Review of Data Management Maturity Models

Alan McSweeney

Objectives

Review existing data management maturity models to identify core set of characteristics of an effective data maturity model
DMBOK (Data Management Book of Knowledge) from DAMA (Data Management Association) http://www.dama.org/i4a/pages/index.cfm?pageid=3345 MIKE2.0 (Method for an Integrated Knowledge Environment) Information Maturity Model (IMM) http://mike2.openmethodology.org/wiki/Information_Maturity_QuickScan IBM Data Governance Council Maturity Model http://www.infogovcommunity.com/resources Enterprise Data Management Council Data Management Maturity Model http://edmcouncil.org/downloads/20130425.DMM.Detail.Model.xlsx

Not intended to be comprehensive

October 23, 2013

Maturity Models (Attempt To) Measure Maturity Of Processes And Their Implementation and Operation

Processes breathe life into the organisation Effective processes enable the organisation to operate efficiently Good processes enable efficiency and scalability Processes must be effectively and pervasively implemented Processes should be optimising, always seeking improvement where possible

October 23, 2013

Basis for Maturity Models

Greater process maturity should mean greater business benefit(s)

Reduced cost Greater efficiency Reduced risk

October 23, 2013

Proliferation of Maturity Models

Growth in informal and ad hoc maturity models Lack rigour and detail Lack detailed validation to justify their process structure Not evidence based Lack the detailed assessment structure to validate maturity levels Concept of a maturity model is becoming devalued through overuse and wanton borrowing of concepts from ISO/IEC 15504 without putting in the hard work

October 23, 2013

Issues With Maturity Models

How to know you are at a given level? How do you objectively quantify the maturity level scoring? What are the business benefits of achieving a given maturity level? What are the costs of achieving a given maturity level? What work is needed to increase maturity? Is the increment between maturity levels the same? What is the cost of operationalising processes? How do you measure process operation to ensure maturity is being maintained? Are the costs justified? What is the real value of process maturity?
October 23, 2013 6

ISO/IEC 15504 Original Maturity Model - Structure

Part 1
Concepts and Introductory Guide

Part 9
Vocabulary

Part 6
Guide to Qualification of Assessors

Part 7
Guide for Use in Process Improvement

Part 8
Guide for Determining Supplier Process Capacity

Part 3
Performing an Assessment

Part 4
Guide to Performing Assessments

Part 2
A Reference Model for Processes and Process Capability
October 23, 2013

Part 5
An Assessment Model and Indicator Guidance
7

ISO/IEC 15504 Original Maturity Model

Originally based on Software process Improvement and Capability Determination (SPICE) Detailed and rigorously defined framework for software process improvement Validated Defined and detailed assessment framework

October 23, 2013

ISO/IEC 15504 - Relationship Between Reference Model and Assessment Model

Process Dimension
Process Category Processes

Capability Dimension Reference Model Assessment Indicators

Capability Levels Process Attributes

Indicators of Process Performance Base Practices Work Practices and Characteristics

Indicators of Process Capability Management Practices

Indicators of Practice Performance

Attribute Indicators

October 23, 2013

ISO/IEC 15504 - Relationship Between Reference Model and Assessment Model

Parallel process reference model and assessment model Correspondence between reference model and assessment model for process categories, processes, process purposes, process capability levels and process attributes

October 23, 2013

10

ISO/IEC 15504 - Indicator and Process Attribute Relationships

Process Attribute Ratings
Based On

Evidence of Process Performance

Provided By

Evidence of Process Capability

Provided By

Indicators of Process Performance

Consist Of

Indicators of Process Capability

Consist Of

Best Practices
Assessed By

Management Practices
Assessed By

Work Product Characteristics

October 23, 2013

Practice Performance Characteristics

Resources and Infrastructure Characteristics

11

ISO/IEC 15504 - Indicator and Process Attribute Relationships

Two types of indicator

Indicators of process performance
Relate to base practices defined for the process dimension

Indicators of process capability

Relate to management practices defined for the capability dimension

Indicators are attributes whose existence that practices are being performed Collect evidence of indicators during assessments

