Developing Program Metrics to Demonstrate IG · the metrics data. Creates and distributes...

Developing Program Metrics to Demonstrate IG MaturitySangeet Rajan, KPMGMegan Hertzler, PG&E

November 15, 2017

Section One –The Challenge

3© 2016 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved.

IG Challenge for OrganizationsCorporations across industries struggle with linking investment in IG programs/activities with tangible benefits. If we decide to roll out new policies, schedules, procedures, technology and training and we invest in change management to operationalize the program what improves and at what pace and how do we measure success. Measurable goals drive behavior

AUD in non-compliance findings


Background

The Risk:Inconsistent implementation of the records & information management program elements and controlling data quality may result in the failure to construct, operate or maintain a safe system.

Inadequate business processes and system controls related to the collection, maintenance and disposition of records and information can result in non-compliance, security gaps and insufficient or inaccurate data for critical decision making or response to data requests.

The Company:The Company is a natural gas and electric utility provider serving 5.4 million electric and 4.3 million natural gas customers in northern and central California with unique record types and retention challenges (e.g. long lifecycle for asset records).


Records Management Over Time

Records produced years ago still remain relevant to business today

• The way we access records will change, but ensuring responsible records management safeguards our records for future generations


The Result

Significant investment in the Information Governance (IG)

program

Centralized enterprise IG program with 105 employees

How can the IG program prove to stakeholders inside the organization and to regulators outside of the organization that the investment in IG is making an actual difference?

Section Two –The Solution


MandateIdentify a list of reporting metrics and key performance indicators (KPIs) to monitor the state of IG program maturity, and communicate the current state to the senior leadership, all employees and external parties and regulators on a monthly, quarterly and yearly basis.

AUD in non-compliance findings


Approach

Information Gathering

Metrics Consolidation and Categorization

Supporting Technology Research

Dashboard Development

Governance and Maintenance

Step 1

Step 2

Step 3

Step 4

Step 5


Step One – Information Gathering

Identify and evaluate:— Current metrics and KPIs in use— Additional metrics and KPIs that are feasible to track— Technology options for visualization

External Stakeholders(Peers and Industry)

Internal Stakeholders(PG&E Teams)


Step One – Information GatheringTalk to business lines and functions outside of IG who are tracking and reporting upon metrics and KPIs for your organization to tell their story


Step Two – Metrics Consolidation and Analysis

Analyze, de-duplicate, categorize and prioritize metrics for future IG reporting.

CatalogAll metrics (keep it simple, use MS

Excel)

AnalyzeAppropriateness of metrics / KPIs

(and remove metrics if

necessary)

De-DuplicateSimilar metrics

CategorizeMetrics into separate IG

program themes or “stories”

PrioritizeMetrics based on which and how

many to track on Day One



Things to consider:

— Is the metric a program-versus project-based metric?— Is the metric measurable (easily, accurately and objectively versus subjectively)?— Can the metric data be captured or measured reliably?— How will the metric data be captured (i.e. automatic vs. manual)?— Does the metric tie to one or many ARMA Principles?— Does the metric tie to regulatory compliance?— Does the metric support the Program Charter?— Does the metric cover the whole organization, or is it specific to a single

division?— Will measuring and tracking the metric illustrate performance of the IG program?— Can a target or goal be determined, assigned to the metric and achieved (say

within 1 year)?— Do the metrics overall focus on high risk areas?



Example Categories, Metrics and KPIs

1 Accountability % representation of IG or records management coordinators

2 Cost Savings Yearly cost to maintain business records

3 Program Effectiveness % of IG initiatives that are on track

4 Integrity / Quality % of physical record boxes w/ complete metadata

5 Risk and Compliance % of Internal Audits conducted with records issues that have been remediated

6 Training % of personnel who have completed IG training

7 Unmanaged to Managed % of known electronic content crawled by indexing tool



Linking metrics to ARMA Principles is often an experience-based exercise

Accountability

Retention

Accountability

Integrity

Compliance

Accountability

Availability

ARMA Principle



Often times a metric or KPI supports more than one ARMA Principle, thereby strengthening the tracking of it!

6 Training % of personnel who have completed IG training

Accountability, and also Compliance, Availability, Protection, Retention, Disposition, Integrity, Transparency



The first step to determining the right KPIs is to understand the difference between lagging and leading indicators.

Keep an eye on leading indicators to show failure before it may occur.

Lagging indicators measure output performance.— Measure performance data already

captured— Allows business leadership to track how

things are going— Shows whether goals have been

achieved— Used to confirm a pattern— Easier to measure

Leading indicators measure business drivers.— Signal future events— Signal triggering events— Change quickly— Potential precursor to later problem(s)


Step Three – Supporting Technology ResearchResearch industry-respected tools to develop a dashboard platform for reporting and visualizing KPIs.

