Tiêu chuẩn iso 08000 61 2016

© ISO 2016 Data quality — Part 61 Data quality management Process reference model Qualité des données — Partie 61 Gestion de la qualité des données Modèle de référence des procédés INTERNATIONAL STAND[.]

Data quality —

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F reword v

Introduction vi

1 Sc ope 1

2 Nor mati ve r eferenc es 1

3 Terms, definitio s and ab r eviated terms 1

3.1 Te msan definitions 1

3.2 A bbreviated te ms 2

4 F ndamental principles of data q alty manag ement 2

5 The data qualty manag ement pr oc es 2

5.1 The b sic s ructur e of thedata q alty manag ement pr oc s 2

5.2 The detaied structur e of the data q alty manag ement pr oc s 3

5.3 The element of a pr oc s desc iption 5

6 The Implementatio proc es 5

6.1 Ove view of Implementation 5

6.2 Data Q ualty Plan ing 6

6.2.1 Ove view of Data Q ualty Plan ing 6

6.2.2 Req ir ements Manag ement 6

6.2.3 Data Q ualty Str ateg y Manag ement 7

6.2.4 Data Q ualty Pol cy/Stan ar ds/Pr oc dures Manag ement 7

6.2.5 Data Q ualty Implementation Plan ing 8

6.3 Data Q ualty C ntr ol 9

6.3.1 Ove view of Data Q ualty C ntr ol 9

6.3.2 Pr ovision of Data Spe ifications and Wor k Ins ructions 9

6.3.3 Data Proc s ing 9

6.3.4 Data Q ualty Monitoring and Control 1

6.4 Data Q ualty A ssur anc 1

6.4.1 Ove view of Data Q ualty A ssuranc 1

6.4.2 Review of Data Q ualty Is ues 1

6.4.3 Pr ovision of Measur ement Crite ia

1 6.4.4 Measur ement of Data Q ualty an Pr oc s Pe formanc 1

6.4.5 Ev luation of Measur ement Result 1

6.5 Data Q ualty Impr ovement 1

6.5.1 Ove view of Data Q ualty Impr ovement 1

6.5.2 Ro t C use A nalysis an Solution Develo ment 1

6.5.3 Data Cleansing 14

6.5.4 Pr oc s Impr ovement for Data Nonconformity Pr evention 14

7 The Data-Related Sup or t pr oc es 15

7.1 Ove view of Data-Related Sup ort 1

7.2 Data Ar chite tur e Manag ement 1

7.3 Data Tr anse Manag ement 1

7.4 Data Operations Manag ement 1

7.5 Data S curity Manag ement 1

8 The Reso rc e Pr ovisio proc es 17

8.1 Ove view of Resource Pr ovision 1

8.2 Data Q ualty Or ganization Manag ement 1

8.3 Human Resour ce Manag ement 1

9 Relatio ship betwe n data qual ty manag ement an data g overnanc e 19

10 Implementatio requirements 19

A nne x A (normative) Document identificatio 20

Biblog raph y 21

ISO (he Int ernational Org nization for Stan ardization) is a worldwide fede ation of national s an ards

b dies (ISO membe b dies) The work of pr p ring Int ernational Standards is normaly car ied out

through ISO t ech ical committ ees Each membe b dy int er st ed in a subje t for w hich a t ech ical

committ ee has be n es a l shed has the right t o be r pr sent ed on that committ ee Int ernational

org nizations, g ove nmental an non-g overnmental, in laison with ISO, also take part in the work

ISO cola orat es closely with the Int ernational Ele trot ech ical C mmis ion (IEC) on al matt ers of

ele trot ech ical s an ardization

The proc d r s used t o develo this document an those int en ed for it furthe maint enanc ar

desc ibed in the ISO/IEC Dir ctives, Part 1 In p rticular the dife ent a pro al c it eria ne ded for the

dife ent ty es of ISO document should be not ed This document was draft ed in ac ordanc with the

edit orial rules of the ISO/IEC Dir ctives, Part 2 ( e www.iso.org dir ctives)

