real-world data governance: data governance policy - components and content

1

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

1


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 GovernanceData Governance Policy:

Components and Content

Monthly Webinar Series Hosted by DataversityRobert S. Seiner – KIK Consulting / TDAN.com

June 19, 2014 – 2:00 p.m. EST




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

22

#RWDG @RSeiner

• Real-World Data Governance – Monthly Webinar Series– Third Thursday of Each Month – 2pm EST

– July 17, 2014 – Metadata to Empower Data Stewards *

– Register On-Line at DATAVERSITY.Net * with guest

Real-World Data GovernanceUpcoming Webinars





33

#RWDG @RSeiner

• Non-Invasive Data Governance:The Path of Least Resistance and Greatest Success– ISBN 9781935504856 / Technics Publishing– Projected for September 1, 2014

• KIKConsulting.comHome of Non-Invasive Data Governance™Completely Refurbished Web-Site– Jeremy Seiner (Nephew) Designer– Live on June 1, 2014

• Enterprise Data Governance Policy &Stewards, Stewarding and the Stewardship of DataPresentations at DGIQ Conference– DATAVERSITY & DEBTECH International– San Diego, California June 23-27, 2014

Real-World Data GovernanceWhat’s New?





44

#RWDG @RSeiner

Data Governance PolicySession Abstract

• This webinar will focus on the following:– Is a Policy Necessary to Guide Appropriate & Formal Behavior?– Data Governance Definition / What Does It Mean to Govern– Policy Components– Policy Content– Policy Principles & Dimensions– Tools Associated with Principles– Defining "Enterprise" in Terms of Data Governance Policy– Gaining Approval of an Data Governance Policy





55

#RWDG @RSeiner

Data Governance PolicyConsiderations

• First … Let’s consider these questions:– Does our Organization Require a Policy?– Are there Similar Policies that we can use as a Model? – Who is the Audience for the Policy?– Who will have the Responsibility for Approving the Policy?– Who will have the Responsibility for Enforcing the Policy?– How will we Communicate the Policy?





66

#RWDG @RSeiner

Data Governance Policy“The Graphic”

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





77

#RWDG @RSeiner

Data Governance PolicyDefinitions





88

#RWDG @RSeiner

• Policy– A plan of action adopted or pursued by an individual, government,

party, business, etc.– A course of action, guiding principle, or procedure considered

expedient, prudent, or advantageous.FreeDictionary.Com

Data Governance PolicyPolicy Definitions





99

#RWDG @RSeiner

• Data Governance– Data Governance is the Execution and Enforcement of Authority

Over the Management of Data and Data-Related Resources.Robert S. Seiner

• Data Stewardship– Data Stewardship is the Formalization of Accountability Over the

Management of Data and Data-Related Resources.Robert S. Seiner

Recent Client DefinitionsFormalization of behavior around the definition, productionand usage of data to manage risk and improve quality andusability of selected data.Formalization and guidance for behavior over the definition,production and use of information and information relatedassets.






1010

#RWDG @RSeiner

• Non-Invasive Data Governance™

– The practice of:• applying formal accountability & behavior • through non-invasive roles & responsibilities• to existing and / or new processes• to assure that the definition, production & usage of data• assures regulatory compliance, security, privacy, protection & quality.

– Non-Invasive describes how governance is applied to assurenon-threatening management of valuable data assets.

– The goal is to be transparent, supportive, collaborative.






1111

#RWDG @RSeiner

Data Governance PolicyWhat It Means to “Govern Data”

• [to] gov·ern [data]

v. gov·erned, gov·ern·ing, gov·erns – To make and administer the public policy and affairs [of data]– To exercise sovereign authority [in data]– To control the speed or magnitude [of data]– To regulate [data] – To control the actions or behavior [of data] – To keep under control [data]; to restrain [data] – To exercise a deciding or determining influence [on data] – To exercise political authority [over data] – To have or exercise a determining influence [over data]

FreeDictionary.com [Bob Seiner]





1212

#RWDG @RSeiner

Data Governance PolicyComponents





1313

#RWDG @RSeiner

• Components of a Data Governance Policy– Introduction– Policy Statement– Data Governance Principles– Data Governance Dimensions– Data Governance Glossary– Data Governance Roles & Responsibilities

Data Governance PolicyPolicy Structure





1414

#RWDG @RSeiner

• 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.

