1. May 24, 2012
Information Governance for Smarter Government
Strategy and Solutions
Information Agenda
Information Management
© 2011 IBM Corporation

2. Information Management
Why is Governance Important?
Questions from Legislature
 How many children under 15 also have children utilizing our services?
 How many people over 100 years of age receive benefits?
 How many indigenous people receive income support payments?
Data Profiling by Business Intelligence department
 Several one-year old children also had children
 Number of people over 100 years of age exceeded the number of people from the
national census
 The percentage of indigenous people receiving income support payments was
significantly lower than the average population
Outcomes
 Focus on Date of Birth and Race as critical data elements
 People creating the mess (front office) were not the people consuming the mess
(Business Intelligence)
© 2011 IBM Corporation 2

3. Information Management
The Information Challenge Is Only Making It Harder…
An Explosion In Volume, Variety & Velocity
Lack of Insight Inability to Predict
1 in 3 managers frequently make 3 in 4 leaders say more predictive
decisions without information they need information would drive better decisions
Volume of Digital Data Inefficient Access
1 in 2 don’t have access to the information across their
organization needed to do their jobs
“…40 exabytes of data created in 2008…
more than created in the previous 5,000 years combined…”
Variety of Information •Scope & Size of Data Sets
• Complexity, Connectedness and Growth Rates
• Context & Importance Of Integration
Velocity of Decision Making
© 2011 IBM Corporation Source: IBM Institute for Business Value 3 3

4. Information Management
Objectives of an Information Governance Program
Information Governance is the exercise of decision rights to
optimize, secure and leverage data as an enterprise asset.
INFORMATION GOVERNANCE
People Process Technology
Proactively leveraging information to unlock value and manage risk
 Guide decision-making
 Ensure information is consistently defined and understood
 Increase the use and trust of data as an enterprise resource
 Protect data and comply with regulatory requirements
© 2011 IBM Corporation 4

5. Information Management
Success requires governance across the “Information Supply Chain”
Transactional &
Collaborative Analyze Business Analytics
Applications Applications
Content
Integrate Analytics
Big Data
Master
Data
Manage Cubes
Streams
Data
Data
Content Warehouses
External
Information Information
Sources Streaming
Information
Governance
Govern
Quality Lifecycle Security & Standards
Privacy
……a holistic approach
© 2011 IBM Corporation 5

6. Information Management
IBM’s thought leadership history in Information Governance
The IBM leading practice Information Governance Framework is composed of eleven disciplines of
governance across 4 distinct focus layers.
Category Description
The process by which data assets are qualified and
1 Value Creation quantified to enable the business to maximize value
created by data assets.
Requires 2 Data Risk Management
The methodology by which risks are identified, qualified,
quantified, avoided, accepted, mitigated, or transferred
out.
Methods to measure, improve, and certify that quality and
3 Data Quality
integrity of production, test, and archival data.
Manage a systemic policy-based approach to information
4 Information Life Cycle
collection, use, retention, and deletion.
Security / Privacy / Describe the policies, practices, and controls used by an
5
Compliance organization to mitigate risk and protect data assets.
6 Policy
Policy is the written articulation of desired organizational Enhances
behaviour.
Describes the level of mutual responsibility between
business and IT, and recognition of the fiduciary
7 Organization
responsibility to govern data at different levels of
management.
Stewardship is a quality control discipline designed to
8 Stewardship ensure custodial care of data for asset enhancement, risk
mitigation, and organizational control.
The architecture design of structured and unstructured
9 Data Architecture data systems and applications that enable data availability
and distribution to appropriate users.
Supports The methods and tools used to create common semantic
Data Classification / definitions for business and IT terms, data models, types,
10
Metadata and repositories. Metadata that bridge human and
computer understanding.
The organization processes for monitoring and measuring
11 Audit and Reporting
the data value, risks, and efficacy of governance.
© 2011 IBM Corporation 6