October 23, 2013

12

Structure of Maturity Model

Maturity Model

Maturity Level 1

Maturity Level 2

Maturity Level N

Process Area 1

Process Area 2

Process Area N

Process 1

Process N

Process 1

Process N

Process N

Process N

Generic Goals

Specific Goals

Generic Practices

Specific Practices

Generic Practice 1

Generic Practice N

Specific Practice 1

Specific Practice N

Sub-Practice 1.1

Sub-Practice N.1

Sub-Practice 1.M
October 23, 2013

Sub-Practice N.M
13

Structure of Maturity Model

Set of maturity levels on an ascending scale

5 - Optimising process 4 - Predictable process 3 - Established process 2 - Managed process 1 - Initial process

Each maturity level has a number of process areas/categories/groupings

Maturity is about embedding processes within an organisation

Each process area has a number of processes Each process has generic and specific goals and practices
Specific goals describes the unique features that must be present to satisfy the process area Generic goals apply to multiple process areas Generic practices are applicable to multiple processes and represent the activities needed to manage a process and improve its capability to perform Specific practices are activities that are contribute to the achievement of the specific goals of a process area
October 23, 2013 14

Approach to Improving Maturity Using Maturity Models

Use sub-practices and practices to assess current state of key capabilities and identify gaps Allows effective decisions to be made on capabilities that need improvement
Implement Sub-Practices Sub-Practice(s) Assess Current Status and Assign Score

Implement Practices

Practice(s)

Assess Current Status and Assign Score

Implement Goals

Goal(s)

Assess Current Status and Assign Score

Achieve Process Competency

October 23, 2013

Processes

Assign Overall Capability Status Score

15

Hierarchy of Maturity Model Practices, Goals, Processes and Maturity Levels

Maturity Level Process Contributes To Achievement Of Maturity Level Evolution To Greater Maturity

Processes Defined Goals Must Be Achieved to Ensure Fulfilment of Process Goal(s)

Practices Contribute to the Achievement of Goals

Practice(s)

Implement Practices

Sub-Practice(s)
October 23, 2013

Implement Sub-Practices
16

Achieving a Maturity Level

Improvement
Maturity Level Maturity Level Maturity Level

Process

Process

Process

Goal

Goal

Goal

Practice

Practice

Practice

Sub-Practice
October 23, 2013

Sub-Practice

Sub-Practice
17

Maturity Levels

Maturity levels are intended to be a way of defining a means of evolving improvements in processes associated with what is being measured

October 23, 2013

18

Means of Improving and Measuring Improvements

Staged or continuous
Staged method uses the maturity levels of the overall model to characterise the state of an organisations processes
Spans multiple process areas Focuses on overall improvement Measured by maturity levels

Continuous method focuses on capability levels to characterise the state of an organisations processes for process areas
Looks at individual process areas Focuses on achieving specific capabilities Measured by capability levels

October 23, 2013

19

Staged and Continuous Improvements

Level Level 0 Level 1 Level 2 Level 3 Level 4 Level 5 Continuous Improvement Capability Levels Incomplete Performed Managed Defined Initial Managed Defined Quantitatively Managed Optimising Staged Improvement Maturity Levels

October 23, 2013

20

Continuous Improvement Capability Levels

Level Level 0 Capability Levels Incomplete Key Characteristics
Not performed or only partially performed Specific goals of the process area not being satisfied Process not embedded in the organisation Process achieves the required work Specific goals of the process area are satisfied Planned and implemented according to policy Operation is monitored, controlled and reviewed Evaluated for adherence to process documentation Those performing the process have required training, skills, resources and responsibilities to generate controlled deliverables Process consistency maintained through specific process descriptions and procedures being customised from set of common standard processes using customisation standards to suit given requirements Defined and documented in detail roles, responsibilities, measures, inputs, outputs, entry and exit criteria Implementation and operational feedback compiled in process repository Proactive process measurement and management Process interrelationships defined
21

