RWDG Webinar: Writing Data Governance Policies & Procedures

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Copyright © 2012 Robert S. Seiner – KIK Consulting & Educational Services / TDAN.com

Non-Invasive Data Governance™ is a trademark of Robert S. Seiner & KIK Consulting Twitter About This Webinar at #RWDG

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Non-Invasive Data Governance™ is a trademark of Robert S. Seiner & KIK Consulting #RWDG @RSeiner

Robert S. SeinerKIK Consulting & Educational Services – KIKconsulting.com

The Data Administration Newsletter – TDAN.com

Real-World Data GovernanceWriting Data Governance

Policies & ProceduresMonthly Webinar Series Hosted by Dataversity

February 18, 2016 – 2:00 p.m. EST




Non-Invasive Data Governance™ is a trademark of Robert S. Seiner & KIK Consulting

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• Non-Invasive Data Governance:The Path of Least Resistance and Greatest Success

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Real-World Data GovernanceWhat’s New?





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Writing Data Governance P & PSession Abstract

• A Data Governance Policy is a guide to making decisions and delivering rationaloutcomes pertaining to the data of your organization.

• A Data Governance Program delivers a way to formally get to the outcomes.

• Writing policy and associated procedures properly can be paramount to success.

• This webinar will cover –– Essential Components of a Data Governance Policy– Crafting Basic Data Governance Policy Principles– Verbiage and Diagrams to Build a Data Governance Policy– Why Policy is Necessary for Your Program– Process and Procedure to Support the Policy





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• What is the Purpose of a Policy?

Approved and Intended toInfluence and Determine

Decisions, Actions and Other Matters.

Writing Data Governance P & PFirst Things First





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• What is the Purpose of a Data Governance Policy?– Approved and intended to influence and determine decisions, actions, and other

matters associated with Data Governance.– 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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• Do you require a Data Governance Policy? … 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 a Data Governance Policy? … NO!– Organization is Not Policy-Driven– Senior Leadership Demonstrates Support in Other Ways– Guidelines Work Better / Enforce Rules Through Guidelines– We 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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• Components of a Data Governance Policy– Introduction– Data Governance Policy Statement– Data Governance Principles– Data Governance Dimensions

Writing Data Governance P & PEssential Components





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• Introduction– Purpose

• The Data Governance Policy is designed to manage the creation,transformation, and usage of data and related information ownedby or in the care of Company.

• Example purposes:– This policy directs the development of common data

definitions, standards, requirements and processes.– This policy directs the enforcement of data lines of authority.– This policy assures that the Data Governance Policy Principles

defined in this document are fully implemented.






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• Introduction– Scope

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

• Example scopes:– This policy applies to all data that is managed as an internal

asset to Company.– This policy applies to all Personally Identifiable Information

(PII) and Personal Health Information (PHI) handled byemployees and contractors of the Company.

– This policy applies all internally managed data excludingHuman Resource data that is not in scope for the Program.






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• Introduction– Violations

• Data and information is a critical component of Company business.• 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 includingtermination of employment or contract and prosecution inaccordance 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 assetthrough defined data governance standards and procedures.






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• Data Governance Policy Statement– This Data Governance Policy will be implemented to formalize how

people of the Company behave consistent with the defined DataGovernance Principles represented on “The Graphic”.






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Copyright © 2012 – Robert S. Seiner – KIK Consulting & Educational Services, LLCUsed by Permission Only

Writing Data Governance P & PData Governance Policy Principles





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• Data Governance Principles – How Data Governance Is Defined

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.


VERY IMPORTANT SLIDE





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• Principle 1Data 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 can negative value?– Recognized meaning …

• The Definition of the asset must be governed.• The Production of the asset must be governed.• The Usage of asset must be governed.






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• Principle 2Accountability 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.






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• Principle 3Data 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






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• Principle 4Data 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






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• Data Governance Dimensions – How Data Governance Is Measured

• The following Data Governance Dimensions have been defined as a way tomeasure the governance of data.

