Information Connection: Data Stewardship Using the Zachman Frameworkby Jonathan G. Geiger

Data stewardship is a multi-faceted function which places the ultimate organizational responsibilities for data quality. Frequently, people refer to a data steward, as though a single person can perform all the activities. While a single person or group of people may ultimately be responsible for data quality, the stewardship functions are carried out by several people. The Zachman Framework perspectives are useful for determining the organizational responsibilities for different aspects of data stewardship.

The planner perspective provides an enterprise view. In this view, the major subjects of the organization are identified. One way of identifying the major subjects is to bring together business people from each of the major functional areas of the company so that the major subjects can be identified. A typical list of major subjects would include customers, products, competitors, facilities, human resources, materials, etc. Agreement on the list of major subjects, and the scope and definition of each, needs to be gained at an enterprise level. The business people who were instrumental in defining the major subject areas can form the nucleus of a stewardship council which would provide an enterprise view toward the data.

In addition to defining the subjects and their content, this council would also set the policies concerning the management of data as an enterprise resource. These policies would address data creation, maintenance, dissemination (including security) and disposition from a generic viewpoint, with the responsibility for executing the policies for individual data elements or subjects being under the control of the appropriate people.

In the owner perspective, the entities and attributes within each subject area are identified and defined from a business perspective. The relationships between pairs of entities and the domain of business values are also defined in the owner perspective. To a large extent, the work performed in this perspective is done within individual subject areas. Hence, it is appropriate to designate, for each subject area, a business person as the data steward to oversee the development of the owner perspective. The stewardship council would provide guidance for matters involving multiple subject areas or if consensus cannot be reached on the subject area within which an entity belongs.

Data analysts within data administration should be responsible for developing the (system) data model which governs the technical implementation of the business model. Data administration defines the overall naming standards and, therefore, may need to rename some of the entities for representation within the physical databases. Interaction with the business people is warranted to ensure that the resultant model is semantically consistent with the business model. If discrepancies arise, both parties need to be part of the resolution.

Once the system model is defined by the data analyst, a person within database administration must define the physical tables which preserve the integrity of the system model and meet the designated performance requirements. This is done in the builder view.

In the builder view, physical databases and tables are defined. The technical model used in this view may differ from the system model because of access or performance considerations. As with other views, some collaboration may be needed between data administration and database administration. Database administration needs to ensure that the referential integrity implied in the system model is preserved. The database administrator is then ready to create the physical databases and tables in the subcontractor view.

The physical databases are created by database administration in the subcontractor view. With modern repositories and CASE tools, consistency with the builder view is easy to guarantee, as the creation of the physical environment can be automated. The product of the process is the actual database which is eventually populated.

The final product is the set of populated tables. Data for these tables is often provided by individuals, and these individuals need to be accountable for the data entered.

The data stewardship roles exist to ensure the integrity of the product--the populated databases and tables. Without this integrity, the value of any database is very limited. Throughout the process, the stewardship functions are performed by different people. First, a group of people defines the major subjects of interest. These people need to have an enterprise-wide business perspective. Then the contents of each subject area of interest are defined by a person with a specific business perspective. The result is translated into an electronic representation of the business by a person with business and data analysis skills who applies information resource management principles to make the transformation. Finally, a person with technical database skills defines and creates the physical tables.

These functions are designed to help ensure that the data entered meets the enterprise needs. However, unless the person entering the data is also concerned with the data quality, the data may pass all the electronic validation rules and still be invalid.

This column focuses on the data stewardship responsibilities within the data dimension of the Zachman Framework. The steward also addresses the other dimensions. For example, the processes which are defined for ensuring the data quality are declared within the process dimension, the physical distribution of the data is declared within the locations dimension, the security rules are declared within the people dimension, the currency requirement and retention rules are declared within the times dimension, and the governing business rules are declared within the motivations column.

Jonathan G. Geiger is executive vice president at Intelligent Solutions, Inc.  Geiger has been involved in many corporate information factory and customer relationship management projects within the utility, telecommunications, manufacturing, education, chemical, financial and retail industries.  In his 30 years as a practitioner and consultant, Geiger has managed or performed work in virtually every aspect of information management.  He has authored or co-authored numerous articles and three books, presents frequently at national and international conferences, and teaches several public seminars.  Geiger may be reached at JGeiger@IntelSols.com.

