Group
LOB 1 LOB 2 LOB 3 LOB 4
Data Governance Council

Operating Model Roles and Responsibilities
 Data Governance Steering Committee
− Provides overall strategic vision
− Approves funding, budget and resource allocation for strategic data projects
− Establishes annual discretionary spend allocation for data projects
− Adjudicates intractable issues that are escalated
− Ensures strategic alignment with corporate objectives and other business unit initiatives
 Data Governance Office
− Chairs the Data Governance Steering Committee and Data Governance Working Group
− Acts as the glue between the Data Governance Steering Group and the Working Committee
− Defines the standards, metrics and processes for data quality checks, investigations, and resolution
− Advises business and technical resources on data standards and ensures technical designs adhere to data architectural best practices
to ensure data quality
− Adjudicates where necessary, creates training plans, communication plans etc
 Data Governance Working Group
− Governing body comprised of data owners across Business and IT functions that own data definitions and provide guidance &
enforcement to drive change in use and maintenance of data by the business
− Validates data quality rules and prioritize data quality issue resolution across the functional areas
− Trains, educates, and creates awareness for members in their respective functional areas
− Implements data business processes and are accountable to decisions that are made

Typical Roles
 Business Steward
 Data Owner
 Data Steward
 Data Quality Analyst
 Business Analyst
 Data Architect
 Technical Leads (MDM, Metadata, Reference Data, App)

Sample Data Governance Operating Model
pg 30
Direction
TBD
Executive Sponsor
Business and IT
Business Steward Leads
Service Vendor Management
Finance FP&A Sales
Market Strategy
Analytics
Finance
(CFO)
International
(President)
Global Services
(COO)
IT
(CIO)
Marketing
(CMO)
Data Governance Office
Data Governance Leads: Business and IT
Data Governance Coordinator
Management
Provides budget and resource
approvals.
Forum for issue escalation
Crafts the enterprise data
strategy, including polices,
processes and standards
to ensure that data is
managed as an asset
Executive Level
Management Level
Stewards data within
their BU to ensure that
the enterprise policies
are applied
Tactical Level
Strategic Level
Provides overall strategic direction,
budget and resource approvals
forum for issue escalation
Execution
Data Management IT Support Group
Data Quality Lead Metadata Lead
Data Architect
BI Delivery
OperationsExternal
Reporting
DGWG
Enterprise
Architect
BA
Data Analyst
IT Security
Privacy
Legal
Data Stewards
Risk
Centralized Data Steward Pool
Accounting

Data Governance Leadership Team
pg 31
Sample Multi-Domain Operating Model
Program Oversight & Direction
Executive Sponsor
Program Management
DG Working Group Data Governance Program Management Team
DG Program Manager
DG Coordinator
Program Execution
IT Manager
Data Domain Owners
Business Data Leads
Data Acquisition
Data Stewardship
IT Enablement
Supply Chain International Sales HR Finance IT Marketing
Customer Product Employee VendorSupplier
DG Data Quality Manager

Keys to a Successful DG Organization
 Governance team must contain members from multiple lines of business
 Ensures cross functional buy-in and ownership
 Key lines of business must be represented
 Team members must represent both business and IT
 IT needs to be able to implement per the governance policies and the business needs to be aware of IT
limitations…
 Team needs to meet on a regular basis
 Business is constantly changing
 Discuss new and emerging programs
 Current IT activities and their effect on the data
 Review policies and study measurement output
 Agreed upon fundamentals that serve as the Guiding Principles
 If this doesn’t exist, the first mandate is to create this
 Standards are mechanisms for tie-breaking
 Clear lines of communication
 Regular interaction with executive management
 Ensure communication methods to enforce policies at the steward and stakeholder level
 Invite stewards, project managers, stakeholders etc to provide status updates on critical initiatives that
affect the data
 Ensure the Operating Model fits the culture of the company

RACI Matrix

Definition of a RACI
 A documented articulation of ownership and accountability clarifying who
does what
 Responsible: Those who do work to achieve the task
 Accountable: Those who are ultimately accountable to the correct and
thorough completion of the task
 Consulted: Those whose opinions are sought via two-way communication
 Informed: Those who are kept up-to-date on progress
© 2015 First San Francisco Partners www.firstsanfranciscopartners.com Proprietary and Confidential pg 34