• This policy will direct the development of common data definitions,standards, requirements and processes; enforce lines of authority;and assure that the Data Governance Policy Principles defined inthis document and the associated framework is fully implemented.






1515

#RWDG @RSeiner

• Introduction– Scope

• This policy applies to all employees, contractors, temporaryemployees, consultants, and authorized agents of the Company.Throughout this policy, the word "users" will be used to collectivelyrefer to all such individuals. Adhering to the Data GovernancePolicy is the corporate responsibilityof everyone.

• This policy applies to all data that is managed as an internal asset toCompany. Data that is defined, produced and managed by theparent company, including Human Resource data, is not in scopefor the Data Governance Program.






1616

#RWDG @RSeiner

• 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.






1717

#RWDG @RSeiner

• Data Governance Policy– How Data Governance Is Implemented

• Data Governance Principles– How Data Governance Is Defined

• Data Governance Dimensions– How Data Governance Is Measured






1818

#RWDG @RSeiner

• Data Governance Policy – How Data Governance Is Implemented

– It is the policy of Company to require that all data defined, producedand used by or in the care of Company be governed as a corporate assetthrough defined data governance standards and procedures.

– It is the policy of Company that Data Governance will be appliedconsistently to Enterprise Strategic Data, Master Data and TransactionalData. For definitions of these terms please refer to the Glossary sectionof this Policy document.






1919

#RWDG @RSeiner

• Data Governance Policy – How Data Governance Is Implemented

– This Data Governance Policy is broken into four Data GovernancePrinciples that are measured by the Data Governance Dimensions asrepresented on “The Graphic”.






2020

#RWDG @RSeiner







2121

#RWDG @RSeiner

Data Governance PolicyContent





2222

#RWDG @RSeiner

• Data Governance Principles – How Data Governance Is Defined

• Principle 1: From “MY” Data to “OUR” Data– Data is a valuable strategic asset to Company and shall be managed accordingly.Rationale:– Data is a valuable corporate resource; it has real, measurable value. In simple

terms, data drives decision making. Accurate, timely data is the criticalfoundation for effective decision making and customer service at Company.

Implications:– Data must be carefully managed to ensure it is clearly defined, properly

accessed, and appropriately controlled. Company management and staff mustbe able to rely upon its accuracy and be able to obtain it when and where it isneeded.

Data Governance PolicyData Governance Principles





2323

#RWDG @RSeiner


• Principle 2: Data is Everyone’s Responsibility– Data shall be shared, secured, and accessed as appropriate and allowed.

Rationale:– Most data has value to the organization beyond the uses of any one specific

application. Company requires that data be shared and integrated at theEnterprise level, consistent with information security and privacy policies (seerelevant policies).

– Data must be well defined to be sharable. Enterprise shareable data must bedefined consistently across the Enterprise, with understood definitions availableto all users.

– Wide access to data leads to efficiency and effectiveness in decision-making andprovides timely response to information requests and service delivery.






2424

#RWDG @RSeiner



Implications: – Shared data will result in improved decisions. It is less costly to maintain a single

source of timely accurate data than to continue to maintain several sources ofdata that are not unique. Data will be better aligned with cross-businessrequirements, syntactic and semantic differences between databases will beminimized and applications will be more portable. Additionally, DataManagement can change the data environment based on changing requirementsor conditions with a minimal impact to the applications.

– Data must be protected from unauthorized use and disclosure. Processes,procedures and automated methods will be used to ensure the security of Data.