A tt ention is drawn t o the p s ibi ity that some of the element of this document ma be the subje t of

p t ent right ISO shal not be held r sponsible for identifying any or al such p t ent right Detais of

any p t ent right identif ied d ring the develo ment of the document wi be in the Introd ction an / r

on the ISO ls of p t ent de larations r c ived ( e www.iso.org p t ent )

Any trade name used in this document is information given for the convenienc of use s an does not

cons itut e an en orsement

For an ex lanation on the meaning of ISO spe ific terms an ex r s ions r lat ed to conformity as es ment ,

as wel as information a out ISO’s adhe enc to the Wor ld Trade Org nization (WTO) principles in the

Te h ical Bar ie s to Trade (TBT) se the folowing URL: www.iso.org iso/ for word.html

The committ ee r sp nsible for this document is Te hnical C mmitt ee ISO/TC 1 4, Automation sys tems

a d integratio , Subcommitt ee SC4, Indus trial data

ISO 8 00 is org niz d as a se ies of p rt , each publshed sep rat ely The s ructur of ISO 8 00 is

desc ibed in ISO/TS 80 0-1

Each p rt of ISO 8 0 is a membe of one of the folowing se ies: g ene al data q alty, mast er data

q alty, transactional data q alty, an prod ct data q al ty This p rt of ISO 8 0 is a membe of the

g ene al data q alty se iesbut is also a plca le t o the othe se ies

A l s of al p rt in theISO 80 0 se ies can be fou d on the ISO websit e

The a i ity t o c eat e, cole t, st or , maintain, trans e , proc s an pr sent information and data t o

sup ort busines proc s es in a timely an cos efe tive manne r q ir s b th an u de s an ing of

the charact eris ics of the information an data that det ermine it q alty, an an a i ity t o measur ,

manag e an r p rt on information an data q al ty

ISO 8 00 defines charact eris ics of information and data that det ermine it q alty, an pro ides

methods t o manag e, measur an impro e the q al ty of information an data

When as es ing the q alty of information an data, it isuseful t o pe form the as es ment in ac ordanc

with document ed methods It is also imp rtant t o document the taioring of s an ardiz d methods with

r spe t t o theex e tation an r q ir ment pe tinent t o the busines case at hand

ISO 8 00 inclu es p rt a plca le t o al ty es of data and p rt a plca le t o spe if ic ty es of data

ISO 80 0 can be used in epen ently or in conju ction with q alty manag ement y st ems

The e is a lmit t o data q alty impro ement w hen only the nonconformity of data is cor e t ed, sinc

the nonconformity can r cur Howeve , w hen the ro t causes of the data nonconformity an the r lat ed

data ar trac d and cor e t ed through data q al ty proc s es, r cur enc of the same ty e of data

nonconformity can be pr vent ed The efor , a framework for proc s -c ntric data q alty manag ement

is r q ir d t o improve data q alty mor efe tively an efficiently Furthe mor , data q alty can be

improved through as es ing proc s es an impro ing u der-pe forming proc s es identif ied b the

as es ment

This p rt of ISO 8 00 spe ifies the proc s es r q ir d for data q alty manag ement This spe if ication

is used as a r fe enc for as es ing an impro ing the ca a i ty of the proc s es or inc easing

org nizational maturity with r spe t t o data q al ty manag ement

This part of ISO 8 00 can be used on it own or in conjunction with othe p rt of ISO 8 00

This p rt of ISO 80 0 is int en ed for use b those act ors that ha e a vest ed int er s in information or

data q alty, with a focus on one or mor information sy st ems b th int er- an intra-org nization view s,

throughout al phases of the data l fe cycle

An ex A contains an identifie that u ambiguously identifies this p rt of ISO 8 00 in an o en

information sy st em

Data quality —

Part 61:

This p rt of ISO 8 00 spe ifies the proc s es r q ir d for data q al ty manag ement Each proc s is

def ined b a purp se, out comes an activitiesthat ar t o be a pled for the as uranc of data q alty

The folowing ar within the sco e of this p rt of ISO 80 0:

— fu damental principles of data q alty manag emen

— thes ructur of the data q alty manag ement proc s ;

— definitions of the lowe level proc s es for data q alty manag emen

— ther lationship betwe n data q alty manag ement an data g ve nanc ;