Purpose
 Clarifies Roles and Responsibilities at a
detailed level
 Ensures the proper people are involved in
an activity or decision
− And Ensures that people agree to who
should be involved in an activity or decision
 Creates Accountability where other
enforcement is unavailable
 Ensures decisions stick
 Reduces finger pointing

Variations on a RACI
 RASCI
− Support: Provides resources to complete the task
− Is a greater level of detail
 ACI
− When there is little or no delineation between the people who are “Responsible“
and who are “Accountable”
− Good for flatter org structures

Tips & Tricks
 Only 1 person/group can be Accountable
− Many people can be Responsible, Consulted or Informed
 RACI’s should be done for the main processes within DG (but can be done for
just about anything)
 Be as granular and specific in the tasks as possible
 Ensure there is explicit participation and buy-in from the people/groups
represented on the matrix
− The “A’s” are best to help complete the matrix
 If organizational groups are indicated, be sure you know who within that
group to involve

Sample RACI

Charter

Charter Components
Scope Vision Mission Objectives
Guiding
Principles
Success
Measures
Roles &
Responsibilities
Decision
Making Process
Logistics

Process
Vision
Mission Statement
Objectives
Alignment to Corporate Objectives

Vision Statement
• Is an image of the desired future
• Should be inspirational, rich and evocative
• High level and strategic
The Data Governance Program will _____, which will have______
result, and impact the business by .
“We will have a best in class client and account data capability to facilitate the
achievement of the company’s strategic objectives, create sustainable positive
impact, and manage the risk of the business.”

Mission Statement
Mission statement should:
• Align to Corporate Strategy
• Coordinate people, process, and
technology to enable the company to
manage data as an enterprise asset
• Define the Data Governance standards,
roles and responsibilities
Make Decisions and
Make Decisions Stick
Company would see:
• Better understanding of purpose and
goals of Data Governance
• Internalization of how one participates
in Data Governance
• Consistent decision making using the
guidance of the mission statement
• Alignment of the organization
• Greater accountability
CreatesBusiness
Value
“Create a culture where data is recognized as a corporate asset that is essential to
effectively optimize customer relationships, manage risk, increase efficiency, and contribute
to the profitability and growth of our company.”

Objectives
 Objectives
 Objectives are tactical goals
 Action oriented – starts with a verb
 Objectives actualize the Vision and Mission
 What are the methods to accomplish the Mission
Objectives
 Identify data owners within business and
technology and make them accountable
 Create a culture of ownership by enabling
partners to understand their role in data
quality and data protection
 Internalize the process through training,
change management, and communication
 Create a centralized business and technology
organization to manage client & product data
 Employ people and technology to improve
data quality

Example: Alignment with Corporate Objectives

Example: Mapping Mission To Corporate Objectives
 Mission: Create a culture where data is recognized as a corporate asset that is essential to
effectively manage customer relationships, manage risk, increase efficiency, and contribute
to the profitability and growth of the company
Drives
• Through improved speed to delivery on: Product related enhancements, address change processing, online account
access, etc. and increased accuracy in reporting the easier it is for our company to do business with Clients and
Partners, which drives Client Satisfaction
• Better data helps Company to analyze the market opportunity and helps with cross-selling, risk mgmt. etc. which
drives the ability to focus resources on Branding
• Elimination of redundant feeds, redundant data, redundant support, redundant maintenance, etc. will enable
company to Execute on "what really matters", as well as creating similar efficiencies with technology assets,
thereby reducing costs and creating opportunity to apply that spend in revenue-generating ways per the regional
strategic marketing plans
• Higher quality, available data will enable Company to Execute through improved ability to deliver support
applications, desktop tools and other capabilities currently impossible given Company’s "legacy" environment

Principles

Principles, Policies, Processes & Standards
Principles
A statement that
articulates shared
organizational
values, underlies
strategic vision and
mission, and serves
as a basis for
integrated decision
making Policies
Guidelines to
manage the data
lifecycle, access,
integrity and
administration that
codify the
governance
standards and
principles
Standards
Standards consist
of specific low level
mandatory
controls that help
enforce and
support the data
governance
policy(s).
Processes
 Principles are more basic than policy and objectives and are meant to govern both.
 Principles are the result of an internal dialectic which may or may not involve fact-based
logical reasoning. For a policy to be successful, it must be based on facts and reason
informed by the principles of policy makers.
Step by step
activities to
implement
policies, including
requirements and
monitoring