2525

#RWDG @RSeiner



Implications:– Access to data should be performed through appropriately defined interfaces to

ensure the proper understanding and use of the data.– To enable data sharing, the Data Governance Team with the cooperation of the

Data Domain Stewards and the Business Areas must develop, abide by, andcommunicate a common set of definitions, policies, and standards. Commondata definitions are the foundation for systems interfaces and data exchanges.A common vocabulary will increase the value of the definitions.






2626

#RWDG @RSeiner


• Principle 3: Avoid Risk and Compliance Issues– Data shall have clearly defined accountability and shall be defined and managed

consistently according to relevant regulations.• Rationale:

– Current legislation and regulations require the safeguarding, security and privacyof personally identifiable information.

– Open data sharing, managed accessibility and the release of data andinformation must be balanced against the need to restrict the availability ofrestricted, proprietary or sensitive information.

– Data Owners, in the role of Data Domain Stewards, are accountable for dataquality, definition, security, privacy, standardization, appropriate use of data intheir domain.






2727

#RWDG @RSeiner


• Principle 3: Avoid Risk and Compliance Issues– Data shall have clearly defined accountability and shall be defined and managed

consistently according to relevant regulations.• Implications:

– To improve the quality and value of data, and to avoid risk and complianceissues, accountability and rules for the definition, production and use of the datamust be recorded, managed and communicated.

– The Data Governance Team must be responsible for recording andcommunicating information about individual’s accountabilities across thecompany.

– The Data Governance Team must work with the business areas to assure that therelevant regulations are documented and communicated to impacted Areas.






2828

#RWDG @RSeiner


• Principle 4: Right the First Time, Every Time– The quality of Data will be recorded, measured and reported to assure that data

will be trusted for business processes and decision making.• Rationale:

– The quality standards for data must be well defined to be able to identify record,measure and report the quality of the data.

– The quality standards will focus on measuring business process and decisionmaking improvements from complete, relevant and unique data.

– Enterprise critical data must be tested against the standards consistently acrossthe Enterprise, with understood standards available to all definers, producersand users.

– Data Owners, in the role of Domain Stewards, are accountable for data standarddefinitions and appropriate use of the standards for data in their domain.






2929

#RWDG @RSeiner


• Principle 4: Right the First Time, Every Time– The quality of Data will be recorded, measured and reported to assure that data

will be trusted for business processes and decision making.• Implications:

– To improve data quality, the Data Governance Team with the cooperation of theData Domain Stewards and the Business Areas must develop, abide by, andcommunicate a common set of standards.

– Common data standards are the foundation for quality systems interfaces anddata use. A common place to record data standards will increase ability toimprove the quality of the data.






3030

#RWDG @RSeiner

• 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-makingat all levels.

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

– Consistency – Data across the Company should be in synch.

Data Governance PolicyData Governance Dimensions





3131

#RWDG @RSeiner

• 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).

Data Governance PolicyData Governance Dimensions





3232

#RWDG @RSeiner

Data Governance PolicyTools Associated with Principles





3333

#RWDG @RSeiner

• Messages for Management:

– We are already governing data (but we are doing it informally).

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

– We CAN Improve:• How We Manage Data Risk & Secure/Protect Data• Data Quality & Provide Quality Assurance• Coordination, Cooperation, Communication Around Data

Data Governance PolicyPrinciple 1 Tool: Data as an Asset





3434

#RWDG @RSeiner

• 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.






3535

#RWDG @RSeiner

• 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.






3636

#RWDG @RSeiner

Operational LevelOperational Data Stewards (existing)

Data Definers, Producers, UsersThese people are presently defining,producing and using data as part of theirjobs. Recording of the Operational DataStewards will be an important enabler ofimproved communications, coordinationand cooperation among stewards.

