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I-58 ensuring that sufficient controls are established within their There are institutional issues, as well as technical chal- area of responsibility to ensure the accuracy and complete- lenges, in any organization considering implementing data ness of data and that data comes from the appropriate source stewardship and data governance. Using a well-defined for the intended use. data governance model helps to ensure successful sharing In private sector companies, any group, other than the IT of responsibilities with respect to data management functions. department, does not typically own data. Some private sector A data governance board or council can be established to serve organizations also have performance measurement groups in the oversight role for managing the data governance activi- whose responsibility includes data ownership. ties of an organization. The members of this group are usually To clarify the definitions and roles and responsibilities high-level managers and executives of the agency or company. for stewardship and data management within a DOT, Mn/ Likewise, there are corresponding data stewardship roles DOT has developed the following draft definitions as part of defined with responsibility to collect, maintain, and use data their overall development of a Data Business Plan for the in accordance with the policies instituted by the board. Department: In many cases, data also are recognized as a valuable asset in both the public and private sector and therefore, agencies Data Management Data management is the development, allocate a certain portion of their budgets to the proper man- execution, and oversight of architectures, policies, prac- agement of data programs and to securing and protecting the tices, and procedures to manage the information lifecycle integrity of the data systems within the organization. Protect- needs of an enterprise in an effective manner as it pertains ing and securing of data systems includes establishing access to data collection, storage, security, data inventory, analy- to the systems using authorized login and password proce- sis, quality control, reporting, and visualization. dures, and establishing back-up and recovery procedures for Data Custodians Data custodians are the information data applications and databases. technology professionals responsible for the maintenance Investments in data programs in the private sector are prima- and security of databases, hardware, and software used to rily judged on a cost/benefit basis. If the cost of an upgrade proj- support application systems. ect cannot be justified on the savings it will bring, it does not Data Owner Data owner is a role or group who is empow- proceed. Departments must carefully demonstrate the return ered to make decisions about how a data entity can be struc- on investment (ROI) to senior executives to gain support for tured, manipulated, or used. development or continued use of various programs. Data Stewards Data stewards are individuals accountable This also is true in the case of a DOT that must often demon- for the accuracy, integrity, and timeliness of the data as well strate the value of a given program to the state legislature or the as for informing users of the appropriate use of data. public, who sustains these programs through their tax dollars. Data Stewardship Data stewardship is the formalization of For example, the underlying data programs that support per- accountability for the management of data resources. formance measures at Washington DOT were critical in con- Data Users Data users are the individuals who have author- vincing the State legislature to continue investments in a fish ized access to retrieve data from information systems to barrier removal program versus other programs that may have conduct business. a higher legislative priority. Figure 4.2 illustrates the important link between an agency A more detailed discussion of how the public and private or company's strategic mission and goals and the data gover- sector have integrated these roles into their organizations nance framework that is in place to manage the data programs follows in Section 4.3. to ensure that the highest quality data are available in a consis- tent and timely manner to support core business functions in all areas of the organization. 4.3 Organization and Governance The data users and stakeholders as well as the data stewards There are a variety of data governance models which can and custodians each serve a critical role in developing and be used by organizations to develop their own data gover- maintaining data systems, which meet user needs. To have a nance framework. Each model has its own advantages and well functioning data governance structure, there must be disadvantages. The main concept to keep in mind is that there open channels of communication between the providers of is not a one-size-fits-all approach when developing a data gov- data and information and the users of the data. Outreach pro- ernance framework and each agency should develop a model grams from the data providers to the data user community that best suits the needs of the organization. This section dis- are an effective way to maintain this relationship. cusses some of the various models that have been used for The benefits of implementing a data governance framework developing data governance and the associated data steward- include improved quality of data collected and reported, which ship roles and responsibilities. in turn, has a positive impact on decision-making. Figure 4.3

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I-59 Strategic Vision, Mission, Goals for Data Data Division(s) Mission(s) Governance and Goals Board Data Steward Agency Data Programs Data Users and and Custodians Stakeholders Figure 4.2. Overview of a general data governance framework. Source: Figure 4.3. Example data management structure.