Guiding Principles
 Definition: A statement that articulates shared organizational values,
underlies strategic vision and mission, and serves as a basis for
integrated decision making. Principles constitute the rules, constraints,
overriding criteria, and behaviors by which an organization abides in its
daily activities in the long term.
 This is the reference point from which all the future decisions will be
made and is an important first step in creating a Data Governance
program and will drive future decisions

Categories
 Data as an Asset
 Value
 Quality
 Accountability
 Audit
 Risk
 Survivability

Example: Alignment with Corporate Objectives

pg 52
Example: Tie Principles to Corporate Objectives
Corporate Objective Principle
Client Data is a key asset to our company. We will enhance and manage this asset by
emphasizing clear strategies, decisive action, innovation and results.
Capabilities Business stakeholders will get information delivered at the right time, location and
amount as efficiently as possible.
Execution Data Governance will introduce, support and drive standardization of enterprise
data.
Brand Best in class customer data quality will significantly improve both the internal as well
as external customer experience.
People Data Governance should increase productivity through centralized, streamlined
processes and eliminate non-value added activities. Maximizing automation is a key
way to improve human resource efficiencies and is preferable over manual
processes.
Principles drive creation and execution of policies, standards, processes, etc….

Policies

Policies
 A method for codifying the Guiding Principles
 Guidelines and standards to mange the data lifecycle, access, integrity and
administration
 For example:
− Data creation
− Data remediation
− Data retention
− Security and classification
− Data element definition

pg 55
Creating Policies
DGWG Lists
the req’d
Policies
Prioritize
based on
value or BIR
Identify
sub-teams
and Assign
Reference
the Guiding
Principles
Ensure it’s
measurable
Write per
the Policy
Standard
 Monitoring
 Escalation
 Governance/ Oversight
 Supporting Documents (Definition
of Terms, Processes, Standards)
 Policy Statement
 Background/ policy rationale
 Policy Scope
 Roles & Responsibilities (RACI)
Components of a Policy

Policy Overview
Policy Statement Policy Description Intended
Audience
Business Processes
Impacted
Date Created
The policy statement in
plain, easy to understand
language
High level description Organizational Scope,
target audience and
user
Which business processes does
this affect, existing or new
When policy was
created
The new account creation
policy will reduce
duplicate records through
a unified point of service.
All new Customer Accounts,
new Customer Account records,
and Customer Account updates
are created by a single point of
service, either a department or
a data service
Sales, Marketing and
Order Entry
New account creation in the
CRM system; order entry for a
new customer
August 18, 2015

Policy Detail
Policy Statement Policy
Scope
Roles & Responsibilities Monitoring Escalation Oversight
The policy statement in
plain, easy to
understand language
What is covered
by this policy
Identification of the roles
played by everyone affected
by the policy
An explanation of how
compliance is monitored
An explanation of how
to handle out of
compliance situations
Situations under
which this policy is
reviewed
The new account
creation policy will
reduce duplicate
records through a
unified point of service.
All new Customer
Accounts, new
Customer
Account records,
and Customer
Account updates
Sales, Marketing and Order
Entry send a request to the
DG group with the necessary
information. DG group
creates new account within
24 hours.
New account creation
has been removed
except for a limited
number of authorized
people. Turnaround
time measured via
audits of date stamps.
Any inquiry for
additional info needs
to be made within 6
hours. Any requests
for new account
creation outside of the
policy needs approval.
Policy will be reviewed
if order entry SLA is
impacted.

pg 58
Policy Sample – Slide 1 of 2

pg 59
Policy Sample – Slide 2 of 2

pg 60
Sample Policy – Slide 1 of 2

pg 61
Sample Policy – Slide 2 of 2

Standard Processes

Processes
 Tasks to implement the Policies
 Are not Procedures or system specific
 Can be “fine-tuned” per different lines of business
 For Example:
− Exception/Duplicate Handling
− Issues escalation and resolution
− New/Update Data Element
− Data Reconciliation
− Data Synchronization
− Project/PMO Adherence
− Company Merger

pg 64
Creating Processes
DGWG Lists
the req’d
Processes
Prioritize
based on
Policies
Identify
Sub-teams
and Assign
Reference
the Policies
Ensure it’s
measurable
Write per
the Process
Standard
 Monitoring
 Escalation
 Governance/ Oversight
 Supporting Documents (Definition
of Terms, Forms, Checklists, etc.)
 Process Description
 Background/ process rationale
 Process Scope
 Roles & Responsibilities (RACI)
Components of a Policy

