Showing posts with label governance. Show all posts
Showing posts with label governance. Show all posts

06 May 2024

Microsoft Fabric: The Metrics Layer [new feature]

Introduction

One of the announcements of this year's Microsoft Fabric Community first conference was the introduction of a metrics layer in Fabric which "allows organizations to create standardized business metrics, that are rooted in measures and are discoverable and intended for reuse" [1]. As it seems, the information content provided at the conference was kept to a minimum given that the feature is still in private preview, though several webcasts start to catch up on the topic (see [2], [4]). Moreover, as part of their show, the Explicit Measures (@PowerBITips) hosts had Carly Newsome as invitee, the manager of the project, who unveiled more details about the project and the feature, details which became the main source for the information below. 

The idea of a metric layer or metric store is not new, data professionals occasionally refer to their structure(s) of metrics as such. The terms gained weight in their modern conception relatively recently in 2021-2022 (see [5], [6], [7], [8], [10]). Within the modern data stack, a metrics layer or metric store is an abstraction layer available between the data store(s) and end users. It allows to centrally define, store, and manage business metrics. Thus, it allows us to standardize and enforce a single source of truth (SSoT), respectively solve several issues existing in the data stacks. As Benn Stancil earlier remarked, the metrics layer is one of the missing pieces from the modern data stack (see [10]).

Microsoft's Solution

Microsoft's business case for metrics layer's implementation is based on three main ideas (1) duplicate measures contribute to poor data quality, (2) complex data models hinder self-service, (3) reduce data silos in Power BI. In Microsoft's conception the metric layer provides several benefits: consistent definitions and descriptions, easy management via management views, searchable and discoverable metrics, respectively assure trust through indicators. 

For this feature's implementation Microsoft introduces a new Fabric Item called a metric set that allows to group several (business) metrics together as part of a mini-model that can be tailored to the needs of a subset of end-users and accessed by them via the standard tools already available. The metric set becomes thus a mini-model. Such mini-models allow to break down and reduce the overall complexity of semantic models, while being easy to evolve and consume. The challenge will become then on how to break down existing and future semantic models into nonoverlapping mini-models, creating in extremis a partition (see the Lego metaphor for data products). The idea of mini-models is not new, [12] advocating the idea of using a Master Model, a technique for creating derivative tabular models based on a single tabular solution.

A (business) metric is a way to elevate the measures from the various semantic models existing in the organization within the mini-model defined by the metric set. A metric can be reused in other fabric artifacts - currently in new reports on the Power BI service, respectively in notebooks by copying the code. Reusing metrics in other measures can mean that one can chain metrics and the changes made will be further propagated downstream. 

The Metrics Layer in Microsoft Fabric (adapted diagram)
The Metrics Layer in Microsoft Fabric (adapted diagram)

Every metric is tied to the original semantic model which allows thus to track how a metric is used across the solutions and, looking forward to Purview, to identify data's lineage. A measure is related to a "table", the source from which the measure came from.

Users' Perspective

The Metrics Layer feature is available in Microsoft Fabric service for Power BI within the Metrics menu element next to Scorecards. One starts by creating a metric set in an existing workspace, an operation which creates the actual artifact, to which the individual metrics are added. To create a metric, a user with build permissions can navigate through the semantic models across different workspaces he/she has access to, pick a measure from one of them and elevate it to a metric, copying in the process its measure's definition and description. In this way the metric will always point back to the measure from the semantic model, while the metrics thus created are considered as a related collection and can be shared around accordingly. 

Once a metric is added to the metric set, one can add in edit mode dimensions to it (e.g. Date, Category, Product Id, etc.). One can then further explore a metric's output and add filters (e.g. concentrate on only one product or category) point from which one can slice-and-dice the data as needed.

There is a panel where one can see where the metric has been used (e.g. in reports, scorecards, and other integrations), when was last time refreshed, respectively how many times was used. Thus, one has the most important information in one place, which is great for developers as well as for the users. Probably, other metadata will be added, such as whether an increase in the metric would be favorable or unfavorable (like in Tableau Pulse, see [13]) or maybe levels of criticality, an unit of measure, or maybe its type - simple metric, performance indicator (PI), result indicator (RI), KPI, KRI etc.

Metrics can be persisted to the OneLake by saving their output to a delta table into the lakehouse. As demonstrated in the presentation(s), with just a copy-paste and a small piece of code one can materialize the data into a lakehouse delta table, from where the data can be reused as needed. Hopefully, the process will be further automated. 

One can consume metrics and metrics sets also in Power BI Desktop, where a new menu element called Metric sets was added under the OneLake data hub, which can be used to connect to a metric set from a Semantic model and select the metrics needed for the project. 

Tapping into the available Power BI solutions is done via an integration feature based on Sempy fabric package, a dataframe for storage and propagation of Power BI metadata which is part of the python-based semantic Link in Fabric [11].

Further Thoughts

When dealing with a new feature, a natural idea comes to mind: what challenges does the feature involve, respectively how can it be misused? Given that the metrics layer can be built within a workspace and that it can tap into the existing measures, this means that one can built on the existing infrastructure. However, this can imply restructuring, refactoring, moving, and testing a lot of code in the process, hopefully with minimal implications for the solutions already available. Whether the process is as simple as imagined is another story. As misusage, in extremis, data professionals might start building everything as metrics, though the danger might come when the data is persisted unnecessarily. 

From a data mesh's perspective, a metric set is associated with a domain, though there will be metrics and data common to multiple domains. Moreover, a mini-model has the potential of becoming a data product. Distributing the logic across multiple workspaces and domains can add further challenges, especially in what concerns the synchronization and implemented of requirements in a way that doesn't lead to bottlenecks. But this is a general challenge for the development team(s). 

The feature will probably suffer further changes until is released in public review (probably by September or the end of the year). I subscribe to other data professionals' opinion that the feature was for long needed and that can have an important impact on the solutions built. 

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Resources:
[1] Microsoft Fabric Blog (2024) Announcements from the Microsoft Fabric Community Conference (link)
[2] Power BI Tips (2024) Explicit Measures Ep. 236: Metrics Hub, Hot New Feature with Carly Newsome (link)
[3] Power BI Tips (2024) Introducing Fabric Metrics Layer / Power Metrics Hub [with Carly Newsome] (link)
[4] KratosBI (2024) Fabric Fridays: Metrics Layer Conspiracy Theories #40 (link)
[5] Chris Webb's BI Blog (2022) Is Power BI A Semantic Layer? (link)
[6] The Data Stack Show (2022) TDSS 95: How the Metrics Layer Bridges the Gap Between Data & Business with Nick Handel of Transform (link)
[7] Sundeep Teki (2022) The Metric Layer & how it fits into the Modern Data Stack (link)
[8] Nick Handel (2021) A brief history of the metrics store (link)
[9] Aurimas (2022) The Jungle of Metrics Layers and its Invisible Elephant (link)
[10] Benn Stancil (2021) The missing piece of the modern data stack (link)
[11] Microsoft Learn (2024) Sempy fabric Package (link)
[12] Michael Kovalsky (2019) Master Model: Creating Derivative Tabular Models (link)
[13] Christina Obry (2023) The Power of a Metrics Layer - and How Your Organization Can Benefit From It (link

06 April 2024

Microsoft Fabric: Data Governance (Notes)

Disclaimer: This is work in progress intended to consolidate information from various sources and may deviate from them. Please consult the sources for the exact content!
Last updated: 23-May-2024

