Frank Ritter Reporting Governance


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  • Frank Ritter Reporting Governance

    1. 1. Best Practices for Reporting Governance and Change Control Frank Ritter Director, Business Intelligence Solutions
    2. 2. What We’ll Cover … <ul><li>Reporting governance: What it is and why you need it </li></ul><ul><li>Assembling your reporting governance team </li></ul><ul><li>Getting your reporting governance off the ground </li></ul><ul><li>Your next step: Four steps to clean house </li></ul><ul><li>Wrap-up </li></ul>
    3. 3. Reporting Reality at Most Companies <ul><li>There is chaos and anarchy in the corporate reporting world, and it is about to blow up! </li></ul><ul><ul><li>Too many reports </li></ul></ul><ul><ul><li>Too many reporting systems </li></ul></ul><ul><ul><li>Too many report owners </li></ul></ul><ul><ul><li>No report owners </li></ul></ul><ul><ul><li>Inadequate corporate performance measures </li></ul></ul><ul><ul><li>Bad data </li></ul></ul><ul><ul><li>Difficult to get to data </li></ul></ul><ul><ul><li>Impossible to get to data </li></ul></ul><ul><ul><li>Same data in multiple reports </li></ul></ul>
    4. 4. Reporting Survey Results <ul><li>Company survey (by Aloys Hosman) </li></ul><ul><ul><li>20 reports </li></ul></ul><ul><ul><ul><li>487 measurements </li></ul></ul></ul><ul><ul><ul><li>35,000 data points </li></ul></ul></ul><ul><ul><ul><li>89% manual entry </li></ul></ul></ul><ul><li>Typical complaints </li></ul><ul><ul><li>“ We can’t keep up with the quantity of reporting requests” </li></ul></ul><ul><ul><li>“ Reporting formats are ever-changing” </li></ul></ul><ul><ul><li>“ Clear definitions are missing” </li></ul></ul><ul><ul><li>“ We never get any feedback” </li></ul></ul><ul><ul><li>“ What is HQ doing with these reports?” </li></ul></ul>Caution
    5. 5. Reporting Survey Results (cont.) 65% Poor data retrieval performance, constraints due to poor cube design, poor ETL design System performance and architecture 82% Incomplete, inaccurate master data, incomplete/incorrect hierarchies, no organized process to capture and track quality metrics Data quality 80% Manual merge of data, lack of access controls, limited time to access existing data, feeds going to silo marts with limited access to other groups Data access 71% No dedicated reporting team, incomplete business requirements, lack of data ownership, same data requested for multiple reports Data management 65% Data gaps exist, same data item calculated differently, data source not arriving in a timely fashion Data acquisition and sourcing 76% Don’t know what data is available, or how the data was derived Data awareness, training, communication % of times mentioned Sample comments Category
    6. 6. What Are the Root Causes? <ul><li>Authority for initiating report requests is not centralized </li></ul><ul><ul><li>Everybody can request a report from everybody </li></ul></ul><ul><li>Uncoordinated acquisition of reporting tools </li></ul><ul><ul><li>Different systems in each business unit/region </li></ul></ul><ul><ul><li>No cohesive reporting strategy </li></ul></ul><ul><ul><li>Multiple reporting tools in one business unit </li></ul></ul><ul><ul><li>Dominance of Excel spreadsheets </li></ul></ul>
    7. 7. <ul><li>Lack of upstream interest for downstream effort </li></ul><ul><ul><li>No feedback from the recipient </li></ul></ul><ul><li>Responsibility for creating reports is delegated downstream </li></ul><ul><ul><li>Often to new associates who … </li></ul></ul><ul><ul><ul><li>Don’t know all of your systems yet </li></ul></ul></ul><ul><ul><ul><li>Don’t yet know who to ask for the right advice </li></ul></ul></ul><ul><ul><ul><li>Have the desire to “be creative,” and want to do a good job </li></ul></ul></ul>What Are the Root Causes? (cont.)
