Application of UNE Specification 0077:2023 to open data

The main motivation of this first article - of a series of three - is to explain how to use the UNE 0077 data governance specification (see Figure 1) to establish approved and validated mechanisms that provide organizational support for aspects related to data openness and publication for subsequent use by citizens and other organizations.

To understand the need and utility of data governance, it must be noted that, as a premise, every organization should start with an organizational strategy. To better illustrate the article, consider the example of the municipality of an imaginary town called Vistabella. Suppose the organizational strategy of the Vistabella City Council is to maximize the transparency and quality of public services by reusing public service information.

Fig. 1. Specification processes UNE 0077, 0078 and 0079

To support this organizational strategy, the Vistabella City Council needs a data strategy, the main objective of which is to promote the publication of open data on the respective open data portals and encourage their reuse to provide quality data to its residents transparently and responsibly. The Mayor of the Vistabella City Council must launch a data governance program to achieve this main objective. For this purpose, a working group composed of specialized data experts from the City Council is assigned to tackle this program. This group of experts is given the necessary authority, a budget, and a set of responsibilities.

When starting, these experts decide to follow the process approach proposed in UNE 0077, as it provides them with a suitable guide to carry out the necessary data governance actions, identifying the expected process outcomes for each of the processes and how these can be materialized into specific artifacts or work products.

This article explains how the experts have used the processes in the UNE 0077 specification to achieve their goal. Out of the five processes detailed in the specification, we will focus, by way of example, on only three of them: the one describing how to establish the data strategy, the one describing how to establish policies and best practices, and the one describing how to establish organizational structures.

Before we begin, it is important to remember the structure of the process descriptions in the different UNE specifications (UNE 0077, UNE 0078, and UNE 0079). All processes are described with a purpose, a list of expected process outcomes (i.e., what is expected to be achieved when the process is executed), a set of tasks that can be followed, and a set of artifacts or work products that are the manifestation of the process outcomes.

"Data Strategy Establishment Process"

The team of experts from the Vistabella City Council decided to follow each of the tasks proposed in UNE 0077 for this process. Below are some aspects of the execution of these tasks:

T1. Evaluate the capabilities, performance, and maturity of the City Council for the publication of open data. To do this, the working group gathered all possible information about the skills, competencies, and experiences in publishing open data that the Vistabella City Council already had. They also collected information about the downloads that have been made so far of published data, as well as a description of the data itself and the different formats in which it has been published. They also analyzed the City Council's environment to understand how open data is handled. The work product generated was an Evaluation Report on the organization's data capabilities, performance, and maturity.

T2. Develop and communicate the data strategy. Given its importance, to develop the data strategy, the working group used the Plan to promote the opening and reuse of open data as a reference to shape the data strategy stated earlier, which is to "promote the publication of open data on the respective open data portals and encourage their reuse to provide quality data to its residents transparently and responsibly." Additionally, it is important to note that data openness projects will be designed to eventually become part of the structural services of the Vistabella City Council. The work products generated will be the adapted Data Strategy itself and a specific communication plan for this strategy.

T3. Identify which data should be governed according to the data strategy. The Vistabella City Council has decided to publish more data about urban public transport and cultural events in the municipality, so these are the data that should be governed. This would include data of different types: statistical data, geospatial data, and some financial data. To do this, they propose using the Plan to promote the opening and reuse of open data again. The work product will be a list of the data that should be governed, and in this case, also published on the platform. Later on, the experts will be asked to reach an agreement on the meaning of the data and choose the most representative metadata to describe the different business, technical, and operational characteristics.

T4. Develop the portfolio of data programs and projects. To achieve the specific objective of the data strategy, a series of specific projects related to each other are identified, and their viability is determined. The work product generated through this task will be a portfolio of projects that covers these objectives:

• Planning, control, and improvement of the quality of open data
• Ensuring compliance with security standards
• Deployment of control mechanisms for data intermediation
• Management of the configuration of data published on the portal

T5. Monitor the degree of compliance with the data strategy. To do this, the working group defines a series of key performance indicators that are measured periodically to monitor key aspects related to the quality of open data, compliance with security standards, use of data intermediation mechanisms, and management of changes to the data published on the portal. The work product generated consists of periodic reports on the monitoring of the data strategy.

