Professional Documents
Culture Documents
April 2008
April 2008
Table of Contents
AUTHORS AND SPONSORS ..............................................................................................................................3
AUTHORS..............................................................................................................................................................3
ABOUT IAIDQ......................................................................................................................................................3
ABOUT THE INFORMATION QUALITY PROGRAM AT UALR ..................................................................................3
ACKNOWLEDGEMENTS .........................................................................................................................................4
KEY FINDINGS ....................................................................................................................................................5
TRENDS IN INFORMATION / DATA GOVERNANCE..................................................................................................5
FOCUS OF INFORMATION / DATA GOVERNANCE EFFORTS ....................................................................................5
ORGANIZATIONAL STRUCTURES FOR INFORMATION / DATA GOVERNANCE .........................................................6
MATURITY OF INFORMATION / DATA GOVERNANCE EFFORTS .............................................................................6
INTRODUCTION .................................................................................................................................................7
OVERVIEW AND OBJECTIVES ................................................................................................................................7
DEFINITIONS .........................................................................................................................................................7
SURVEY METHODOLOGY ......................................................................................................................................8
SURVEY DEMOGRAPHICS ..............................................................................................................................9
TRENDS IN INFORMATION / DATA GOVERNANCE ...............................................................................11
AN ENDEAVOR WITH MANY NAMES ..................................................................................................................11
INFORMATION AS A STRATEGIC ASSET ...............................................................................................................12
PERCEIVED EFFECTIVENESS OF CURRENT INFORMATION / DATA GOVERNANCE EFFORTS .................................13
CURRENT STATUS...............................................................................................................................................15
THE DIRECTION AHEAD......................................................................................................................................16
FOCUS OF INFORMATION / DATA GOVERNANCE EFFORTS .............................................................17
THE DATA BEING GOVERNED ............................................................................................................................17
INFORMATION / DATA GOVERNANCE OBJECTIVES .............................................................................................18
PRIMARY INFORMATION / DATA GOVERNANCE ACTIVITIES ...............................................................................19
INFORMATION / DATA GOVERNANCE DRIVERS AND MOTIVATIONS ...................................................................21
TOOLS AND THEIR PERCEIVED IMPORTANCE ......................................................................................................22
ORGANIZATIONAL STRUCTURES FOR INFORMATION / DATA GOVERNANCE ..........................24
DATA GOVERNANCE LEADERS REPORTING RELATIONSHIPS ..............................................................................24
SENIORITY OF DATA GOVERNANCE LEADER ......................................................................................................25
MEMBERSHIP OF SENIOR INFORMATION / DATA GOVERNANCE BODY WITHIN AN ORGANIZATION ....................26
GOVERNING BODY MEETING FREQUENCY .........................................................................................................27
LINKAGES BETWEEN INFORMATION / DATA GOVERNANCE AND DATA QUALITY ...............................................28
INFORMATION QUALITY TRENDS........................................................................................................................29
MATURITY OF INFORMATION / DATA GOVERNANCE EFFORTS.....................................................30
CLOSING REMARKS........................................................................................................................................35
APPENDIX. DEMOGRAPHICS AND ORGANIZATION GOALS CHARTS ...........................................36
Wendell Scott Dismute works as a Systems Analyst Programmer II for Arkansas Blue Cross and
Blue Shield. In addition to several years of professional experience in the Information Technology field,
he holds a BS degree in Information Science from the University of Arkansas at Little Rock. He is
currently completing his Master of Science degree in Information Quality from the University of
Arkansas at Little Rock.
C. Lwanga Yonke is a seasoned information quality and information management expert and leader.
He has successfully designed and implemented projects in multiple areas including information quality,
data governance, business intelligence, data warehousing and data architecture. His initial experience
is in petroleum engineering and operations. An ASQ Certified Quality Engineer, he holds an MBA from
California State University and a BS degree in petroleum engineering from the University of California
at Berkeley. Lwanga Yonke is a founding member of the International Association for Information and
Data Quality (IAIDQ) and currently serves as an Advisor to the IAIDQ Board. He can be reached at
Lwanga.yonke@iaidq.org
About IAIDQ
Chartered in January 2004, IAIDQ is a not-for profit, vendor-neutral professional society of people
passionate about improving information and data quality. IAIDQ is advancing the quality of information
and data around the world by building a community that supports learning and sharing knowledge for
the benefit of all information consumers. IAIDQ offers a wide range of products and services, including
the annual Information and Data Quality Conference (www.idq-conference.com). To learn more about
IAIDQ, please visit the website: http://www.iaidq.org.