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I-60 shows an example of a potential data governance framework. ally led to the support for the development of a data catalog It shows each of the 10 universal components of a Data Gover- which was followed with the development of a Data Steward- nance program. Regardless of the focus of a data program, it ship program. This proved to be an effective method for will include each of these components to some extent, although beginning implementation of a data governance framework. the emphasis of each component will vary according to the The role of the Data Stewardship Council is to address data program's objectives. issues across the Department. An additional Data Council One way to organize these components is by looking at also was established to set standards for such components as why the program exists, what it is doing, who is involved in the data architecture, data modeling, and data stewardship. efforts, and how they are performing processes to provide value The Department successfully encourages the use of data to the organization. Another way to look at a Data Governance standards, by linking the funding of various programs, when program is to consider the following: possible, to the use of those standards within the organization. This is an effective means for gaining compliance with the data The rules that the program is making (such as policies, management policies and procedures for the Department. requirements, standards, accountabilities, and controls) and Defining distinct roles for Business and Technical Stewards the rules of engagement that describe how different groups also serves to strengthen this critical partnership and the work together to make those rules and enforce them; overall data governance framework for the Department. The people and organizational bodies involved in making and enforcing those rules; and WSDOT Challenges The processes that these people follow to govern data, while creating value, managing cost and complexity, and ensuring The WSDOT case study indicates that in some areas there compliance. are no formal stewardship roles, and there may only be one or two individuals responsible for supporting a data system. In general, private sector companies do not use data gover- It would strengthen data governance at the Department if all nance protocols or explicit standards covering data parameters, individuals who are performing stewardship roles are clearly data cleanliness, or data revisions. However, they are often identified as such. One method of doing this is by providing experts at sharing data between business units and across com- their contact information in a Data Catalog, along with the panies. There are several different models and combinations of application which they support. data governance approaches. Some examples along with advan- tages and challenges are discussed in the following sections. Kansas State Department of Education (KSDE) Washington State Department KSDE, like DOTs, must meet Federal reporting require- of Transportation (WSDOT) ments and the development of a data governance framework Several public sector organizations have been proactive in at KSDE grew out of the need to meet those requirements on implementing some type of data governance framework or are an annual basis. There also are clearly defined Federal per- in the process of doing so. WSDOT has a Data Council and a formance measures that each school district must adhere to Data Stewardship Council to help support data governance at in order to continue receiving funding and accreditation. WSDOT. WSDOT also further defines two categories of Data Therefore, the data management policies at KSDE were Stewardship: Business Stewardship and Technical Steward- established to direct the data collection, maintenance, and ship. The Business Stewards are executive, managerial, and reporting activities of the department to ensure that perfor- operational stewards, while the Technical Stewards include mance measures are reported in a consistent, timely manner the more traditional roles of system architects and database each year. administrators. While these roles may be defined for larger KSDE also developed handbooks to support data gover- application systems, WSDOT does acknowledge that for nance at the department. This includes handbooks for a Data smaller applications there may be just one or two people Governance Board, Data Request Review Board, and Data responsible for maintaining a specific data system, and there Stewards. is no formal stewardship role defined for them. Each handbook includes the following components for each board: WSDOT Advantages Mission statement for the board; The WSDOT model started with a smaller goal of gaining Scope and responsibilities of the board members; and support at the executive level for a data policy. This eventu- Goals and objectives of the board.

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I-61 KSDE Advantages Hennepin County Advantages There are many advantages associated with the use of the The Hennepin County data governance model has been KSDE data governance model. In addition to having a formal successful in large part, due to the strong support from the Data Governance Board established by an official charter, County Administrator for performance-based management. KSDE also has a Data Request Review Board, which was estab- This agency also uses an official charter to empower an IT Gov- lished to support the flow of data and information requests. ernance Board and IT Steering Committee. Establishing such This Board approves, prioritizes, and assigns requests related a formal structure serves to strengthen the overall data gover- to data and information systems. When the need arises, this nance structure for the county. While each department in the Board elevates issues to the Data Governance Board for reso- county can develop new information systems, each office is lution. There is a clearly defined channel of communication expected to coordinate with the IT office to ensure that any for processing requests and for addressing issues as needed. new systems comply with overall county IT policies and stan- KSDE also has developed handbooks for the participants in dards. This provides for a streamlined data management pro- the data governance structure within the organization. These gram which effectively meets the needs of all departments include handbooks for the Data Governance Board, Data within the county. Request Review Board, Data Stewards, and all other KSDE data governance participants. This helps everyone to better under- Hennepin County Challenges stand their role in supporting the overall data governance framework at the agency. Hennepin County has developed dashboards and scorecards KSDE also involves data stewards in the initial planning to make it easier for managers to monitor progress in various stages of system development, as subject matter experts, to county programs on a weekly, monthly, quarterly, and annual ensure that the needs of the organization are met, while the basis. Since the development of the scorecards is an ongoing planned project development complies with all standards, process, some departments of the county have scorecards and definitions, and procedures for use of data at the Department. others do not. The county has acknowledged that there is a need to have a countywide scorecard, and their challenge is to eventually have the ability to review program performance KSDE Challenges across all departments for the county. The primary challenge at KSDE was in developing a model that suited their needs. To do this, they researched information Alaska and Minnesota Departments regarding data governance and attended webinars and presen- of Transportation tations to learn more about it. Through this process, they were able to develop a data governance model that best suited their In some DOTs, such as Alaska and Minnesota, the develop- needs. They also have senior-level support for using data gov- ment of data governance frameworks is just beginning as part ernance at their organization which has proven to be an effec- of the development/implementation of a Data Business Plan. tive management tool for ensuring that their state education The roles of data governance and data stewardship will even- programs remain in compliance with Federal requirements for tually become part of a more structured approach for manage- public education. ment of data programs within both of these agencies. Mn/DOT also has established a Business Information Council (BIC) to guide the development of their Data Business Plan, which will Hennepin County, Minnesota ultimately include the implementation of a data governance Hennepin County considers data governance and data framework for the department. stewardship roles to be shared responsibilities within the county. There is an IT Governance Board, established by an Alaska and Mn/DOT Advantages official charter, which is comprised of Department Direc- tors, the Deputy County Administrator, and the County The advantages of developing a data governance framework Administrator. The county also has an IT Steering Commit- at DOTs such as in Alaska and Minnesota are yet to be fully tee that provides advice on how proposed information sys- realized, as each of these agencies are in the preliminary stages tems will fit into the current IT architecture at Hennepin of defining what their data governance model will look like County. Each of the departments in the county are expected and how it will be implemented at their respective agencies. to work with staff from other departments in the develop- Alaska has taken the approach of developing a data gover- ment of new information systems, while the IT department nance model for a specific business area, i.e., planning. Mn/ ensures that the new systems comply with county IT poli- DOT is developing a data governance model for the department cies and standards. as a whole. The commonality between these two approaches is