7. Information Management
Good governance requires process and accountability
IBM Information Governance Unified Process
Define Obtain Conduct
Build
Business Executive Maturity
Roadmap
Problem Sponsorship Assessment
Establish Build Create
Understand Define
Organization Business Metadata
Data Metrics
Blueprint Glossary Repository
Govern Govern Govern
Govern Data Govern
Master Data Security & Lifecycle
Quality Analytics
Management Privacy Management
Measure
Results
= Enable through Process
= Enable through Process & Technology
© 2011 IBM Corporation 7

8. Information Management
Where do we get started?
Define Obtain Conduct
Build
Business Executive Maturity
Roadmap
Problem Sponsorship Assessment
Establish
Define
Organization
Metrics
Blueprint
Measure
Results
= Enable through Process
= Enable through Process & Technology
© 2011 IBM Corporation 8

9. Information Management
Obtain executive sponsorship
 Information Governance will only succeed if the
process engages the right stakeholders from IT
and the business
 Identify an owner of the Information Governance program
– Processes will generally fail if it isn’t an owned responsibility
 Identify additional stakeholders
– As a general rule, it is any function that relies on
information for effective performance
 Establish the business case
 Focus on “quick hits”, measure outcomes and
show success
– Improve data quality to support better customer activities
– Manage data lifecycle to reduce costs of storage
– Monitor database activity to protect data and
enhance compliance
© 2011 IBM Corporation 9

10. Information Management
Case Study: Information Governance over date of death and mailing
address at a social services agency
A social services agency found that:
A number of individuals continued to receive payments, and did not inform the agency
when a family member passed away.
Because 20 different parts of the organization needed to be notified when a person died,
it was always possible that a death would be “lost in the mix.”
In addition, the agency knew that the quality of its customer mailing addresses was
poor.
As a result:
The agency was paying extra fees to the postal service for returned mail.
Because the location of an individual was a critical factor in the formula for income
support payments, the agency was potentially over-paying persons who had moved but
did not update their mailing address.
Finally, the agency had to deal with privacy issues if letters were sent to the wrong
address.
© 2011 IBM Corporation 10

11. Information Management
Case Study: Information Governance over date of death and mailing
address at a social services agency
The agency established an information governance program to:
Improve the quality of data for just two attributes: date of death and mailing address.
It created a special team that pored over newspaper records to identify deaths that had
not been recorded in its systems.
The team also used data quality tools to standardize mailing addresses. Finally, the
team began to validate mailing addresses with a standardized list from the postal service.
Because of these activities, the social services agency was able to reduce fraud and the
costs of serving its constituents by a significant percentage.
© 2011 IBM Corporation 11

12. Information Management
Establish Organizational Blueprint
 Define the Information Governance charter
 Define the organization structure for information
governance
 Establish the Information Governance council
 Establish the Information Governance working group
 Identify data stewards
 Conduct regular meetings
– Information Governance council
– Information Governance working group
“
Remember that when Information Governance roles are created, they should be explicitly
made part of the job, and the individuals assigned to them must be accountable for their
performance in those roles. It's not good enough to say ‘we know you have a day job,
but we'd like you to be responsible for this information as well’.
Gartner Research, Q&A: Information Governance, Anne Lapkin, Debra Logan, Jan 19, 2011
© 2011 IBM Corporation 12

13. Information Management
Ownership of Information Governance Programs in Government
• Social services agency – The data quality team, within the business integrity branch,
had ownership for information governance. The data quality team developed a close
working relationship with the information technology branch that acted as the data
custodian.
• Local child welfare services agency – The information technology team assumed
ownership for the information governance program that had an intense focus on
improving the privacy of sensitive data regarding child services. The objective was to
hand over ownership of the program to the office of privacy once there was widespread
organizational buy-in to the severity of the problem.
• Provincial health system – The director of client registry was a newly created position
with responsibility to establish a common patient master record across the province. The
director was also accountable for the quality of data within the patient registry.
• Veterans agency – The information committee was chaired by the deputy commissioner
with representatives across the business. The data integrity sub-committee was
responsible for data quality issues.
© 2011 IBM Corporation 13