Copyright 2007, SourceMedia and DM Review.

DATA STEWARD ROLES & RESPONSIBILITIES
Written by Robert S. Seiner
KIK Consulting & Educational Services, LLC & TDAN.com
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Introduction

If you define Data Stewardship the same way that I define Data Stewardship, then we are apt to agree that defining data steward roles and responsibilities is at the heart of best practices for implementing a successful data stewardship program.

The definition that I use for Data Stewardship is “the formalization of accountability for the management of organizational data”.  By stating “formalization of accountability” I mean that there are already “de facto” stewards of data in every organization that informally steward the data from several perspectives.  The way I see it, you wouldn’t have any data if “someone” wasn’t responsible for defining what data was/is needed, “someone” wasn’t responsible for producing the data per the definer’s specifications, and “someone” wasn’t going to use the data in the first place.  These people that define, produce and use the data are the “TRUE” data stewards of the organization.

The questions are: Do they recognize themselves as data stewards?  Are they recognized as data stewards?  If they are already recognized as data stewards – do they know what it means to be a data steward or what a data steward is “really” supposed to do?  Is there anybody to assist them in becoming the “best” steward they can be by providing them a framework, discipline and education on how they and others can best manage the data of the company?  Is there anybody to guide them through paying specific attention to stewarding the data that they are accountable for?  Data steward roles and responsibilities are a critical component to successfully implementing a data stewardship program.

As an easy way to articulate data steward roles and responsibilities, I typically break the roles and responsibilities into two different categories – 1) Data Stewardship Program Roles – pertaining to those individuals that define, design and execute the administration of the data stewardship program and 2) the Participating Data Steward Roles – pertaining to individuals that are responsible for daily operations and the management (definition, production and usage) of enterprise data.  The Program Roles are often overlooked and seldom become a focus of a data stewardship program.  I believe this oversight is a mistake and thus in this article I have paid specific attention to defining both the Program and the Participating data steward roles and responsibilities. 

There is also a role for a person(s) that you may have initially identified or assigned “THE” data steward for a specific datum or set of data in your company.  Read on for a further description of where I see “THE” data steward fitting into the picture (and believe me, they play a critical role).

Above the Line, Below the Line

The next portion of the article defines the different type of roles and responsibilities that you may want to consider to include in the definition of both the program and participating roles.  Figure 1 below displays a separation of the Program Roles and the Participating Steward Roles - which I refer to as the "above the line" roles and the "below the line" roles.

Figure 1 - Steward Roles Above and Below the Line

Data Stewardship Program Roles

The Data Stewardship Program Roles focus on setting up the Data Stewardship Program.  The individuals that play the program roles are not the Data Stewards themselves and most often the only data that the program roles are responsible for is the data about the stewards and the data about the data they steward.

I describe these roles to be "above the line" drawn across the middle of Figure 1.  These roles focus on understanding the requirements for the data stewardship program, understanding the desired outcome of the data stewardship program, and they focus on architecting the best possible data stewardship solution for the organization.  More often then not the program roles originate in the IT organization even though the data stewards themselves reside in the business organizations.  The Data Stewardship Program Roles are responsible for finalizing participating steward roles and responsibilities, defining how data stewards will be "recognized" (not assigned), defining the database for collecting information about data stewards, and disseminating the data steward information (meta-data relating stewards to the data they steward) to those individuals that will benefit from using the stewardship meta-data.

Data Stewardship Program Manager

As part of the Program Roles, the Program Manager operates, manages and oversees the entire Network and Program.  The Program Manager coordinates the efforts of the Project Manager, Subject Matter Managers, and the Participating Data Stewards (see below for descriptions of these roles).

Program Manager Responsibilities (may delegate to Project Manager defined below):

• Working with the Project Manager to design and implement the Program for the company according to the company’s best practice definition of their data stewardship program.

• Working with the Project Manager to create and provide educational materials and guidance to Subject Matter Managers and Participating Data Stewards.

• Working with the Project Manager to identify (with the Subject Matter Managers) the appropriate Participating Data Stewards including Data Definers, Data Producers and Data Users as well as Subject Matter Managers.