Sample Exception Handling Process
 Invalid Address, Invalid Lookup, Missing Parent, Invalid
Relationship/Hierarchy, Invalid data type, Data length error etc
pg 65

pg 66
Sample Data Governance Intake Model (Front Door)
Functional
Rep
Go to
Rep
On
DGWG
Functional Teams
Qualification
Process
Project(s)Project(s)
Project SDLC
Project(s)
Project(s)
Maintenance
Releases
(Bugs, Quick Wins and
Minor Enhancements)
Support &
Maintenance Track
Quarterly Releases**
Quarterly/Major releases
Intake
All requests
to be entered into
Case Management Solution
Enhancements
or
Ideas
Production Issues
(Helpdesk)
Business Strategy
Drivers
Sales/Sales Operations
Channel Sales / Partner
Ops
Strategic Alliances
Sales Strategy / M&A
Emerging Products
Finance/Finance Ops
Customer Service
IT Partnership
Submission Qualification/Prioritization Execution
Project Track
Establish Frequency
Establish Frequency
Project Prioritization with Leadership/
Communication back to Business

Change Management Plan

Data Governance Means Change
 Successful DG means a change to the information management
culture, processes and policies
 Changing that culture means that you are asking people to think and
behave differently about how data is accessed and used
 You need an organized and systematic way to manage and sustain
those changes – or there is marginal likelihood of success

Two Sides to Change Management
WHO? WHAT? WHEN?
WHERE? WHY?
 Something old stops, and
something new starts
 Relatively easy to plan for
and anticipate
SITUATIONAL
 It’s important to help affected individuals let go
of the old situation and get comfortable with
the new way
 Everyone processes at a different rate and are
rarely aligned with the milestones of the
implementation plan
REORIENTATION PEOPLE GO THROUGH AS
THEY COME TO TERMS WITH THEIR NEW
SITUATION
PSYCHOLOGICAL
 It’s important to help affected individuals let go
of the old situation and get comfortable with
the new way
 Everyone processes at a different rate and are
rarely aligned with the milestones of the
implementation plan
For change to be
successful, BOTH sides
need to be addressed
pg 69

Getting People through Change Successfully Requires….
 Clear definition of what is changing
− Make sure the new behaviors, skills and attitudes are clearly defined and
communicated
− Provide examples, training and allow time for practice
 Attention to feedback:
− What are people saying and how are you addressing it?
− You must respond to feedback; be sure and attach the actions you take to
the feedback you received so that associates know you are listening
 Some reward or recognition structure to encourage new behaviors
 Measurement and performance management

Change Management Phases
Implementing
/ Sustaining
Change
Managing
Change
Planning
for
Change
 Organizational alignment implemented
 Structure
 Jobs/people
 Policies/procedures
 Incentives
 Performance management
 Change integration/adoption assessment
 Communication plan execution
 Training development and delivery
 Feedback and analysis of results
 Leadership alignment checkpoint
 Measurement approach & metrics
 Organizational impact analysis
 Resistance management
 Implementation checklist development
 Information gathering and analysis
 Stakeholder Analysis
 Sponsorship development
 Change plan development
 Leadership alignment checkpoint
 Communications planning
 Training needs assessment and planning
pg 71

Meet with
Program/Project
Manager, and lay out CM
Approach for the
Program/Project
Monitor & RefineExtend
Change Management Alignment to DG Phases
****Communication Launch
Information Gathering and Analysis
Stakeholder Analysis/Loss Analysis
Change Readiness Assessment
Leadership Alignment
Sponsorship Development: Assessment
and Road Map
Detailed Change Planning
Communication Plan
Operationalize
ImplementStrategize & PlanAssess & Align
Project
Initiation
Planning for Change
****Collect, Analyze and Report on Feedback
Implementation Checklist
More Leadership Alignment
Metrics and measurement
Org Impact Analysis: structure, jobs, training, policies
Managing Change
****Lesson Learned Assessment
Organizational Alignment Action Plan
Change Integration Checklist
Transitioning to the Business
Implementing/ Sustaining Change
pg 72

