Data Governance for End-User Computing

Data Governance for End-User
Computing
© AskGet.com Inc, 2015. All rights reserved
Presented by Malcolm Chisholm Ph.D.
Telephone 732-539-3406 – Fax 407-264-6809
mchisholm@AskGet.com
September 15, 2015

• What is End-User Computing?
• Background to EUC
• The Challenge of EUC Data Governance
• What Has to be Done for EUC Data Governance
• Data Governance Policies
Agenda
© AskGet.com Inc, 2015. All rights reserved

What is End-User Computing?
© AskGet.com Inc., 2015. All rights reserved

Introducing End-User Computing (EUC)
Will Data Governance
Ride to the Rescue?
END USER COMPUTING
THE UNTAMED FRONTIER OF DATA GOVERNANCE
See the Exploits of Real Users That Have Made Them Famous throughout the Enterprise!

Definitions
Data Governance
The activities that are needed to ensure Data Management is carried out in an
effective and efficient manner to achieve corporate strategy, while minimizing risk
and respecting all obligations the enterprise has for its data.
Data Management
The activities that are needed for the enterprise to acquire, maintain, use, publish,
archive, publish, and purge data, and which should be carried out under the
oversight of Data Governance.
End-User Computing
(EUC)
Any aspect of Data Management that occurs outside of a production Corporate
Application, even if it occurs in a general environment that is supported by IT.
Corporate Application
A data processing application that is supported by IT, usually with IT involvement
from the requirements stage to production implementation stage, whether built,
bought, or rented.

The Challenge of Data Governance
Data Stewardship Data Policies
Data Security
Legal, Privacy &
Compliance
Information
Knowledge Mgmt.
Data Architecture &
Modeling
Data Life Cycle
Change Management
Data Content
Management
Primary Accountable is IT Primary Accountable is
Operations
Other Primary Accountable
Primary Accountable is Data Governance
• Data Governance is a set of disciplines, each with its own special set of concerns and techniques
• Some of these disciplines are “pure” Data Governance; others involve working with some part of the
business that has primary responsibility for the discipline
• The Data Governance disciplines are each different and fairly self-contained
• To do Data Governance well we need to master all of the disciplines relevant to our enterprise
• Some of these disciplines are emerging, and that makes them difficult
© AskGet.com Inc 2015

What Are “Endpoints”
• Because of its close relationships with IT and Operations, Data Governance tends to focus on corporate
systems.
• However, many enterprises have segments of their workforce that are mobile and/or dispersed from central
offices. These staff are creating data at their “endpoints” that is not captured in corporate systems.
• Even staff in corporate centers are doing work on their PC’s that is not captured by corporate systems.
• Leaving aside discussion of Cloud for now, which has added even more complexity.
IT Operations
Data
Governance
Corporate Systems
Mobile, Dispersed, and /or Self-enabling
Segments of Workforce
?

End-User Computing
• Endpoints are where data is at, but what is going on at the endpoints?
• Answer: End-User Computing (EUC)
• Much – but far from all – the types of data management that we see in corporate systems are going on in
EUC
• It is very rare to find any staff who have received training on EUC Data Governance (“EUC Governance”),
and this is not a traditional area of focus of Data Governance.
• Hence, the quality of data management is unknown, but can be guessed to be at low maturity – which is
risky.
Data Acquisition
File Transfer
Analysis
Communication
Reporting
Reports
Models
Files
Contracts
Publications
…

Background to EUC

Industry Focus
• EuSpRiG is perhaps the only industry-focused group
• They have an annual conference (in Europe)
www.eusprig.org

EuSpRIG Horror Stories
• EuSpRiG publishes “Spreadsheet Horror Stories”
• The above one has become quite famous

Vendor Ecosystem
• There are some product vendors in this space
• More seem to be getting in
• Vendors want to work with Data Governance
Data
Governance
Data
Availability
Druva
Elastic
Cloud
File Classification
& Analytics Auditing
eDiscovery
Integration
Data Backup
& Collection
Data
Recovery
Data Loss
Prevention
Data
Archival
File
Sharing
Data
Access
Global
Deduplication
Engine
Single
Instance
Storage
Time-
Indexed
Metadata
S3/Glacier
(Storage)
DynamoDB
(Database)
EC2
(Compute)
Security&PrivacyFramework
Device
Refresh

Regulators’ Viewpoint: BCBS 239

The Challenge of EUC Data
Governance

Why Is EUC Governance Needed?
• Employees go away – sometimes suddenly.
• What happens to the data they have been
working with?
GAME
OVER
Termination
New Job
Other
Reasons
Stolen
Destroyed
Lost
• Endpoint devices go away – sometimes
suddenly.
• What data has gone missing, what are the
consequences, and can the data be recovered?
• There are some obvious reasons why EUC governance is needed
• Here are a couple – there are a lot more

The Challenge of EUC Governance: 1 – No Close Partner
• We saw before that for some Data Governance disciplines there are natural
partners.
• IT is a partner with EUC Governance, but has a relatively narrow focus, and may not
understand the Data Governance aspects
• Legal and HR could be other partners
• The end users themselves can be resistant to Data Governance, but ultimately need
to be enrolled
• CONCLUSION: Data Governance must lead in this area
GA M E
OVER
Termination
New Job
Other
Reasons
Stolen
Destroyed
Lost
Data Security
Legal, Privacy &
Compliance
Information
Knowledge Mgmt.
Data Architecture &
Modeling
Data Life Cycle
Change Management
Data Content
Management
Operations