14. Information Management
2. Define your KPI’s and critical
data element measurements
Definefor metrics within
1. Plan Metrics 3. Discover location of
your governance initiative critical data elements
Data Governance Metrics Goal Oct Sept Aug July June May 2011
2011 2011 2011 2011 2011 (Baseline)
Percent of customer duplicates in Unica 5% 9% 10% 11% 12% 13% 14%
Percent of customer duplicates in Oracle 3% 4% 5% 7% 7% 8% 14%
Percent of public domain email addresses Unica 13% 11% 13% 15% 18% 21% 23%
Percent of non-validated email addresses in Unica 8% 10% 10% 11% 11% 12% 15%
Percent of null bill-to email addresses in Oracle 2% 6% 8% 12% 15% 18% 22%
4. Develop rules for 6. Report periodic progress to the Data
measuring data elements Governance Council.
5. Establish the acceptable
threshold or goal with the Data
Governance Council
© 2011 IBM Corporation 14

15. Information Management
Product Mapping – Unified Governance Process Support
Define Obtain Conduct InfoSphere
Build
Blueprint
Business Executive Maturity
Roadmap
Director
Problem Sponsorship Assessment
Establish Build InfoSphere Create
InfoSphere Understand InfoSphere Define
Organization Business Information Metadata
Data IBM Cognos
Metrics
Blueprint Glossary Analyzer / Repository
Workbench
Discovery
InfoSphere InfoSphere
Govern InfoSphere
Govern Govern
Govern Data InfoSphere IBM
Govern
Information MDM Server /
Master Data Security/&
Optim Lifecycle
Quality Optim Cognos
Analytics
Server Management
Initiate Guardium
Privacy Management
Measure
Results
= Enable through Process
= Enable through Process & Technology
© 2011 IBM Corporation 15

16. Information Management
Using the right tools – and using the tools right!
© 2011 IBM Corporation 16

17. Information Management
Understanding data quality
You can’t manage what you don’t understand
?  Understand the structure and
? ?
? content of heterogeneous data
?
? ? ? ?  Apply business rules to test and
? ?
? verify data quality
? ? ?
?
? ?  Understand complex, poorly
?
? documented data relationships
? ?
?
? ? ?  Develop a shared
understanding of the data you
? ? ? have
?
Distributed Data Landscape
 Discover the location and extent
of sensitive data
© 2011 IBM Corporation 17

18. Information Management
Governments must tame the chaos of their data
It’s essential to cleanse your data then continually manage it to retain high quality
 What’s the Problem?
– There’s too much information, and you can’t tell what’s important or reliable
– Multiple versions of the truth lead to problems with regulatory compliance and
problems managing customer, product and partner interactions
– Lack of business agility to identify and take advantage of opportunities
 The Data Quality Challenge and Desired Outcome
• Redundancies Complete &
• Lack of standards accurate view
• Unlinked records of information
• Incorrect data
© 2011 IBM Corporation 18

19. Information Management
Case Study Security and Privacy at Child Welfare Agency
 The department received a complaint from a relative who cared for a family member’s
child.
 On numerous occasions she requested that her home address, telephone number and
other details about the child remain private. The complainant was concerned about the
child’s parents’ criminal history, violence and drug use.
 The complainant’s address details were included in documentation and sent to the
child’s parents by the department. As a result, the complainant moved house because
of safety concerns. She complained to the department which provided her with some
financial assistance as a result of the move.
 The complainant requested that her new address be recorded as ‘withheld’ by the
department. However, the department failed to comply with this request.
 The department subsequently sent documentation to the child’s parents which included
the complainant’s new address details as well details concerning the child. The
complainant requested compensation to cover the cost of insurance and security
measures for her home, as well as increased rental costs.
 The complainant’s payout was then reassessed and she was provided with a higher
level of compensation.
© 2011 IBM Corporation 19

