Formalize Data Governance with Policies and Procedures

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Copyright © 2018 Robert S. Seiner – KIK Consulting & Educational Services / TDAN.com
Non-Invasive Data Governance™ is a trademark of Robert S. Seiner & KIK Consulting
#RWDG @RSeiner
Real World Data Governance
Formalize Data Governance
with Policies and Procedures
Monthly Webinar Series Hosted by DATAVERSITY
Robert S. Seiner – KIK Consulting / TDAN.com
February 15, 2018 – 11:00 a.m. PT / 2:00 p.m. ET

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#RWDG @RSeiner
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• In this webinar I will discuss:
– The relationship between Data Governance and Data Policy
– Core guidelines to embrace through policy
– DG Roles and their importance to following Policies and Procedures
– Using RACIs and similar constructs to formalize Data Governance
– Measuring the results of formalizing policies and procedures
Formalize Data Governance with Policies and Procedures
Agenda for Today’s Webinar

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• Answer these questions:
– Is a Data Governance Policy necessary?
– What goes into a Data Governance Policy?
– Who owns the Data Governance Policy?
– Who will enforce the Data Governance Policy?
Relationship between Data Governance and Data Policy

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• Determine Policy Purpose: Approved and Intended to Influence and
Determine Decisions, Actions and Other Matters.

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• What Does a Data Governance Policy Do?
– Spells out what Data Governance is
– Spells out why Data Governance is important and necessary
– Spells out that you have a Data Governance Program
– Spells out how Data Governance will work
– Spells out who has the responsibility for Data Governance
– Spells out who supports Data Governance
– Spells out when Data Governance will be applied
– Spells out how Data Governance will be enforced

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• You may need a Data Governance Policy if …
– The Organization is Policy-Driven
– Demonstrates Senior Leadership Support
– Outlines Who is Responsible and Enforcement of Rules

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• You may not need a Data Governance Policy if …
– Organization is Not Policy-Driven
– Senior Leadership Demonstrates Support in Other Ways
– Guidelines Work Better / Enforce Rules Through Guidelines
– Already have policies in place for:
» Information Security / Privacy
» Regulations / Compliance
» Data Protection / Classification
» Data Sharing
» Data Quality

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• You may not need a Data Governance Policy if …
– Organization is Not Policy-Driven
– Senior Leadership Demonstrates Support in Other Ways
– Guidelines Work Better / Enforce Rules Through Guidelines
– Already have policies in place for:
» Information Security / Privacy
» Regulations / Compliance
» Data Protection / Classification
» Data Sharing
» Data Quality
What will a
Data Governance Policy
add that these don’t
address?

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• Introduction
• Data Governance Policy Statement
• Data Governance Principles
• Data Governance Dimensions

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• Introduction
– Purpose
– Scope
– Violations

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• Introduction
– Purpose
» The Data Governance Policy is designed to manage the
creation, transformation, and usage of data and related
information owned by or in the care of Company.

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• Introduction
– Scope
» This policy applies to all employees, contractors, temporary
employees, consultants, and authorized agents of the
Company.

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• Introduction
– Violations
» Violations of this policy may be considered serious breaches of
trust, which can result in disciplinary action up to and including
termination of employment or contract and prosecution in
accordance with applicable federal, state, and local laws.

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• Data Governance Policy Statement
– It is the policy of Company to require that all data defined,
produced and used by or in the care of Company be governed as a
corporate asset through defined data governance standards and
procedures.

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• Data Governance Guideline and Principles
– Will describe these in the next section.
– These are the most important element of the policy.

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• Data Governance Dimensions – How Data Quality is Measured
– Accessibility
– Accuracy
– Completeness
– Consistency
– Relevance (Non-Obsolete)
– Timeliness
– Uniqueness

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– Who owns the Data Governance Policy?
• Define “owns”.
• Data Governance Office
• Data Governance Council
• Will talk more about roles later.

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– Who will enforce the Data Governance Policy?
• Define “enforce”.
• Group that communicates the policy.
• Group that makes certain the policy is being followed.
• Group that reports how the policy is being followed.
• Group that holds people accountable for following the policy.

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Core Guidelines to Embrace

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• Four Guidelines to Consider for Your Policy:
– Data is recognized as a valued and strategic enterprise asset.
– Accountability for Data is clearly defined, recorded and enforced.
– Data is managed to follow internal & external rules & regulations.
– Data Quality is defined & managed consistently across the data lifecycle.

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VERY IMPORTANT SLIDE

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• Data can have a positive value or negative value.
• We all know the positive value data can have.
• How can data have negative value?
• Recognized meaning …
– Definition of the asset must be governed.
– Production of the asset must be governed.
– Usage of asset must be governed.

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• Accountability is based on a person’s relationship to the data
• Relationships Include …
– Definer of Data
– Producer of Data
– User of Data
• Everybody is a Data Steward … Get Over It.
• Roles & Responsibilities clearly defined and enforced.