[Microsoft Fabric] Data Governance

  • {definition}set of capabilities that help organizations to manage, protect, monitor, and improve the discoverability of data, so as to meet data governance (and compliance) requirements and regulations [2]
  • several built-in governance features are available to manage and control the data within Fabric (MF)  [1]
  • {feature} endorsement [aka content endorsement
    • {definition} formal process performed by admins to endorse MF items
    • {benefit} allows admins to designate specific MF items as trusted and approved for use across the organization [1]
      • establishes trust in data assets by promoting and certifying specific MF items [1]
        • users know which assets they can trust and rely on for accurate information [1]
      • endorsed assets are identified with a badge that indicates they have been reviewed and approved [1]
    • {scope} applies to all MF items except dashboards [1]
    • {benefit} helps admin manage the overall growth of items across your environment [1]
  • {feature} promoting [aka content promoting
    • {definition} formal process performed by contributors or admins to promote content
    • promoted content appears with a Promoted badge in the MF portal [1]
      • workspace members with the contributor or admin role can promote content within a workspace [1]
      • MF admin can promote content across the organization [1]
  • {feature} certification [aka content certification]
    • {definition} formal process that involves a review of the content by a designated reviewer and managed by the admin [1]
      • can be customized to meet organization’s needs [1]
      • users can request item certification from an admin [1]
        • via Request certification from the More menu [1]
      • the certified content appears with a Certified badge in the Fabric portal [1]
    • {benefit} allows organizations to label items considered to be quality items [1]
      • an organization can certify items to identify them an as authoritative sources for critical information [1]
        • ⇐ all Fabric items except Power BI dashboards can be certified [1]
    • {benefit} allows to specify certifiers who are experts in the domain [1]
    • domain level settings
      • enable or disable certification of items that belong to the domain [1]
    • provides a URL to documentation that is relevant to certification in the domain [1]
  • {feature} tenant (aka Microsoft Fabric tenant, MF tenant)
    • a single instance of Fabric for an organization that is aligned with a Microsoft Entra ID
    • can contain any number of workspaces
  • {feature} workspaces
    • {definition} a collection of items that brings together different functionality in a single environment designed for collaboration
    • can be assigned to teams or departments based on governance requirements and data boundaries [2]
    • are associated with domains [3]
      • ⇐ {benefit} allows to group data into business domains
      • all the items in the workspace are then associated with the domain, and they receive a domain attribute as part of their metadata [3]
        • ⇐ {benefit} enables a better consumption experience [1]
        • {benefit} enables better discoverability and governance [2]
  • {feature} domains [Notes]
    • {definition} a way of logically grouping together data in an organization that is relevant to a particular area or field [1]
    • allows to group data by business domains
      • ⇒{benefit} allows business domains to manage their data according to their specific regulations, restrictions, and needs [3]
    • {feature} subdomains
      • {definition} a way for fine tuning the logical grouping data under a domain [1]
        • ⇐ subdivisions of a domain
  • {feature} labeling
    • default labeling, label inheritance, and programmatic labeling, 
    • {benefit} help achieve maximal sensitivity label coverage across MF [2]
    • once labeled, data remains protected even when it's exported out of MF via supported export paths [2]
    • [Purview Audit] compliance admins can monitor activities on sensitivity labels
  • {feature|preview} folders
    • {definition} a way of logically grouping MF items
  • {feature|preview} tags
    • {benefit} allow managing Fabric items for enhanced compliance, discoverability, and reuse
  • {feature} scanner API
    • a set of admin REST APIs 
    • {benefit} allows to scan MF items for sensitive data [1]
    • can be used to scan both structured and unstructured data [1]
    • {concept} metadata scanning
      • facilitates governance of data by enabling cataloging and reporting on all the metadata of organization's Fabric items [1]
      • it needs to be set up by Admin before metadata scanning can be run [1]
  • {concept} data lineage
    • {definition} 
    • {benefit} allows to track the flow of data through Fabric [1]
    • {benefit} allows to see where data comes from, how it's transformed, and where it goes [1]
    • {benefit} helps understand the data available in Fabric, and how it's being used [1]
  • {concept} Fabric item (aka MF item)
    • {definition} a set of capabilities within an experience
      • form the building blocks of the Fabric platform
    • {type} data warehouse
    • {type} data pipeline
    • {type} semantic model
    • {type} reports
    • {type} dashboards
    • {type} notebook
    • {type} lakehouse
    • {type} metric set

Acronyms:
API - Application Programming Interface
MF - Microsoft Fabric

Resources:
[1] Microsoft Learn (2023) Administer Microsoft Fabric (link)
[2] Microsoft Learn - Fabric (2024) Governance overview and guidance (link)
[3] Microsoft Learn: Fabric (2023) Fabric domains (link)
[4] Establishing Data Mesh architectural pattern with Domains and OneLake on Microsoft Fabric, by Maheswaran Arunachalam (link

17 March 2024

Business Intelligence: Data Products (Part I: A Lego Exercise)

Business Intelligence
Business Intelligence Series

One can define a data product as the smallest unit of data-driven architecture that can be independently deployed and managed (aka product quantum) [1]. In other terms one can think of a data product like a box (or Lego piece) which takes data as inputs, performs several transformations on the data from which result several output data (or even data visualizations or a hybrid between data, visualizations and other content). 

At high-level each Data Analytics solution can be regarded as a set of inputs, a set of outputs and the transformations that must be performed on the inputs to generate the outputs. The inputs are the data from the operational systems, while the outputs are analytics data that can be anything from data to KPIs and other metrics. A data mart, data warehouse, lakehouse and data mesh can be abstracted in this way, though different scales apply. 

For creating data products within a data mesh, given a set of inputs, outputs and transformations, the challenge is to find horizontal and vertical partitions within these areas to create something that looks like a Lego structure, in which each piece of Lego represents a data product, while its color represents the membership to a business domain. Each such piece is self-contained and contains a set of transformations, respectively intermediary inputs and outputs. Multiple such pieces can be combined in a linear or hierarchical fashion to transform the initial inputs into the final outputs. 

Data Products with a Data Mesh
Data Products with a Data Mesh

Finding such a partition is possible though it involves a considerable effort, especially in designing the whole thing - identifying each Lego piece uniquely. When each department is on its own and develops its own Lego pieces, there's no guarantee that the pieces from the various domains will fit together to built something cohesive, performant, secure or well-structured. Is like building a house from modules, the pieces must fit together. That would be the role of governance (federated computational governance) - to align and coordinate the effort. 

Conversely, there are transformations that need to be replicated for obtaining autonomous data products, and the volume of such overlapping can be considerable high. Consider for example the logic available in reports and how often it needs to be replicated. Alternatively, one can create intermediary data products, when that's feasible. 

It's challenging to define the inputs and outputs for a Lego piece. Now imagine in doing the same for a whole set of such pieces depending on each other! This might work for small pieces of data and entities quite stable in their lifetime (e.g. playlists, artists, songs), but with complex information systems the effort can increase by a few factors. Moreover, the complexity of the structure increases as soon the Lego pieces expand beyond their initial design. It's like the real Lego pieces would grow within the available space but still keep the initial structure - strange constructs may result, which even if they work, change the gravity center of the edifice in other directions. There will be thus limits to grow that can easily lead to duplication of functionality to overcome such challenges.

Each new output or change in the initial input for this magic boxes involves a change of all the intermediary Lego pieces from input to output. Just recollect the last experience of defining the inputs and the outputs for an important complex report, how many iterations and how much effort was involved. This might have been an extreme case, though how realistic is the assumption that with data products everything will go smoother? No matter of the effort involved in design, there will be always changes and further iterations involved.

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References:
[1] Zhamak Dehghani (2021) Data Mesh: Delivering Data-Driven Value at Scale (book review

13 March 2024

Book Review: Zhamak Dehghani's Data Mesh: Delivering Data-Driven Value at Scale (2021)

Zhamak Dehghani's "Data Mesh: Delivering Data-Driven Value at Scale" (2021)

Zhamak Dehghani's "Data Mesh: Delivering Data-Driven Value at Scale" (2021) is a must read book for the data professional. So, here I am, finally managing to read it and give it some thought, even if it will probably take more time and a few more reads for the ideas to grow. Working in the fields of Business Intelligence and Software Engineering for almost a quarter-century, I think I can understand the historical background and the direction of the ideas presented in the book. There are many good ideas but also formulations that make me circumspect about the applicability of some assumptions and requirements considered. 