Level 1 Level 2

Performed Managed

Level 3

Defined

October 23, 2013

Achieving Capability Levels For Process Areas

Policies Exist For Processes Process Are Planned And Monitored

Common Standards Exist That Are Customised Ensuring Consistency

Level 3 Level 2
Managed Defined

Processes Are Performed

Level 1
Performed

Level 0
Incomplete
October 23, 2013

22

Staged Improvement Maturity Levels

Level Maturity Levels Level 1 Initial Key Characteristics
Ad hoc, inconsistent, unstable, disorganised, not repeatable Any success achieved through individual effort Planned and managed Sufficient resources assigned, training provided, responsibilities allocated Limited performance evaluation and checking of adherence to standards Standardised set of process descriptions and procedures used for creating individual processes Defined and documented in detail roles, responsibilities, measures, inputs, outputs, entry and exit criteria Proactive process measurement and management Process interrelationships defined Quantitative objectives defined for quality and process performance Performance and quality defined and managed throughout the life of the process Process-specific measures defined Performance is controlled and predictable Emphasis on continual improvement based on understanding of organisation business objectives and performance needs Performance objectives are continually updated to reflect changing business objectives and organisational performance Focus on overall organisational performance and defined feedback loop between measurement and process change
23

Level 2 Managed Level 3 Defined

Level 4 Quantitatively Managed Level 5 Optimising

October 23, 2013

Achieving Maturity Levels

Process Link to Overall Organisation Objectives Processes Are Controlled and Predictable Continual SelfImprovement

Common Standards Exist That Are Customised Ensuring Consistency Standard Approach To Measurement Disciplined Approach To Processes

Level 5 Level 4 Level 3

Quantitatively Managed Optimising

Level 2
Managed

Defined

Level 1
Initial
October 23, 2013

24

Staged Improvement Measurement and Representation

Maturity Model

Seeks to Gauge Overall Organisation Maturity Across All Process Areas

Process Area 1

Maturity Level 1

Maturity Level 2

Maturity Level N

Process Area 2

Process Area N

Process 1

Process N

Process 1

Process N

Process N

Process N

Generic Goals

Specific Goals

Generic Practices

Specific Practices

Generic Practice 1

Generic Practice N

Specific Practice 1

Specific Practice N

Sub-Practice 1.1
October 23, 2013

Sub-Practice 1.M

Sub-Practice N.1

Sub-Practice N.M
25

Maturity Model
Maturity Model

Maturity Level 1

Maturity Level 2

Maturity Level 3

Maturity Level 4

Maturity Level 5

Process 2.1

Process 3.1

Process 4.1

Process 5.1

To be at Maturity Level N means that all processes in previous maturity levels have been implemented

Process 2.2

Process 3.2

Process 4.2

Process 5.2

Process 2.3

Process 3.3

Process 4.3

Process 2.4
October 23, 2013

Process 4.4
26

Achieving Maturity Levels

Level 5
Optimising

Level 4
Quantitatively Managed

Process Process Process Process

Level 3
Defined

Process Process Process

Level 2
Managed

Process Process

Level 1
Initial

Process Process

Process Process Process Process

Process Process Process Process Process

27

Process Process

October 23, 2013

Achieving Maturity Levels

What Are The Real Benefits of Achieving a Higher Maturity Level? What Is The Real Cost of Achieving a Higher Maturity Level? What Is The Real Cost of Maintaining The Higher Maturity Level?

Level 5
Optimising

Level 4
Quantitatively Managed

Process Process Process Process

Level 3
Defined

Process Process Process

Level 2
Managed

Process Process

Level 1
Initial

Process Process

Process Process Process Process

Process Process Process Process Process

28

Process Process

October 23, 2013

Continuous Improvement Measurement and Representation

Seeks to Gauge The Condition Of One Or More Individual Process Areas
Process Area 1 Maturity Model

Maturity Level 1

Maturity Level 2

Maturity Level N

Process Area 2

Process Area N

Process 1

Process N

Process 1

Process N

Process N

Process N

Generic Goals

Specific Goals

Generic Practices

Specific Practices

Generic Practice 1

Generic Practice N

Specific Practice 1

Specific Practice N

October 23, 2013

29

Generalised Information Management Lifecycle

Architect, Budget, Plan, Design and Specify Implement Underlying Technology

De fi

Get This Right and Your Information Management Maturity is High

ne ,D esi gn , Im

Enter, Create, Acquire, Derive, Update, Integrate, Capture

ple Secure, Store, Replicate Ad men and Distribute mi t, M nis e ter asu , S re, Present, Report, tan M Analyse, Model da an a rds ge ,G ,M ov on Preserve, Protect and ern it o Recover a n r, ce Co , F nt un rol d ,S Archive and Recall taf f, T rai na nd Delete/Remove
30