    8. 8. Solution: Reporting Governance <ul><li>Reporting governance defines how information is managed in an organization </li></ul><ul><ul><li>A properly functioning governance model enables faster and more accurate decision making by driving responsibility and accountability for good data into the business organization </li></ul></ul><ul><li>The goal: </li></ul><ul><ul><li>To build and maintain effective and efficient reporting processes based on clean, easily accessible data </li></ul></ul><ul><li>It is driven by the need for: </li></ul><ul><ul><li>Reporting process simplification </li></ul></ul><ul><ul><li>Higher levels of compliance </li></ul></ul><ul><ul><li>Delivering better information faster, to the right person at the right time, and in the right format </li></ul></ul>
    9. 9. In This Session ... <ul><li>How to construct a reporting governance organization that “works” </li></ul><ul><li>How to categorize, track, and manage your change control requests successfully, and in a more timely manner </li></ul><ul><li>The importance of involving security and authorizations in your change control process </li></ul><ul><li>Special considerations for regulated organizations </li></ul>
    10. 10. What We’ll Cover … <ul><li>Reporting governance: What it is and why you need it </li></ul><ul><li>Assembling your reporting governance team </li></ul><ul><li>Getting your reporting governance off the ground </li></ul><ul><li>Your next step: Four steps to clean house </li></ul><ul><li>Wrap-up </li></ul>
    11. 11. Your Reporting Governance Team Is Your Gatekeeper! <ul><li>Key responsibilities: </li></ul><ul><ul><li>Keep the house clean by controlling: </li></ul></ul><ul><ul><ul><li>Data awareness, communication, and training </li></ul></ul></ul><ul><ul><ul><li>Data acquisition, sourcing, and management </li></ul></ul></ul><ul><ul><ul><li>Data access and quality </li></ul></ul></ul><ul><ul><ul><li>System performance and architecture </li></ul></ul></ul><ul><ul><li>Establish and govern the rules for reporting requirements </li></ul></ul><ul><ul><ul><li>Create/change a new report only if those rules are met </li></ul></ul></ul><ul><ul><ul><li>Ask the question: “Why and what for?” </li></ul></ul></ul>
    12. 12. Reporting Governance Organization (Gatekeeper) <ul><li>Centralized governance organizations </li></ul><ul><ul><li>Can be one person or a team </li></ul></ul><ul><ul><li>Should include Business and IT representatives </li></ul></ul><ul><ul><ul><li>Business representatives to determine validity of request </li></ul></ul></ul><ul><ul><ul><li>IT representatives to determine information delivery mechanism, source systems, etc. </li></ul></ul></ul><ul><ul><li>Criteria to decide who should be involved: </li></ul></ul><ul><ul><ul><li>Type of process to be supported (PTP/OTC/FI/HR) </li></ul></ul></ul><ul><ul><ul><li>Required subject matter expertise </li></ul></ul></ul><ul><ul><ul><li>Required technical/application expertise </li></ul></ul></ul><ul><ul><ul><li>Might not always be someone from Finance </li></ul></ul></ul>
    13. 13. Reporting Governance Organization (Gatekeeper) (cont.) <ul><li>Decentralized/virtual governance organizations </li></ul><ul><ul><li>Can include a representative of each business unit </li></ul></ul><ul><ul><li>Can include a representative of each major process stream </li></ul></ul><ul><ul><li>Should include Business and IT representatives </li></ul></ul><ul><ul><ul><li>Business representative to determine the request’s validity </li></ul></ul></ul><ul><ul><ul><ul><li>Why is this report or change needed, and does it make sense? </li></ul></ul></ul></ul><ul><ul><ul><li>IT representative to determine the appropriate information delivery mechanism </li></ul></ul></ul><ul><ul><ul><ul><li>How is this request best fulfilled? What system do I use? Which InfoObject? How do I deliver it? </li></ul></ul></ul></ul>
    14. 14. Four Types of Governance Organizations <ul><li>Single Gatekeeper </li></ul><ul><li>Business Intelligence Competency Center </li></ul><ul><li>Program/Project Management Office </li></ul><ul><li>Enterprise Information Management Groups </li></ul>