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• This principle is not optional.
• Internal Data Management and Data Handling Rules
• “The Law” – External Regulatory & Compliance Rules
• Rules and regulations must be clearly …
– Documented
– Made Digest-able
– Communicated
– Enforced

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• Part of Project Management no matter the Approach
– Waterfall Methodology
– Agile Methodology
– Reactive Issue Resolution
• All Phases of Data Management
– Data Definition
– Data Production
– Data Use

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DG Roles Importance

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• All the Players Associated with the Data Governance Policy:
– Data Governance Office or Planning Team
– Data Governance Council
– Data Governance Steering Committee
– Data Governance Partners
– And of course … Data Stewards
DG Roles Importance

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– Data Governance Office or Planning Team – Support Level
• Somebody needs to author the policy.
• Somebody has to seek approval and commitment to enforce.
• Somebody has to communicate the policy.
DG Roles Importance

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– Data Governance Council – Strategic Level
• Approvers of the Policy
• Commitment to enforce has to come from above this level.
• This is the key group that is expected to make this happen.
• Liaison between Data Governance Office and Steering Committee
DG Roles Importance

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– Data Governance Steering Committee – Executive Level
• Ultimate Approvers of Policy
• Ultimate Enforcers of Policy
• Without this levels approval it does not become policy.
DG Roles Importance

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– Data Governance Partners – Support Level
• Legal Team
• Information Security Team
• Privacy Team
• Communications Team
• Other Policy Teams
DG Roles Importance

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– And of course … Data Stewards – Operational and Tactical Levels
• These are the people that are expected to know the policy.
• These are the people that are expected to follow the policy.
• These are the people that are expected to report on the policy.
• Everybody is a Data Steward. Get over it!
DG Roles Importance

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• Data Governance Procedures
– Pet Peeve: Don’t call them Data Governance Procedures.
– Procedures that are Governed – Apply Governance to Procedures.
– Follow the Data Governance Bill of “Rights”.
– Pro-Active and Re-Active Data Governance.
– Use Governance Activity Matrix to Apply Governance to Process.
Using RACIs and Similar Constructs

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• Govern Data Procedures – Part 1
– Data Access Process
– Data Issue Resolution Process
– Data Definition / Data Modeling Process
– Data Production Process / Big Data Process
– Data Usage / Handling / Protection Process
– Project Management Involvement Process
• Waterfall Methodology
• Agile Methodology

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• Govern Data Procedures – Part 2
– Data Retention / Elimination Process
– Data Quality Management Process
– Metadata Management Process
– Glossary, Dictionary and Data Change Management

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Data Dictionary
Business Metadata
Business Explanation of Data in Systems
Data
Systems, Databases, Reference (Code) Data, Technical Metadata
Vocabulary
Semantic Level
Terminology
Business Language We Use
MapstoHowUsed
Maps to
Multiple
Business Term
Standard Data Name
Business System
Data Name
Business System
Data Name
Business System
Data Name
System Data Name

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Completed
Add/Change Request Form
(artifact)
Requestor – Officers, Department Management, Directors
Requests will be validated and approved by Department Management prior to entering process.
Vocabulary Add / Change
Request Form
Includes Change Detail (artifact)
Data Governance Manager (DGM)
(role)
Return Request
To Complete Form
(process)
Vocabulary Standard
Semantic Business Glossary
(artifact)
Data Governance Steering Committee (DGSC)
(role)
Initiate Request
Through Request Process
(process)
Deliver
Vocabulary Change
(process)
Utilize
Steering Committee
(process)
Document Change in
Vocabulary
(process)
DataGovernanceMetadataPlatform
(artifact)
Document
(process)
Document
(process)
Document
(process)
Access to Metadata
(process)
Validate
Request
(process)
Validate / Approve
Request
(process)
Bi-Weekly Itemized
Change Requests & Status Report
(process)
Initiate Impact Assessment (can require use of additional process*)
Vocabulary Add / Change Process
Vocabulary Standard Analysis
Decision Point
Certify
Vocabulary Change
(process)
Requestor – Officers, Department Management, Directors
Access to Metadata
(process)
Should Add / Change to Vocabulary Be Considered?
Yes – Follow Vocabulary Rules / Guidelines,
Document Vocabulary Change & Complete Process
No – Document Change Request,
Initiate Vocabulary Request Denial Impact Assessment
* vocabulary, data dictionary, data processes

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• Knowing if Policy is Being Followed:
– Metrics to Consider
– Responsibility for Metrics
– Who should see the Metrics
– Auditable Metrics
Measuring the Results

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– Metrics to Consider
• Number of people / percentage that have been educated.
• Number of processes that are being governed.
• Number of partners involved in the governance.
• Number of incidents that have been reported.
• Progress on incidents that have been reported.

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– Responsibility for Metrics
• Data Governance Office
• Data Governance Steering Committee
• Data Governance Partners
• And of course – Data Stewards

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– Who should see the Metrics
• Data Governance Steering Committee
• Data Governance Partners
• And of course … Data Stewards

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– Auditable Metrics
• Involve Regulators
• Involve Privacy / Information Security
• Involve Internal Audit

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• In this webinar I discussed:
– The relationship between Data Governance and Data Policy
– Core guidelines to embrace through policy
– DG Roles and their importance to following Policies and Procedures
– Using RACIs and similar constructs to formalize Data Governance
– Measuring the results of formalizing policies and procedures
Today’s Webinar

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• Questions and Answers
Summary

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• Robert S. Seiner
KIK Consulting & Educational Services – KIKconsulting.com
The Data Administration Newsletter – TDAN.com
Post Office Box 112571, Upper St. Clair, Pennsylvania 15241
412.220.9643,
rseiner@tdan.com
@RSeiner @TDAN_com
Contact Information

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