So, after data marts, warehouses, lakes and lakehouses, the data mesh paradigm seems to be the new shiny thing that will bring organizations beyond the inflection point with tipping potential from where organization's growth will have an exponential effect. At least this seems to be the first impression when reading the first chapters. 

The book follows to some degree the advocative tone of promoting that "our shiny thing is much better than previous thing", or "how bad the previous architectures or paradigms were and how good the new ones are" (see [2]). Architectures and paradigms evolve with the available technologies and our perception of what is important for businesses. Old and new have their place in the order of things, and the old will continue to exist, at least until the new proves its feasibility.  

The definition of the data mash as "a sociotechnical approach to share, access and manage analytical data in complex and large-scale environments - within or across organizations" [1] is too abstract even if it reflects at high level what the concept is about. Compared to other material I read on the topic, the book succeeds in explaining the related concepts as well the goals (called definitions) and benefits (called motivations) associated with the principles behind the data mesh, making the book approachable also by non-professionals. 

Built around four principles "data as a product", "domain-oriented ownership", "self-serve data platform" and "federated governance", the data mesh is the paradigm on which data as products are developed; where the products are "the smallest unit of architecture that can be independently deployed and managed", providing by design the information necessary to be discovered, understood, debugged, and audited.

It's possible to create Lego-like data products, data contracts and/or manifests that address product's usability characteristics, though unless the latter are generated automatically, put in the context of ERP and other complex systems, everything becomes quite an endeavor that requires time and adequate testing, increasing the overall timeframe until a data product becomes available. 

The data mesh describes data products in terms of microservices that structure architectures in terms of a collection of services that are independently deployable and loosely coupled. Asking from data products to behave in this way is probably too hard a constraint, given the complexity and interdependency of the data models behind business processes and their needs. Does all the effort make sense? Is this the "agility" the data mesh solutions are looking for?

Many pioneering organizations are still fighting with the concept of data mesh as it proves to be challenging to implement. At a high level everything makes sense, but the way data products are expected to function makes the concept challenging to implement to the full extent. Moreover, as occasionally implied, the data mesh is about scaling data analytics solutions with the size and complexity of organizations. The effort makes sense when the organizations have a certain size and the departments have a certain autonomy, therefore, it might not apply to small to medium businesses.

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References:
[1] Zhamak Dehghani (2021) "Data Mesh: Delivering Data-Driven Value at Scale" (link)
[2] SQL-troubles (2024) Zhamak Dehghani's Data Mesh - Monolithic Warehouses and Lakes (link)

04 March 2024

Business Intelligence: Microsoft Fabric's Domains and the Data Mesh I (The Challenge of Structure Matching)

Business Intelligence Series
Business Intelligence Series

The holy grail of building a Data Analytics infrastructure seems to be nowadays the creation of a data mesh, a decentralized data architecture that organizes data by specific business domains. This endeavor proves to be difficult to achieve given the various challenges faced  – data integration, data ownership, data product creation and ownership, enablement of data citizens, respectively enforcing security and governance in a federated manner. 

Microsoft Fabric promises to facilitate the creation of data mashes with the help of domains and subdomain by providing built-in security, administration, and governance features associated with them. A domain is a way of logically grouping together all the data in an organization that is relevant to a particular area or field. A subdomain is a way for fine tuning the logical grouping of the data.

Business domains
Business domains & their entities

At high level the challenge of building a data mesh is on how to match or aggregate structures. On one side is the high-level structure of the data mesh, while on the other side is the structure of the business data entities. The data entities can be grouped within a taxonomy with multiple levels that expands to the departments. That’s why it seems somehow natural to consider the departments as the top-most domains of the data mesh. The issue is that if the segmentation starts from a high level, iI becomes inflexible in modeling. Moreover, one has only domains and subdomains, and thus a 2-level structure to model the main aspects of the data mesh.

Some organizations allow unrestricted access to the data belonging to a given department, while others breakdown the access to a more granular level. There are also organizations that don’t restrict the access at all, though this may change later. Besides permissions and a way of grouping together the entities, what value brings to set the domains as departments? 

Therefore, I’m not convinced about using an organizations’ departmental structure as domains, especially when such a structure may change and this would imply a full range of further changes. Moreover, such a structure doesn’t reflect the span of processes or how permissions are assigned for the various roles, which are better reflected on how information systems are structured. Most probably the solution needs to accommodate both perspective and be somehow in the middle. 

Take for example the internal structure of the modules from Dynamics 365 (D365). The Finance area is broken down in Accounts Payable, Accounts Receivables, Fixed Assets, General Ledger, etc. In some organizations the departments reflect this delimitation to some degree, while in others are just associated with finance-related roles. Moreover, the permissions are more granular and, reflecting the data entities the users work with. 

Conversely, SCM extends into Finance as Purchase orders, Sales orders and other business documents are the starting or intermediary points of processes that span modules. Similarly, there are processes that start in CRM or other systems. The span of processes seem to be more appropriate for structuring the data mesh, though the system overlapping with the roles involved in the processes and the free definition of process boundaries can overcomplicate the whole design.

It makes sense to define the domains at a level that resembles the structure of the modules available in D365, while the macro data-entities represent the subdomain. The subdomain would represent then master as well as transactional data entities from the perspective of the domains, with there will be entities that need to be shared between multiple domains. Such a structure has less chances to change over time, allowing more flexibility and smaller areas of focus and thus easier to design, develop, test, deploy and maintain.

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03 January 2020

Data Management: Data Literacy (Part I: A Second Language)

Data Management

At the Gartner Data & Analytics Summit that took place in 2018 in Grapevine, Texas, it was reiterated the importance of data literacy for taking advantage of the emergence of data analytics, artificial intelligence (AI) and machine learning (ML) technologies. Gartner expected then that by 2020, 80% of organizations will initiate deliberate competency development in the field of data literacy [1] – or how they put it – learning to ‘speak data’ as a ‘second language’.

Data literacy is typically defined as the ability to read, work with, analyze, and argue with data. Sure, these form the blocks of data literacy, though what I’m missing from this definition is the ability to understand the data, even if understanding should be the outcome of reading, and the ability to put data into the context of business problems, even if the analyzes of data could involve this later aspect too.

Understanding has several aspects: understanding the data structures available within an organization, understanding the problems with data (including quality, governance, privacy and security), respectively understanding how the data are linked to the business processes. These aspects go beyond the simple ability included in the above definition, which from my perspective doesn’t include the particularities of an organization (data structure, data quality and processes) – the business component. This is reflected in one of the problems often met in the BI/data analytics industry – the solutions developed by the various service providers don’t reflect organizations’ needs, one of the causes being the inability to understand the business on segments or holistically.  

Putting data into context means being able to use the respective data in answering stringent business problems. A business problem needs to be first correctly defined and this requires a deep understanding of the business. Then one needs to identify the data that could help finding the answers to the problem, respectively of building one or more models that would allow elaborating further theories and performing further simulations. This is an ongoing process in which the models built are further enhanced, when possible, or replaced by better ones.

Probably the comparison with a second language is only partially true. One can learn a second language and argue in the respective language, though it doesn’t mean that the argumentations will be correct or constructive as long the person can’t do the same in the native language. Moreover, one can have such abilities in the native or a secondary language, but not be able do the same in what concerns the data, as different skillsets are involved. This aspect can make quite a difference in a business scenario. One must be able also to philosophize, think critically, as well to understand the forms of communication and their rules in respect to data.

To philosophize means being able to understand the causality and further relations existing within the business and think critically about them. Being able to communicate means more than being able to argue – it means being able to use effectively the communication tools – communication channels, as well the methods of representing data, information and knowledge. In extremis one might even go beyond the basic statistical tools, stepping thus in what statistical literacy is about. In fact, the difference between the two types of literacy became thinner, the difference residing in the accent put on their specific aspects.