"Establishment of Data Policies, Best Practices, and Procedures Process"

The data strategy is implemented through a series of policies, best practices, and procedures. To determine these policies or procedures, you can follow the process of Establishing Data Policies, Best Practices, and Procedures detailed in UNE 0077. For each of the data identified in the previous process, it may be necessary to define specific policies for each area of action described in the established data strategy.

To have a systematic and consistent way of working and to avoid errors, the Vistabella City Council's working group decides to model and publish its own process for defining strategies based on the generic definition of that process contained in Specification UNE 0077, tailored to the specific characteristics of the Vistabella City Council.

This process could be followed by the working group as many times as necessary to define and approve data policies, best practices, and procedures.

In any case, it is important for the customization of this process to identify and select the principles, standards, ethical aspects, and relevant legislation related to open data. To do this, a framework is defined, consisting of a regulatory framework and a framework of standards.

The regulatory framework includes:

• The legal framework related to the reuse of public sector information.
• The General Data Protection Regulation (GDPR) to ensure that the minimum requirements for the security and privacy of information are met when publishing open data on the portal.

The framework of standards includes, among others:

• The practical guide for improving the quality of open data, which provides support to ensure that the shared data is of quality.
• The UNE specifications 0077, 0078, and 0079 themselves, which contain best practices for data governance, management, and quality.

This framework, along with the defined process, will be used by the working group to develop specific data policies that should be communicated through the appropriate publication, taking into account the most appropriate legal tools available. Some of these policies may be published, for example, as municipal resolutions or announcements, in compliance with the current regional or national legislation.

"Establishment of Organizational Structures for Data Governance, Management, and Use Process"

Even though the established Working Group is making initial efforts to address the strategy, it is necessary to create an organizational structure responsible for coordinating the necessary work related to the governance, management, and quality management of open data. For this purpose, the corresponding process detailed in UNE 0077 will be followed. Similar to the first section, the explanation is provided with the structure of the tasks to be developed:

T1. Define an organizational structure for data governance, management, and use. It is interesting to visualize the Vistabella City Council as a federated set of council offices and other municipal services that could share a common way of working, each with the necessary independence to define and publish their open data. Remember that initially, this data pertained to urban transport and cultural events. This involves identifying individual and collective roles, chains of responsibility, and accountability, as well as defining a way of communicating among them. The main product of this work will be an organizational structure to support various activities. These organizational structures must be compatible with the functional role structures that already exist in the City Council. In this regard, one can mention, by way of example, the information responsible unit, whose role is highlighted in Law 37/2007 as one of the most important roles. The information responsible unit primarily has the following four functions:

• Coordinate information reuse activities with existing policies regarding publications, administrative information, and electronic administration.
• Facilitate information about competent bodies within their scope for receiving, processing, and resolving reuse requests transmitted.
• Promote the provision of information in appropriate formats and keep it updated as much as possible.
• Coordinate and promote awareness, training, and promotional activities.

T2. Establish the necessary skills and knowledge. For each of the functions mentioned above of the information responsible units, it will be necessary to identify the skills and knowledge required to manage and publish the open data for which they are responsible. It is important to note that knowledge and skills should encompass both technical aspects in the field of open data publication and domain-specific knowledge related to the data being opened. All these knowledge and skills should be appropriately recognized and listed. Later on, a working group may be tasked with designing training plans to ensure that individuals involved in the information responsible units possess these knowledge and skills.

T3. Monitor the performance of organizational structures. In order to quantify the performance of organizational structures, it will be necessary to define and measure a series of indicators that allow modeling different aspects of the work of the people included in the organizational structures. This may include aspects such as the efficiency and effectiveness of their work or their problem-solving ability.

We have reached the end of this first article in which some aspects of how to use three of the five processes in the UNE 0077:2023 specification have been described to outline what open data governance should look like. This was done using an example of a City Council in an imaginary town called Vistabella, which is interested in publishing open data on urban transport and cultural events.

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Content developed by Dr. Ismael Caballero, Associate Professor at UCLM, and Dr. Fernando Gualo, PhD in Computer Science, and Chief Executive Officer and Data Quality and Data Governance Consultant.

The content and viewpoints reflected in this publication are the sole responsibility of the authors."