    15. 15. 1 – Single Gatekeeper <ul><li>Responsibility for reporting governance lies with a single person </li></ul><ul><ul><li>Data or metadata administrator </li></ul></ul><ul><ul><li>BI architect </li></ul></ul><ul><ul><li>Process Owner (Controller/Cost Center Manager) </li></ul></ul><ul><li>Most widely-used model today </li></ul><ul><li>Pros/cons </li></ul><ul><ul><li>Pro: Relatively easy to implement </li></ul></ul><ul><ul><li>Con: Limited focus on one function/department/application </li></ul></ul>
    16. 16. 2 – Business Intelligence Competency Center <ul><li>Tasked to establish, execute, and govern Business Intelligence (BI) throughout the enterprise </li></ul><ul><li>Pros/cons </li></ul><ul><ul><li>Pro: Takes a holistic approach to BI </li></ul></ul><ul><ul><ul><li>Defines strategies and processes </li></ul></ul></ul><ul><ul><ul><ul><li>Data management, sourcing, storage, reporting … </li></ul></ul></ul></ul><ul><ul><ul><li>Covers organizational aspects </li></ul></ul></ul><ul><ul><ul><li>Responsible for technology enablers and infrastructure </li></ul></ul></ul><ul><ul><li>Con: More complex to implement as it constitutes a separate organizational unit </li></ul></ul>
    17. 17. 3 – Program/Project Management Office <ul><li>Tasked to establish, execute, and govern the project portfolio within an organization </li></ul><ul><li>Reporting is part of project governance </li></ul><ul><li>Can be permanent or temporary </li></ul><ul><li>Pros/cons </li></ul><ul><ul><li>Pro: Supports a structured, centralized approach to governance </li></ul></ul><ul><ul><li>Con: More complex to implement as it constitutes a separate organizational unit within the enterprise </li></ul></ul><ul><ul><li>Con: Focus is typically more on IT project management, less on overall governance outside the scope of the Project Management Office (PMO) </li></ul></ul>
    18. 18. 4 – Enterprise Information Management Groups <ul><li>Term coined in 2004 by Gartner, based on the trend to recognize information as an Enterprise asset </li></ul><ul><li>Can be implemented as a Competency Center or a centralized group </li></ul><ul><li>Creates the framework for all information management in an organization, including: </li></ul><ul><ul><li>Vision, Strategy, Organization, and Governance </li></ul></ul><ul><ul><li>Processes, Reference Models, and Metrics </li></ul></ul><ul><li>Pros/cons </li></ul><ul><ul><li>Pro: Provides the most comprehensive governance, handling all processes and tools related to reporting data </li></ul></ul><ul><ul><li>Con: Complex to implement </li></ul></ul>
    19. 19. Virtual Governance Organization Example <ul><li>Pharmaceutical company (regulated) </li></ul><ul><ul><li>Upgrade to SAP 4.7 and SAP BW 3.5 </li></ul></ul><ul><ul><li>Identified one Gatekeeper (SAP BW architect) as the main contact for all new report/query requests </li></ul></ul><ul><ul><li>Virtual governance organization consists of: </li></ul></ul><ul><ul><ul><li>Process Owners to review/approve new requests </li></ul></ul></ul><ul><ul><ul><li>FDA validation representative </li></ul></ul></ul><ul><ul><ul><li>IT Security/Authorizations </li></ul></ul></ul><ul><ul><li>Used groupware and a document management system as centralized repository for all requests </li></ul></ul>
    20. 20. Virtual Governance Organization Example (cont.) <ul><li>Telecommunications company </li></ul><ul><ul><li>Implemented SAP globally on one instance </li></ul></ul><ul><ul><li>Virtual governance organization consisted of: </li></ul></ul><ul><ul><ul><li>A global Gatekeeper for each major module </li></ul></ul></ul><ul><ul><ul><li>Regional Gatekeeper as counterpart </li></ul></ul></ul><ul><ul><ul><li>Global Process Owner and regional counterparts </li></ul></ul></ul><ul><ul><ul><li>Regional IT Security/Authorizations </li></ul></ul></ul><ul><ul><ul><li>Site IT support as primary point of contact for new requests </li></ul></ul></ul><ul><ul><li>Use an in-house developed request tracking and approval system </li></ul></ul>