Measurement Dashboard

Why are Metrics Important?
Alignment
Rele-
vance
Value

pg 75
Aligning Benefit to Value
Benefits of Data Governance
• Data lineage and auditability
• Improved data transparency and quality
• Repeatable processes and reusable artifacts
• Consistent definitions
• Appropriate use of information
• Collaboration among teams, business units, etc..
• Accountability for information use
• Quality of all data types
• Easier sharing of information
• Visibility into the enterprise via data
• Information security
Content property of IMCue and FSFP, Copyright 2013
Reproduction prohibited© 2015 First San Francisco Partners www.firstsanfranciscopartners.com Proprietary and Confidential

pg 76
Impact Determines Success
Issues
• Report Quality
and Accuracy
• Low Productivity
• Regulatory
Compliance /
Audit Response
Goals
• Improve data’s
usability
• Improve
efficiency and
productivity
• Reduce
compliance /
audit cost
Metrics/KPI’s
• Data Quality
• Data remediation
time
• Effort to comply
Impact
• Improve client
relationships
• Address new
markets
• Improve
productivity
• Improve analysis
& decision
making
Content property of IMCue and FSFP, Copyright 2013
Reproduction prohibited© 2015 First San Francisco Partners www.firstsanfranciscopartners.com Proprietary and Confidential

Definition
 Metric
− A metric is any standard of measurement
 Number of business requests logged
 Number of data owners identified
 Percentage business requests resolved within agreed SLA, etc.
 Key Performance Indicator (KPI)
− A Key Performance Indicator (KPI) is a quantifiable metric that the DG Program
has chosen that will give an indication of DG program performance.
− A KPI can be used as a driver for improvement and reflects the critical success
factors for the DG Program
 A metric is not necessarily a KPI

pg 78
Metrics/KPIs examples
People
 # of DGWG decisions backed up by the steering committee
 # of approved projects from the DGWG
 # of issues escalated to DGP and resolved
 # of data owners identified
 # of data managers identified
 DG adoption rate by company personnel (Survey)
Process
 # of data consolidated processes
 # of approved and implemented standards, policies, and processes
 # of consistent data definitions
 Existence of and adherence to a business request escalation process to manage disputes regarding data
 Integration into the project lifecycle process to ensure DG oversight of key initiatives
Technology
 # of consolidated data sources consolidated
 # of data targets using mastered data
 Address accuracy for mailing/shipping
 Data integrity across systems
 Records/data aged past target
 Presence and usage of a unique identifier(s)

Creating Metrics

Process to Establish Metrics
pg 80
Issues
• What are the
issues in your
group?
• What do you
mean by that?
• Why is it
important?
• What are your
objectives?
Goals
• What is the change
you would like to
see? What action?
• How will that
change impact
you?
• What is the impact
if those objectives
aren’t met?
Metrics/KPI’s
• What processes are
involved in that
change?
• How is information
used in that
process?
• What information is
used? What data?
• What data
improvements are
needed?
Impact
• Positive change
created by
addressing issues
• Benefit of
improving data to
impact objective

Getting to Data Change Metrics
Issues/Objective
s
Goals Information Data Data Change Additional
Action
Report Quality and
Accuracy
Improve Data
Understanding
Accounts Client Information Reduce duplication
of client data
Improve Data
Transparency
Increase
completeness of
record
Reduce Manual
Remediation
Track data lineage Ensure
thoroughness of
data sources
Products owned Increase
Completeness of
record
Ensure
thoroughness of
data sources
Households Relationship
Groups

Sample Data Metrics
Data Change Measurement Target Frequency
Reduce Duplication of
Client Data
% Duplication 1% Daily
Increase Completeness
of Client Record
% Completeness of key fields 99% Daily
Track Data Lineage Completeness of lineage in
metadata
99% Monthly
Ensure Thoroughness of
Client Data Sources
Review of data acquisition and ETL
process
Business
consensus
Quarterly
Increase Completeness
of Products Owned
% Completeness of key fields 99% Weekly
Ensure Thoroughness of
Product Data Sources
Review of data acquisition and ETL
process
Business
consensus
Quarterly
pg 82
Data
Understanding
Data
Transparency
Reduce Manual
Remediation

Getting to Business Change / Impact Metrics
pg 83
Goal Measurement Target Frequency
Improve Data Understanding Completeness of Business Glossary
% of Business Users Trained
100%
100%
Monthly
Monthly
Improve Data Transparency Completeness of Lineage 80% Monthly
Reduce Manual Remediation Time to complete report process (baseline is 6 days) 1 Day Monthly
Increase Report Quality and
Accuracy
Improved Business Stakeholder Satisfaction Survey
Reduced Issue Requests
Business
Approval
10% drop
Quarterly
Monthly
This is your KPI