October 23, 2013

Generalised Information Management Lifecycle

General set of information-related skills required of the IT function to ensure effective information management and use Transcends specific technical and technology skills and trends

Technology change is a constant

Data management maturity is about having the overarching skills to handle change, perform research, adopt suitable and appropriate new technologies and deliver a service and value to the underlying business There is no point in talking about Big Data when your organisation is no good at managing little data

October 23, 2013 31

Generalised Information Management Lifecycle

Architect, Budget, Plan, Design and Specify Implement Underlying Technology

De fi

ne ,D esi gn , Im

Enter, Create, Acquire, Derive, Update, Integrate, Capture

What Processes Are Needed To Implement Effectively the Stages in the Information Lifecycle?

ple Secure, Store, Replicate Ad men and Distribute mi t, M nis e ter asu , S re, Present, Report, tan M Analyse, Model da an a rds ge ,G ,M ov on Preserve, Protect and ern it o Recover a n r, ce Co , F nt un rol d ,S Archive and Recall taf f, T rai na nd Delete/Remove
32

October 23, 2013

Dimensions of Information Management Lifecycle

Information Type Dimension
Operational Analytic Master and Data Data Reference Data
Architect, Budget, Plan, Design and Specify Implement Underlying Technology Enter, Create, Acquire, Derive, Update, Integrate, Capture Secure, Store, Replicate and Distribute Present, Report, Analyse, Model Preserve, Protect and Recover Archive and Recall Delete/Remove Define, Design, Implement, Measure, Manage, Monitor, Control, Staff, Train and Administer, Standards, Governance, Fund
October 23, 2013 33

Unstructured Data

Lifecycle Dimension

Dimensions of Information Management Lifecycle

Information lifecycle management needs to span different types of data that are used and managed differently and have different requirements
Operational Data associated with operational/real-time applications Master and Reference Data maintaining system of record or reference for enterprise master data used commonly across the organisation Analytic Data data warehouse/business intelligence/analysisoriented applications Unstructured Data documents and similar information

October 23, 2013

34

Linking Generalised Information Management Lifecycle to Assessment of Information Maturity

How well do you implement information management? Where are the gaps and weaknesses? Where do you need to improve? Where are your structures and policies sufficient for your needs?

October 23, 2013

35

Dimensions of Data Maturity Models

MIKE2.0 Information Maturity Model (IMM)
People/Organisation Policy Technology Compliance Measurement Process/Practice

IBM Data Governance Council Maturity Model

Organisational Structures & Awareness Stewardship Policy Value Creation Data Risk Management & Compliance Information Security & Privacy Data Architecture Data Quality Management Classification & Metadata Information Lifecycle Management Audit Information, Logging & Reporting

DAMA DMBOK

Enterprise Data Management Council Data Management Maturity Model

Data Management Goals Corporate Culture Governance Model Data Management Funding Data Requirements Lifecycle Standards and Procedures Data Sourcing Architectural Framework Platform and Integration Data Quality Framework Data Quality Assurance

Data Governance Data Architecture Management Data Development Data Operations Management Data Security Management Reference and Master Data Management Data Warehousing and Business Intelligence Management Document and Content Management Metadata Management Data Quality Management

October 23, 2013

36

Data Maturity Models

All very different All contain gaps none is complete None links to an information management lifecycle

October 23, 2013

37

Mapping IBM Data Governance Council Maturity Model to Information Lifecycle

Organisational Structures & Awareness Stewardship Policy Value Creation Data Risk Management & Compliance Information Security & Privacy Data Architecture Data Quality Management Classification & Metadata Information Lifecycle Management Audit Information, Logging & Reporting
October 23, 2013 38