— implementation r q ir ment

The folowing isout ide the sco e of this part of ISO 8 0 :

— detaied methodsor proc d r s b w hich t o achieve the out comes of the defined proc s es

This p rt of ISO 8 0 is a plca le to mana ing the q alty of digital data set that inclu e not only

s ructur d data stor d in data ases but also les s ructur d data such as imag es, a udio, video an

ele tronic document This part ofISO 8 0 can be used b an org nization mana ing data q alty at the

org nization level be a use, for ins anc , m ultiple sof w ar a plcations ar sharing an exchanging data

This p rt of ISO 8 0 is used as a proc s r fe enc model b int ernal an ext ernal parties, inclu ing

c rtif ication b dies, t o as es proc s ca a i ity or org nizational maturity for data q alty

manag ement and t o enhanc data q alty through proc s impro ement

This p rt of ISO 80 0 can be used in conju ction with, or in epen ently of, q al ty manag ement sy st ems

s an ards (e.g ISO 9 0 )

2 Normati ve r eferences

The fol owing r fe enc d document ar in ispensa le for the a plcation of this document F or dat ed

r fe enc s, only the edition cit ed a ples F r u dat ed r fe enc s, the lat es edition of the r fe enc d

document ( inclu ing any amen ment ) a ples

ISO 80 0- 2, Data q alt y — Part 2 : Voc ab lar y

3 Terms, definitions and abbreviated terms

3.1 Ter ms and definitions

F or the purposes of this document, the t erms an def initions given in ISO 8 00- 2 a ply

3.2 A bbreviated terms

DBMS data asemanag ement sy st em

4 Fundamental principles of data qual ty manag ement

The folowing fun amental principlesa ply t o mana ing the q alty of data

— Proc s a pro ch: the proc s es that use, c eat e an updat e data ar defined an o e at ed These

proc s es be ome r peata le an r l a le b also def ining an o e ating proc s es for mana ing

data q al ty

— Contin ous impro ement: data ar improved through efe tive measur ment an cor e tion of data

nonconformities that arise from data proc s ing Such impro ement , howeve , do not pr vent the

same nonconformities oc ur ing r peat edly Sus ained impro ement arises from analy sing, tracing

an r mo ing the ro t causes of p or data q alty, usualy r q iring the impro ement of proc s es

— Inv lvement of peo le: spe if ic r sponsibi ities for data q al ty manag ement exis at dife ent levels

of the org nization En use s ha e the gr at es dir ct efe t on data q al ty through data proc s ing

activities In ad ition, data q alty spe ials s pe form the ne es ary int ervention an control t o

implement an embed proc s es for impro ement of data q alty ac os the org nization Final y,

o e sight b t op manag ement ensur s the ne es ary r sour es ar made a ai a le and dir ct the

org nization t owards achieving the vision, g oals an o je tives for data q alty

5 The data qual ty manag ement proc es

5.1 The basic structure of the data qual ty manag ement proc es

The b sic s ructur of the data q alty manag ement proc s isas folows

— The data q alty manag ement proc s consis s of Implementation, Data-R elat ed Sup ort, an

R esour e Pro ision This is depict ed in Figur 1

— To achieve contin ous impro ement of data q alty, the Implementation proc s is pe formed

folowing the Plan-Do-Che k-A ct patt ern

— The Data-R elat ed Supp rt proc s ena les the Implementation proc s b pro iding information

an t ech olo y r lat ed t o data manag ement

— The R esour e Pro ision proc s improves the efe tivenes an eff iciency of the Implementation

an the Data-R elat ed Sup ort proc s es b pro iding r sour es an training se vic s at the

org nizational level

Figure 1 — Basic structure of data qual ty manag ement

NOTE T e structure of Implementation, Data-R elated Su port,an R esour e Provision proces es is adapt ed

from the concept of Primary, Su port an Org nizational proces es in ISO 1 2 7 :1 9 an from the Plan-Do