BU 2
SCORECARD
BU 4
SCORECARD
BU 1
SCORECARD
BU 3
SCORECARD
DATA GOVERNANCE
SCORECARD
(FUTURE STATE)
STRATEGIC
VIEW
OPERATIONAL
SCORECARDS
CONSOLIDATED BY
BUSINES UNIT
SETUP
RULES THRESHOLDS
DATA QUALITY
DIMENSIONS
FFREQUENCYWEIGHTING
ALL SCORECARDS
START WITH A
BASELINE
Scorecard Approach: Show some vision forward
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
ATTRIBUTE
SCORECARD
Attribute level Supports
Operational Use Case
Entity Level Supports
Company Data Governance
(Strategic Value)

Communication & Training Plan

Why is Communication Important?
pg 86
Creates Awareness
Aligns expectations
Creates an opportunity for
feedback / engagement
Proactively addresses Change
Publishes Success
Answers the questions “Why?” and “What’s in it for me?”
Aligns activities

Translating Data Value into Business Value
 Communication is key to maintaining commitment
 The right metrics help maintain alignment
− Metrics have no value if they aren’t aligned to the interests of a stakeholder
− Ensure there is some way of measuring how the improvement in data is helping
stakeholders progress toward their goals
− What information do you need to track and measure to those goals?
 Translate the value statement into the language of the recipient

• Engagement Strategy:
• Focused effort must be given
to high priority groups
• Provide sufficient level of
information to less influential
groups to ensure buy-in
• Move people and or groups
to the right by trying to
increase their level of
interest
• Forms the foundation of your
engagement /
communication strategy
pg 88
Stakeholder Engagement Strategy
Meet
Their Needs
Key
Player
Least
Important
Show
Consideration
Stakeholder
Influence
StakeholderInfluence Stakeholder Interest

Stakeholder Analysis Guide

What is a Communication Plan?
 Communication Plan Definition
− A written document that helps an organization achieve its goals using written and
spoken words.
− Describes the What, Why, When, Where, and How
 Importance of a Communication Plan
− Gives the working team a day-to-day work focus
− Helps stakeholders and the working team set priorities
− Provides stakeholders with a sense of order and controls
− Provides a demonstration of value to the stakeholders and the business in
general
− Helps stakeholders to support the DG Program
− Protects the DG Program against last-minute demands from stakeholders

Communication Plan
 Brings it all together:
− Who do we need to communicate to?
− What information will be important to them?
− Metrics that map to their professional and personal goals
− How frequently should they be updated?
− What is the method of communication?
− Who should be communicating to them?

pg 92
Components of a Communication Plan
Communication Plan Stakeholder: XXX
Qualitative Information Any general qualitative information that I would like to receive related
to this deliverable
Quantitative Information Of the quantitative metrics that have been defined, which are the ones
I would like to be informed about AND how do I want the metric
communicated to me to make the message pertinent
Frequency How often do I want to be informed about progress
Method What is my preferred mechanism of receiving the information