Architect, Budget, Plan, Design and Specify Implement Underlying Technology Enter, Create, Acquire, Derive, Update, Integrate, Capture Secure, Store, Replicate and Distribute Present, Report, Analyse, Model Preserve, Protect and Recover Archive and Recall Delete/Remove Define, Design, Implement, Measure, Manage, Monitor, Control, Staff, Train and Administer, Standards, Governance, Fund

IBM Data Governance Council Maturity Model Capability Areas

Organisational Stewardship Structures & Awareness Process Maturity Policy Value Creation Data Risk Information Management & Security & Compliance Privacy Assets Regulations, standards, and policies Accountability Data asset and risk classification Risk Management Management buy-in Framework Incident Ownership & Response responsibility Responsibility Data Architecture Data Quality Management Classification & Information Metadata Lifecycle Management Process Maturity Content Semantic Capabilities Process Maturity Organisational Process Awareness Business Process Maturity Data Integration Data Models & Metadata Management Analytics Audit Information, Logging & Reporting Quality

Accountability Roles & & Responsibility Structures Resource Commitment Standards & Disciplines

Roles & Metrics Responsibilities Measurement Quality

Security

Organisational Content Awareness

Technology & Infrastructure

Communication Value Creation

Processes

Metrics & Reporting

Reporting

Certification

Training and accountability Design requirements Process and technology Access Control Identity Requirements Integration Evaluation & Measurement Remediation & Reporting

Policies & Standards Tools Metrics Risk Status Characteristic Organisations

Business Value Organisational Reporting Awareness Consistency (Format & Semantics) Business Value Ownership (Roles & Responsibilities) Collection Automation Reporting Automation

October 23, 2013

39

Mapping MIKE2.0 Information Maturity Model to Information Lifecycle

People/Organisation Policy Technology Compliance Measurement Process/Practice Architect, Budget, Plan, Design and Specify Implement Underlying Technology Enter, Create, Acquire, Derive, Update, Integrate, Capture Secure, Store, Replicate and Distribute Present, Report, Analyse, Model Preserve, Protect and Recover Archive and Recall Delete/Remove Define, Design, Implement, Measure, Manage, Monitor, Control, Staff, Training and Administer

October 23, 2013

40

MIKE2.0 Information Maturity Model Capability Areas

People/ Organisation
Audits Benchmarking Common Data Services Communication Plan Dashboard (Tracking / Trending) Data Analysis Data Capture Data Ownership Data Quality Metrics

Policy
Common Data Model Communication Plan Data Integration (ETL & EAI) Data Ownership Data Quality Metrics Data Quality Strategy Data Standardisation Executive Sponsorship Issue Identification

Technology
B2B Data Integration Cleansing Common Data Model Common Data Services Data Analysis Data Capture Data Integration (ETL & EAI) Data Quality Metrics Data Standardisation

Compliance
Audits Metadata Management Data Quality Metrics Data Analysis Security Issue Identification

Measurement
Data Quality Metrics Dashboard (Tracking / Trending) Data Analysis

Process/Practice
Audits Benchmarking Cleansing

Profiling / Measurement Common Data Model Metadata Management Communication Plan Cleansing Dashboard (Tracking / Trending) Data Analysis Data Capture Data Integration (ETL & EAI) Data Ownership Data Quality Metrics Data Standardisation Data Stewardship Executive Sponsorship Issue Identification Master Data Management Metadata Management Privacy Profiling / Measurement

Service Level Agreements B2B Data Integration Data Subject Area Coverage

Data Quality Strategy Master Data ManagementData Stewardship Data Standardisation Platform Standardisation Data Validation Data Validation Privacy Master Data Management Executive Sponsorship Profiling / Measurement Metadata Management Master Data ManagementRoot Cause Analysis Platform Standardisation Privacy Security Profiling / Measurement Security Security

October 23, 2013

41

Mapping DAMA DMBOK to Information Lifecycle

Data Governance Data Architecture Management Data Development Data Operations Management Data Security Management Reference and Master Data Management Data Warehousing and Business Intelligence Management Document and Content Management Metadata Management Data Quality Management Architect, Budget, Plan, Design and Specify Implement Underlying Technology Enter, Create, Acquire, Derive, Update, Integrate, Capture Secure, Store, Replicate and Distribute Present, Report, Analyse, Model Preserve, Protect and Recover Archive and Recall Delete/Remove Define, Design, Implement, Measure, Manage, Monitor, Control, Staff, Training and Administer

