Real-World DG Webinar: A Data Governance Framework for Success

Real-World Data Governance
A Data Governance Framework for Success
Monthly Webinar Series Hosted by DATAVERSITY
Robert S. Seiner – KIK Consulting / TDAN.com
February 20, 2014 – 2:00 p.m. EST

Robert S. Seiner
KIK Consulting & Educational Services – KIKconsulting.com
The Data Administration Newsletter – TDAN.com

1
Non-Invasive Data Governance™ is a trademark of Robert S. Seiner & KIK Consulting
S. Seiner & KIK Consulting
Copyright © 2012 Robert S. Seiner – KIK Consulting & Educational Services / TDAN.com
2014
– KIK Consulting & Educational Services / TDAN.com

Twitter About This Webinar at #RWDG
#RWDG @RSeiner

Upcoming Webinars
•

Real-World Data Governance – Monthly Webinar Series – 2pm EST
– March 20, 2014 – Agile Data Governance: Truth Be Told *
– April 17, 2014 – How to Write a Data Steward Job Description
– Register On-Line at DATAVERSITY.Net

* with Scott Ambler

2
2014

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Abstract
•

A Data Governance Framework must include best practices, a practical set of
roles & responsibilities for Data Governance built specifically for your
organization, a plan for communicating with the entire organization and an
action plan for applying governance in effective and measureable ways.

•

Join Bob Seiner for this Real-World Data Governance webinar as he discusses
how to stay practical and work within the culture of your organization to
develop and deliver a Data Governance Framework to meet your
specifications and the business’ expectations.

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2014

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Definitions
•

Data Governance is the execution and enforcement of authority over the
management of data and data-related assets.

•

Data Stewardship is the formalization of accountability for the management of
data and data-related assets.

•

Non-Invasive Data Governance™
– The practice of:
• applying formal accountability & behavior
• through a non-invasive framework of roles & responsibilities
• to existing and / or new processes
• to assure that the definition, production & usage of data
• improves regulatory compliance, security, privacy & protection.
– Non-Invasive describes how governance is applied to assure
non-threatening management of valuable data assets.
– The goal is to be transparent, supportive, collaborative.
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The Framework
•

The Non-Invasive Data Governance™ Framework Consists of:
–
–
–
–

Best Practice
Operating Model of Roles & Responsibilities
Communications Plan
Action Plan

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Best Practice
•

Best Practice Overview & Process
–

Data Governance Best Practices are defined as the basis and guideline for the
execution of a Data Governance Program.
1. Organizations that successfully implement Data Governance Programs begin by
defining a limited series of best practices before assessing their present practices
in comparison to the best practices.
2. Once the best practices are defined, a gap-risk assessment can be completed to
identify the differences (gap) between the defined Data Governance Best Practices
and the present practices.
3. This report should identify the risks (and potential risks) associated with the gap
prior to defining the action plan for delivering the Data Governance Program.

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2014

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Best Practice
•

Criteria for Identifying Best Practices
– Is the Statement Practical, Do-able and will it Add Value?
The answer should be “Yes” or the best practice statement should not be
considered.
– Is
the
Program
At
Risk
if
the
practice
is
not
achieved?
The answer should be “Yes” or the best practice statement should not be
considered.

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2014

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Best Practice
•

Sample Best Practice:
– In order for Data Governance to be successful, there will need to be a High-Level of
Senior Management Support, Sponsorship and Understanding of the activities of the
Data Governance Program and Team.
– Senior Management must stand behind the activities of the Data Governance
Organization, Data Governance Council and specifically the activities of the Data
Governance Program Team.
– In order to obtain that level of support, Senior Management must gain confidence
and trust that the activities of the Team are practical, pragmatic and focused on
solving the issues that have been defined and will be defined.

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2014

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Best Practice
•

Sample Best Practice from a Healthcare Company:
– For Data Governance to be successful there will need to be a High Level of Senior
Management Support and Understanding of the activities of the Data Governance
Team, the roles defined in the Data Governance Operating Model, and specific
examples of where Data Governance will add value.