These are the areas which probably many professionals lack. Data literacy should be the aim, however this takes time and is a continuous iterative process that can take years to reach maturity. It’s important for organizations to start addressing these aspects, progress in small increments and learn from the experience accumulated.

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References:
[1] Gartner (2018) How data and analytics leaders learn to master information as a second language, by Christy Pettey (link

14 December 2019

Governance: Control (Just the Quotes)

"To manage is to forecast and plan, to organize, to command, to coordinate and to control. To foresee and plan means examining the future and drawing up the plan of action. To organize means building up the dual structure, material and human, of the undertaking. To command means binding together, unifying and harmonizing all activity and effort. To control means seeing that everything occurs in conformity with established rule and expressed demand." (Henri Fayol, 1916)

"The concern of OR with finding an optimum decision, policy, or design is one of its essential characteristics. It does not seek merely to define a better solution to a problem than the one in use; it seeks the best solution... [It] can be characterized as the application of scientific methods, techniques, and tools to problems involving the operations of systems so as to provide those in control of the operations with optimum solutions to the problems." (C West Churchman et al, "Introduction to Operations Research", 1957)

"Management is a distinct process consisting of planning, organising, actuating and controlling; utilising in each both science and art, and followed in order to accomplish pre-determined objectives." (George R Terry, "Principles of Management", 1960)

"The term architecture is used here to describe the attributes of a system as seen by the programmer, i.e., the conceptual structure and functional behavior, as distinct from the organization of the data flow and controls, the logical design, and the physical implementation." (Gene Amdahl et al, "Architecture of the IBM System", IBM Journal of Research and Development. Vol 8 (2), 1964)

"If cybernetics is the science of control, management is the profession of control." (Anthony S Beer, "Decision and Control", 1966)

"Most of our beliefs about complex organizations follow from one or the other of two distinct strategies. The closed-system strategy seeks certainty by incorporating only those variables positively associated with goal achievement and subjecting them to a monolithic control network. The open-system strategy shifts attention from goal achievement to survival and incorporates uncertainty by recognizing organizational interdependence with environment. A newer tradition enables us to conceive of the organization as an open system, indeterminate and faced with uncertainty, but subject to criteria of rationality and hence needing certainty." (James D Thompson, "Organizations in Action", 1967)

"Policy-making, decision-taking, and control: These are the three functions of management that have intellectual content." (Anthony S Beer, "Management Science" , 1968)

"The management of a system has to deal with the generation of the plans for the system, i. e., consideration of all of the things we have discussed, the overall goals, the environment, the utilization of resources and the components. The management sets the component goals, allocates the resources, and controls the system performance." (C West Churchman, "The Systems Approach", 1968)

"One difficulty in developing a good [accounting] control system is that quantitative results will differ according to the accounting principles used, and accounting principles may change." (Ernest Dale, "Readings in Management", 1970)

"To be productive the individual has to have control, to a substantial extent, over the speed, rhythm, and attention spans with which he is working […] While work is, therefore, best laid out as uniform, working is best organized with a considerable degree of diversity. Working requires latitude to change speed, rhythm, and attention span fairly often. It requires fairly frequent changes in operating routines as well. What is good industrial engineering for work is exceedingly poor human engineering for the worker." (Peter F Drucker, "Management: Tasks, Responsibilities, Practices", 1973)

"A mature science, with respect to the matter of errors in variables, is not one that measures its variables without error, for this is impossible. It is, rather, a science which properly manages its errors, controlling their magnitudes and correctly calculating their implications for substantive conclusions." (Otis D Duncan, "Introduction to Structural Equation Models", 1975)

"Any observed statistical regularity will tend to collapse once pressure is placed upon it for control purposes." (Charles Goodhart, "Problems of Monetary Management: the U.K. Experience", 1975)

"When information is centralized and controlled, those who have it are extremely influential. Since information is [usually] localized in control subsystems, these subsystems have a great deal of organization influence." (Henry L Tosi & Stephen J Carroll, "Management", 1976)

"[...] when a variety of tasks have all to be performed in cooperation, synchronization, and communication, a business needs managers and a management. Otherwise, things go out of control; plans fail to turn into action; or, worse, different parts of the plans get going at different speeds, different times, and with different objectives and goals, and the favor of the 'boss' becomes more important than performance." (Peter F Drucker, "People and Performance", 1977)

"Uncontrolled variation is the enemy of quality." (W Edwards Deming, 1980)

"The key mission of contemporary management is to transcend the old models which limited the manager's role to that of controller, expert or morale booster. These roles do not produce the desired result of aligning the goals of the employees and the corporation. [...] These older models, vestiges of a bygone era, have served their function and must be replaced with a model of the manager as a developer of human resources." (Michael Durst, "Small Systems World", 1985)

"The outcome of any professional's effort depends on the ability to control working conditions." (Joseph A Raelin, "Clash of Cultures: Managers and Professionals", 1986)

"Executives have to start understanding that they have certain legal and ethical responsibilities for information under their control." (Jim Leeke, PC Week, 1987)

"Give up control even if it means the employees have to make some mistakes." (Frank Flores, Hispanic Business, 1987)

"In complex situations, we may rely too heavily on planning and forecasting and underestimate the importance of random factors in the environment. That reliance can also lead to delusions of control." (Hillel J Einhorn & Robin M. Hogarth, Harvard Business Review, 1987)

"Managers exist to plan, direct and control the project. Part of the way they control is to listen to and weigh advice. Once a decision is made, that's the way things should proceed until a new decision is reached. Erosion of management decisions by [support] people who always 'know better' undermines managers' credibility and can bring a project to grief." (Philip W Metzger, "Managing Programming People", 1987)

"To be effective, a manager must accept a decreasing degree of direct control." (Eric G Flamholtz & Yvonne Randal, "The Inner Game of Management", 1987)

"[Well-managed modern organizations] treat everyone as a source of creative input. What's most interesting is that they cannot be described as either democratically or autocratically managed. Their managers define the boundaries, and their people figure out the best way to do the job within those boundaries. The management style is an astonishing combination of direction and empowerment. They give up tight control in order to gain control over what counts: results." (Robert H Waterman, "The Renewal Factor", 1987)

"We have created trouble for ourselves in organizations by confusing control with order. This is no surprise, given that for most of its written history, leadership has been defined in terms of its control functions." (Margaret J Wheatley, "Leadership and the New Science: Discovering Order in a Chaotic World", 1992)

"Management is not founded on observation and experiment, but on a drive towards a set of outcomes. These aims are not altogether explicit; at one extreme they may amount to no more than an intention to preserve the status quo, at the other extreme they may embody an obsessional demand for power, profit or prestige. But the scientist's quest for insight, for understanding, for wanting to know what makes the system tick, rarely figures in the manager's motivation. Secondly, and therefore, management is not, even in intention, separable from its own intentions and desires: its policies express them. Thirdly, management is not normally aware of the conventional nature of its intellectual processes and control procedures. It is accustomed to confuse its conventions for recording information with truths-about-the-business, its subjective institutional languages for discussing the business with an objective language of fact and its models of reality with reality itself." (Stanford Beer, "Decision and Control", 1994)

"Without some element of governance from the top, bottom-up control will freeze when options are many. Without some element of leadership, the many at the bottom will be paralysed with choices." (Kevin Kelly, "Out of Control: The New Biology of Machines, Social Systems and the Economic World", 1995)

"Management is a set of processes that can keep a complicated system of people and technology running smoothly. The most important aspects of management include planning, budgeting, organizing, staffing, controlling, and problem solving." (John P Kotter, "Leading Change", 1996) 