designed in collaboration with the MIT Information Quality program directed by Dr. Richard Wang, and
a significant portion of the start-up costs were underwritten by Acxiom Corporation under CEO Charles
Morgan. The Information Quality Program at UALR (UALR-IQ) is housed in the Department of
Information Science in the Donaghey College of Engineering and Information Technology led by Dr.
Mary L. Good, Founding Dean of the College and former Undersecretary for Technology in the U.S.
Department of Commerce. The purpose of the UALR-IQ Program is to meet the growing demands
from academia, industry, and government for qualified professionals with graduate-level degrees that
encompass the theory, principles, and practices essential to advancing the discipline of Information
Quality and closely-related areas such as entity and identity resolution, identity management,
information integration, governance, risk, and compliance (GRC), and enterprise architecture. To learn
more about the IQ Program at UALR, including its two newest graduate degrees: the Graduate
Certificate in Information Quality and the Information Quality emphasis in the Applied Sciences PhD
Program, please check out the website: http://technologize.ualr.edu/msiq.
Acknowledgements
The authors and the research sponsors would like to thank the many people who contributed to this
report. We appreciate the many individuals who completed our survey. We also specifically express
our gratitude to the following people who have provided valuable advice during the survey design and
report writing phases of this project: Marie Davis, Huguette Mbella, Danette McGilvray, Tomeka
Powell, Gwen Thomas, Larry English, Arnt-Erik Hansen, Grant Robinson, and John Talburt.
Key Findings
The findings in this report are based on a survey jointly conducted in late 2007 by the International
Association for Information and Data Quality (IAIDQ) and the Information Quality Program at the
University of Arkansas at Little Rock (UALR-IQ). Over 200 participants completed the survey which
was designed to gain insight into how their organizations are governing their data and information
assets. (Note: Consultants were asked to fill out the survey with a recent client in mind.) The majority
of respondents (57%) based their answers on their entire organization while 43% based their answers
on a subset of their organization. As a result throughout this report, the term “organization” may refer
to an entire enterprise, or it may refer to a portion of an enterprise.
• The three most common drivers and motivations for data governance are: a general desire to
improve the quality of data (66%), data warehousing and business intelligence activities
(58%), and addressing compliance or risk issues (47%).
• Of the many categories of data tools, respondents most often cited data quality analysis,
assessment, and profiling tools (66%) and data integration tools (57%) such as extract-
transform-load (ETL) as the ones most used by their organizations and important to their
information governance efforts.
Introduction
Overview and Objectives
This report discusses the findings of a survey designed to gain insight into how today’s organizations
are governing their data and information assets. The survey was jointly conducted in late 2007 by the
International Association for Information and Data Quality (IAIDQ) and the Information Quality
Program at the University of Arkansas at Little Rock (UALR-IQ). The goals of the study are to help
professionals from all disciplines to:
• discern the major trends in information / data governance
• identify the structure and focus of existing information / data governance efforts
• assess perceptions regarding the effectiveness and maturity of these efforts
The intent of this report is to describe the objectives and activities that many enterprises are pursuing
as part of their information / data governance efforts. By investigating how organizations across the
world are defining and implementing information / data governance processes, we hope to provide a
map of the existing landscape that others can draw upon as a guide as well as establishing a baseline
for future comparisons. The report is deliberately more descriptive than prescriptive. In other words, its
main focus is to present and describe the survey findings. For the most part, the report avoids
prescriptions about what data governance leaders should do. We hope the report stimulates a
vigorous conversation about implications and prescriptions for data governance.