– Select staff must be committed to the definition, development, execution and
sustainability of the Data Governance Program on a continual basis. This group will
be known as the Data Governance Team and will be lead by Information Technology
in partnership with Corporate Risk Governance with subject matter expertise from
Strategic Business Units and Shared Corporate Functions.
– The Data Governance Principles will be applied consistently and continuously to
data that is defined, produced and used for Enterprise Reporting. The initial focus of
the Data Governance Program will be directed at improving the quality,
understandability and value of data that drives metrics for Academics Reporting.

•
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2014

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Best Practice
•

Sample Best Practice from a University:
– The goals, scope, expectations, measurements of success and roles and
responsibilities of the Data Governance Program will be well defined and
communicated with Information Technology, Strategic Business Units and Shared
Corporate Functions.

– Data Governance should be considered an ongoing program rather than a one-time
project based on the fact that Governance is not a temporary activity.
– Ideal individuals for the Data Steward role will have business expertise with a
specific domain of data and be empowered to make decisions and if needed,
escalate issues to a strategic level for resolution.

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Roles & Responsibilities

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Role & Responsibilities: Operational Level
•

Responsibilities of the Operational Data Stewards:
– Defining the data that will be used by their part of the organization, how that data
will be used, and how that data will be managed. – Data Definers
– Producing, creating, updating, deleting, retiring, archiving the data that will be
managed. – Data Producers
– Using data to perform their job and processes. – Data Users
– Integrity of data usage. – Data Users

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•

–
–
–
–
–
–
–

Creating or reviewing data definition
Integrity and quality of data definition
Producing, creating, updating, deleting, archiving the data that will be managed.
Integrity and quality of the data created or updated in their department or process.
Supporting and sharing knowledge with other stewards
Communicating new and changed business requirements to impacted individuals
Communicating concerns, issues and problems with data to change influencers

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– Doing what is expected of them in their job while being held formally accountable
for how they do it – when it comes to data.
– Doing what is expected of them in their job while being held formally accountable
for how they do it – when it comes to data.

– Begs the question becomes – What does it mean to be held formally accountable?

Worth
Repeating

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Non-Invasive Data Governance™ Rules for Becoming a Data Steward
1. A Data Steward can be absolutely anybody.
2. Being a Data Steward describes a relationship to data and is not a position.
3. A Data Steward is not hired to be a Data Steward.
4. A Data Steward does not need to have the title of “Data Steward”.
5. A Data Steward does not have to be told how to do their job.
6. Public or Industry Data Steward Certification is a load of bunk.
7. There is more than one Data Steward for each type of Data.
8. Data Steward training should be focused on “Formalizing Accountability”.

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Non-Invasive Data Governance™ Rules for Becoming a Data Steward
You may not agree with all of them.
You may not agree with any of them.

Is this basically a
“Do Nothing”
approach?

… Or a
“Do Everything”
approach?

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2014

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Role & Responsibilities: Tactical Level
•

Responsibilities of the Data Domain Stewards:
–
–
–
–

Responsible for ‘enterprise’ management of a domain of data.
Identified by position (or person) as part of a single business unit or function.
When acting in role of domain steward, affiliation to business unit secondary.
Involved/facilitator in cross business unit resolution of data definition, production
and usage issues.
– May or not be the authority (decision maker).
– Depends on position in the organization.

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2014

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•

Responsibilities of the Data Domain Stewards:
– Responsible for escalating well-documented issues to the strategic level with or
without recommendation.
– Responsible for documenting data classification rules, compliance rules, business
rules for data in their domain (may delegate this).
– Responsible for making certain the rules are communicated to all stakeholders of
data in that domain (may delegate).
– Responsible for participating in tactical groups (with other domain stewards,
steward coordinators, and operational stewards) for finite periods of time to
address specific issues and projects related to their domain and business unit.