pg 93
Sample Communication Plan
Item Frequency Description Purpose Audience Documentation From Date Owner Status
Meetings
First BSL Meeting One-Time
Introduction
Get explicit buy-in from the participants and
resource ask
DGWG BSLs PowerPoint Presentation John 8/25/11 John Complete
DGWG Core Team Kickoff Meeting One-Time DGO kickoff and vision from IT Sponsor Kickoff DGWG-Core, IT Sponsor PowerPoint presentation John 9/15/11 John Complete
DGO Launch Logistics One-Time Communication announcingthe DGO Plan on the best way to communicate the DGO
launch and PR effort
DGO, SVB Corporate
Communication
Email John TBD John Complete
DGO-DGWG-Core Status Meeting Weekly DGWG accomplishments, progress towards goals
and issues
Status DGWG-Core members SharePoint Agenda & Content John Ongoing Flo In progress
Meeting with DGO IT Lead Weekly Planningand strategy Status/Planning DGO Chair, DGO IT Lead and
DGC
John Ongoing John
DGO & MDM alignmentmeetings Weekly MDM Implementation update Status MDM team, DGO Chair & DGC Agenda Rebecca Ongoing Rebecca
Mentoringprogram
(Data Stewardship Program)
Weekly Opportunity to learn from Business Steward Leads.
Best practices, polices, processes, standards,
definitions
Enrichment DGWG Data Stewards Data Stewardship Best practices.
DGO Polices, processes,
standards, definitions
TBD TBD TBD Not Started
Meeting with Program Sponsors Bi-Weekly? Provide DGWG accomplishments, progress towards
goals and issues
Status DGO Chair, Biz and IT Sponsor PowerPoint presentation John TBD John Not Started
DGO-DGWG Decision
(Core & Advisory) Meeting
Monthly DGWG voting meeting Vote and approve DGWG materials DGWG members SharePoint Agenda & Content John Ongoing Flo In progress
DGO-DGWG - DM IT Support Group Meeting Monthly DGWG DM IT Support Group team monthly update Bring the advisory team up to speed on status
before the decision meeting
DGWG Advisory members SharePoint Agenda & Content John TBD Flo Not Started
EIC Meeting Monthly DGWG accomplishments, progress towards goals,
issues, documents for informationalpurposes only
Status, Informational EIC members PowerPoint presentation John Ongoing John In progress
Meeting with SAM - Fund Business stakeholders As needed Relationship building/Expectations/Impact DGO resource engagement Business Stakeholders Informal/deck, Email John TBD Flo Not Started
Meeting with Purchasing stakeholders As needed Relationship building/Expectations/Impact DGO resource engagement Business Stakeholders Informal/deck, Email John TBD Flo Not Started
Meeting with Product Implementation stakeholdersAs needed Relationship building/Expectations/Impact DGO resource engagement Business Stakeholders Informal/deck, Email John TBD Flo Not Started
Meeting with Global Product stakeholders As needed Relationship building/Expectations/Impact DGO resource engagement Business Stakeholders Informal/deck, Email John TBD Flo Not Started
DGO Town Halls One/Year DGWG accomplishments and progress towards goals
Forum for open discussion
Team Building All DGWG members PowerPoint presentation John TBD Flo Not Started
And these are just the
meetings! Also:
• Awareness & Training
• Communication Vehicles
• Knowledge Sharing
•….

What is a Training Plan?
 Training Plan Definition
− A written document that helps an organization understand the requirements and
deliver the orientation, education and training needed to sustain Data Governance
− Describes the Who, What, Why, When, Where, and How
 Importance of a Training Plan
− Ensures adequate attention is placed on awareness and training
− Builds the organizational understanding and skills needed to improve
− Prioritizes and assigns the work
− Articulates requirements over time to maintain the level of activity
− Gives individuals the opportunity to be successful in performing new roles and
following new processes
− Creates a skilled workforce who can execute successfully DG initiatives identified
− Educates executives who understand and support managing data as an asset

Categories of Knowledge Transfer
Types Tracks
 Orientation
• Understand vision, concepts and value
proposition so one is visibly acting in
support of a change or activity
 Fundamentals
• Basic, non-company specific knowledge of
topics related to and connected by DG
 Education
• Ensure that the desired activity or change
takes place from accountability and
managerial view
 EIM Program Tracks
• Knowledge transfer for company version of
information management capabilities
 Training
• Ensure action takes place from the view of
those responsible for execution; “feet on
the ground”
 Work Stream Specific Tracks
• Detailed knowledge transfer by roles, e.g.,
data steward