-C eck-A ct cycle from ISO 9 0

The Plan-Do-Che k-A ct cycle is also a plca le t o impro ing the pe formanc of any of the lowe level

proc s es of data q al ty manag ement These impro ement wi contribut e t o mor efe tive an

efficient data q alty The Plan-Do-Che k-A ct cycle consis s of:

— plan: es a l sh the s rat eg an implementation plans as ne es ary t o delve r sult in ac ordanc

with data r q ir ment ;

— do: implement the proc s es;

— che k: monit or an measur data q al ty an proc s pe formanc a ains the s rat eg an data

r q ir ment an r p rt the r sult ;

— act:take actionst o contin aly impro e proc s pe formanc

5.2 The detai ed structur e of the data qual ty manag ement proc es

As shown in Figur 2, the data q al ty manag ement proc s is a hie ar hy of lower level proc s es, as

folow s

a) The Implementation proc s consis s of four sub-proc s es b sed on the “ Plan-Do-Che k-A ct”

patt ern:

1) Data Qualty Planning, cor esp n ing t o “ Plan” :

― R eq ir ment Manag emen

― Data Qualty Strat eg Manag emen

― Data Qualty Polcy Stan ards /Proc d r s Manag emen

― Data Qualty Implementation Plan ing;

2) Data Q ualty Control, cor espon ing t o “ Do

― Pro ision of Data Spe if ications an Work Ins ructions;

― Data Proc s ing;

― Data Qualty Monit oring an C ntrol;

3) Data Q ualty As uranc , cor esp nding t o “Che k” :

― R eview of Data Qual ty Is ues;

― Pro ision of Measur ment Crit eria;

― Measur ment of Data Qual ty an Proc s Pe formanc ;

― Ev luation of Measur ment R esult ;

4 ) Data Q ualty Impro ement, cor esp n ing t o “A ct” :

― R oot Cause Analy sis an Solution Develo men

― Data Cleansing;

― Proc s Impro ement for Data Nonconformity Pr vention

b) The Data-R elat ed Sup ort proc s pro ides Implementation with information, cons raint an

t ech olo y This proc s consis s of:

1) Data Ar hit ectur Manag emen

2) Data Trans e Manag ement ;

3) Data Ope ations Manag emen

4 ) Data S curity Manag ement

c) The R esour e Pro ision proc s enhanc s the pe formanc of Implementation an Data-R elat ed

Sup ort b pro iding r sour es at the org nizational level This proc s consis sof:

1) Data Q ualty Org nization Manag emen

2) Human R esour e Manag ement

The sub-proc s es of Implementation take plac in seq ential orde , w hie those of Data-R elat ed

Sup ort an R esour e Pro ision take plac as an w hen ne es ary

Figure 2— Detaied structure of data q alty manag ement

5.3 The elements of a proc es des ription

The proc s desc iptions in the r main e of this p rt of ISO 8 0 consis of thefolowing element :

— title, w hich is a desc iptive heading for the proc s ;

— purp se, w hich desc ibes the g oal of pe forming the proc s ;

— out comes, w hich ex r s the o se v ble r sult ex e t ed from suc es ful pe formanc of the

proc s ;

— activities, w hich is a l s of actions that can achieve the out comes

NOTE ISO/IE /TR 24774 provides further details on these elements

6 The Implementation proc es

6.1 Over view of Implementation

The Implementation proc s identif ies data r q ir ment cor esp n ing t o the ne ds of s akeholde s,

es a lshes o je tives an c eat es implementation plans t o me t those r q ir ment In l ne with these

plans, en use s pe form data proc s ing ac ording t o data spe if ications an work ins ructions, w hi e

data q alty spe ial s s monit or and control the conformanc of data t o r q ir ment

When identical or simi ar ty es of data nonconformity ar fou d r peat edly an r main u solved

b monit oring an control, furthe action is ne es ary This action begins with measuring data an

proc s es r lat ed t o the nonconformities Subseq ently, ro t causes ar identified an impro ement

solutions ar pro ided These solutions inc ease data q alty b cor e ting nonconforming data an

impro ing proc s es that ca use nonconformitiest o arise

The sub-proc s es of Implementation ar Data Qualty Plan ing ( e 6.2), Data Qualty C ntrol ( e