• Working with the Project Manager to ensure that the data stewardship information is available and accessible through the a stewardship meta-data repository that contains information that links Participating Data Stewards to the data they steward.

• Working with the Project Manager to ensure that the processes pertaining to data stewardship information in the are followed to assure that the program is current/active and that the data stewardship information maintained in the is kept up-to-date.

Data Stewardship Project Manager

The Project Manager (“Project Manager”) will work in cooperation with the Program Manager to coordinate the efforts of the Subject Matter Managers and the Participating Data Stewards.

Project Manager Responsibilities (may delegate to an Analyst assigned to the Program Manager):

• Working with the Program Manager to design and implement the Program for the company according to the company’s best practice definition of their data stewardship program.

• Creating and providing educational materials and guidance to Subject Matter Managers and Participating Data Stewards.

• Identifying (with the Subject Matter Managers) the appropriate Participating Data Stewards including Data Definers, Data Producers and Data Users as well as Subject Matter Managers.

• Ensuring the data stewardship information collected is available and accessible through the repository.

• Ensuring the Data Stewardship Change Management procedures are followed to assure that the program is current/active and that the data stewardship information recorded in the stewardship repository is kept up-to-date.

Participating Data Stewardship Roles

Participating Data Stewards have specific responsibilities depending on their relationship to the data within their respective business areas or departments.  These Participating Data Steward roles are divided into three primary categories including Data Definition Stewards (Data Definers), Data Production Stewards (Data Producers), and Data Usage Stewards (Data Users).

By identifying, recording and maintaining information about the Data Definers, Data Producers, and Data Users, your company can formalize the entire “chain of custody” and accountability of data for the organization.  The following is a brief description of the Participating Data Stewardship Roles.

Subject Matter Managers (SMM)

Housed in the Business areas within your company (depending on the subject matter of data being stewarded), Subject Matter Managers are responsible for coordinating Participating Data Steward activities with the Program Manager and Project Manager to address data quality issues and concerns regarding the data in that subject matter.

The Subject Matter Manager is often identified as "THE" data steward for data that falls under their subject area.  BUT ... This person is often somewhat removed from the day-to-day operations of defining, producing and using the data therefore they are not "THE ONLY" data steward of the data.  "THE" data steward may have a high level of accountability for the management of the data but they often are positioned at a level that is too high to participate in the daily responsibilities for the data.  For that reason, the Subject Matter Manager's should be responsible for identifying (not assigning) the hands-on participating stewards and also the daily coordination of the Participating Data Steward activities.

Subject Area Manager Responsibilities:

• Identifying (with the Program Manager) and coordinating the activities of the appropriate Participating Data Stewards including Data Definers, Data Producers and Data Users of data that falls under the subject matter.

• Ensuring the Data change management procedures are defined, followed and enforced to assure that the program is current/active and that the stewardship information in the repository is kept up-to-date.  This may involve periodic reviews of the procedures and enforcement of these

Data Definition Stewards (Definers)

The Data Definition Steward is primarily a business role however there will be opportunities for technology-focused individuals in the areas of IT infrastructure asset management areas to put business definition to technology-based data.

Data Definition Steward Responsibilities:

• Identifying the specific data that is needed to operate the business processes of their areas.

• Recording business definition and appropriate meta-data (information about the data such as business name, business description, valid values, etc.) for the data they define by utilizing the tools and processes that have been identified and that are supported by the Data Stewardship Program Manager's resources (above the line).

• Identifying opportunities to share and re-use data. 

• Identifying data quality standards. 

• Participating in the enforcement of data quality standards and identifying and resolving to data quality issues pertaining to the data that they define.

• Ensuring the the quality, completeness and accuracy of data definition.

• Identifying the specific data that is needed to operate the business processes of their business areas.

• Recording business definition and appropriate meta-data (information about the data such as business name, business description, valid values, etc.) for the data they define by utilizing the tools and processes that have been identified and that are supported by the IT organization.

• Identifying opportunities to share and re-use data. 

• Identifying data quality standards. 

• Participating in the enforcement of data quality standards and identifying and resolving to data quality issues pertaining to the data that they define.

• Ensuring the quality, completeness and accuracy of data definition.