20. Information Management
Establish Metadata Repository to demonstrate the lineage of data
© 2011 IBM Corporation 20

21. Information Management
Metadata
 Every government entity struggles with the inconsistency of data definitions
 For example, a government health department had different hospitals in the same area
using different testing codes for the same procedure
 In many cases, the proliferation of definitions is compounded by the fact that different
pieces of legislation define the same term differently to achieve a multitude of social and
economic goals (see case study)
Case Study: Multiple definitions for “child” at a social services department
A social services department had 14 different definitions for the term “child.” In some
instances, the legislation would define a child as being under 16 years of age. In other
instances, the legislation would define a child as being under 18 years of age to
determine their eligibility for homeless benefits.
The business glossary at the social services agency included all the 14 definitions of child
along with a reference to the specific page in the legislation that defined the term.
© 2011 IBM Corporation 21

22. Information Management
Metadata Benefits
A. Number of new applications per year 100
B. Number of hours by business analysts per application per year 200
C. Number of hours by data modelers per application per year 200
D. Average hourly cost of a business analyst $40
E. Average hourly cost of a data modeler $25
F. Total application development cost for analysts and data modelers
$1,300,000
{(AxBxD)+(AxCxE)}
G. Number of developer hours spent on data discovery per application 100
H. Average hourly cost of a developer $30
I. Total annual cost of data discovery (AxGxH) $300,000
J. Conservative savings from efficiency improvements based on a metadata
25%
platform
© 2011 IBM Corporation 22

23. Information Management
Metadata Benefits (Cont’d.)
K. IT savings from a metadata platform in year 1 (F+I)xH $400,000
L. Number of users of business reports 5,000
M. Total number of working hours per year 2,000
N. Percentage of time spent on reviewing reports 5%
O. Percentage of report-viewing time that can be saved based on access to common 3%
data definitions and data lineage
P. Cost per hour of business users $50
Q. Business savings from a metadata platform in year 1 (LxMxNxOxP) $750,000
R. Total financial benefits to IT and the business from a metadata platform in year 1 $1,150,000
(K+Q)
© 2011 IBM Corporation 23

24. Information Management
Designate Enterprise Master Data
What is “Master Data Management”?
 Disciplines, Technologies, Processes …
… that accommodate, control and manage master data, across the organization
SOURCE SYSTEMS MASTER DATA ENTERPRISE
MANAGEMENT APPLICATIONS
CRM
Name: B. Jones INFORMATION
Address: 35 West 15th Street Sales
Address: Toledo, OH 12345 First: Bill
Last: Jones
ERP
Name: William Jones Address: 35 West 15th Street
Address: 35 West 15th St. Customer
City: Toledo
Address: Toledo, OH 12345 Support
State/Zip: OH / 12345
Legacy
Gender: M
Name: Billie Jones
Address: 36 West 15th St. Age: 50 Claims
Address: Toledo, OH 12345
DOB: 1/1/65
Master Data Management – Foundational to Information Governance
© 2011 IBM Corporation 24

25. Information Management
Improve the quality of data to support citizen-centric initiatives
 Several state and local governments are implementing different flavors of “single view”
initiatives. For example, some social services agencies provide a single view of all their
services to the citizen. The objective is to allow caseworkers to view a person’s family
history, financial information, employment background, and eligibility for programs such
as food stamps and public healthcare.
 In another scenario, a single view of the client might be shared across divisions in a
human services department so that services can be offered based on a “client-journey.”
As a result, a single view of a homeless person might be tracked across employment
services, housing services, complex needs, and disability. In yet another scenario, child
services needs to ensure that children are paired with the appropriate caregivers and not
exposed to individuals that might do them harm.
 These projects are typically quite challenging because most health and human services
organizations need to collect data about their clients from service providers, other
agencies, and non-governmental organizations. This data is often in different formats and
requires information governance policies to link client data across silos.
© 2011 IBM Corporation 25