    21. 21. Example: Multi-Tier Governance Strategy Enterprise Governance CIO/CFO Application Development Network and Infrastructure Data and Reporting Business and Technology Teams Business and Technology Teams Business and Technology Teams Strategic Governance Tactical Governance Governance Execution ACTION
    22. 22. But Governance Is Really Everyone’s Job <ul><li>Local information provider </li></ul><ul><ul><li>Provide the information used in reports </li></ul></ul><ul><ul><li>Overall responsibility of upstream reporting on a topic </li></ul></ul><ul><ul><li>Ensure alignment of master data with source systems and standards definitions </li></ul></ul><ul><li>Corporate functional departments/users </li></ul><ul><ul><li>Users of the information </li></ul></ul><ul><ul><li>Create new reporting requirements </li></ul></ul><ul><ul><li>Provide feedback and promote efficient use of resources </li></ul></ul>
    23. 23. But Governance Is Really Everyone’s Job (cont.) <ul><li>Information systems services provider </li></ul><ul><ul><li>Provides the enabling technology </li></ul></ul><ul><li>Information manager (Gatekeeper) </li></ul><ul><ul><li>Owner of the data tree </li></ul></ul><ul><ul><li>Defines reporting systems specifications </li></ul></ul><ul><ul><li>Decides how reporting requirements are best met </li></ul></ul>
    24. 24. But Governance Is Really Everyone’s Job (cont.) <ul><li>Project team members </li></ul><ul><ul><li>Identify changes needed and complete the change request form </li></ul></ul><ul><li>Project Manager </li></ul><ul><ul><li>Receive change requests </li></ul></ul><ul><ul><li>Approve, reject, or defer requests </li></ul></ul><ul><ul><li>Assign priority to requests </li></ul></ul><ul><ul><li>Review deliverables </li></ul></ul><ul><ul><li>Owner of the change log </li></ul></ul>
    25. 25. But Governance Is Really Everyone’s Job (cont.) <ul><li>Project administrator </li></ul><ul><ul><li>Log change requests in the change log </li></ul></ul><ul><ul><li>Track change request statuses </li></ul></ul><ul><ul><li>Maintains master record of all changes </li></ul></ul><ul><li>Assigned functional/technical project team members </li></ul><ul><ul><li>Investigate change requests and assess their impact on project timeline, budget, schedule, and scope </li></ul></ul><ul><ul><li>Develop specifications and execute the changes </li></ul></ul><ul><li>Steering Group </li></ul><ul><ul><li>Review and approve major reporting changes </li></ul></ul>
    26. 26. What We’ll Cover … <ul><li>Reporting governance: What it is and why you need it </li></ul><ul><li>Assembling your reporting governance team </li></ul><ul><li>Getting your reporting governance off the ground </li></ul><ul><li>Your next step: Four steps to clean house </li></ul><ul><li>Wrap-up </li></ul>
    27. 27. The Reporting Governance Management Plan <ul><li>Objective: </li></ul><ul><ul><li>Manage each change request </li></ul></ul><ul><ul><ul><li>During a project: Ensure scope is kept under control </li></ul></ul></ul><ul><ul><ul><li>After the project: Keep your information management house clean </li></ul></ul></ul><ul><ul><li>Ensure each change request is verified and approved </li></ul></ul><ul><ul><ul><li>During a project: Responsibility of the reporting team </li></ul></ul></ul><ul><ul><ul><li>After the project: Responsibility of the Gatekeeper </li></ul></ul></ul><ul><ul><li>Enable orderly implementation of each approved change </li></ul></ul><ul><ul><li>Allow the impact of all changes to be understood and managed </li></ul></ul><ul><li>But how? </li></ul>
    28. 28. Five Components of a Successful Governance Plan <ul><li>Classify your change and requests </li></ul><ul><li>Instate a systematic change control process </li></ul><ul><li>Track all change requests in a change request log </li></ul><ul><li>All changes must use a change request form </li></ul><ul><li>Define and broadcast conventions </li></ul>