"The manager [...] is understood as one who observes the causal structure of an organization in order to be able to control it [...] This is taken to mean that the manager can choose the goals of the organization and design the systems or actions to realize those goals [...]. The possibility of so choosing goals and strategies relies on the predictability provided by the efficient and formative causal structure of the organization, as does the possibility of managers staying 'in control' of their organization's development. According to this perspective, organizations become what they are because of the choices made by their managers." (Ralph D Stacey et al, "Complexity and Management: Fad or Radical Challenge to Systems Thinking?", 2000)

"Success or failure of a project depends upon the ability of key personnel to have sufficient data for decision-making. Project management is often considered to be both an art and a science. It is an art because of the strong need for interpersonal skills, and the project planning and control forms attempt to convert part of the 'art' into a science." (Harold Kerzner, "Strategic Planning for Project Management using a Project Management Maturity Model", 2001)

"The premise here is that the hierarchy lines on the chart are also the only communication conduit. Information can flow only along the lines. [...] The hierarchy lines are paths of authority. When communication happens only over the hierarchy lines, that's a priori evidence that the managers are trying to hold on to all control. This is not only inefficient but an insult to the people underneath." (Tom DeMarco, "Slack: Getting Past Burnout, Busywork, and the Myth of Total Efficiency", 2001)

"Management can be defined as the attainment of organizational goals in an effective and efficient manner through planning, organizing, staffing, directing, and controlling organizational resources." (Richard L Daft, "The Leadership Experience" 4th Ed., 2008)

"In a complex society, individuals, organizations, and states require a high degree of confidence - even if it is misplaced - in the short-term future and a reasonable degree of confidence about the longer term. In its absence they could not commit themselves to decisions, investments, and policies. Like nudging the frame of a pinball machine to influence the path of the ball, we cope with the dilemma of uncertainty by doing what we can to make our expectations of the future self-fulfilling. We seek to control the social and physical worlds not only to make them more predictable but to reduce the likelihood of disruptive and damaging shocks (e.g., floods, epidemics, stock market crashes, foreign attacks). Our fallback strategy is denial." (Richard N Lebow, "Forbidden Fruit: Counterfactuals and International Relations", 2010)

"Almost by definition, one is rarely privileged to 'control' a disaster. Yet the activity somewhat loosely referred to by this term is a substantial portion of Management, perhaps the most important part. […] It is the business of a good Manager to ensure, by taking timely action in the real world, that scenarios of disaster remain securely in the realm of Fantasy." (John Gall, "The Systems Bible: The Beginner's Guide to Systems Large and Small"[Systematics 3rd Ed.], 2011)

"Without precise predictability, control is impotent and almost meaningless. In other words, the lesser the predictability, the harder the entity or system is to control, and vice versa. If our universe actually operated on linear causality, with no surprises, uncertainty, or abrupt changes, all future events would be absolutely predictable in a sort of waveless orderliness." (Lawrence K Samuels, "Defense of Chaos", 2013)

"The problem of complexity is at the heart of mankind’s inability to predict future events with any accuracy. Complexity science has demonstrated that the more factors found within a complex system, the more chances of unpredictable behavior. And without predictability, any meaningful control is nearly impossible. Obviously, this means that you cannot control what you cannot predict. The ability ever to predict long-term events is a pipedream. Mankind has little to do with changing climate; complexity does." (Lawrence K Samuels, "The Real Science Behind Changing Climate", LewRockwell.com, August 1, 2014) 

24 July 2019

IT: Information Technology Information Library (Definitions)

"A series of documents used to aid the implementation of a framework for IT service management (ITSM). This framework defines how service management is applied in specific organizations. Being a framework, it is completely customizable for an application within any type of business or organization that has a reliance on IT infrastructure." (Tilak Mitra et al, "SOA Governance", 2008)

"A framework and set of standards for IT governance based on best practices." (Judith Hurwitz et al, "Service Oriented Architecture For Dummies" 2nd Ed., 2009)

"A framework of supplier independent best practice management procedures for delivery of high quality IT services." (DAMA International, "The DAMA Dictionary of Data Management", 2011)

"a set of guidelines for developing and managing IT operations and services." (Bill Holtsnider & Brian D Jaffe, "IT Manager's Handbook" 3rd Ed., 2012)

"A framework and set of standards for IT governance based on best practices." (Marcia Kaufman et al, "Big Data For Dummies", 2013)

"A group of books written and released by the United Kingdom’s Office of Government and Commerce (OGC). ITIL documents best practices organizations can implement to provide consistent IT services. The library includes five books." (Darril Gibson, "Effective Help Desk Specialist Skills", 2014)

"A set of process-oriented best practices and guidance originally developed in the United Kingdom to standardize delivery of informational technology service management." (Robert F Smallwood, "Information Governance: Concepts, Strategies, and Best Practices", 2014)

"Best practices for information technology services management processes developed by the United Kingdom’s Office of Government Commerce." (Adam Gordon, "Official (ISC)2 Guide to the CISSP CBK" 4th Ed., 2015)

"The IT Infrastructure Library; a set of best practice publications for IT service management." (by Brian Johnson & Leon-Paul de Rouw, "Collaborative Business Design", 2017)

"The Information Technology Infrastructure Library (ITIL) presents pre-defined processes for IT service management. The fourth edition of ITIL depicts two key elements ITIL Service-Value-System (SVS) and a four dimensions model." (Anna Wiedemann et al, "Transforming Disciplined IT Functions: Guidelines for DevOps Integration", 2021)

"set of best practices guidance" (ITIL)

12 February 2019

IT: IT Governance (Definitions)

"Framework for the leadership, organizational structures and business processes, standards and compliance to these standards, which ensure that the organization’s IT supports and enables the achievement of its strategies and objectives." (Alan Calder, "IT Governance: Guidelines for Directors", 2005)

"The processes, policies, relationships, and mechanisms that ensure that information technology delivers business value while balancing risk and investment decisions. IT governance ensures accountability and provides rigor for managing IT capabilities in the context of a larger corporate governance framework." (Evan Levy & Jill Dyché, "Customer Data Integration", 2006)

"Addresses the application of governance to an IT organization and its people, processes, and information to guide the way those assets support the needs of the business. It may be characterized by assigning decision rights and measures to processes." (Tilak Mitra et al, "SOA Governance", 2008)

"IT governance is the system and structure for defining policy and monitoring and controlling the policy implementation, and managing and coordinating the procedures and resources aimed at ensuring the efficient and effective execution of services." (Anton Joha & Marijn Janssen, "The Strategic Determinants of Shared Services", 2008)

"The discipline of managing IT as a service to the business, aligning IT objectives with business goals." (Allen Dreibelbis et al, "Enterprise Master Data Management", 2008)

"An integral part of enterprise governance and consists of the leadership and organizational structures and processes that ensure the enterprise’s IT sustains and extends the organization’s strategies and objectives." (Edephonce N Nfuka & Lazar Rusu, IT Governance in the Public Sector in a Developing Country, 2009)

"(1) Locus of IT decision-making authority (narrow definition). (2) The distribution of IT decision-making rights and responsibilities among different stakeholders in the organization, and the rules and procedures for making and monitoring decisions on strategic IT concerns (comprehensive definition)." (Ryan R Peterson, "Trends in Information Technology Governance", 2009)

"Structure of relationships and processes to direct and control the IT enterprise to achieve IT’s goals by adding value while balancing risk versus return over IT and its processes." (IT Governance Institute, "IT Governance Implementation Guide, Using COBIT and Val IT", 2010)

"The discipline of tracking, managing, and steering an IS/IT landscape. Architectural governance is concerned with change processes (design governance). Operational governance looks at the operational performance of systems against contracted performance levels, the definition of operational performance levels, and the implementation of systems that ensure the effective operation of systems." (David Lyle & John G Schmidt, "Lean Integration", 2010)

"Formally established statements that direct the policies regarding IT alignment with organizational goals and allocation of resources." (Linda Volonino & Efraim Turban, "Information Technology for Management 8th Ed", 2011)

"Supervision monitoring and control of an organization's IT assets." (Linda Volonino & Efraim Turban, "Information Technology for Management" 8th Ed, 2011)