26. Information Management
Data Volume and Storage Growth Are Cost Crisis and Risk Driver
Volume and run rate costs are While information governance capabilities haven’t
probably doubling every 3 years improved – resulting in a vicious cycle
Run Rate May Be Growing Faster than Budget
Without capability to align how information is
Storage OpEx stored with its value, you over spend and over
2008: 2014F ($ M)
store
Processes have not matured to reflect volume, including
how we:
 Define and execute legal holds and data collection
 Communicate and execute retention schedules for
electronic information
 Ensure transparency and associate information
duties and business value with information assets
 Provision, decommission and dispose of data
High Risks & Mitigation Burden
Unable to defensibly dispose of unnecessary
data which just increases your costs and risks in
a vicious escalation.
© 2011 IBM Corporation 26

27. Information Management
Very Simple Savings Proposition: Dispose of Unnecessary Data
Hold & Collect Evidence Cost Reduction
and
Archive for Value & Dispose Risk Reduction
The value of
Retain Records & Dispose Defensible
Disposal
Dispose of Data Debris
Change Your Data & Value Curve:
A new definition of Archiving:
Archiving is an intelligent process for effectively
managing inactive, infrequently accessed, or currently
unmanaged data, both structured and unstructured,
while providing the ability to discover, search, and
retrieve it during a specified retention period while it
has value to the organization as a whole  and
ideally, to defensibly dispose of it when it does not.
27
© 2011 IBM Corporation 27

28. Information Management
State and Local Government – Information Governance around Application
Retirement
A. Number of applications to be retired 10
B. Number of technical staff assigned to maintaining each application
5
including developers, DBAs, and managers
C. Annual cost per employee $60,000
D. Total employee cost for applications to be retired (AxBxC) $3,000,000
E. Annual cost of hardware and storage per application $50,000
F. Total hardware and storage costs for applications to be retired (AxE) $500,000
G. Total annual cost savings from application retirement (D+F) $3,500,000
© 2011 IBM Corporation 28

29. Information Management
Protecting data is both an external and internal issue
 Prevent “power users” from abusing their access
to sensitive data (separation of duties)
 Prevent authorized users from misusing
sensitive data
 Prevent intrusion and theft of data
 Prevent “power users” from abusing their access
to sensitive data (separation of duties)
 Prevent authorized users from misusing
sensitive data
 Prevent intrusion and theft of data
Security makes it possible for us to take risk, and innovate confidently.
© 2011 IBM Corporation 29

30. Information Management
Business Benefits from Security and Privacy at a Government Agency
Top-level business benefits
 Reduce the risk of data breaches for structured data stored in various databases
 Improve regulatory compliance by implementing real-time database monitoring controls
to identify policy violations and suspicious activity
 The agency identified two categories of quantifiable business benefits associated with the
reduction of risk and operational costs.
Quantifiable business benefits
1. Five-year business case for risk reduction
– Reduction of risk reduction of $10 million per year, or $51 million over five years
– Return on investment was 1,195 percent
– Payback in four months
2. Five-year operational cost benefits
– Reduction of total operational cost by $13 million
– Return on investment was 230 percent
– Payback in 10 months
© 2011 IBM Corporation 30

31. Information Management
Next Steps in Information Governance
 IBM Information Governance Council
– Established Information Governance
Council over five years ago
– Developed Maturity Model for
Information Governance leveraged by
over 250 customers
– Community now exceeds 1500 members
– Join the community
www.infogovcommunity.com
– Self assessment
 Free workshops and assessments
 For more information
www.ibm.com/informationgovernance
© 2011 IBM Corporation 31

32. Information Management
Resources: IBM Information Governance Workshop
Focus is on four key disciplines
1. Data Quality
2. Information Lifecycle Management
3. Data Security & Privacy
4. Standards
Workshop Components
 Understand Business Objectives &
Related Technical Challenges
 Conduct an Information Governance
Maturity Assessment
 Create an Information Governance Roadmap
 Quantify Cost Savings with a Business
Value Assessment (BVA)
© 2011 IBM Corporation 32

33. Information Management
© 2011 IBM Corporation 33