Definitions
“One definition fits all” clearly does not apply to the governance of information assets, as information /
data governance models, mechanisms, and objectives vary greatly among organizations reflecting
their differing business needs, priorities and perspectives. Consequently, this report loosely defines
information / data governance as the collective set of decision-making processes for the use and
value-maximization of an organization’s data assets. This collective set of decision-making processes
can range from an ad-hoc, informal and undocumented approach to a highly formal, structured, and
rigorously defined, prescribed, and documented form.
This report uses the following pairs of terms interchangeably: data and information; as well as data
governance and information governance. In addition, the label “business” is used as a synonym for
“non-IT/IS”.
Survey Methodology
Between October 11 and November 27, 2007, IAIDQ sent several invitations via e-mail to its members
and others on its mailing list, asking them to complete the web-based survey. Invitations were also
distributed at several conferences including the International Conference on Information Quality (Nov.
9-11, 2007 in Cambridge, MA (USA)) and the Data Management and Information Quality Conference
(Oct. 30 – Nov. 2, 2007 in London, UK). Invitations to complete the survey were also posted on
several information management and information quality web sites, and distributed through several
industry mailing lists.
After the survey collection period ended, the raw survey data were checked to eliminate any duplicates
or null survey responses. In the end, a total of 224 responses remained to form the basis for this
report. Due to branching in the survey, some questions were limited to a specific subset of
respondents. As a consequence, while most participants completed the common portions of the
survey, approximately a quarter of participants completed the special branched section reserved for
those individuals whose organizations had implemented information governance programs within the
last several years.
Because not every participant answered every question, the number of respondents who answered a
question is given by “n” in each table and figure presented in this report. In addition for some
questions multiple responses by each participant were allowed. This is also noted where applicable on
the tables and figures. As a rule, tables and figures are listed in the same section as the text that
refers to them. The one exception is the Survey Demographics section. Due to the large number of
demographic figures, only three are included in the Survey Demographics section; the rest can be
found in the Appendix of this report.
Finally readers will note that many of the figures and tables in this report include an “Other” category.
The presence of an “Other” category indicates a survey question where survey participants could add
their own responses in addition to selecting answer(s) from a pre-determined set. Whenever possible,
this report lists additional answers suggested by respondents when discussing the results for these
open-ended questions.
Survey Demographics
Participant Profile. Almost half of our respondents hold a supervisor, managerial or executive
position (49%), followed by those holding staff positions (35%), and by those holding other business,
technical, or academic related positions (17%). They represent a variety of functional areas including
IT (43%), business (32%), consulting (12%) and other areas such as software vendor or academia
(14% combined). Sixty-four percent (64%) of respondents work for organizations in North America
(Canada, US, and Mexico) with the remainder representing Europe (18%), Australia (12%), Asia,
Africa, or Central and South America (6% combined). The majority of respondents (57%) based their
answers on their entire organization while 43% based their answers on a subset of their organization.
(Note: Consultants were asked to fill out the survey with a recent client in mind.) As a result throughout
this report, the term “organization” may refer to an entire enterprise, or it may refer to a portion of an
enterprise.
Organization Profile. Most respondents work for large organizations both in terms of employee size
and annual revenues. Many respondents (43%) work for organizations with 10,000 employees or more
while nearly 25% of respondents work for organizations with 2,500 to 9,999 employees. About 32% of
respondents work for smaller organizations (less than 2,500 employees). Twenty-two percent (22%) of
respondents are employed by enterprises with annual revenues of $10 billion or more, 22% are
employed by enterprises with annual revenues of $1 billion to $10 billion, 21% for enterprises with
annual revenues of $100 million to $1 billion, 9% for enterprises with annual revenues of $10 million to
$100 million, 11% for enterprises with annual revenues less than $100 million and the remainder
unsure. The organizations represent a wide array of industries with the most dominant being financial
services and insurance (24% combined).
Customer Base Profile. Forty three percent (43%) of respondents represent enterprises serving an
international market , followed by those serving a national market (39%), with the remainder serving
either a regional (13%) or local (5%) market. The strategic direction for respondents’ organizations is
fairly evenly split between customer intimacy (33%), operational excellence (31%), and product or
service leadership (26%).
Synergy Goals and Achievement. Roughly three-quarters of all respondents reported that their
organizations seek to promote synergies between business units, divisions, or departments such as
shared technology and infrastructure (71%), standardized processes (76%), and shared data (74%).