"The processes and relationships that lead to reasoned decision making in IT." (Steven Romero, "Eliminating ‘Us and Them’", 2011)

"The function of ensuring that the enterprise's IT activities match and support the organization's strategies and objectives. Governance is very often associated with budgeting, project management, and compliance activities." (Bill Holtsnider & Brian D Jaffe, "IT Manager's Handbook" 3rd Ed, 2012)

"Controls and process to improve the effectiveness of information technology; also, the primary way that stakeholders can ensure that investments in IT create business value and contribute toward meeting business objectives." (Robert F Smallwood, "Information Governance: Concepts, Strategies, and Best Practices", 2014)

"Processes used to ensure that IT resources are aligned with the goals of the organization. Organizations often use frameworks to help them with IT governance." (Darril Gibson, "Effective Help Desk Specialist Skills", 2014)

"The framework of rules and practices by which an organization structures its technology decision-making process in order to ensure alignment of the organization's business strategy with its operations." (David K Pham, "From Business Strategy to Information Technology Roadmap", 2016)

"Set of methods and techniques for reaching full alignment between business strategy and IT strategy." (Dalia S Vugec, "IT Strategic Grid: A Longitudinal Multiple Case Study", 2019)

"The processes that ensure the effective and efficient use of IT in enabling an organization to achieve its goals." (Lili Aunimo et al, "Big Data Governance in Agile and Data-Driven Software Development: A Market Entry Case in the Educational Game Industry", 2019)

"The structures, processes, and mechanisms by which the current and future use of ICT is directed and controlled." (Konstantinos Tsilionis & Yves Wautelet, "Aligning Strategic-Driven Governance of Business IT Services With Their Agile Development: A Conceptual Modeling-Based Approach", 2021)

"IT governance (ITG) is defined as the processes that ensure the effective and efficient use of IT in enabling an organization to achieve its goals." (Gartner)

"The system by which the current and future use of IT is directed and controlled, Corporate Governance of IT involves evaluating and directing the use of IT to support the organisation and monitoring this use to achieve plans." (ISO/IEC 38500)

06 February 2019

IT Governance: COBIT (Definitions)

"An IT governance framework and supporting toolset that allows managers to bridge the gap between control requirements, technical issues, and business risks. COBIT enables clear policy development and good practice for IT control throughout organizations. COBIT is managed by the IT Governance Institute and the Information Systems Audit and Control Foundation® (ISACF)." (Tilak Mitra et al, "SOA Governance", 2008)

"COBIT is a set of standards from the IT Governance Institute relating to IT Governance. It defines a set of governance control objectives to help guide the IT organization in making appropriate decisions for each domain." (Martin Oberhofer et al, "Enterprise Master Data Management", 2008)

"An internationally accepted IT governance and control framework that aligns IT business objectives, delivering value and managing associated risks." (Linda Volonino & Efraim Turban, "Information Technology for Management" 8th Ed., 2011)

"An IT framework with a focus on governance and managing technical and business risks." (Marcia Kaufman et al, "Big Data For Dummies", 2013)

"A management framework used for IT governance. COBIT 5 is based on five principles and provides organizations with a set of good practices they can apply to IT management and IT governance." (Darril Gibson, "Effective Help Desk Specialist Skills", 2014)

"A process-based information technology governance framework that represents a consensus of experts worldwide. It was codeveloped by the IT Governance Institute and ISACA." (Robert F Smallwood, "Information Governance: Concepts, Strategies, and Best Practices", 2014)

"A framework that provides best practices for IT governance and control." (Weiss, "Auditing IT Infrastructures for Compliance" 2nd Ed., 2015)

"Provides guidance and best practice for the management of IT processes" (ITIL)

30 January 2019

Governance: Compliance (Definitions)

"(1) Conforming or acquiescing to requirements from a third party. (2) A subset of data retention policies and procedures that must adhere to more rigid and rigorous conditions." (David G Hill, "Data Protection: Governance, Risk Management, and Compliance", 2009)

"The successful fulfillment of regulations, usually set by a financial institution (for borrowing purposes) or industry standards." (Annetta Cortez & Bob Yehling, "The Complete Idiot's Guide® To Risk Management", 2010)

"The process of conforming, completing, performing, or adapting actions to meet the rules, demands, or wishes of another party. Commonly used when discussing conformance to external government or industry regulations." (Craig S Mullins, "Database Administration: The Complete Guide to DBA Practices and Procedures 2nd Ed", 2012)

"The ability to operate in the way defined by a regulation. Many organizations are introduced to governance concepts as they begin the process of complying with business regulations, such as Sarbanes|Oxley or Basel II. These regulations are enforced by audits that determine whether business decisions were made by the appropriate staff according to appropriate policies. To pass these audits, organizations must document their decision rights, policies, and records, specifically that each of the decisions was in fact made by the appropriate person according to policy." (Paul C Dinsmore et al, "Enterprise Project Governance", 2012)

"The process of conforming, completing, performing, or adapting actions to meet the rules, demands, or wishes of another party. Commonly used when discussing conformance to external government or industry regulations." (Craig S Mullins, "Database Administration", 2012)

"A general concept of conforming to a rule, standard, law, or requirement such that the assessment of compliance results in a binomial result stated as 'compliant' or 'noncompliant'." (For Dummies, "PMP Certification All-in-One For Dummies, 2nd Ed.", 2013)

"Business rules enforced by legislation or some other governing body" (Daniel Linstedt & W H Inmon, "Data Architecture: A Primer for the Data Scientist", 2014)

"Compliance refers to a strategy and a set of activities and artifacts that allow teams to apply Lean-Agile development methods to build systems that have the highest possible quality, while simultaneously assuring they meet any regulatory, industry, or other relevant standards." (Dean Leffingwell, "SAFe 4.5 Reference Guide: Scaled Agile Framework for Lean Enterprises 2nd Ed", 2018)

"Ensuring that a standard or set of guidelines is followed, or that proper, consistent accounting or other practices are being employed." (ITIL)

"The capability of the software product to adhere to standards, conventions or regulations in laws and similar prescriptions." [ISO 9126]

28 January 2019

Governance: Standard (Definitions)

"A rule, policy, principle, or measure either established by an organization or established by a recognized standards body and adopted by that organization. Adherence is expected and mandatory until revoked or revised. Exceptions are allowed provided appropriate process is followed." (Tilak Mitra et al, "SOA Governance", 2008)

"A document that provides, for common and repeated use, rules, guidelines, or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context." (Cynthia Stackpole, "PMP® Certification All-in-One For Dummies®", 2011)

"A standard is something considered by an authority or by general consent as a basis of comparison; an approved model. Or it is a rule or principle that is used as a basis for judgment. Standards embody expectations in a formal manner. To standardize something means to cause it to conform to a standard; or to choose or establish a standard for something. (Laura Sebastian-Coleman, "Measuring Data Quality for Ongoing Improvement", 2012)

"Data quality standards are assertions about the expected condition of the data that relate directly to quality dimensions: how complete the data is, how well it conforms to defined rules for validity, integrity, and consistency, as well as how it adheres to defined expectations for presentation." (Laura Sebastian-Coleman, "Measuring Data Quality for Ongoing Improvement", 2012)

"The principles or criteria for consistent, ultimate, superior performance outcomes or for how individuals and organizations conduct themselves (ethics)." (Joan C Dessinger, "Fundamentals of Performance Improvement" 3rd Ed., 2012)

"A core set of common, repeatable best practices and protocols that have been agreed on by a business or industry group. Typically, vendors, industry user groups, and end users collaborate to develop standards based on the broad expertise of a large number of stakeholders. Organizations can leverage these standards as a common foundation and innovate on top of them." (Marcia Kaufman et al, "Big Data For Dummies", 2013)

"A document that provides, for common and repeated use, rules, guidelines, or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context." (For Dummies, "PMP Certification All-in-One For Dummies" 2nd Ed., 2013)

