RWDG Slides: Data Governance and Policy Management

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Copyright © 2020 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
Data Governance and Policy Management
Monthly Webinar Series Hosted by DATAVERSITY
Robert S. Seiner – KIK Consulting / TDAN.com
June 18, 2020 – 11:00 a.m. PT / 2:00 p.m. ET

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#RWDG @RSeiner
Introduction
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Home of Non-Invasive Data Governance™

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#RWDG @RSeiner
• In the webinar I will share:
– The relationship between Data Governance & Policy Management
– How to recognize the data policies already in place
– Using data policy to bolster your Data Governance program
– The makeup of a Data Governance policy
– Having a policy to manage data policies
Abstract

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#RWDG @RSeiner
• What is Data Governance?
• What is Policy Management?
• Similarities Between Data Governance and Policy Management
• Differences of Data Governance and Policy Management
• The Relationship Between the Two
The Relationship Between Data Governance & Policy Management

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– The execution and enforcement of authority over the management of data
and data-related assets. Robert S. Seiner

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– The execution and enforcement of authority over the management of data
– Worded VERY strongly.
– Gets people to sit forward and pay attention.
– Either you love it, or you loathe it.
– Tempered to “The formalization of behavior …”.

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– Policy management is the process of creating, communicating, and maintaining
policies and procedures within an organization. policymedical.com

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– Cheeseburger definition – The management of policies.
– A policy is a code of conduct.
– Policies filter down to govern the enterprise, divisions, regions, business units,
and processes.

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– Data Management is the process of creating, communicating, and maintaining
data and metadata procedures within an organization.
– Data Governance is the process of creating, communicating, maintaining,
executing and enforcing rules and behaviors associated with data and
metadata procedures within an organization.

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– An effective policy management practice moderates risk in two ways:
1. Makes policies more quickly accessible to staff, guiding activities and
safety decisions.
2. Protect an organization from litigation by staying up to date on standards
and creating an audit trail in the case of legal action.

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• Similarities Between Data Governance and Policy Management
– They both are codes of conduct.
– They both filter down to govern the enterprise, divisions, regions, business
units, and processes.
– They both require leadership and approval.
– They both feel invasive unless sold as otherwise.

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• Differences of Data Governance and Policy Management
– Have stated that they have similarities, but they have differences too.
– One focuses on data, information, and metadata.
– One focuses on policy, policy information, and information about policy.

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• The Relationship Between the Two
– They both demand execution and enforcement.
– They both are necessary (required?) for a disciplined organization.
– There can be (already is?) policy about data.
• Data classification, protection, and handling policy.
• Data security policy.
• Data sharing policy.
• Data access policy.
• Data operations policy.
• Data ownership policy.
• Data and metadata change management policy.

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• Policy-Driven Vs Not
• What Makes a Policy a Good Policy
• Where to Look for Policies
• Policies That Govern
• Applying Governance to Policies
How to Recognize the Data Policies Already in Place

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– Do you require Policies? … YES!
• The Organization is Policy-Driven
• Demonstrates Senior Leadership Support
• Outlines Who is Responsible and Enforcement of Rules

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– Do you require Policies? … NO!
• The Organization is Not Policy-Driven
• Senior Leadership Demonstrates Support in Other Ways
• Guidelines Work Better / Enforce Rules Through Guidelines

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• What Makes a Policy a Good Policy
– Criteria for good policy:
• Right-size – size of business, topic, audience, internal/external
• Clear hierarchy – values > strategies > plans > policies > standards >
guidance > procedures > operating manuals
• Principles-based – short, understood, embedded, clear, consistent
• Provenance – governance bodies, authors, approvers, regulators
• Publicize – delivery, availability, publication, training, transparent

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• Where to Look for Policies
– Policy Library
– Records and Information Management (RIM)
– Senior Leaders
– Orientation and Training Materials
– Legal Department

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• Policies That Govern
– All policies govern
– All policies require clear execution
– All policies require clear enforcement
– All policies formalize accountability
– All policies require consequences for inaction

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• Applying Governance to Policies
– Governance of policy definition
– Governance of policy production
– Governance of policy usage
– Governance of policy maintenance and review
– Governance of policy socialization

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• Data Policy Governance
• Data Policy Stewardship
• Policy Approval Process
• Using Policy to Strengthen Data Governance
• Data Governance Without a Policy
Using Data Policy to Bolster Your Data Governance Program

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• Data Policy Governance
– Execution and Enforcement of Authority of Policy
– Management = Definition, Production and Usage of Policy
– Policy for Data and Data-Related Assets
– Metadata is a Data-Related Asset
– Data Stewards are a Data-Related Asset
The execution and enforcement of authority over the management
of data and data-related assets. Robert S. Seiner

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• Data Policy Stewardship
– Act of Formalizing Data Policy for the Organization
– Formalized Accountability for Policy Definition
– Formalized Accountability for Policy Production
– Formalized Accountability for Policy Usage
– Policy Will Not Define, Produce and Use Itself
The formalization of accountability over the management of data

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• Policy Approval Process
– Data Governance Office (or Data Governance Administrator)
– Data Governance Sponsor (or Person Accountable for Data Governance)
– Data Governance Council (or Strategic Level of Operating Model)
– Data Governance Committee (or Executive Level of Operating Model)

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– Demonstrates Senior Leadership Support, Sponsorship and Understanding
– Senior Leadership Will Not Approve Policy Unless They Asked
– Something to Lean Back On When People Ask, “Who cares?”
– Something to Point At When People Ask, “Who says DG is necessary?”

