Formalize Data Governance with Policies and Procedures

1

1

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 Governancewith Policies and Procedures

Monthly Webinar Series Hosted by DATAVERSITYRobert S. Seiner – KIK Consulting / TDAN.comFebruary 15, 2018 – 11:00 a.m. PT / 2:00 p.m. ET

2

2



Real-World Data GovernanceCurrent Events

• Real-World Data Governance – Monthly Webinar SeriesMarch 15, 2018 – Metadata Governance for Vocabularies, Dictionaries and Data – w/guestApril 19, 2018 – Using Data Governance to Achieve Data QualityThird Thurs @ 2pm EST – Register at TDAN.com, KIKconsulting.com, DATAVERSITY.net

• Non-Invasive Data Governance BookISBN 9781935504856 / Technics Publishing / Amazon.com

• Speaking EventsEnterprise Data World 2018 – San Diego, CA – April 22-27, 2018Data Governance & Information Quality Conference – San Diego – June 11-15, 2018

• Online Learning PlanNon-Invasive Data Governance - DATAVERSITY Training CenterSeven Online Courses with Evaluations

• The Data Administration Newsletter (TDAN.com)Twice Monthly – Articles, Columns, Blogs and Feature

Produced by DATAVERSITY – Subscribe for emails

3

3



• 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 ProceduresAgenda for Today’s Webinar

4

4



• 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?

Formalize Data Governance with Policies and ProceduresRelationship between Data Governance and Data Policy

5

5



• Answer these questions:– Is a Data Governance Policy necessary?

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


6

6




• 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


7

7




• 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


8

8




• 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


9

9




• 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 aData Governance Policy

add that these don’t address?

10

10



• Answer these questions:– What goes into a Data Governance Policy?

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


11

11




• Introduction– Purpose– Scope– Violations


12

12




• 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.


13

13




• Introduction– Scope

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


14

14




• 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.


15

15




• 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.


16

16




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


17

17




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


18

18



• Answer these questions:– Who owns the Data Governance Policy?

• Define “owns”.• Data Governance Office• Data Governance Council• Will talk more about roles later.


19

19



• Answer these questions:– 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.


20

20



Formalize Data Governance with Policies and ProceduresCore Guidelines to Embrace

21

21




22

22



• 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.


23

23



• 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.


VERY IMPORTANT SLIDE

24

24



• Four Guidelines to Consider for Your Policy:– Data is recognized as a valued and strategic enterprise asset.

• 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.


25

25



• Four Guidelines to Consider for Your Policy:– Accountability for Data is clearly defined, recorded and enforced.

• 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.


26

26



• Four Guidelines to Consider for Your Policy:– Data is managed to follow internal & external rules & regulations.

• 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


27

27



• Four Guidelines to Consider for Your Policy:– Data Quality is defined & managed consistently across the data lifecycle.

• 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


28

28



Formalize Data Governance with Policies and ProceduresDG Roles Importance

29

29



• 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


30

30



• All the Players Associated with the Data Governance Policy:– 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.


31

31



• All the Players Associated with the Data Governance Policy:– 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


32

32



• All the Players Associated with the Data Governance Policy:– Data Governance Steering Committee – Executive Level

• Ultimate Approvers of Policy• Ultimate Enforcers of Policy• Without this levels approval it does not become policy.


33

33



• All the Players Associated with the Data Governance Policy:– Data Governance Partners – Support Level

• Legal Team• Information Security Team• Privacy Team• Communications Team• Other Policy Teams


34

34



• All the Players Associated with the Data Governance Policy:– 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!


35

35



• 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.

Formalize Data Governance with Policies and ProceduresUsing RACIs and Similar Constructs

36

36



• 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


37

37



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


38

38




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 UseM

aps

toH

ow U

sed

Maps to Multiple

Business Term

Standard Data Name

Business SystemData Name



System Data Name

39

39




CompletedAdd/Change Request Form

(artifact)

Requestor – Officers, Department Management, DirectorsRequests will be validated and approved by Department Management prior to entering process.

Vocabulary Add / ChangeRequest Form

Includes Change Detail (artifact)

Data Governance Manager (DGM)(role)

Return RequestTo Complete Form

(process)

Vocabulary StandardSemantic Business Glossary

(artifact)

Data Governance Steering Committee (DGSC)(role)

Initiate RequestThrough Request Process

(process)

DeliverVocabulary Change

(process)

UtilizeSteering Committee

(process)

Document Change inVocabulary(process)

Dat

a G

over

nanc

e M

etad

ata

Plat

form

(art

ifact

)

Document(process)

Document(process)

Document(process)

Access to Metadata(process)

ValidateRequest

(process)

Validate / ApproveRequest

(process)

Bi-Weekly ItemizedChange Requests & Status Report

(process)

Initiate Impact Assessment (can require use of additional process*)Vocabulary Add / Change ProcessVocabulary Standard Analysis

Decision Point

CertifyVocabulary 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 ProcessNo – Document Change Request,

Initiate Vocabulary Request Denial Impact Assessment

* vocabulary, data dictionary, data processes

40

40




41

41




42

42




43

43



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

Formalize Data Governance with Policies and ProceduresMeasuring the Results

44

44



• Knowing if Policy is Being Followed:– 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.


45

45



• Knowing if Policy is Being Followed:– Responsibility for Metrics

• Data Governance Office• Data Governance Council• Data Governance Steering Committee• Data Governance Partners• And of course – Data Stewards


46

46



• Knowing if Policy is Being Followed:– Who should see the Metrics

• Data Governance Council• Data Governance Steering Committee• Data Governance Partners• And of course … Data Stewards


47

47



• Knowing if Policy is Being Followed:– Auditable Metrics

• Involve Regulators• Involve Privacy / Information Security• Involve Internal Audit


48

48



• 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

Formalize Data Governance with Policies and ProceduresToday’s Webinar

49

49



• Questions and Answers

Formalize Data Governance with Policies and ProceduresSummary

50

50



• Robert S. SeinerKIK Consulting & Educational Services – KIKconsulting.comThe Data Administration Newsletter – TDAN.comPost Office Box 112571, Upper St. Clair, Pennsylvania 15241412.220.9643, [email protected]@RSeiner @TDAN_com

Formalize Data Governance with Policies and ProceduresContact Information

Formalize Data Governance with Policies and Procedures

Business

Transcript of Formalize Data Governance with Policies and Procedures