October 23, 2013

42

DAMA DMBOK Maturity Model Capability Areas

Data Governance Document Metadata Data Quality Data Data Data Data Security Reference and Data Architecture Development Operations Management Master Data Warehousing and Content Management Management and Business Management Management Management (RMD) Management Intelligence
Enterprise Information Needs Enterprise Data Model Align With Other Business Models Database Architecture Data Integration Architecture DW / BI Architecture Enterprise Taxonomies Metadata Architecture Data Modeling, Analysis, and Solution Design Detailed Data Design Data Model and Design Quality Data Implementation Database Support Data Security and Regulatory Requirements Data Technology Data Security Policy Management Reference and Master Data Integration Master and Reference Data Business Intelligence Information DW / BI Architecture Data Warehouses and Data Marts BI Tools and User Interfaces Documents / Records Management Content Management Metadata Requirements Metadata Architecture Metadata Standards Managed Metadata Environment Create and Maintain Metadata Integrate Metadata Metadata Repositories Distribute Metadata Query, Report, and Analyse Metadata DQ Awareness

Data Management Planning Data Management Control

DQ Requirements

Data Security Data Integration Standards Architecture RMD Data Security Management Controls and Procedures Users, Passwords, Match Rules and Groups Data Access Views and Permissions User Access Behaviour Information Confidentiality Audit Data Security

Profile, Analyse, and Assess DQ DQ Metrics

Process Data for Business Intelligence Tune Data Establish Golden Records Warehousing Processes Hierarchies and BI Activity and Affiliations Performance

DQ Business Rules DQ Requirements

DQ Service Levels Continuously Measure DQ Manage DQ Issues Data Quality Defects Operational DQM Procedures Monitor DQM Procedures
43

Integration of New Data Replicate and Distribute RMD Changes to RMD

October 23, 2013

Mapping Enterprise Data Management Council Data Management Maturity Model to Information Lifecycle
Data Management Goals Corporate Culture Governance Model Data Management Funding Data Requirements Lifecycle Standards and Procedures Data Sourcing Architectural Framework Platform and Integration Data Quality Framework Data Quality Assurance
October 23, 2013 44

Architect, Budget, Plan, Design and Specify Implement Underlying Technology Enter, Create, Acquire, Derive, Update, Integrate, Capture Secure, Store, Replicate and Distribute Present, Report, Analyse, Model Preserve, Protect and Recover Archive and Recall Delete/Remove Define, Design, Implement, Measure, Manage, Monitor, Control, Staff, Training and Administer

EDM Council Maturity Model Capability Areas

Data Standards and Data Sourcing Requirements Procedures Lifecycle Standards Sourcing Governance Data Structure Requirements Areas Requirements Definition DM Priorities Communicatio Organisational Business Case Operational Standards Procurement n Strategy Model Impact Promulgation & Provider Management Scope of DM Oversight Funding Data Lifecycle Business Program Model Management Process and Data Flows Governance Data Implementatio Depenedencie n s Lifecycle Human Capital Ontology and Requirements Business Semantics Measurement Data Change Management Data Corporate Management Culture Goals DM Objectives Alignment Governance Model Data Management Funding Total Cost of Ownership Architectural Platform and Data Quality Data Quality Framework Integration Framework Assurance Architectural DM Platform Data Quality Standards Strategy Development Architectural Application Data Quality Approach Integration Measurement and Analysis Release Management Historical Data Data Profiling

Data Quality Assessment Data Quality for Integration Data Cleansing

October 23, 2013

45

Differences in Data Maturity Models

Substantial differences in data maturity models indicate lack of consensus about what comprises information management maturity There is a need for a consistent approach, perhaps linked to an information lifecycle to ground any assessment of maturity in the actual processes needed to manage information effectively

October 23, 2013

46

More Information
Alan McSweeney http://ie.linkedin.com/in/alanmcsweeney

October 23, 2013

47