"A document that supports a policy. It consists of mandated rules, which support the higher-level policy goals." (Weiss, "Auditing IT Infrastructures for Compliance" 2nd Ed., 2015)

"A document established by an authority, custom, or general consent as a model or example." (Project Management Institute, "A Guide to the Project Management Body of Knowledge (PMBOK® Guide )", 2017)

"[technical standard:] A specification or requirement or technical characteristic that becomes a norm for a product or process thereby ensuring compatibility." (Robert M Grant, "Contemporary Strategy Analysis 10th Ed", 2018)

"A published specification for, e.g., the structure of a particular file format, recommended nomenclature to use in a particular domain, a common set of metadata fields, etc. Conforming to relevant standards greatly increases the value of published data by improving machine readability and easing data integration." (Open Data Handbook)

" Documented agreements containing technical specifications or other precise criteria to be used consistently as rules, guidelines, or definitions of characteristics, to ensure that materials, products, processes and services are fit for their purpose." (SDMX) 

"Formal, possibly mandatory, set of requirements developed and used to prescribe consistent approaches to the way of working or to provide guidelines (e.g., ISO/IEC standards, IEEE standards, and organizational standards)." [CMMI]

"Mandatory requirements employed and enforced to prescribe a disciplined uniform approach to software development, that is, mandatory conventions and practices are in fact standards." (IEEE Std 983-1986) 

"The metric, specification, gauge, statement, category, segment, grouping, behavior, event or physical product sample against which the outputs of a process are compared and declared acceptable or unacceptable." (ASQ)

24 January 2019

Governance: Authority (Definitions)

[formal authority:] "Explicit power granted to meet an explicit set of service expectations, such as those in job descriptions or legislative mandates." (Alexander Grashow et al, "The Practice of Adaptive Leadership", 2009)

"Formal or informal power within a system, entrusted by one party to another in exchange for a service. The basic services, or social functions, provided by authorities are: (1) direction; (2) protection; and (3) order." (Alexander Grashow et al, "The Practice of Adaptive Leadership", 2009)

[informal authority:] "Power granted implicitly to meet a set of service expectations, such as representing cultural norms like civility or being given moral authority to champion the aspirations of a movement." (Alexander Grashow et al, "The Practice of Adaptive Leadership", 2009)

[Decision-making authority:] "Refers to the decisions that agents are authorized to make on behalf of principals. (585)" (Leslie G Eldenburg & Susan K Wolcott, "Cost Management 2nd Ed", 2011)

"The right to apply project resources, expend funds, make decisions, or give approvals." (Cynthia Stackpole, "PMP Certification All-in-One For Dummies", 2011)

"The explicit or implicit delegation of power or responsibility for a particular activity." (Sally-Anne Pitt, "Internal Audit Quality", 2014)

"The power vested in a person by virtue of her role to expend resources: financial, material, technical, and human." (Fred MacKenzie, "7 Paths to Managerial Leadership", 2016)

"The ability of a role incumbent to apply resources to a task without reference to another person." (Catherine Burke et al, "Systems Leadership" 2nd Ed., 2018)

"‘The right, given by constitution, law, role description or mutual agreement for one person to require another person to act in a prescribed way (specified in the document or agreement). The likelihood of exercising authority effectively will usually depend upon good Social Process Skills’. The acceptance of the exercise of authority within a work organisation is a function of the contract of employment. Is it essential that there is a clear understanding of the difference between authority and power and that authority is not a one-way process. In a correctly functioning organisation, for example, a manager has the authority to assign tasks to a direct report and the direct report has the authority to require a task performance review by the manager." (Catherine Burke et al, "Systems Leadership" 2nd Ed., 2018)

"power to direct and exact performance from others. It includes the right to prescribe the means and methods by which work will be done. However, the authority to direct is only as good as one individual’s willingness to accept direction from another. Moreover, with authority comes responsibility and accountability." (All Business, "Dictionary of Accounting Terms")

"(1) power over others by sanctioned personnel within an organization. Managers have the authority to hire and fire personnel in an organization. With authority comes responsibility for one’s actions. (2) a government corporation or agency that administers a public enterprise." (All Business, "Dictionary of Business Terms")

20 January 2019

Governance: Guideline (Definitions)

"An indication or outline of policy or conduct. Adherence to guidelines is recommended but is not mandatory." (Tilak Mitra et al, "SOA Governance", 2008)

"A kind of business rule that is suggested, but not enforced." (David C Hay, "Data Model Patterns: A Metadata Map", 2010)

"An official recommendation or advice that indicates policies, standards, or procedures for how something should be accomplished." (For Dummies, "PMP Certification All-in-One For Dummies, 2nd Ed.", 2013)

"A document that support standards and policies, but is not mandatory." (Weiss, "Auditing IT Infrastructures for Compliance" 2nd Ed., 2015)

"Non-enforced suggestions for increasing functioning and performance." (Mike Harwood, "Internet Security: How to Defend Against Attackers on the Web" 2nd Ed., 2015)

"Recommended actions and operational guides for users, IT staff, operations staff, and others when a specific standard does not apply." (Shon Harris & Fernando Maymi, "CISSP All-in-One Exam Guide" 8th Ed, 2018)

"A description of a particular way of accomplishing something that is less prescriptive than a procedure." (ISTQB)

"A description that clarifies what should be done and how, to achieve the objectives set out in policies"
(ISO/IEC 13335-1:2004)

19 January 2019

Governance: Policy (Definitions)

"A general, usually strategically focused statement, rule, or regulation that describes how a particular activity, operation, or group of operations will be carried out within a company." (Steven Haines, "The Product Manager's Desk Reference", 2008)

"A deliberate plan of action to guide decisions and achieve rationale outcomes." (Tilak Mitra et al, "SOA Governance", 2008)

"Clear and measurable statements of preferred direction and behaviour to condition the decisions made within an organization." (ISO/IEC 38500:2008, 2008)

"The encoding of rules particular to a business domain, its data content, and the application systems designed to operate in this domain on this set of data." (Alex Berson & Lawrence Dubov, "Master Data Management and Data Governance", 2010)

"A rule or principle that guides or constrains the behavior of someone given decision rights. Policies provide guidelines, sometimes set limits, and sometimes enables behavior. Policies guide decision rights, which are generally conditional." (Paul C Dinsmore et al, "Enterprise Project Governance", 2012)

"A structured pattern of actions adopted by an organization such that the organization’s policy can be explained as a set of basic principles that govern the organization’s conduct." (For Dummies, "PMP Certification All-in-One For Dummies, 2nd Ed.", 2013)

"A high-level overall plan, containing a set of principles that embrace the general goals of the organization and are used as a basis for decisions. A policy can include some specifics of processes allowed and not allowed." (Robert F Smallwood, "Information Governance: Concepts, Strategies, and Best Practices", 2014)

"The intentions of an organisation as formally expressed by its top management [1]" (David Sutton, "Information Risk Management: A practitioner’s guide", 2014)

"A document that regulates conduct through a general statement of beliefs, goals, and objectives." (Weiss, "Auditing IT Infrastructures for Compliance" 2nd Ed., 2015)

"A structured pattern of actions adopted by an organization such that the organization's policy can be explained as a set of basic principles that govern the organization's conduct." (Project Management Institute, "A Guide to the Project Management Body of Knowledge (PMBOK® Guide)" 6th Ed., 2017)

"A high-level overall plan, containing a set of principles that embrace the general goals of the organization and are used as a basis for decisions. Can include some specifics of processes allowed and not allowed." (Robert F Smallwood, "Information Governance for Healthcare Professionals", 2018)

"A statement of objectives, rules, practices or regulations governing the activities of people within a certain context." (NISTIR 4734)

"Statements, rules, or assertions that specify the correct or expected behavior of an entity." (NIST SP 1800-15B)

15 January 2019

Governance: Accountability (Definitions)