• Responsible for communicating new and changed business requirements to individuals who may be impacted

• Responsible for communicating concerns, issues and problems with data to the individuals that can influence change

More than one Data Definition Steward can exist per business area, business process, sub-process, data type or business data element.

Data Production Stewards (Producers)

The Data Production Steward can be both either a business and technical role although it is typically considered a technical role.  The Data Producer Steward will be considered synonymous with a businessperson who is responsible for entering and modifying data in the enterprise data bases and information systems.

Data Production Steward Responsibilities:

• Producing (inserting, updating, deleting) business and technical data in the IT systems that support the business processes.

• Validating data that enters and exits business processes.

• Coding and editing accurate data quality standards (including format, content, and data dependency) for the data they produce.

• Ensuring the quality, completeness and accuracy of data production according to the definition of the data provided by the Data Definition Stewards.

• Responsible for communicating new and changed business requirements to individuals that may be impacted

• Responsible for communicating concerns, issues, and problems with data to individuals that can influence change

More than one Data Producer Steward can exist per process, sub-process, data type or business element specifically when business and technical data and meta-data is produced and passed from an information system or business entity to the next. 

Data Usage Stewards (Users)

The Data Usage Steward is primarily a business role (depending on the source of the data) related to the usage of data.  Data Users potentially include constituencies outside of the organization who may or may not be included under the guidance of Data Governance. 

Data Usage Steward Responsibilities:

• Accessing and Using the data for its intended purpose.

• Accessing information (meta-data) available about how the data was defined for the business and how the data was produced in the information systems in order to use the data for its intended purpose.

• Ensuring the quality, completeness and accuracy of data usage according to the definition of the data provided by the Data Definition Stewards.

• Responsible for communicating new and changed business requirements to individuals that may be impacted

• Responsible for communicating concerns, issues, and problems with data to individuals that can influence change

There are typically more Data Usage Stewards then there are data definers and data producers.

The last two bullets in each of the Participating Data Steward Roles described above are identical and they are very important.  The Participating Data Stewards are the “eyes and ears” of the organization when it comes to knowing the data.  If a Participating Data Steward identifies a problem with the definition, production and/or usage of data, they must be responsible for bringing that issue to the attention of someone who can bring on change.

Conclusion

Flying in the face of my whole 3D approach to data stewardship (click here to see an old article I wrote called Data Stewardship in 3D) I am sad to say that many of the companies that I have worked with have initiated data stewardship programs by identifying a person (singular) as an “owner” or “THE” data steward of a particular piece or set of data.   Does this sound like you?

My approach for defining data steward roles and responsibilities states that, more often than not, one participating steward per datum or data set is not effective or enough.  Especially if “THE” data steward is significantly far removed from the daily definition, production and usage of the data they are stewarding.  “THE” data steward may be formally accountable for the data – but this article suggests that companies should consider identifying the data definers, producers and users of the data and educate them on the roles and responsibilities defined here.  You will not be sorry you did.

This short article has described a very practical, pragmatic and most importantly an actionable approach to defining data steward roles and responsibilities in your organization.  This article should help you to determine who the “TRUE” data stewards are.

Once your organization has identified the data stewards the next question becomes – “what do we do next?” or “how do we get these stewards to truly participate in the data steward role?”  That is certainly a very good question and one that will be discussed in a future TDAN.com article.  If you need to know sooner, contact me at rseiner@kikconsulting.com and we can talk about it.

© Copyright 2005 - Robert S. Seiner
  

Robert (Bob) S. Seiner is recognized as the publisher of The Data Administration Newsletter, LLC – www.TDAN.com - an award winning electronic publication that focuses on sharing information about data, information, content & knowledge management disciplines. Mr. Seiner speaks often at major data management and meta-data management, business intelligence and knowledge management related conferences and user group meetings across the U.S. He can be reached at the newsletter at rseiner@tdan.com or 412-220-9643.

Mr. Seiner is the President and Principal Consultant of KIK Consulting & Educational Services, LLC – www.KIKconsulting.com - a company that focuses on consultative mentoring, a blend of consulting and educational services to enable companies to improve and gain value from the management of their data and information resources. Mr. Seiner offers 2-day in-house and public courses on how to build and implement data governance / stewardship programs and meta-data programs.  He can be reached at the consulting firm at rseiner@kikconsulting.com.