The majority of respondents believed that their organizations have been either very successful (6%) or
relatively successful (41%) in achieving their synergy goals. However, 27% were neutral on this
question and a significant proportion felt their organizations had been either relatively unsuccessful
(19%) or very unsuccessful (3%) in achieving their synergy goals with the remainder unsure.
Other, 10.8%
Professor,
0.5%
Supervisor /
Owner, 5.4%
Manager /
Executive,
48.6%
Staff, 34.7%
Academia, Information
2.7% Technology /
Information
Consultant, Systems,
11.7% 42.8%
Business, Line
or Other non-IT
Function,
31.5%
Geography (n=221)
Africa, 0.5%
Central and
South America,
1.4% North America
(Canada, US,
Asia (includes Mexico), 64.3%
Middle East),
4.1%
Australia /
Oceania,
12.2%
Europe, 17.6%
Other 13.7%
Agree 39.5%
Neutral 17.1%
Disagree 21.5%
In terms of effectiveness, about 52% of respondents felt that at least some goals of their current data
governance processes are being met while nearly 24% of respondents were even more positive
indicating that most or all goals are being met. On the downside, 23% of respondents reported that
few or no data governance goals are being met.
Excellent
2.5%
(All Goals are Met)
Good
21.1%
(Most Goals are Met)
OK
51.5%
(Some Goals are Met)
Poor
19.1%
(Few Goals are Met)
Very Poor
3.9%
(No Goals are Met)
In addition, just over 52% of respondents think that the actual effectiveness of their organization’s data
governance efforts is either the same or better than what the organization perceives, while 36% of
respondents believe that the actual effectiveness is worse. The remaining 12% of respondents were
unsure.
Given the assessments of the performance of organization’s data governance processes to date, we
predict that the percentage of organizations treating information as a strategic asset will continue to
grow over time, along with a commitment to further improve the effectiveness of data governance
programs in order to yield better results.
Current Status
Formalizing information governance is a new experience for most organizations. Only 9% of
respondents said their organization had implemented an information governance initiative longer than
two years ago, followed by 19% whose organizations have implemented formal information
governance initiatives within the last two years. Another 13% reported that their organization have
selected an information governance framework and are now planning for its implementation. Other
respondents indicated that their organization is currently evaluating alternative information governance
frameworks and structures (23%) or still in the early exploration stages (20%). Of the remaining
respondents, 7% said their organization is keeping to the current status quo (i.e. no new initiatives
planned) while close to 2% said their organization had considered an information governance initiative
but had either decided to abandon or discontinue the effort.
Will Increase
46.6%
Significantly
Will Decrease
1.0%
Somewhat
Will Decrease
0.5%
Significantly
Customers 70.2%
Financials 57.6%
Services 41.9%
Sales 35.6%
Employees 31.4%
Maintenance 13.1%
Define and standardize common business rules across the organization 53.7%
Support the access and use of common corporate data through a focus
45.8%
on architecture and integration.
Other 5.9%
Metadata repository
38.0% 38.0% 18.2% 5.8% 3.08 121
Data matching and
reconciliation (data 34.6% 40.0% 18.5% 6.9% 3.02 130
de-duplication)
Data remediation /
28.8% 47.5% 18.6% 5.1% 3.00 118
cleansing tools
Data modeling
(computer-aided
30.1% 42.3% 20.3% 7.3% 2.95 123
software
engineering)
Data relationship
discovery and 27.9% 41.3% 19.2% 11.5% 2.86 104
mappings
Master Data
Management 27.6% 33.3% 29.9% 9.2% 2.79 87
(MDM) tools
Workflow tools
23.4% 39.4% 23.4% 13.8% 2.72 94
Business rules
22.0% 39.6% 19.8% 18.7% 2.65 91
engines
Customer data
integration (CDI) 22.2% 34.6% 22.2% 21.0% 2.58 81
tools
Other
28.6% 19.0% 14.3% 38.1% 2.38 21
Rules discovery
13.5% 33.8% 27.0% 25.7% 2.35 74
tools
Product Information
Management (PIM) 11.1% 26.4% 37.5% 25.0% 2.24 72
tools
Finance 17.2%
Marketing 5.2%
Purchasing 1.7%
Legal 1.7%
Other 8.6%
We believe that senior level executive participation in data governance activities will increase as these
executives recognize the strategic importance of information and its governance across the enterprise.