"The obligation to answer for a responsibility conferred. It is a relationship based on the obligation to demonstrate and take responsibility for performance in light of agreed expectations, whether or not those actions were within your direct control." (Paul C Dinsmore et al, "Enterprise Project Governance", 2012)

"The ability to trace activities on information resources to unique individuals who accept responsibility for their activities on the network." (Mark Rhodes-Ousley, "Information Security: The Complete Reference" 2nd Ed., 2013)

"The obligation to answer for a responsibility that has been conferred. It presumes the existence of at least two parties: one who allocates responsibility and one who accepts it with the undertaking to report upon the manner in which it has been discharged." (Sally-Anne Pitt, "Internal Audit Quality", 2014)

"A component of a work relationship between two people wherein one accepts the requirement to provide an account to the other of the following three questions relating to work. What did you do? How did you do it? Why did you do it that way? The most common application of the concept of accountability is that which applies as a function of a contract of employment within an organisation and though in our experience this requirement to accept accountability is rarely articulated clearly in the contract; it should be. An effective accountability discussion includes a discussion of the three questions above including how and why the person used particular processes to turn inputs into required outputs. Accountability is not a collective noun for tasks, as in ‘your accountabilities are …’. Too often this is used in employment, contracts and in role descriptions, which confuses work and accountability. A role may describe work but we are still to discover if the person is actually held to account for that work. Accountability as a concept applying within coherent social groups is brought to the fore for society in general by the process of the courts wherein people in the witness box are required to answer, in public, questions as to what, how and why something was, or was not, done and judgement is passed as an outcome of this process." (Catherine Burke et al, "Systems Leadership", 2nd Ed., 2018)

"A security principle indicating that individuals must be identifiable and must be held responsible for their actions." (Shon Harris & Fernando Maymi, "CISSP All-in-One Exam Guide" 8th Ed., 2018)

"Assuming a transparent and appropriate level of responsibility for data assets that are under one’s care, which includes honoring obligations associated with good practice." (Kevin J Sweeney, "Re-Imagining Data Governance", 2018)

"The property of a system or system resource which ensures that the actions of a system entity may be traced uniquely to that entity, which can then be held responsible for its actions." (William Stallings, "Effective Cybersecurity: A Guide to Using Best Practices and Standards", 2018)

"Responsibility of data processing actors to put in place appropriate and effective measures to ensure compliance with the GDPR and be able to demonstrate so." (Yordanka Ivanova, "Data Controller, Processor, or Joint Controller: Towards Reaching GDPR Compliance in a Data- and Technology-Driven World", 2020)

"Principle that an individual is entrusted to safeguard and control equipment, keying material, and information and is answerable to proper authority for the loss or misuse of that equipment or information." (CNSSI-4009)

"The security goal that generates the requirement for actions of an entity to be traced uniquely to that entity. This supports nonrepudiation, deterrence, fault isolation, intrusion detection and prevention, and after-action recovery and legal action." (SP 800-27)

12 January 2019

Governance: Criteria (Definitions)

"Standards by which alternatives are judged. Attributes that describe certain (information) characteristics." (Martin J Eppler, "Managing Information Quality" 2nd Ed., 2006)

"Conditions that enable a decision to be made, especially at a decision point within the areas of work related to New Product Planning and New Product Introduction." (Steven Haines, "The Product Manager's Desk Reference", 2008)

"Standards, rules, or tests on which a judgment or decision can be based, or by which a product, service, result, or process can be evaluated." (Cynthia Stackpole, "PMP® Certification All-in-One For Dummies®", 2011)

"Standards or expectation specifying what should exist (what success looks like)." (Sally-Anne Pitt, "Internal Audit Quality", 2014)

[definite criteria] "A special purpose framework using a definite set of criteria having substantial support that is applied to all material items appearing in financial statements, such as the price-level basis of accounting." (Tom Klammer, "Statement of Cash Flows: Preparation, Presentation, and Use", 2018)

[common criteria:] "A set of internationally accepted semantic tools and constructs for describing the security needs of customers and the security attributes of products." (NIST SP 800-32)

[common criteria:] "Governing document that provides a comprehensive, rigorous method for specifying security function and assurance requirements for products and systems." (CNSSI 4009-2015)

[evaluation criteria:] "The standards by which accomplishments of technical and operational effectiveness or suitability characteristics may be assessed. Evaluation criteria are a benchmark, standard, or factor against which conformance, performance, and suitability of a technical capability, activity, product, or plan is measured." (NIST SP 800-137A)

08 January 2019

Governance: Delegation (Just the Quotes)

"Failure to delegate causes managers to be crushed and fail under the weight of accumulated duties that they do not know and have not learned to delegate." (James D Mooney, "Onward Industry!", 1931)

"Delegation means the conferring of a specified authority by a higher authority. In its essence it involves a dual responsibility. The one to whom responsibility is delegated becomes responsible to the superior for doing the job. but the superior remains responsible for getting the Job done. This principle of delegation is the center of all processes in formal organization. Delegation is inherent in the very nature of the relation between superior and subordinate. The moment the objective calls for the organized effort of more than one person, there is always leadership with its delegation of duties." (James D Mooney, "The Principles of Organization", 1947)

"The only way for a large organization to function is to decentralize, to delegate real authority and responsibility to the man on the job. But be certain you have the right man on the job." (Robert E Wood, 1951)

"You can delegate authority, but you can never delegate responsibility by delegating a task to someone else. If you picked the right man, fine, but if you picked the wrong man, the responsibility is yours - not his." (Richard E Krafve, The Boston Sunday Globe, 1960)

"Centralized controls are designed to ensure that the chief executive can find out how well the delegated authority and responsibility are being exercised." (Ernest Dale, "Management: Theory and practice", 1965)

"Guidelines for bureaucrats: (1) When in charge, ponder. (2) When in trouble, delegate. (3) When in doubt, mumble." (James Boren, New York Times, 1970)

"We find that the manager, particularly at senior levels, is overburdened with work. With the increasing complexity of modern organizations and their problems, he is destined to become more so. He is driven to brevity, fragmentation, and superficiality in his tasks, yet he cannot easily delegate them because of the nature of his information. And he can do little to increase his available time or significantly enhance his power to manage. Furthermore, he is driven to focus on that which is current and tangible in his work, even though the complex problems facing many organizations call for reflection and a far-sighted perspective." (Henry Mintzberg, "The structuring of organizations", 1979)

"Do not delegate an assignment and then attempt to manage it yourself - you will make an enemy of the overruled subordinate." (Wess Roberts, "Leadership Secrets of Attila the Hun", 1985)

"Surround yourself with the best people you can find, delegate authority, and don't interfere." (Ronald Reagan, Fortune, 1986)

"People and organizations don't grow much without delegation and completed staff work because they are confined to the capacities of the boss and reflect both personal strengths and weaknesses." (Stephen Covey, "Principle Centered Leadership", 1992)

"Responsibility is a unique concept [...] You may share it with others, but your portion is not diminished. You may delegate it, but it is still with you. [...] If responsibility is rightfully yours, no evasion, or ignorance or passing the blame can shift the burden to someone else. Unless you can point your finger at the man who is responsible when something goes wrong, then you have never had anyone really responsible." (Hyman G Rickover, "The Rickover Effect", 1992)

"We accomplish all that we do through delegation - either to time or to other people." (Stephen Covey, "Daily Reflections for Highly Effective People", 1994)

"The inability to delegate is one of the biggest problems I see with managers at all levels." (Eli Broad, "The Art of Being Unreasonable: Lessons in Unconventional Thinking", 2012)

"Delegation of authority is one of the most important functions of a leader, and he should delegate authority to the maximum degree possible with regard to the capabilities of his people. Once he has established policy, goals, and priorities, the leader accomplishes his objectives by pushing authority right down to the bottom. Doing so trains people to use their initiative; not doing so stifles creativity and lowers morale." (Thornas H Moorer)

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