Summary: Having first-class data significantly helps all aspects of your organization's business - helping to effectively gauge and manage risk, avoid redundant work loads, increase customer satisfaction and provide better business intelligence and decision-making support.

The Sarbanes-Oxley Act of 2002 (particularly Section 404), has created a sense of urgency for senior executives to take an active interest in the accuracy, consistency and timeliness of their data. Now more than ever, corporate compliance, audit and governance issues must be efficiently resolved. Yet it is widely believed that less than half of large companies have a formal data stewardship or data quality program that protects and leverages their unique strategic asset of data. Smart businesses are proactive, not reactive; they comprehend the business need for quality data. Aside from compliance and governance agendas, having first-class data (and the ability to unlock it) significantly helps all aspects of your organization's business - helping to effectively gauge and manage risk, avoid redundant work loads, increase customer satisfaction (on the front and back ends) and provide for better business intelligence and decision making support. Conversely, poor data quality will have injurious consequences across all enterprise operations - negatively impacting the most critical customer service obligations (such as billing and remittance processing), skewing decisions and fulfillment obligations, and creating a host of other tactical problems. Numerous hidden business costs such as revenue leakage and higher capital expenditures may all be maladies that stem from lack of data integrity. While there are tools that can help with and augment your formal methodology, capable data stewardship requires the symbiotic merging and integration of the automated (technology) with the manual (people). For many organizations, data problems remain secreted or hidden until issues are uncovered that result from a formidable event of costly business impact, such as an external audit, fraudulent activity, subpoena or valued customer satisfaction issue. A prolific variety of complex legacy data (which may go through many iterations of manual reconciliation on its way up to senior management's eyes) lingering in cloaked and "siloed" structures will always be poised to wreak havoc when least expected. Today, with the advent of widespread Internet and e-commerce applications, the data problems of an enterprise can be exposed to the entire consumer world. If you have bad data on your customers (e.g., not recognizing them across accounts), they will know - often long before you catch on. The time to establish a formal data stewardship program is now!

When implementing a formal stewardship program or policy for your organization, it will be important to appoint the right person as the lead steward and assign the steward an appropriate title. This person will understand and approach duties from the perspective that data quality is a collaborative business and IT matter as he/she champions high-quality data across all multinational systems - from repositories to reports. The most effective stewards will be familiar with core business values and practices but should also be able to understand data models, tech-speak and data storage topics from a high and low level. (A systems analyst background with relevant industry understanding and outstanding communication skills will be ideally suited to bridge this sometimes giant gap between technology and the business.) A strong leader and a people person, the lead steward will educate and expand many people's horizons about proper data governance and the consequences of unreliable data on business objectives; the steward will make others accountable for continuous improvements in the caliber of data. Lead stewards should be visible senior-level people who are respected and well liked in the organization, with the ability to motivate and envision change from a high level. They should be empowered by senior management and steering committees to directly address issues and manage standards-based implementations from both a business and technology-centric view, brandishing their "data police badge" when staff members resist data standards and the added responsibility or loss of control that come with such regulations. A VP-level title of data steward is not out of the question.

Stewards must have specific and measurable goals for data quality, making sure that public data helps enforce and promulgate vital business rules and processes. A viable formal stewardship policy will be rooted in ongoing standards that identify goals, priorities and quality metrics within all systems infrastructure elements (from data warehouses to OLTP applications) and business functions that touch or affect data. The steward will tie business strategy to data strategy, applying generally accepted qualitative metrics and heuristics (risk management, cost benefit analysis, change management, etc.) to the measuring and enforcement of data quality. With increasingly aggressive life cycle timelines and rapid application development (RAD) paradigms, organizations should not have to keep worrying about the veracity of data from conversion to conversion, re-inventorying and re-reconciling data elements piecemeal every time a new systems integration project is tackled. Without ongoing business driven tools and touchstones for data assessment and improvement, your data stewardship program is doomed to fail. Only a continuous and structured methodology will bring long-term benefits, not a sustained culture of quick data fixes. For larger enterprises, this methodology will have functions that leverage time-honored calculations, derivations curves and benchmarks for measuring quality. The business rules of the corporation should be documented and maintained alongside data models, data dictionaries, meta data repositories, etc., so that a spirit of common responsibility, knowledge and ownership is cultivated. The formal stewardship policy will reside in a public place (corporate intranet) along with other operating policies so that employees who create, use and own the data develop a sensitivity to issues of data rectitude.