    29. 29. <ul><li>Helps identify the root cause of reporting issues, e.g.: </li></ul><ul><ul><li>Lack of flexibility of a reporting solution </li></ul></ul><ul><ul><li>Governance for user-based reporting is too tight </li></ul></ul><ul><li>Types of changes and requests </li></ul><ul><ul><li>New custom development report </li></ul></ul><ul><ul><li>Additional data fields on existing reports </li></ul></ul><ul><ul><li>Report format corrections </li></ul></ul><ul><ul><li>Changes in report delivery mechanism </li></ul></ul><ul><ul><li>Data source change(s) </li></ul></ul><ul><ul><li>Planned changes vs. unplanned changes (bug fixes) </li></ul></ul>1 – Classify Your Change and Requests
    30. 30. <ul><li>Step 1: Submit change request </li></ul><ul><ul><li>Have one central repository for all change requests </li></ul></ul><ul><ul><li>Can come from a user or a team member (during a project) </li></ul></ul><ul><li>Step 2: Complete change request form </li></ul><ul><ul><li>Should be done by the user, with assistance from a team member or Gatekeeper </li></ul></ul><ul><li>Step 3: Assess, approve, and log change request </li></ul><ul><ul><li>Gatekeeper in line with reporting strategy, guidelines </li></ul></ul><ul><li>Step 4: Implement change </li></ul><ul><ul><li>Develop new report or modify existing report </li></ul></ul><ul><li>Step 5: Follow up and close the change request </li></ul><ul><ul><li>Confirm delivery with the requestor and close the request </li></ul></ul>2 – Instate a Systematic Change Control Process
    31. 31. Systematic, Change Control Process Flow Chart
    32. 32. Example Document Flow Validation Team Process Team Storage SP 105 Update SP105M & SP115M Release SP105M & SP115M Create SP105 Sign & Submit SP105M & SP115M Create SP115 Approve & File SP115 Storage SP 115 Create SP116 Sign & Submit SP115 Update TD N : 1 Collect URs Initial Creation SP105M Initial Creation SP115M Approve & File SP105M & SP115M Storage SP 105M Storage SP 115M 1 : 1 Provide UR & FR Sequence Numbers Sign & File SP105 Get Change Control Number from Trackwise Approve CC Approve & File SP116 Storage SP 116 Sign & Submit SP116 1 : N SP105M and SP115M already exist Validation Document Library Changes to existing requirements “ Change” instead of “Create”
    33. 33. <ul><li>Change request log </li></ul><ul><ul><li>All change requests/new requests should be documented in a change request log </li></ul></ul><ul><ul><li>Supports traceability </li></ul></ul><ul><ul><li>Ensures accountability </li></ul></ul><ul><ul><li>Should be owned by the Gatekeeper </li></ul></ul>3 – Track All Change Requests in a Change Request Log
    34. 34. Change Request Log Example
    35. 35. <ul><li>Change request control form – General data </li></ul><ul><ul><li>Format: </li></ul></ul><ul><ul><ul><li>Web-based, access through a portal </li></ul></ul></ul><ul><ul><ul><li>Paper-based (mostly during a project/limited team) </li></ul></ul></ul><ul><ul><ul><li>Semi-automated as part of a document management system/library/groupware </li></ul></ul></ul><ul><ul><li>Change request priorities </li></ul></ul><ul><ul><ul><li>Critical: Necessary to avoid adverse impact to operations </li></ul></ul></ul><ul><ul><ul><li>Important: Necessary for current business objectives </li></ul></ul></ul><ul><ul><ul><li>Desirable: Features that would be nice to have </li></ul></ul></ul>4 – All Changes Must Use a Change Request Form
    36. 36. <ul><li>Change request control form – General data (cont.) </li></ul><ul><ul><li>Impact analysis </li></ul></ul><ul><ul><ul><li>Estimated development cost </li></ul></ul></ul><ul><ul><ul><li>Estimated delivery date </li></ul></ul></ul><ul><ul><ul><li>Summary of anticipated impact </li></ul></ul></ul><ul><ul><li>Approval information </li></ul></ul><ul><ul><ul><li>Approver, assigned resources, date </li></ul></ul></ul>4 – All Changes Must Use a Change Request Form (cont.)
    37. 37. Change Request Control Form Example
    38. 38. Change Request Control Form Example (cont.)
    39. 39. Change Request Control Form Example (cont.)