Consequently, we anticipate that the reporting level of the data governance leader along with their
roles and responsibilities within the organization will continue to evolve.
4 Levels 14.0%
3 Levels 26.3%
2 Levels 22.8%
1 Level 14.0%
Other 5.4%
For this survey question respondents were asked to consider just the most senior data governance
group in the organization. It is important to note that there may be other organizational bodies that
meet more frequently to discuss tactical or operational issues related to data governance. In addition
other factors such as the severity of information problems faced by the enterprise or the importance
attached to the strategic value of information by senior management may also play a role in the
frequency of meetings.
Annually 0.0%
Quarterly 23.2%
Monthly 30.4%
Weekly 7.1%
Other 17.9%
Other 8.8%
The maturity model used is a modification of the COBIT 4.1 Maturity Model 1. The COBIT model was
originally developed for IT governance. We selected three of the six attributes of the COBIT model that
we felt were especially relevant to information governance and modified the wording of the maturity
levels accordingly. These three attributes are: (1) employee responsibility and accountability for
information governance, (2) the status of goal setting and measurement for information governance
and (3) the status of processes and policies for information governance. The maturity levels reflect
how respondents view the state of these information governance attributes within their enterprise: 1 –
Ad-hoc, 2 – Repeatable, 3 – Defined, 4 – Managed, and 5 – Optimized.
The overwhelming majority of respondents describe their organization as being in the early phases of
maturity (1 – Ad-hoc, 2 – Repeatable, or 3 – Defined) for all three of these attributes. Most
respondents were roughly split among the three lowest levels of maturity for responsibility and
accountability for information governance efforts among personnel in their organization. For goal
setting and measurement of information governance activities within their organization, most
respondents were again evenly divided among the three lowest levels of maturity. However, in the
area of information governance processes and policies, almost half of the respondents (46%) reported
their organizations was at level 2 - Repeatable with the other half of respondents split fairly evenly on
either side of that level.
For the three information governance maturity attributes, only a small percentage of respondents rated
their organizations at the top two levels of maturity: 4 – Managed or 5 – Optimized. Just under 16% of
respondents indicated level 4 or 5 for Goal Setting and Measurement, 10% indicated level 4 or 5 for
Responsibility and Accountability, and 6% indicated level 4 or 5 for Processes and Policies.
1
To develop the information governance maturity questions, this section of the survey includes
content from COBIT 4.1, which is used by permission of the IT Governance Institute (ITGI). Copyright
1996-2007 IT Governance Institute. All rights reserved.
50%
Responsibility and
Accountability
Percentage of Resonses
40% (n=189)
Processes and
30% Policies (n=188)
0%
Ad-hoc Repeatable Defined Managed Optimized
Which of the following statements best describes the status of information / data governance goal
setting and measurement in your organization? (n=187)
Response Cumulative
Maturity Level Description
Percent Percent
Which of the following statements best describes the status of information / data governance processes
and policies in your organization? (n=188)
Response Cumulative
Maturity Level Description
Percent Percent
Which of the following statements best describes the responsibility and accountability for information /
data governance among employees in your organization? (n=189)
Note: Several models for information / data stewardship exist, ranging from appointing a few people as
stewards with a defined set of responsibilities to assigning everyone in the organization a stewardship
role. The stewardship model that respondents used when answering this question for their
organization is an area that warrants further examination.
Rewards come with growing maturity. Eighty-six percent (86%) of the survey respondents expect
their organization to increase their data governance efforts over the next two years. An analysis of
data governance maturity levels versus several data governance performance indicators demonstrates
that these efforts are worth it. Respondents who rated their organizations at the higher data
governance maturity levels also were more likely to report the following:
• Their organization is either very successful or relatively successful in achieving its synergy
goals among business units, divisions, or departments.