If data quality improvements are to continue to be the norm, the impetus must come both through technology architecture and business requirements. It must be understood and evangelized throughout the company that many times business continuity is data continuity: data problems invariably turn into business ones, increasing a firm's exposure to various unanticipated risks. In contrast to purely technical issues, a data steward will sometimes have to address and analyze data problems that are attributable to business routines that have a large human/manual element, and thus cannot be changed easily. The steward will need to have a business understanding and the wherewithal (support of senior management) to carry out the reengineering of various business processes. This may necessitate that they have a cursory understanding of various types of unstructured data (such as that found in electronic document management systems) and data that is not stored digitally, as well as the integration challenges associated with them. In such cases, a steward may have to help engineer a balance between the manual processes - routing paper requests, bar-coding, manual archiving - of a company's information center and records management databases and software.

Under a stewardship program, everybody shares responsibility and accountability for data excellence; information belongs to everybody, and like other (more empirical) corporate resources, it must be scrupulously managed and cared for. The stewards do not own the data; they define and bestow ownership and accountability accordingly, as they train, guide and mentor others in data quality best practices, rewarding compliance and adherence to quality specifications. Everybody that touches data throughout the organization must understand their role in data quality and be able to provide a feedback loop that will help stop bad data habits from propagating throughout the business. There will be pockets of resistance. However, a good lead data steward must know how to deal with the political side of the job. Drawing up a data consumer matrix, which describes who uses what data elements (and what actions are taken with that data), is always an invaluable exercise for assigning data trusteeship. This will help create a culture of data stewardship along all parts of the information life cycle and data supply chain - from the most important reference data to the most transitory of meta data.

In order to accomplish a firm foundation for continuous and measurable integrity of data, stewards should create and foster various partnerships and cross-functional teams (from business and technology) based on pre-approved agreements that govern systems not only inside, but also outside the aegis of enterprise control. Studies have shown that employee data entry errors are responsible for more than 75 percent of bad quality data. However, due to intensified e-commerce activity and broadening reliance on third-party data feeds, potential sources for substandard data are rising exponentially for many businesses. External third-party data sources that will commingle with (or feed) your internal system schemas should meet predefined standards of information quality and management before reaching the sanctity of your organization's gateway. Data suppliers must be held to a service level agreement (SLA) that states their responsibility and interest in providing quality data from a value-added information environment.

There is no one-size-fits-all job description for a data steward; stewardship roles will evolve according to the topology of IT infrastructure/architecture and the principal nature of the business. Care should be taken so that the steward is not saddled with more responsibility than he/she can handle. It will sometimes be good to have a hierarchy of steward roles or spheres of influence, where co-stewards oversee data probity issues along predefined systems or business segment domains in order to make data policy more manageable. Another possibility is to create a data stewardship committee that will share general responsibility for defining quality metrics; assessing acceptable and permissible use patterns of information assets; and assigning levels of stewardship responsibilities accordingly in order to limit data exposure and integration risks across all platforms. The committee will meet periodically to discuss all data governance issues, reporting on gaps in quality control and releasing/publicizing their findings. Items for committee consideration may include the following and beyond:

• Maintenance and storage strategies for corporate reference data.
• Comprehensive standards for data dictionaries, data models, calculation engines, business rules, ETL deltas and more.
• XML strategy: While XML and associated namespaces have been a boon for system-to­system connectivity and communication exchange, standardizing the syntax, format and relationships of information objects -- a semantic consistency that reconciles business data and business-speak ­ will not always be easily achieved. People must know what XML tags mean in the real world business sense, across all of an enterprise's data structures, whether they are financial, manufacturing, etc. The stewardship committee will organize and establish correct linkages for all vital XML elements, artifacts and attributes via a meta data registry (MDR) that will document and define (i.e., capture meanings about) all XML namespaces by storing descriptions of data units and values across systems and data contexts.
• Data privacy and data security policies.
• Web-enabled universal "data shopping" on corporate intranet.
• Auditing of service level agreements to ensure proper data availability.
• Data standards: documented data domains, validations rules, data dependencies; source to target mappings; semantic management, naming conventions, data-typing, etc.
• Replication, backup and recovery policies and procedures.