– Accessibility – Data accessibility will be defined and managed inaccordance with appropriate Business Rules for access and local andFederal Rules and Regulations.

– Accuracy – Data should correctly reflect the real world object or anevent being described to enable informed decision-making at all levels.

– Completeness – All expected, mandatory attributes of data should beprovided.

– Consistency – Data across the Company should be in synch with thesystem of record identified and used in all appropriate cases.






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• Data Governance Dimensions – How Data Governance Is Measured

• The following Data Governance Dimensions have been defined as a way tomeasure the governance of data.

– Relevance (Non-Obsolete) – Data managed as an asset must be relevantto the business and retired when obsolete.

– Timeliness – Data should be up-to-date, produced in a timely mannerand appropriate for the task at hand to support information needs.

– Uniqueness – Duplicate data should be avoided (or managed).






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• Messages for Management

– We are already governing data (but we are doing it informally).DG Policy will help to formalize the governing of data.

– We can formalize how we govern data by puttingstructure around what we are presently doing.

DG Policy will help to put structure around the governing of data.

Writing Data Governance P & PVerbiage for Management





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• Messages for Management

– Policy May Be Necessary to Improve:• How We Manage Data Risk & Secure/Protect Data• Data Quality & Provide Quality Assurance• Coordination, Cooperation, Communication Around Data






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• Messages for Management:

– 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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• What We Should Not Tell Management:

– Do NOT Sell Data Governance as being A HUGE CHALLENGE.

– Emphasize that Data Governance is NOT A TECHNICAL SOLUTION.

– Emphasize again that PEOPLE BEHAVIOR IS GOVERNED, Not Data.

– Emphasize that Data Governance is an EVOLUTION, NOT REVOLUTION.






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Writing Data Governance P & PDiagrams to Support Data Governance Policy





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EXISTSNEW






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Writing Data Governance P & PProcedures to Support Data Governance

• 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.





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• Govern Data Procedures– 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

– 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 UseM

aps

toH

ow U

sed

Maps to Multiple

Business Term

Standard Data Name

Business SystemData Name



System Data Name






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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





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DATA DEFINER DATAPRODUCER

DATA STEWARDCOORDINATOR

DATA GOVERNANCE ACTIVITY MATRIX©

MASTER DATADEVELOPMENT

LIFE CYCLE(MDDLC)

INFORMATIONGATHERING

(DOMAIN, SYSTEM,STEWARDS)

OPERATIONAL DATA STEWARDS

DATA USERDATA DOMAIN

STEWARD(or designee)

DATA DOMAIN / LOB/FUNCTIONAL AREA

ASSESSMENT &REQUIREMENTS

PLANNING &ANALYSIS

SOLUTION DESIGN

SOLUTIONDEVELOPMENT

SOLUTION TESTING

SOLUTIONIMPLEMENTATION

SOLUTIONMONITORING &MAINTENANCE

Activity initiated re: this domain,Data Domain Steward is involvedin identifying and recording inforelated Domains, Systems,Stewards per issue or task.

Activity initiated re: this domain,Steward Coordinator is involved inidentifying Operational Stewardsin this LOB/FA that shouldparticipate in this work flow.Assure appropriate businessmeta-data is recorded.

Propose alternativesfor data definitionsolution that best fitswith definedrequirements.

Provide input to thedevelopment of thedata productionsolution.

Provide definitionrequirements &gathering document.Define data needed tooperate business &report results.

Test data solutionfrom a definitionperspective. Assurethat appropriatebusiness meta-data isrecorded.

Produce userrequirements. Usedata needed tooperate business &report results.

Coordinate activities ofOperational Stewards includingproject timelines, status reporting,tactical decision making. Assureappropriate business meta-data isrecorded.

Provide datadefinition guidance tobuild the appropriatesolution.

Provide data usageguidance to build theappropriate solution.

Coordinate tasks associatedconducting planning and analysissteps.

Propose alternativesfor data productionthat best fits with thedata definitionsolution and definedrequirements.

Propose alternativesfor data usagesolution that best fitswith definedrequirements.

