0455 Exception Management¶

Exception management is managing elements and data that are not compliant with a policy. The aim is to identify the deviation and make a decision on how to correct it (or ignore it).

This model shows the ExceptionType entity and the Exception relationship that are used to identify elements that are not compliant with a policy.

Governance is also supported by a number of operational logs described using Asset entities. Each operational log is a collection of log records that are gathering evidence of compliance or non-compliance.

In some cases each log record is stored as an individual file for ease of management and the "asset" refers to the directory (folder) where these are stored. It is not uncommon that the volume of log records is high and the value of the information in each log record is variable (and typically low). As a result individual log records are not catalogued unless they are significant in some way. (For example, it may be that the log record needs to be kept for regulatory purposes, or there is stewardship action required.) As such, the log records are written to storage as the processing proceeds. Asynchronous processes then scan and review the content of the log records to ensure the processing is as expected. They may also purge the log records that are no longer needed.

The log record processing may maintain various counts and other measurements that can be captured in the metadata or in an external data store. The LogAnalysis classification enables the capture of these measurements in metadata. For example, log records that represent significant events may be catalogued as assets and the LogAnalysis classification attached to the asset. The results of the log analysis across many records may be rolled up into a GovernanceMeasurement attached to the appropriate GovernanceDefinition.

The types of operational logs and associated processing are:

Metering captures the usage of resources. This may be to enforce usage quotas, or for billing. A collection of related metering record is represented as a MeteringLog.
Operational lineage logging captures the execution path and results of processes. It is used to prove that processes ran, and ran at the right time, processing the right quantity of data at appropriate quality. A collection of related lineage log records is represented as a LineageLog.
Audit logging records significant events. This may be successful processing events or detected errors that need action. A collection of related audit log records is represented as a AuditLog.
Exception management handles errors detected by verification points. Exception records are managed in one or more ExceptionBacklog collections.

UML

ExceptionType entity¶

The ExceptionType entity describes an anticipated type of exception that may be discovered. It is linked to the associated policy using the GovernanceResponse relationship.

Exception relationship¶

The Exception relationship links an element that is suspected of having an exception to the associated exception type.

¶

label - Display label to use when displaying this lineage relationship in a lineage graph.
description - Description of the element or associated resource in free-text.
lastReviewTime - The Date/time that this activity was reviewed.
reviewDate - Date of the review.
conditions - Any special conditions or endorsements over the basic certification/license type.
steward - Unique identifier for the steward performing the action.
stewardTypeName - Type name of the Actor entity identifying the steward.
stewardPropertyName - Property name for the steward's unique identifier (typically guid or qualifiedName).
notes - Notes on why decision were made relating to this element, and other useful information.

AuditLog classification¶

An asset holding related audit log records.

notes - Notes on why decision were made relating to this element, and other useful information.
process - Unique identifier of the automated process that processes this log.
source - Details of the organization, person or process that created the element, or provided the information used to create the element.

ExceptionBacklog classification¶

An asset containing details of exceptions found in data that need to be resolved.

notes - Notes on why decision were made relating to this element, and other useful information.
process - Unique identifier of the automated process that processes this log.
source - Details of the organization, person or process that created the element, or provided the information used to create the element.
steward - Unique identifier for the steward performing the action.
stewardTypeName - Type name of the Actor entity identifying the steward.
stewardPropertyName - Property name for the steward's unique identifier (typically guid or qualifiedName).

LineageLog classification¶

A collection of related operational lineage log records.

process - Unique identifier of the automated process that processes this log.
notes - Notes on why decision were made relating to this element, and other useful information.
source - Details of the organization, person or process that created the element, or provided the information used to create the element.

LogAnalysis classification¶

A set of results from the analysis of a log record - or collection of log records.

process - Unique identifier of the automated process that processes this log.
notes - Notes on why decision were made relating to this element, and other useful information.
source - Details of the organization, person or process that created the element, or provided the information used to create the element.
dataCollectionStartTime - If the data is bound by time, this is the start time.
dataCollectionEndTime - If the data is bound by time, this is the end time.
counts - A set of metric name to count value pairs.
values - A set of metric name to string value pairs.
flags - A set of metric name to boolean value pairs.
dates - A set of metric name to date value pairs.

MeteringLog classification¶

An asset containing records that can be used to identify usage of resources.

notes - Notes on why decision were made relating to this element, and other useful information.
process - Unique identifier of the automated process that processes this log.
source - Details of the organization, person or process that created the element, or provided the information used to create the element.

SecurityLog classification¶

An asset holding related security log records.

process - Unique identifier of the automated process that processes this log.
notes - Notes on why decision were made relating to this element, and other useful information.
source - Details of the organization, person or process that created the element, or provided the information used to create the element.

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