    40. 40. Detailed Report Specification Example <ul><li>1. Contact information </li></ul><ul><ul><li>Date, requestor, organizational information </li></ul></ul><ul><ul><li>Unique number of the change request for tracking </li></ul></ul><ul><li>2. General report information </li></ul><ul><ul><li>Title, description, functional area </li></ul></ul><ul><ul><li>FDA or external/internal control relevance </li></ul></ul><ul><ul><li>Expected data volume </li></ul></ul><ul><ul><li>Complexity </li></ul></ul><ul><ul><li>Priority/timing of delivery </li></ul></ul>
    41. 41. <ul><li>3. Business benefit/reason for change </li></ul><ul><ul><li>Reason needed </li></ul></ul><ul><ul><ul><li>New legal requirement </li></ul></ul></ul><ul><ul><ul><li>New business requirement </li></ul></ul></ul><ul><ul><ul><li>Substitute for lack of system functionality </li></ul></ul></ul><ul><ul><li>A workaround exists? </li></ul></ul><ul><ul><ul><li>Describe what the workaround is, who created it, how long this workaround takes </li></ul></ul></ul><ul><ul><ul><li>Give a reason why the workaround needs to be replaced now </li></ul></ul></ul>Detailed Report Specification Example
    42. 42. <ul><li>4. Detailed functional description </li></ul><ul><ul><li>Introduce the functionality needed in the context of the business process </li></ul></ul><ul><ul><ul><li>Example: This report will provide the ability to track forecast accuracy at the brand level by month </li></ul></ul></ul><ul><ul><li>Requirements </li></ul></ul><ul><ul><ul><li>Example: This report will include absolute percentage error, forecast sales in units, and actual sales in units </li></ul></ul></ul><ul><ul><ul><li>Sort and summarize by month, with subtotals by brand </li></ul></ul></ul>Detailed Report Specification Example
    43. 43. <ul><li>4. Detailed functional description (cont.) </li></ul><ul><ul><li>Assumption </li></ul></ul><ul><ul><ul><li>Example: Forecast and actual quantities are loaded in units (each), each month by EOD 1 of the closing cycle </li></ul></ul></ul><ul><ul><li>Dependencies </li></ul></ul><ul><ul><ul><li>Example: Forecast is entered manually through BPS Planning Layout xyz </li></ul></ul></ul><ul><ul><ul><li>Actual sales, receipts, and adjustments are updated from SAP via interface abc </li></ul></ul></ul>Detailed Report Specification Example
    44. 44. <ul><li>5. Sample </li></ul><ul><ul><li>Attach a sample report, print screen, or mock layout </li></ul></ul><ul><li>6. Technical Specification </li></ul><ul><ul><li>A detailed description of: </li></ul></ul><ul><ul><ul><li>Field controls, screen validations, calculations </li></ul></ul></ul><ul><ul><ul><li>Selection and sort criteria, delivery options </li></ul></ul></ul><ul><ul><ul><li>Aggregation levels </li></ul></ul></ul><ul><ul><ul><li>Drill-down requirements, radio buttons, checkboxes </li></ul></ul></ul><ul><ul><ul><li>Data sources, interfaces, batch-jobs </li></ul></ul></ul><ul><ul><ul><li>Programming method </li></ul></ul></ul>Detailed Report Specification Example
    45. 45. Naming Convention Example Example: Document: FR-MM4050-01 Functional Requirement Custom code IT-DS-MM4050 v01 Design Specification IT-FS-MM4050 v01 Functional Specification FR-MM01-MM01 Functional Requirement Transaction UR-MM-01 UR-MM-02 User Requirement
    46. 46. <ul><li>Regulatory environments require a more stringent control of all changes to your system </li></ul><ul><ul><li>Typically, dedicated validation resources are involved </li></ul></ul><ul><ul><li>Full documentation of all changes </li></ul></ul><ul><ul><li>Traceability of all changes through naming conventions </li></ul></ul><ul><ul><li>Over 20 individual documents required in the initial set-up/documentation of a Part 11 relevant system </li></ul></ul><ul><ul><li>Responsibility and accountability ensured through a tight review and approval process with many signatures </li></ul></ul><ul><ul><li>Decide your validation approach wisely at the beginning of the project to optimize documentation requirements </li></ul></ul>FDA Compliance Considerations
    47. 47. FDA Compliance Considerations (cont.) <ul><ul><li>User requirements document </li></ul></ul><ul><ul><li>Functional requirements document </li></ul></ul><ul><ul><li>Technical design document </li></ul></ul><ul><ul><li>GMP Risk Assessment/Report </li></ul></ul><ul><ul><li>Audit trail list of tables </li></ul></ul><ul><ul><li>Audit trail report </li></ul></ul><ul><ul><li>Change trace matrix </li></ul></ul><ul><ul><li>Integration test plan </li></ul></ul><ul><ul><li>Integration test report </li></ul></ul><ul><ul><li>Computer application access matrix </li></ul></ul><ul><ul><li>Operational qualification report </li></ul></ul><ul><ul><li>Traceability matrix </li></ul></ul><ul><ul><li>Training notifications/records for users </li></ul></ul><ul><ul><li>Training report </li></ul></ul><ul><ul><li>Performance qualification report </li></ul></ul><ul><ul><li>Quality review report </li></ul></ul><ul><ul><li>Signature log </li></ul></ul><ul><ul><li>Validation summary report </li></ul></ul><ul><li>Validation-relevant documents </li></ul>