Coordinate tasks associatedconducting planning and analysissteps. Accept or Resolve solutionfrom the Steward Coordinator.

Coordinate activities of allindividuals related to developmentwork including timelines, status,tactical decision making.

SYSTEM SMEs

IT

DATA SMEs

Test data solutionfrom a productionperspective. Assurethat appropriatebusiness meta-data isrecorded.

Test data solutionfrom a usageperspective. Assurethat appropriatebusiness meta-data isrecorded.

Coordinate activities of theOperational Stewards related totesting work including timelines,status, tactical decision making.

Coordinate activities of theOperational Stewards related tosolution implementation includingtimelines, status, tactical decisionmaking.

Coordinate activities of theOperational Stewards related tosolution monitoring &maintenance including timelines,status, tactical decision making.

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

Perform EIS data testing. Assurethat appropriate technical meta-data is recorded.

Coordinate and manage alltechnical aspects of data solutiondevelopment. Assure thatappropriate technical meta-data isrecorded.

Coordinate and manage alltechnical aspects of systemsolution development. Assurethat appropriate technical meta-data is recorded.

Coordinate system design withData Domain Stewards andSteward Coordinators.

Coordinate data design with DataDomain Stewards and StewardCoordinators.

Coordinate and manage alltechnical aspects of systemplanning and analysis with DataDomain Stewards and StewardCoordinators.

Coordinate and manage alltechnical aspects of data planningand analysis with Data DomainStewards and StewardCoordinators.

Coordinate and manage alltechnical aspects of systemassessment & requirementsgathering with Data DomainStewards and StewardCoordinators.

Coordinate and manage alltechnical aspects of dataassessment & requirementsgathering with Data DomainStewards and StewardCoordinators.

Coordinate and manage alltechnical aspects of datainformation gathering with DataDomain Stewards and StewardCoordinators. Assure appropriatetechnical meta-data is recorded.

Coordinate and manage alltechnical aspects of systeminformation gathering with DataDomain Stewards and StewardCoordinators. Assure appropriatetechnical meta-data is recorded.

Participate in datadefinition informationgathering as needed.

Participate in dataproductioninformation gatheringas needed.

Participate in datausage informationgathering as needed.

Coordinate and manage alltechnical aspects of systemsolution implementation.

Coordinate and manage alltechnical aspects of systemsolution monitoring &maintenance.

Coordinate and manage alltechnical aspects of data solutionimplementation.

Coordinate and manage alltechnical aspects of data solutionmonitoring & maintenance.

Coordinate business tasksassociated with solution testingsteps.

Coordinate business tasksassociated with solutionimplementation.

Coordinate business tasksassociated with solutionmonitoring & maintenance.

As part of daily job,identify operationdata issues pertainingto their domain ofdata.








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Writing Data Governance P & PIs a Policy Necessary for Your Program

• Evaluate Data Governance Policy Vs. Data Policy• Leverage Existing Policies – Label Them Governance





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• Build a Collection of Data Governance Policies• Build a Collection of Repeatable Procedures that will be Governed





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• Leverage Models and Matrices as Part of Policies• Leverage Models and Matrices to Apply Governance to Processes





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Writing Data Governance P & PWrap Up

• Next Real-World Data Governance Webinar – 2pm EST

– March 17, 2016 – The Data Model as a Data Governance Artifact

• This webinar covered –– Essential Components of a Data Governance Policy– Crafting Basic Data Governance Policy Principles– Verbiage and Diagrams to Build a Data Governance Policy– Why Policy is Necessary for Your Program– Process and Procedure to Support the Policy





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Writing Data Governance P & PWrap Up





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• Robert S. SeinerKIK Consulting & Educational Services – KIKconsulting.comThe Data Administration Newsletter – TDAN.comPost Office Box 112571, Upper St. Clair, Pennsylvania 15241412.220.9643, 412.220.9644 (Fax)[email protected]@tdan.com

@RSeiner#RWDG

Real-World Data GovernanceContact Information

RWDG Webinar: Writing Data Governance Policies & Procedures

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