Data Security
Legal, Privacy &
Compliance
Information
Knowledge Mgmt.
Data Architecture &
Modeling
Data Life Cycle
Change Management
Data Content
Management
Operations
The Challenge of EUC Governance: 2 – Complexity
• EUC Governance is composed of many (but not all) of the disciplines of Data
Governance
• EUC Governance may have some special characteristics that also make it its own
discipline
• It is up to Data Governance to figure this out, and come up with conceptual
frameworks for EUC Governance
• CONCLUSION: Data Governance must lead in this area
GA M E
OVER
Termination
New Job
Other
Reasons
Stolen
Destroyed
Lost
*
* * *
*
*

Data Governance Vision and Leadership
Tell me what you want me to
build
Then I will design it
Then I will build it
Then I will turn it over to you
Then I will walk away
The IT Mindset
I’m here to gather requirements
The Business Analyst
Mindset
Requirements Vision
Leadership
The ideal state of EUC
in the enterprise
How to get to the
Vision
• Data Governance must figure out how to lead

What Has to be Done for EUC Data
Governance?

Problem of Reaching EUC Users
• EUC Users are usually distributed widely across the enterprise, rather than being
concentrated in one or two departments.
• However, there are definitely more of them in certain departments, e.g. Finance,
Actuary, Analytics.
• In any case, no department will want to engage Data Governance to do EUC Data
Governance – in fact, they will want to avoid Data Governance.
• So how do you engage these users? Principles and Policies are two ways.

What Are Principles?
• Principles are propositions that are to be accepted as true, but not further analyzed.
• We may not be able to further analyze them, or we may choose not to as they appear
“self-evident” to us.
• Principles allow use to build a consistent set of governance rules. It is important that
these rules do not contradict each other.
• Principles – if they are clear enough – allow us to quickly judge if what we are doing is in
accordance (or not) with them. This is very useful.
• They can be used to guide EUC users, and can provide vision for Data Governance.

Principles in Practice
Can you send me
that big file of
Customer data?
Sure - I’ll put it in
my personal
DropBox for you
to pick up
Can you send me
that big file of
Customer data?
We’re going to
have to ask about
that. We can’t
use external
storage for
sensitive data.
Principles do not set rules, but people do use then to guide their decisions

Sample EUC Governance Principles
1. Production data in an EUC asset makes it a production EUC asset
2. All EUC assets that are used to run or manage the enterprise (i.e. production assets) are identified.
3. Every production EUC asset has data management accountabilities formally distributed and documented.
4. All data sources used in EUC assets are documented, and are sourced in accordance with enterprise
directives.
5. All usage relevant to the business of EUC assets is documented.
6. All processing relevant to the business is documented
7. QA is undertaken for production EUC assets, and Data Quality is always addressed
8. Sensitivity of data and processing in EUC assets will be registered and respected.
9. Manual adjustments to data in EUC assets will be documented.
10. Reports or equivalent that are published from EUC assets and which pass out of the enterprise are registered.
11. If data from an EUC asset is input to another EUC asset or corporate application, then a Data Sharing
Agreement is required.
12. Pathways to conversion to corporate applications, if available, will be implemented

Data Governance Policies

What Are Data Policies
EUC Policy
• A policy is a high-level rule that constrains business behavior.
o E.g. “Every decision about a Critical Data Element must be documented”
• Policies are NOT low level rules like “The Area Code of a Telephone Number must be
enclosed in parentheses”.
o But many DBA’s and people in IT call these low level rules “policies” because that is what their
technologies call them
• A policy does not tell anyone how to do something
o Those impacted by policies have to figure out how to operationalize them
• Policies are enforceable and are enforced
o Don’t write policies unless you know how they can be enforced, and make arrangements to
actually enforce them.

Get Authority for Enterprise Data Policies
Data
Governance
• Data Governance must get the authority for Data Policies.
• This may have to be taken away from IT (who do not know how to do them anyway).
• Your enterprise may have a central body for all policies, but they will typically outsource
specific areas to experts.
• Policies are perhaps the most important tool for addressing EUC Governance,
Executive
Management Assign Authority
for Data Policies

Develop EUC Policies
• Policy formulation, promulgation, operationalization, compliance checking are a big topic
in themselves, and are not going to be covered here. BUT you need to be successful at
all of these.
• Need to decide if you want a single big EUC policy, versus many smaller focused
policies. Both have their pros and cons.
• Figure out what policies you need from the principles and the specific areas of Data
Governance.
Sample EUC Governance Principles
1. Production data in an EUC asset makes it a production EUC asset
2. All EUC assets that are used to run or manage the enterprise (i.e. production assets) are identified.
3. Every production EUC asset has data management accountabilities formally distributed and documented.
4. All data sources used in EUC assets are documented, and are sourced in accordance with enterprise
directives.
5. All usage relevant to the business of EUC assets is documented.
6. All processing relevant to the business is documented
7. QA is undertaken for production EUC assets, and Data Quality is always addressed
8. Sensitivity of data and processing in EUC assets will be registered and respected.
9. Manual adjustments to data in EUC assets will be documented.
10. Reports or equivalent that are published from EUC assets and which pass out of the enterprise are registered.
11. If data from an EUC asset is input to another EUC asset or corporate application, then a Data Sharing
Agreement is required.
12. Pathways to conversion to corporate applications, if available, will be implemented
Data Security
Legal, Privacy &
Compliance
Information
Knowledge Mgmt.
Data Architecture &
Modeling
Data Life Cycle
Change Management
Data Content
Management
Operations
PolicyPolicy
EUC Policy

Data Governance for End-User
Computing
Questions and Answers
Presented by Malcolm Chisholm Ph.D.
Telephone 732-539-3406 – Fax 407-264-6809
mchisholm@AskGet.com
September 15, 2015

Data Governance for End-User Computing

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