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Responsibilities of the Data Steward Coordinators:
– Act as the point communications person for distributing rules and regulations per
domain of data to the operational stewards in their business unit (and making
certain that the operational data stewards understand the rules & risks).
– Act as the point communications person for their business unit to document and
communicate issues pertaining to specific domains of data to the proper data
domain steward.
– Act as the point person in the Common Data Matrix (or data steward repository)
regular change control process.

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2014

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Responsibilities of the Data Steward Coordinators:
– Identify the operational stewards of data per domain for their business unit. This
typically requires research and inventory time for the Data Steward Coordinator.
– Work alongside the Data Domain Stewards and operational data stewards on
specific Tactical Data Steward teams that are set up for the duration of issue
resolution or project focused task.
– The Data Steward Coordinator typically has no decision making authority but plays
a pivotal role in data governance and data stewardship success.

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Role & Responsibilities: Strategic Level
•

The Data Governance Council Consists of Strategic Representatives of Business
Divisions & Information Technology.

•

Why do we need a Data Governance Council?
–
–
–
–
–

Coordination of Data Governance Activities Across Divisions
Cooperation Assurance Across Divisions
Communications Assurance Across Divisions
Comprehensive Risk Management Across Divisions
Consistency in Ability to Apply Discipline Across Divisions

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What does a Data Governance Council Do?
– Become educated in what Data Governance means, how it can and will work for
the organization and what it means to embrace Data Governance and activate
your enterprise data stewards.
– Approve things that need to be approved – i.e., Data Policy, Data Role Framework,
methods, priorities, tools, …
– Push Data Governance into their areas by actively promoting improved data
governance practices.

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2014

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•

What does a Data Governance Council Do?
– Make decisions at a strategic level in a timely manner given the appropriate
knowledge to make that decision.
– Meet regularly (or send alternate), read minutes to stay informed of Data
Governance Program activities.
– Identify and approve of pivotal data governance roles including cross-enterprise
domain stewards and coordinators.
– Advise the Data Governance Council Owner in applying data governance to Risk
Management, Compliance, Business Unit-specific governance interests.

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2014

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•

How much of a time commitment is there for Council Members:
– Monthly Data Governance Council Meetings
Council Consists of Representatives from All Divisions
Meetings Scheduled by Council Owner
Meeting Agenda and Facilitation by DGPT – Minutes, Action Items, …
Meeting Time 60 to 90 minutes a month

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•

– Availability to Read / Review / Comment / Recommend / Approve …
Data Policy & Mandates
Data Governance Roles & Responsibilities
Pro-Active and Reactive Data Governance Activities
Time needed varies 60 to 90 minutes a month

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•

– Availability to Resolve Data Issues Escalated to the Strategic Level
~5-10% of Data Issues Get Escalated to this Level
Higher Percentage Indicates Deficiency in Tactical Level
Issues Not Resolved at Council Meetings
Time commitment varies according to number of escalated issues

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Role & Responsibilities: Support Level
•

Responsibilities of the Data Governance Program Team:
–
–
–
–

Oversee Enterprise Data Governance Program Development
Architect Solution & Framework
Administer the Program including facilitate the Data Governance Council meetings
Provide the Agenda for the Data Governance Council Meetings to the Approved by
Council Owner Pre-Meeting
– Facilitate Data Governance Organization, Tactical & Operational Stewards, the
Data Governance Council Involvement

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•

Responsibilities of the Data Governance Program Team:
– Develop & Deliver Data Governance Program Educational, Awareness & Mentoring
Materials
– Provide Quality Assurance – Oversight, Monitor, Report Results to Governance
Council
– Establish, Maintain, and Periodically Review and Recommend Changes to Data
Governance Policies, Standards, Guidelines, and Procedures
– Assist in Defining Data Quality Metrics for Periodic Release
– Support Data Quality Issue Analysis & Remediation for “Strategic” Data
– Conduct Audits to Ensure that Policies, Procedures and Metrics are in Place for
Maintaining/Improving the Program