6.3), Data Qualty As uranc ( e 6.4) an Data Qualty Improvement ( e 6.5)

6.2 Data Qual ty Planning

6.2.1 Overview of Data Qualty Planning

Data Qual ty Plan ing es a l shes data r q ir ment an o je tives for data q al ty, c eating plans t o

achieve the o je tives an ev luating the pe formanc of the plans These plans b lanc cur ent data

q alty levels, cos , r sour es an ca a i ties ac os the org nization This proc s is initiat ed b sed

on ne ds an ex e tations of s akeholde s or the fe db ck of the proc s impro ement pe formed in

Data Qualty Improvement ( e 6.5)

NOTE Stakeholder can inclu e en user , data q ality manag ement specialists, t op mana ement,

g overnments, re ulat ory authorities, su plier t o the org nization an customer of the prod cts an services

that the org nization deliver

Data Qualty Plan ing consis s of R eq ir ment Manag ement ( e 6.2.2), Data Qualty Strat eg

Manag ement ( e 6.2.3), Data Q ualty Polcy Stan ards/Proc d r s Manag ement ( e 6.2.4) and Data

Q ualty Implementation Plan ing ( e 6.2.5)

6.2.2 Requirements Manag ement

a) Purp se

The purp se of R eq ir ment Manag ement is t o es a lsh the b sis for c eating or for r fining a

data q al ty s rat eg that al gns with the ne ds an ex e tations of s akeholde s

b) Out comes

— The ne ds an ex e tations of s akeholde s with r spe t t o data ar cole t ed

— The ne ds an ex e tations ar r f ined int o data r q ir ment

NOT T is ref inement can inclu e structuring an clas ifying req irements in order to improve

u der tan ing of the int erdepen encies of those req irements

— R eq ir ment ar analy sed t o det ermine their feasibi ty in t erms of t echnolo y, cos , manp we ,

an sched le

— R eq ir ment ar prioritiz d an a pro ed

— The ne ds of dife ent p rt of the org nization ar b lanc d an an a r ed common set of

r q ir ment is achieved

c) A ctivities

— Identification of data r q ir ment : C le t the ne ds an ex e tations r lat ed t o data from

s akeholde s an identify and clas ify the data r q ir ment

NOT S e ISO 8 0 -8an ISO 8 0 -1 0 for further detailon data req irements

— Prioritization of data r q ir ment : Analy se the feasibi ty of the r q ir ment identif ied in

t erms of t ech olo y, cos , timelnes an importanc , pro iding the b sis on w hich t o det ermine

implementation priority

— Valdation of data r q ir ment : Trac an ev luat e the ext ent t o w hich the r q ir ment ha e

be n satisf ied through the data q alty manag ement proc s , and, w hen ne es ary, modify

r q ir ment through consultation with s akeholde s

6.2.3 Data Qualty Strateg y Manag ement

a) Purp se

The purpose of Data Qual ty Strat eg Manag ement is t o es a l sh the b sis on w hich subseq ently

t o develo p lcies, s an ards, proc d r s an implementation plans that a ply t o data q alty

manag ement ac os the org nization an that al gn with s rat egic int entions for data q alty

b) Out comes

— To manag ement is committ ed t o the improvement of data q al ty t o a r ed levels at the

org nizational level

— A data q alty s rat eg is c eat ed, desc ibing the vision, long t erm g oals, an implementation

ro dma and short t erm o je tives, w hich ar def ined in t erms of q antitative out comes

— A framework is c eat ed for es a l shing an r viewing the data q al ty s rat eg

— R esult ar ev luat ed t o det ermine the pe formanc of the data q alty s rat eg , leading t o the

s rat eg being updat ed as ne es ary

— The data q alty s rat eg is commu icat ed throughout theorg nization

c) A ctivities

— Es a l shment of data q alty s rat eg : Es a lsh a data q alty s rat eg consis ing of the vision,

long -t erm g oals an implementation ro dma t o se ur data q alty ac os the org nization in

ac ordanc with identif ied data r q ir ment Cr at e short-t erm o je tives t o achievethe long