Dashboard Platform Options

Microsoft Office Suite

Existing Internal Reporting Tools

External Custom Tool Development

— Excel

— PowerPoint

— Word

— Tableau— ClearPoint— Business Objects /

Business Intelligence Suite

— Customizable

— Better detail and control over the Story and who can access it


Step Four – Dashboard DevelopmentOnce the appropriate, supporting technology for your organization has been identified, work with IT and specialists to develop the dashboard platform:— Develop dashboard wireframes— Develop a business case, and garner executive and financial support— Draft business and technical requirements— Identify outside consultants to assist, if necessary— Assign a project manager and initiate development.


Develop the following:— Initial role (and delegate) assignments (including IT and System Administrator)— Role assignment change process— Data protection process and access entitlements— Metric and KPI annual review process— Metric and KPI amendment process— Metric tracking and dashboard reporting process and timeline

- Data collection- Data entry- Quality control- Performance reporting

Data Collection Data Entry Performance

Reporting

Quality Control

Step Five – Governance and Maintenance


Roles and Responsibilities*Project

Manager

Metric OwnersObtain the

accurate measure for assigned

metrics for each reporting period

Dashboard Reporter

Accumulates / Reviews monthly measures, and

enters or updates the metrics data.

Creates and distributes dashboard

Dashboard Approver

Reviews the reported metrics, notes

inconsistencies and ultimately approves

metrics data and dashboard for

distribution

Oversees all aspects of metrics project development, maintenance, tracking and reporting prior to moving to operational mode

ITDevelop and maintain the

reporting dashboard

infrastructure (includes System

Administrator role)

*Responsibilities may change depending on which tool is selected.

Section Three –The Result

23

Jan – May 2016Cataloged current and relevant leading and lagging 300+ ERIM program metrics for

PG&E

June – Oct 2016Built monthly

scorecardand established

Metrics governance

Sept – Dec 2016Developed Metrics

dashboard. Complete scorecard can be

viewed through the Scorecard link.

Jan – Mar 2017 Started reporting RIM metrics in Business

Plan Review (BPR)

Metrics Dashboard - Timeline

*The information presented on this slide is for discussion purposes only and does not depict actual data.

A

https://sps.utility.pge.com/sites/EnterpriseRIM/Shared%20Documents/ERIM%20Metrics/DRAFT_ERIM_Metrics_Scorecard.xlsx

Metrics Dashboard – Landing Page(In Development)


Click metric

for details

Click to login and

enter metrics

25

Mandatory RIM TrainingInformation Management Compliance

99.8%+ 90.0 – 99.7% Less than 90%

Line of Business

Current Expiring Overdue Totals % CompliantActive

EE’s Non-EE’s All EE's Active EE’s Non-EE’s All EE's Active

EE’s Non-EE’s All EE's Active EE’s Non-EE’s All EE's Active

EE’s Non-EE’s All EE's

CorporateCustomer CareElectricEnterprise ProgramsEthics & ComplianceExternal Affairs & Public PolicyFinance & RiskGasGeneral CounselGenerationHuman ResourcesInformation TechnologyRegulatory AffairsSafety & Shared ServicesTotals

Example of metric details launched from

dashboard


26

RIM Metrics Dashboard – Notice of Violations


Metrics sorted by

department

Metrics sorted by Division

1

Hover mouse for data label

87654321

87654321

27

Metrics Dashboard – Corrective Action Program


Metrics sorted by

department

Metrics sorted by

source

Link to full scorecard

or export to Excel

87654321

87654321


Lessons Learned— Identifying, prioritizing, tracking and reporting out on metrics and KPIs takes time. Give your

organization at least 6 months to a year.

—Executive and financial support are required.

— Utilize industry-respected tools to develop a dashboard for consistent reporting of the metrics and KPIs.

— If the organization has invested in IG, Metrics Dashboards prove that these efforts are making a difference.

— Maintain all metric data in a centralized and secure location as a record and as evidence for audit purposes.

— Look for Quick Wins.


Lessons Learned— Recommend system-generated data over manual data

calculation to ensure accurate data

— Aim to make reporting more automatic with less human intervention.

— Identify which metrics should be confidential and restricted from internal or external viewers.

— Focus on “holistic processes” rather than parts of processes for departments or functions.

— Set a goal or target for each KPI (this already increases the maturity of an IG program)

— Prepare for business units that may have different targets and weightings.

— Avoid Unnecessary complexity, It cause problems with metric reporting in dashboards.

— For negative measures develop and document a remediation plan.

Thank you

© 2017 KPMG LLP, a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved.

The KPMG name and logo are registered trademarks or trademarks of KPMG International.

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