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2014

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•

Responsibilities of the Information Technology (DSMEs & SSMEs):
– Focus on Consistent Protection/Classification of Data by Data Classification
(Confidential, Public, Internal Use, …)
– Responsible for Technical Data Handling to Meet Data Classification Requirements
– Secure IT Infrastructure On Behalf of the Business Units that Own or Have
Responsibility for the Data
– Assure that sensitive data, regardless of format, is protected at all times by only
using approved equipment, networks, and other controls
– Responsible for championing the integration of data governance within the
standard project methodology.

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2014

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•

Responsibilities of the Information Technology (DSMEs & SSMEs):
– Ensure that standard project methodology is followed and that policies, procedures
and metrics are in place for maintaining/improving data quality and the creation,
capture and maintenance of metadata.
– Ensure that all “strategic” data is modeled, named, and defined consistently.
– Ensure that projects source and utilize data as much as is feasible from the
designated system of record.
– Provide technical support for ensuring data quality.
– Provide technical support for data governance and data cleansing efforts where
required.
– Ensure that metadata critical to Data Governance is included in the metadata
resource and is accessible

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Communication Planning
•

The improvement of communications around managing data and information
as a valued enterprise asset, is a primary focus of many Data Governance
programs.

•

The Three Os of Data Governance Communications:
– Orientation Communications
– Onboarding Communications
– Ongoing Communications

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•

Messages for Management
– We ARE already governing data (but we are doing it informally).
– We CAN formalize how we govern data by putting structure around what we are
presently doing.

– We CAN Improve:
• How We Manage Data Risk & Secure Data
• Data Quality & Provide Quality Assurance
• Coordination, Cooperation, Communications Around Data
– We DO NOT Have to Spend A Lot of Money.
In fact … Data Governance only costs the time we put into it.
– We NEED structure. We should consider a Non-Invasive approach.

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Action Planning
Opportunity

•

Proactive – Build DG Into What the Data Stewards Do
–
–
–
–
–

Governance Activity Matrix
Governance Processes RACI Chart
System Development Life Cycle (SDLC) / Project Planning
Do Not Call Them “Data Governance Processes”!
Two Pronged Approach to Action Plan
• Further Develop the Program
• Do Something!

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Action Planning
DATA GOVERNANCE ACTIVITY MATRIX©

MASTER DATA
DEVELOPMENT
LIFE CYCLE
(MDDLC)

INFORMATION
GATHERING
(DOMAIN, SYSTEM,
STEWARDS)

ASSESSMENT &
REQUIREMENTS

PLANNING &
ANALYSIS

SOLUTION DESIGN

SOLUTION
DEVELOPMENT

SOLUTION TESTING

SOLUTION
IMPLEMENTATION

SOLUTION
MONITORING &
MAINTENANCE

IT
SYSTEM SMEs

DATA DOMAIN / LOB/FUNCTIONAL AREA
DATA DOMAIN
STEWARD
(or designee)

DATA SMEs

Activity initiated re: this domain,
Data Domain Steward is involved
in identifying and recording info
related Domains, Systems,
Stewards per issue or task.

DATA STEWARD
COORDINATOR

Coordinate and manage all
technical aspects of system
information gathering with Data
Domain Stewards and Steward
Coordinators. Assure appropriate
technical meta-data is recorded.

technical aspects of data
information gathering with Data
Coordinators. Assure appropriate
technical meta-data is recorded.

assessment & requirements
gathering with Data Domain
Stewards and Steward
Coordinators.

technical aspects of data
assessment & requirements
gathering with Data Domain
Coordinators.

planning and analysis with Data
Coordinators.

technical aspects of data planning
and analysis with Data Domain
Coordinators.

Coordinate system design with
Data Domain Stewards and
Steward Coordinators.

