Total Information Quality Management Handbook

3300.1

CHAPTER 5. TIQM® CERTIFICATION PROCESS

5-1 Overview

A. This chapter describes the method and techniques that will

be used by the EDMG to perform the final task of independent

verification or certification of mission-critical information.

This task of independent verification, or certification, takes

place after the processes that produce or maintain selected data

elements and information groups are improved and the existing

data has been corrected. Based on the established priorities and

schedules, the EDMG will verify that the level of data quality

achieved is aligned with the expectations of all business areas

that consume the information. This certification will be in two

areas:

1\. First, to assess whether the data produced by create and

maintain processes are in compliance with the definition and

quality standards of the information. This assessment will help

evaluate and improve the effectiveness of process improvement

efforts.

2\. Second, to assess whether the data contained in files,

databases, data warehouses, data marts, reports, and screens are

also in compliance. This assessment will help evaluate the

adequacy of data correction efforts.

B. Based on its observations and findings, the EDMG will

recommend improvements to the procedures used to implement

information quality improvements (defect prevention) as well as

improvements in data correction procedures. In addition, if the

certification process finds shortfalls in information quality,

the responsible Program Areas will need to submit a new schedule

and perform additional information improvement and/or correction.

5-2 Certify Information Quality Process Improvements

A. This activity is similar to the \"Check Impact of Information

Quality Improvement\" activity, described in Section 3-5. Before a

meaningful certification of an information process improvement

can be performed, the process under improvement must be certified

as being in statistical control. That is, the process must be

producing a consistent (predictable) and acceptable level of

quality of information (the data is consistently meeting all

knowledge workers and end customer needs). Once the process is in

statistical control, it is possible to determine that the changes

indeed produced the expected improvements.

B. Verify the effectiveness of the Information Quality

Improvement process by assessing the results of the information

quality improvement. Critical points to be assessed include

1\. Was the information quality improvement planned

appropriately? Is there something that can be done to improve

the process? The plans (the \"P\" in the PDCA cycle) and the

actual execution logs will be used to determine if the process

needs to be revised for improvement.

2\. Was the information quality improvement implemented in a

controlled environment? Was the control environment

representative of the target environment? This is the process of

determining the effectiveness of the execution (the \"D\" in the

PDCA cycle).

3\. Were the information quality improvement results checked for

impact across the information value chain? This is the process

of determining the effectiveness of the \"check\" (the \"C\" in the

PDCA cycle).

4\. Were the actions to standardize the information quality

improvement across the target environment effective? Were the

expected results achieved? The actual rollout or \"Act\" (the \"A\"

in the PDCA cycle) logs will be used to determine if \"unplanned\"

events or activities can be prevented or mitigated in future

efforts.

If the EDMG identifies a need for improvement in any of these

areas, it will determine the root cause. This may necessitate

application of the \"why\" technique or the fish-bone technique (as

described in Section 3-3(B)).

5-3 Certify Data Corrections

A. This section outlines the steps necessary to assess the

adequacy of the Data Correction efforts to reengineer or correct

existing data.

B. Define the Scope of the Certification

1\. Identify the information group to be certified and the

assessment points (files, databases, screens, reports) within

their value and cost chain, using the same criteria as stated in

Section 2-2(G) but only for information groups the Program Area

has identified as ready for certification and for the assessed

information quality objectives and measures. This will produce a

Scope Statement and Work Plan. The work plan is based on the

original assessment plan. The Work Plan indicates the information

group, the entire value chain, the operational systems, system

interfaces, and analytical systems that will be certified as well

as the tasks to be conducted, dependencies, sequence, time

frames, milestones, expected outcomes (products), and estimated

time to complete. The plan will specify any assumptions, critical

success factors, or risks.

C. Identify the Data Element Definitions

1\. If the Program Area has applied the TIQM(r) approach

described in this Handbook, then the comprehensive definition

will already be specified for each data element. Refer to Section

2-3 for a detailed discussion on this task. However, if the data

definition is not in place, it will be defined using the approach

described in Section 2-3(F).

D. Define Certification Approach

1\. Based on the prior assessment for each information group,

determine one or more techniques for assessing their actual level

of quality. Refer to Section 2-5(C) for details on this

selection.

E. Define Sample Size and Resources

1\. Based on the prior assessment, for each information group

and for each assessment point, determine the sample size using

the same approach as the prior assessment (see Section 2-5(B)).

Identify the participants in the assessment process and the

estimated number of hours and calendar days required. Identify

any special requirements, such as access to documents,

acquisition of tool(s) not already in HUD\'s inventory, travel.

F. Develop Certification Criteria

1\. The terms of the certification will be the same as those

agreed upon as part of the original assessment, unless otherwise

agreed to by the OCIO and the Program Area, based on lessons

learned during the data correction process or special conditions

identified by either party.

G. Conduct Certification

1\. Perform the tasks in the certification plan to determine the

level of compliance of the data elements within the scope of the

certification.

H. Interpret and Report Information Quality Certification

1\. Once the data has been certified, report the results as stated

in Section 2-7, replacing the term \"assessment\" with the term

\"certification.\"

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