• Strongly agreed or agreed that their organization recognizes and values information as a
strategic asset and manages it accordingly.
• Results and effectiveness of their formal or informal data governance processes have
significantly improved or improved over the last two years.
• The effectiveness of their organization’s current data governance processes is either excellent
or good (i.e. all goals or most goals met).
• Their organization’s data quality levels have either significantly improved or improved over the
last two years.
Our comparative analysis indicates that significant gains in these areas come even when
organizations improve from the lowest to the next level of maturity for information governance
attributes (Ad-hoc and Repeatable respectively). Only for data governance effectiveness (ability to
meet governance goals) did it appear that an organization must reach the third level of data
governance maturity (Defined) before seeing significant improvement.
Closing Remarks
Over the last several years there has been a growing discussion in the IT and business press about
data stewardship, data management, and data governance. Much of this discussion is fueled by a
general sense of dissatisfaction within many organizations with the way that decisions are made
regarding their data assets and the lack of progress in fully maximizing this asset for organizational
benefit. The main challenge appears to come from the unique properties of data itself. No other type of
asset is so easy to collect and replicate while at the same time so difficult to evaluate either in terms of
its worth in delivering products and services or in terms of its risk exposure (e.g. security and privacy)
if misused or lost.
Several patterns have emerged from the survey responses. First, while many organizations do
recognize information as a strategic asset, there is not a clear consensus as to how best to structure
or even what to call the enterprise-wide decision-making processes and policies for managing data so
as to generate business value and to better enable organizations to accomplish their strategic goals.
Even within the same organization, multiple terms are used to refer to the activities associated with
governing information assets. In addition, data governance efforts are still in the early stages for most
organizations. Furthermore while results from current data governance initiatives are generally
positive, most respondents feel that more improvement is needed.
Second, developing efficient and effective data governance processes and policies is challenging
because of the complexities surrounding data and its usage. Data governance is complicated because
it must address multiple data subject areas, set multiple objectives for what should be achieved with
that data, execute multiple activities for how best to accomplish these objectives, and be influenced by
multiple motivating forces for why these efforts must be made. Those leading data governance efforts
must specifically define and state the goals their organization wishes to achieve through more effective
data governance, choose what subject areas to focus upon, and pursue specific data governance
activities that are consistent with these goals.
Third, concerning the maturity of data governance programs currently deployed in organizations, the
survey responses indicate that many enterprises are in the early phases of establishing employee
responsibility and accountability, setting up processes and policies, and implementing goal setting and
measurement for data governance. Nonetheless, survey results also demonstrate that as an
organization improves its maturity in these areas, significant gains in achieving synergy goals, treating
information as a strategic asset, and improving the results and effectiveness of data governance
efforts can be realized.
A Subset of
the Company
43.2%
The Entire
Company
56.8%
2,500 to 9,999
Employees, 10,000
24.5% Employees or
More, 43.2%
Fewer Than
2,500
Employees,
31.8%
$10 Million to
$100 Million
8.7%
More than $10
$100 Million
Billion
to $1 Billion
22.4%
20.5%
$1 Billion to
$10 Billion
22.4%
Local
Market Served (n=221)
(Metropolitan
Area or
Equivalent) Don’t Know
4.5% 0.5%
Regional
(State / International
Province) 43.4%
12.7%
National
(Country)
38.9%
Financial Services
13.1%
0ther
22.2%
Insurance
10.4%
Logistics /
Transportation
3.2% Consulting /
Professional Services
Manufacturing
6.8%
4.5%
Retail / Wholesale
Distribution Education
4.5% 6.8%
Note: Other (22.2%) includes: Aerospace (1.4%), Advertising/Marketing/Public Relations (0.9%), Bio-
technology (1.8%), Chemical (0.9%), Construction/Architecture/Engineering/ Real Estate (0.9%), Energy/Oil &
Gas (2.7%), Food/Beverage/Agriculture (0.9%), Hospitality/Travel (0.5%), Media/Entertainment/Publishing
(0.5%), Non-profit/Trade Association (1.8%), Pharmaceuticals (1.8%), Utilities (2.7%), Miscellaneous (5.4%).
Operational
Excellence
30.9%
Neutral 27.3%