Sample DG Training Plan
Level
Orientation Education Training
Class # - 1 - 2 - 3
Unit Unit # Level #
Module Name Master the WHY;
Concepts & Value
Master the WHY and
WHAT ; Actions,
sequence, measures
Master the WHY, WHAT
and HOW; Techniques,
tasks, tools
Abstract
n/a 002
1
DG Concepts Definitions, Value and
Concepts
NA
2
DG Framework Principles and Standards;
Best practices
NA
Data Governance Processes,
Organizations
2
DG Orientation DG Road Map, Maturity
levels, Policies and
Measurements
Framework, incl.
Principles, Value and
Vision
a. Audience: Business & IT Leadership
b. Purpose: To present the DG program to familiarize employees
c. Key Learning Objectives
i. Describe DG program at the company wide and LDG levels
ii. Discuss maturity levels, standard, principles
EIM Guiding Principles,
Supporting Standards
EIM Principles
Orientation
a. Audience: Leadership, Business line employees, IT
b. Purpose: To present EIM principles and Supporting Standards within
context of DG roadmap
i. Describe components of a standard and guiding principles
ii. Discuss existing standards and guiding principles
Data Governance Processes,
Organizations
3
DG Program Training DG Road Map, Specific
supported initiatives,
detailed project plans and
activities
a. Audience: Business & IT Leadership, business line employees, IT
b. Purpose: To present the DG program to familiarize employees
i. Describe DG program at the company wide and local levels
ii. Discuss initiatives, activities and overview of roles
iii. Discuss initiatives, project plans and activities
EIM Guiding Principles,
Supporting Standards
EIM Standard Training a. Audience: Council, DG functions - hands on workshop
b. Purpose: To present an overview of standards and guiding principles,
then actually define them
i. Describe components of a standard and guiding principles
ii. Discuss existing standards and guiding principles
iii. Construct a target standard and guiding principle
Business Glossary 103 1
Overview for leadership DG Framework, incl.
Principles, Value and
Vision
Using the Business
Glossary - this could be
technical on-hands
training for managers or
demo
a. Audience: Business Leadership
b. Purpose: To give an overview of meta data, its importance and use
c. Key Learning Objectives:
i. Describe the role of meta data in organization
ii. Define what meta data can do for in terms of usage
iii. Practice hands on tool training or Administer demo of the Business
Glossary

Business Data Glossary

What is a Business Data Glossary ?
A business glossary contains
1. Data Subjects:
• A group of related elements, logically grouped for presentation and analysis
2. Data Elements
• A grouping of data related to each other within a subject area
• A Data Element is a concept that is a the business level, not at the level of
database implementation.
• Some Data Elements are designated as Critical, have a RACI, are governed,
identify variant meanings and synonyms, are measured/monitored
A Business Data Glossary enables organizations to build and manage a
common business vocabulary and make it available across the enterprise.
This vocabulary delivers meaning and context.

Purpose and Uses for Business Data Glossaries
 Business Data Glossaries provide the structure to organize Critical Data
Elements
− Provides focus for Data Governance and Data Quality
 Critical Data Elements need to be defined for key business activities and
initiatives
 Data Governance decides if a data element is a CDE
 Data Governance maintains a list of criteria that determine if a data element
is a CDE.
 By comparing a data element with this list, Data Governance can determine
if the data element is a CDE.

Best Practices for Data Elements / Business Glossary
 Have distinct names for each meaning. Concepts in business can be
ambiguous and have more than one meaning
 Include definitions in the business glossary to help identify variant meanings
and ensure agreement among the stakeholders
 Keep it simple, starting with known concepts and relationships.
 Supply Attributes when resolving disagreements over entities and their
relationships
 Identify Synonyms: Words with similar meanings but with different names.
When the same concept can be expressed by two or more synonyms, one
of these is selected as the preferred term.

Sample Business Data Glossary

pg 102
Excerpt from A DG Glossary of Terms
It’s important
to also agree
upon Terms
across a
distributed DG
Organization

Ensuring Success

Principle Description
Be clear on purpose Build governance to guide and oversee the strategic and enterprise mission
Enterprise thinking Provide consistency and coordination for cross functional initiatives. Maintain an enterprise
perspective on data
Be flexible If you make it too difficult, and people will circumvent it. Make it customizable (within guidelines),
and people will get a sense of ownership
Simplicity and usability are the keys to
acceptance
Adopt a simple governance model people can use. A complicated and inefficient governance
structure will result in the business circumventing the process
Be deliberate on participation and
process
Select sponsors and participants. Do not apply governance bureaucracy solely to build consensus or
to satisfy momentary political interest
Enterprise wide alignment and goal
congruence
Maintain alignment with both enterprise and local business needs. Guide prioritization and alignment
of initiatives to enterprise goals
Establish policies with proper
mandate and ensure compliance
Clearly define and publicize policies, processes and standards. Ensure compliance through tracking
and audit
Communicate, Communicate,
Communicate!
Frequent, directed communication will provide a mechanism for gauging when to “course correct”,
manage stakeholder and effectiveness of the program
pg 104
Data Governance Design Principles

Thank you!
Kelle O’Neal
kelle@firstsanfranciscopartners.com
415-425-9661
@1stsanfrancisco

Top 10 Artifacts Needed For Data Governance

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