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– Auditor and Examiners May Say It Is Necessary
– Policy is Reserved for Something Important Enough to Require Formality
– Use Other Governance Policy to Emphasize the Importance of Governing Data

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– Best Practice Number One
– 100% of My Clients
– Criteria to Determine if a Practice is a Best Practice
– Senior Leadership Supports, Sponsors and Understands Data Governance

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– Data Governance DOES NOT Require That You Have Data Governance Policy
– You Already Have Governance Through Policy
– It Doesn’t Hurt to Have a Data Governance Policy

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• Components of a Data Governance Policy
• Core Principles of a Data Governance Policy
• Data Governance Policy Example
• Gaining Approval for a Data Governance Policy
The Makeup of a Data Governance Policy

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• Components of a Data Governance Policy (Laid out in the RWDG webinar in Apr 2017)
– Introduction
• Purpose – Why there is policy
• Scope – What is covered by the policy
• Violations – Consequences of not following policy
– Policy Statement – What is being policed
– Principles – How policy is defined
– Dimensions – How policy is measured

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• Data Governance Core Principles
– Guiding Principles
1. Data is recognized as a valued and strategic enterprise asset.
2. Accountability for data is clearly defined and enforced.
3. Data is managed to follow internal & external rules & regulations.
4. Data Quality is defined & managed consistently across the data lifecycle.

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• Data Governance Policy Example
ABC, Inc.’s (“Company”) 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.
This policy applies to all employees, contractors, temporary employees, consultants, and authorized
agents of the Company.
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 resource through defined data governance standards and
procedures.
All users must maintain the quality and integrity of these resources.
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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– Recognize the Need for a Data Governance Policy
– Utilize Organizational Construct for Policy
– Draft the Data Governance Policy
– Validate Policy with Data Governance Sponsor

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– Present Policy to the Strategic Level for Concurrence
– Present Policy to the Executive Level for Signature
– Socialize Policy to the Organization
– Enforce Policy with Consequences

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• Drivers and Policy Purposes
• Expand Policies Through Policy
• Comparing Policies to Guideline, Standards and Agreements
• Policy Alternatives
• Policy Management Policy
Having a Policy to Manage Data Policies

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• Drivers and Policy Purposes
– To Demonstrate Senior Leadership Backing
– To Increase Awareness of Importance of Governing Data
– To Formalize Authority and Accountability for Data
– To Provide Consequences for Lack of Adherence
– To Document the Importance of Data Governance

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• Expand Policies Through Policy
– Formalize Method for Policy Requirements and Development
– Formalize Structure of Organizational Policy
– Formalize Policy Approval Process
– Formalize Record of Available Policies
– Formalize Review and Maintenance of Organizational Policy

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• Comparing Policies to Guideline, Standards and Agreements
– Policy – Approved Course of Action
– Guideline – Provided Instruction of Behavior (Guiderails)
– Standards – Requirements to be Followed
– Arrangements – Formalized Understanding

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• Policy Alternatives
– Rules – Depends on Formality and Requirements to Follow
– Strategies – High Level Organizational Direction or Vision
– Plans – Method of How Actions Will Be Carried Out
– Procedures – Steps to Complete Actions
– Directives – Senior Leadership Statements of What Must Be Followed
– Agreements – Commitments to Follow the Rules

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• Policy Management Policy
– Formal Method for How Policies Come Into Existence
– Plan for Definition, Production and Usage of Policy
– Plan for Who Creates Policy
– Plan for How Policy is Approved
– Metapolicy – Policy About Policy

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#RWDG @RSeiner
• In the webinar I shared:
– The relationship between Data Governance & Policy Management
– How to recognize the data policies already in place
– Using data policy to bolster your Data Governance program
– The makeup of a Data Governance policy
– Having a policy to manage data policies
Summary

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Questions and Answers
Meet me in the Dataversity Community
to continue the conversation.
https://community.dataversity.net/

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• Robert S. Seiner
KIK Consulting & Educational Services – KIKconsulting.com
The Data Administration Newsletter – TDAN.com
412.220.9643 rseiner@tdan.com @RSeiner
Contact Information

RWDG Slides: Data Governance and Policy Management

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