Coordinate data design with Data
Coordinators.

solution development. Assure
that appropriate technical metadata is recorded.

technical aspects of data solution
development. Assure that
appropriate technical meta-data is
recorded.

Perform EIS system testing.
Assure that appropriate technical
meta-data is recorded.

Perform EIS data testing. Assure
that appropriate technical metadata is recorded.

Coordinate business tasks
associated with solution testing
steps.

Coordinate activities of the
Operational Stewards related to
testing work including timelines,
status, tactical decision making.

solution implementation.

implementation.

associated with solution
implementation.

monitoring & maintenance.

associated with solution
monitoring & maintenance.

solution monitoring &
maintenance including timelines,
status, tactical decision making.

DATA
PRODUCER

Activity initiated re: this domain,
Steward Coordinator is involved in
identifying Operational Stewards
in this LOB/FA that should
participate in this work flow.
Assure appropriate business
meta-data is recorded.

Participate in data
definition information
gathering as needed.

Coordinate activities of
Operational Stewards including
project timelines, status reporting,
tactical decision making. Assure
appropriate business meta-data is
recorded.

Provide definition
requirements &
gathering document.
Define data needed to
operate business &
report results.

Produce user
requirements. Use
data needed to
operate business &
report results.

Coordinate tasks associated
conducting planning and analysis
steps.

Provide data
definition guidance to
build the appropriate
solution.

Provide data usage
guidance to build the
appropriate solution.

Coordinate tasks associated
conducting planning and analysis
steps. Accept or Resolve solution
from the Steward Coordinator.

Propose alternatives
for data definition
solution that best fits
with defined
requirements.

Coordinate activities of all
individuals related to development
work including timelines, status,
tactical decision making.

Participate in data
production
information gathering
as needed.

DATA USER

solution implementation including
timelines, status, tactical decision
making.

solution monitoring &
maintenance.

OPERATIONAL DATA STEWARDS
DATA DEFINER

for data production
that best fits with the
data definition
solution and defined
requirements.

Participate in data
usage information
gathering as needed.

for data usage
solution that best fits
with defined
requirements.

Provide input to the
development of the
data production
solution.

Test data solution
from a definition
perspective. Assure
that appropriate
business meta-data is
recorded.

Test data solution
from a production
perspective. Assure
that appropriate
recorded.

Test data solution
from a usage
perspective. Assure
that appropriate
recorded.

As part of daily job,
identify operation
data issues pertaining
to their domain of
data.

identify operation
to their domain of
data.

identify operation
to their domain of
data.

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2014

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Action Planning

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2014

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Action Planning

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2014

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Action Planning

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Action Planning
•

Reactive – Follow a Data Quality Methodology
–
–
–
–
–
–
–
–
–

Qualify & Prioritize Data Issue
Identify Affected Data Domain
Identify Affected Data Stewards
Conduct Data Systems & Data Resource Discovery
Conduct Root Cause Analysis
Conduct Cost-Benefit Analysis
Analyze & Recommend Resolution
Gain Approval, Funding, Resources
Resolve Data Issue

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Action Planning

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Summary
•

The Non-Invasive Data Governance™ Framework Consists of:
–
–
–
–

Best Practice
Operating Model of Roles & Responsibilities
Communications Plan
Action Plan

44
2014

#RWDG @RSeiner

Upcoming Webinars
•

Real-World Data Governance – Monthly Webinar Series – 2pm EST
– March 20, 2014 – Agile Data Governance: Truth Be Told *
– April 17, 2014 – How to Write a Data Steward Job Description
– Register On-Line at DATAVERSITY.Net

* with Scott Ambler

45
2014

#RWDG @RSeiner

Contact Information
•

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, 412.220.9644 (Fax)
rseiner@kikconsulting.com
rseiner@tdan.com

@RSeiner
#RWDG

46
2014

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Real-World DG Webinar: A Data Governance Framework for Success

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