With the relentless push toward federated-access systems that offer complex real-time (or near real-time) distribution and availability/exposure of data services, data volumes and information proliferation have grown to historically high levels. For many, data integrity problems have become worse than ever, establishing huge roadblocks for the timely delivery and sharing of quality data. An unceasing program of data governance and management, established by carefully selected people, roles, responsibilities and technologies, may be long overdue. Address your issues early (now!), not when you are ready to expose data to share. Address your enterprise-wide data quality issues with respect to accessibility, accuracy, consistency and completeness. Get executive buy-in and start your data stewardship program today! 

William Laurent is practice director for Business Intelligence and Corporate Governance at Global Passage LLC. Laurent has a diverse systems background, successfully designing and managing implementation of projects for the insurance, banking, finance, government, technology and entertainment industries.  He would enjoy receiving your comments at wlaurent@gpassllc.com.

Copyright 2007, SourceMedia and DM Review.

RM 101

Why Records Management?

by Priscilla Emery
30-May-2005 --<script></script> Comments -- none yet<script src="http://www.intensedebate.com/js/getCommentLink.php?acct=4f391d025c7a274f56ab1bba3cf65df1&postid=http://www.cmswatch.com/Feature/127-RM-101&posturl=http://www.cmswatch.com/Feature/127-RM-101&posttitle=" type="text/javascript"></script><script src="http://www.intensedebate.com/js/genericLinkWrapperV2.js" type="text/javascript"></script>

Ed.'s Note: This article is excerpted from the Records Management Report, published by CMS Watch.

To some, managing records represents one of the most boring and onerous business functions that anyone could possibly undertake within an organization. Of course, most people don’t even understand what records management is -- making it easy to malign an activity that is so misunderstood.

Indeed records management crosses numerous disciplines. Did you know…

• That categorization and indexing are two elements that are critical to the success of a records management program? Sounds a little like knowledge management.
• That vital records preservation is one of the key steps in developing a disaster recovery plan? Sounds like infrastructure management.
• That by ignoring records management policies employees and their companies can potentially end up facing criminal penalties? Sounds like a legal profession.
• What led to Arthur Andersen’s downfall? Shredding — inappropriate shredding — shredding of records that should have been retained according to the policies of both Andersen and Enron.

Despite what people may say, what you don’t know can hurt you and, in the case of records management, what you choose to ignore can cripple you and your organization.

Recent dramatic headlines have made it quite apparent that records management (or the lack thereof) is an essential activity to ascertain and confirm the credibility of many business transactions and government activities. The proliferation of electronic documents (especially e-mails) and the potential litigation exposure that they cause are becoming the bane of legal advisors and records managers in many corporations and government agencies. Microsoft, Texaco and other Fortune 500 companies have taken hits from “runaway” e-mails introduced as evidence in high stakes cases.

But, to records managers e-mail is just another record type in the scheme of things (not a trivial record type but a record type just the same). They know that in fact, “smoking guns” can come in many different guises, including: paper, electronic image files, video tape, voice recordings, etc. It’s all potential evidence and therefore potential deposition fodder. Making sure that all the relevant information is accessible in a timely fashion, should an organization need to defend itself in a lawsuit, is also what records managers are responsible for.

These days a records manager’s job is anything but boring, and in many organizations there aren’t enough of them to handle the increased compliance laws and regulations that have cropped up in recent months.

Not surprisingly, then, many companies are looking at records management software as a way to get a better grip on the increased volume of all kinds of records. Although that approach can help, a basic understanding of what records management is and its concomitant practices are required before even looking at any software product. If you don’t have a records management policy in place along with the appropriate retention and destruction rules for the records, the software will be useless.

What is Records Management?

There are many different definitions of records management but one that I like the best is,

“A professional discipline that is primarily concerned with the management of document-based information systems. The application of systematic and scientific controls to recorded information required in the operation of an organization’s business. The systematic control of all organizational records during the various stages of their life cycle: from their creation or receipt, through their processing, distribution, maintenance and use, to their ultimate disposition. The purpose of records management is to promote economies and efficiencies in recordkeeping, to assure that useless records are systematically destroyed while valuable information is protected and maintained in a manner that facilitates its access and use.”