Tactical LevelData Domain Stewards

Per assigned Subject AreasData Steward Coordinators

One per Business Unit

Strategic LevelData Governance CouncilData Governance Sponsors Groupor Group of similar participation. One person, plusalternate, for each Business Unit represented & IT.Consider financial services & human resources.

Executive LevelData Steering CommitteeSenior-most level knowledge of the program.Leverage existing business structure as possible.If no structure exists, utilize an IT Steering Committeeor an executive founded board or council.

Operational Level - Business Unit Specific

Strategic -Enterprise

Tactical Level - Cross Business Unit

Executive

“Non-Invasive Data Governance”™ Operating Modelof Roles & Responsibilities

Escalation / Approval Path

Copyright © 2009 - Robert S. Seiner - KIK Consulting & Educational Services, LLC - All Rights Reserved

Data G

over

nanc

e Pro

gram

Team

(DGPT

)

IT Su

bject

Resou

rce E

xper

ts

Data Governance Program TeamData Governance Team ManagerResponsible for Administering the Program,facilitating use of the Data Governance Council,communicating program components and value to the Organization.Advisory assistance from other levels.

IT Subject Resource ExpertsSystem/Data Resource ExpertsIT Staff including ApplicationDevelopment, Data Design,Security, and other DataResource Management.

Communication

KIK Consulting & Educational Services, LLC

EX

IS

TS

EX

IS

TS

EX

IS

TS

NE

W LE

VE

RA

GE

NE

W

Data Governance PolicyPrinciple 2 Tool: Clearly Defined Accountability





3737

#RWDG @RSeiner

Data Governance PolicyPrinciple 2 Tool: Clearly Defined Accountability





3838

#RWDG @RSeiner

Data Governance PolicyPrinciple 3 Tool: Follow Rules





3939

#RWDG @RSeiner

Data Governance PolicyPrinciple 4 Tool: Consistent Application





4040

#RWDG @RSeiner







4141

#RWDG @RSeiner

• Data Governance Policy Statement – Revisited – 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.

– It is the policy of Company that Data Governance will be appliedconsistently to Enterprise Strategic Data, Master Data and TransactionalData. For definitions of these terms please refer to the Glossary sectionof this Policy document.

• Is Company the Entire Company – A Part of the Company – A Business Unit?

Data Governance PolicyEnterprise Policy





4242

#RWDG @RSeiner

• Data Governance Policy Approval Steps


Data GovernanceExecutive Steering

Committee

Data GovernanceCouncil

Data GovernanceProgram Team

Feed

back

Loo

p





4343

#RWDG @RSeiner

• Data Governance Policy Approval Steps– This review, feedback and update loop repeats until the Data Governance

Council gives final approval to the component.– The DGT presents the Council-approved component to the Executive Steering

Committee for approval.– The Steering Committee reviews the program component and provides feedback

to the DGT. The DGT, working with Data Governance Council representatives,incorporates the feedback into the component.

– This review, feedback and update loop repeats until the Executive SteeringCommittee gives final approval to the component of the Data GovernanceProgram.






4444

#RWDG @RSeiner

Wrap Up& Discussion

• Final Summary: Is a Policy Necessary to Guide Appropriate & Formal Behavior? Data Governance Definition / What Does It Mean to Govern Policy Components Policy Content Policy Principles & Dimensions Tools Associated with Principles Defining "Enterprise" in Terms of Data Governance Policy Gaining Approval of an Data Governance Policy





4545

#RWDG @RSeiner

• Real-World Data Governance – Monthly Webinar Series – 2pm EST

– July 17, 2014 – Metadata to Empower Data Stewards *

– Register On-Line at DATAVERSITY.Net * with guest

Real-World Data GovernanceUpcoming Webinars





4646

#RWDG @RSeiner

• 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

real-world data governance: data governance policy - components and content

Technology

seiner kik consulting

data governance definition

rseiner robert

dataversity robert

data stewards

trademark of robert

rwdg copyright

data administration