    48. 48. Lessons Learned <ul><li>Start small. Don’t try to boil the ocean. </li></ul><ul><ul><li>Identify a key area to focus on first </li></ul></ul><ul><li>Make sure to embed security in your change control process </li></ul><ul><ul><li>Have one person be the point person in your governance team that is responsible for security/authorizations </li></ul></ul><ul><li>Keep it simple and flexible </li></ul><ul><ul><li>Don’t overcomplicate the process by adding too many approval and/or review layers. Governance should govern and ensure compliance, quality, and speed, not hinder the information flow. </li></ul></ul>
    49. 49. What We’ll Cover … <ul><li>Reporting governance: What it is and why you need it </li></ul><ul><li>Assembling your reporting governance team </li></ul><ul><li>Getting your reporting governance off the ground </li></ul><ul><li>Your next step: Four steps to clean house </li></ul><ul><li>Wrap-up </li></ul>
    50. 50. Four Steps to Clean House <ul><li>Step 1: Create a reporting database </li></ul><ul><ul><li>Establish a database of all reports going to Headquarter </li></ul></ul><ul><ul><ul><li>Start small </li></ul></ul></ul><ul><ul><ul><li>Focus on one area/department/function </li></ul></ul></ul><ul><ul><ul><li>Use company organizational charts and process flow diagrams to define the scope of your analysis </li></ul></ul></ul><ul><ul><li>Identify the metrics on each report </li></ul></ul><ul><ul><ul><li>Build a list of data points </li></ul></ul></ul><ul><ul><ul><li>Identify dimensions </li></ul></ul></ul><ul><ul><li>Build the reporting database </li></ul></ul><ul><ul><ul><li>Document quantitative information </li></ul></ul></ul><ul><ul><ul><li>Document qualitative information </li></ul></ul></ul>
    51. 51. Four Steps to Clean House (cont.) <ul><li>Reporting database example: </li></ul>
    52. 52. Four Steps to Clean House (cont.) <ul><li>Step 2: Eliminate duplicates </li></ul><ul><ul><li>Identify identical data points and dimensions </li></ul></ul><ul><ul><li>Identify identical source systems </li></ul></ul><ul><li>Step 3: Identify similarities </li></ul><ul><ul><li>Not all reporting requirements must use a unique data point </li></ul></ul><ul><ul><li>Identify which ones can be substituted </li></ul></ul><ul><ul><li>Don’t lose data quality, however </li></ul></ul><ul><li>Step 4: Build a data tree and eliminate redundancies </li></ul><ul><ul><li>Identify data that can be derived or calculated </li></ul></ul><ul><ul><li>Create all reports based on this single source of the truth </li></ul></ul>
    53. 53. Data Tree Example Sales Volume Product Dimension Time Dimension Geographic Dimension By product category By product group By product brand By product By year By quarter By month By week By sales region By sales territory By sales org.
    54. 54. What We’ll Cover … <ul><li>Reporting governance: What it is and why you need it </li></ul><ul><li>Assembling your reporting governance team </li></ul><ul><li>Getting your reporting governance off the ground </li></ul><ul><li>Your next step: Four steps to clean house </li></ul><ul><li>Wrap-up </li></ul>
    55. 55. Resources <ul><li>Aloys Hosman – 5-part series on Information Logistics </li></ul><ul><ul><li>, April 2006 </li></ul></ul><ul><li>B-eye Network </li></ul><ul><ul><li>Duffie Brunson, “The Many Moving Parts of Governance,” August 22, 2006 </li></ul></ul><ul><ul><ul><li> </li></ul></ul></ul>
    56. 56. 7 Key Points to Take Home <ul><li>Reporting governance is a necessity, not a luxury </li></ul><ul><li>Clean data and ownership is half of the battle </li></ul><ul><li>Create a governance model by starting slowly. Don’t try to do it all at once. </li></ul><ul><li>Identify the right organizational model for your governance model </li></ul><ul><li>Create a nimble, but effective, change control process </li></ul><ul><li>Don’t forget to involve security/authorization people in the change control process </li></ul><ul><li>Remember Part 11 documentation requirements </li></ul>
    57. 57. Your Turn! How to contact me: Frank Ritter [email_address]
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