Some people have the mistaken impression that records management is about hoarding everything that comes across one’s desk in the course of doing business. In some highly regulated industries it may seem that is the case. But in most cases it’s not only making sure that what needs to be kept as a record is retained but also prescribing how long it should be kept, where it should be stored, who has access to it and when it should be destroyed (if ever).

There is even an ISO standard for developing a records management program (ISO 15489). However, even though records retention practices are considered systematic and scientific, deciding what is a record and how long it should be retained is a combination of both prescribed practice and a certain amount of subjectivity depending on the actual documents in question. Just defining what is a record can get somewhat confusing to people.

What is a Record?

According to the Federal Records Act a record is, “recorded information, regardless of medium or characteristics, made or received by an organization that is evidence of its operations and has value requiring its retention for a specific period of time.”

According to the National Archives and Records Administration (NARA) records include,

“… all books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the U. S. Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of the data in them.”

Got it?

This can be confusing for non-governmental organizations that don’t believe that these definitions necessarily apply to them so a more generic definition would be that records are recorded information, regardless of physical form, that are generated or received and used while conducting business, and preserved because of their informational value or as evidence of an organization’s functions, policies, decisions, procedures, operations, mission, programs, projects, and activities.

This is why there is no real cookie-cutter approach to defining a records retention program for every document out there — every company has to look at its own business operations and examine what should be considered a record and then decide what retention rules to apply against them. Again, the government and other industry regulators may help in that decision by defining exactly what they expect to see if they have to do an audit or investigation, but audits and investigations aren’t the only reasons to have a records management program.

There are other ways to determine if an information item should be considered a record or not:

• Does the information document your daily business process?
• Does the information provide input to a mission-critical business decision?
• Does the information provide evidence as to whcy a business decision was made?
• Is the information required for legal, fiscal, audit, or tax purposes?

"Vital Records" contain unique or irreplaceable information and require special protection, such as articles of incorporation, annual reports and shareholder records. These should be defined as an integral part of a disaster recovery plan or operation.

RM Programs, RM Software

Essential elements of a records management program include a records retention policy and a set of procedures where records are classified, retention periods are defined and destruction procedures are prescribed. Classification of records and then maintaining them with the appropriate metadata are necessary so that this information can be retrieved quickly when required.

Record integrity depends on three attributes: content, context, and the structure of the original record. Authenticity is very important to determining if a piece of information is the “true” record of an event or business transaction, which is why the management of electronic records, most especially e-mails, web pages and instant messages, is so problematic. The ability to generate larger volumes of records in a shorter period of time has increased the productivity of many organizations but that productivity gain can be lost if essential records can’t be found during the course of doing business or, in even more critical procedures such as when an audit takes place or a legal discovery of evidence is required. Finding lost records costs money in terms of lost productivity and in more the substantial costs of fines, court costs and lawsuit settlement costs.

Hence the need for records management software that aid in the record repository management activities of many organizations. These products help users:

• manage retention schedules,
• store records in their appropriate classifications along with the prescribed metadata,
• search for records when required,
• destroy records according to prescribed schedules,
• put holds on records so they don’t get destroyed while the company goes through an audit or investigation, and
• track the access of the record over its active and in-active life cycle.

In many cases these systems track not only electronic documents but also other record objects such as paper, boxes and tapes...

Amid all the focus on key records management features such as record declaration and standards certification, one key factor sometimes gets lost in the shuffle. Records management is a core activity within many different business processes within the organization itself. It is in and of itself not meant to be the core application. Just like filing is an adjunct activity to one's work, records management must fit into the core business process in order to be truly effective.

Therefore, technological elegance shouldn't be the focus -- integration with core business processes is more important. Ability to support and integrate with key business applications and be imbedded as an activity within a workflow should become more important evaluation criteria in the long run...

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About the Author

Priscilla Emery is President and founder of e-Nterprise Advisors and has provided market research and analysis services to Fortune 1000 and high technology companies. With more than 30 years of technology experience, her areas of expertise include imaging, document, records and e-mail management, and other technologies in the enterprise content management (ECM) landscape.

 

 

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