-t erm g oals To manag ement ensur s that the q alty s rat eg is a pro riat e t o the g oals an

o je tives of data manag ement an theo e al busines of the org nization

— Pe formanc ev luation of thedata q al ty s rat eg :Ev luat e w hethe the data q alty s rat eg

has be n achieved through the data q al ty manag ement proc s Chang e the s rat eg through

consultation with s akeholde s w hen ne es ary

6.2.4 Data Qualty Polcy/Standards/Proc edures Manag ement

a) Purp se

The purpose of Data Qualty Polcy Stan ards/Proc d r s Manag ement is t o ca tur rules that

a ply t o pe forming Data Qual ty C ntrol, Data Q ualty As uranc , Data Qualty Impro ement,

Data-R elat ed Sup ort and R esour e Pro ision consist ently ac os the org nization

b) Out comes

— Polcies ar def ined in t erms of fu damental int entions an rules that guide the org nization

as t o w hich actions ar a pro riat e an w hich ar ina pro riat e in pe forming data q alty

manag ement

— Stan ards ar def ined t o sup ort data q al ty manag ement

NOT T ese stan ards inclu e those covering: formats for e pres ing data req irements; me surement

methods; how to sustain data q ality when changing su porting t ech olo y; an the infrastructure of

comp ter hardware an sof ware sy st ems

— Proc d r s ar defined t o spe ify in detai how the org nization pe forms data q alty

manag ement

— Polcies, s an ards an proc d r s ar communicat ed throughout the org nization, co e ing

the consist ent a plcation t o data q alty manag ement

c) A ctivities

— Manag ement of q al ty p lcies for data q alty manag ement: Spe ify fu damental int entions

an rules for data q alty manag ement in the org nization Ensur the data q alty polcies

ar a pro riat e for the data q alty s rat eg , comply with data r q ir ment an es a lsh

the foun ation for contin al impro ement of the efe tivenes an efficiency of data q alty

manag ement

— Manag ement of s an ards for data q al ty manag ement: Spe ify the s an ards r lat ed t o data

q alty for the consist ent commu ication an a pro riat e use of data ac os the org nization

— Manag ement of proc d r s r lat ed t o data q alty manag ement: Spe ify rules an proc d r s

r lat ed t o data q alty for consist ent data q al ty manag ement ac os the org nization

6.2.5 Data Qualty Implementatio Planning

a) Purp se

The purp se of Data Qual ty Implementation Plan ing is t o identify the r sour es an seq encing

b w hich t o pe form Data Qualty C ntrol, Data Qualty As uranc , Data Qual ty Impro ement,

Data-R elat ed Sup ort and R esour e Pro ision ac os the org nization

b) Out comes

— A sco eand targ et ar def ined for data q alty in ac ordanc with the data q alty o je tives

— Implementation plans ar es a l shed in detai

— Manp we , f inancial an t echnolo y r sour es ar alocat ed an manag ed t o ensur suc es ful

ex ecution of theimplementation plans

— R oles, r sp nsibi ties an authorities ar al ocat ed an controled t o co e al aspe t of data

q alty manag ement

NOT ISO/TS 8 0 -1 0 provides detail on roles an responsibilities that contribut e t o efective an

eff icient data q ality manag ement

— Pro r s is monit or d a ains implementation plans t o achieve impro ed data q alty

— Pe formanc r sult ar ev luat ed t o r p rt t o t op manag ement on the efe tivenes of the

implementation plans, with those plansbeing updat ed as ne es ary b sed on the r sult

c) A ctivities

— Es a l shment of the data q alty implementation plan: Def ine the sco e an targ et of data

q alty an pr p r detaied implementation plans

— R esour e alocation: Det ermine an pro ide the r sour es ne ded t o implement the plans and

achieve data q alty o je tives

— Data st ewardship alocation: As ign formal ac ou ta i ty t o in ivid als w ho ha e a pro riat e

ex e tise in an authority for busines proc s es These in ivid als a pro e pro osals t o

chang e data w hen nonconformities ha e be n identif ied an pro osals t o use data for new

purp ses This ac ou ta i ty ensur s the efe tive control an use of data set

— Implementation of the plan: Implement detaied plans b sed on the r sour es an data

st ewardship alocat ed