RWDG Slides: Applying Governance to Business Processes

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Copyright © 2019 Robert S. Seiner – KIK Consulting & Educational Services / TDAN.com
Non-Invasive Data Governance™ is a trademark of Robert S. Seiner & KIK Consulting
#RWDG @RSeiner
Applying Governance to Business Processes
Monthly Webinar Series Hosted by DATAVERSITY
Robert S. Seiner – KIK Consulting / TDAN.com
June 20, 2019 – 11:00 a.m. PT / 2:00 p.m. ET
Real-World Data Governance

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#RWDG @RSeiner
Introduction
• Real-World Data Governance – Monthly Webinar Series
July 18, 2019 – How to Govern Data Lakes – w/special guest
Third Thursday each Month @ 2pm EST – Register at TDAN.com, KIKconsulting.com, DATAVERSITY.net
• Non-Invasive Data Governance Book
ISBN 9781935504856 / Technics Publishing / Amazon.com
• Speaking @ Dataversity Events
Data Architecture Summit, Chicago – October 14-17
Data Governance Vision, Washington, DC – December 9-12
• Non-Invasive Data Governance Online Learning Plan
Non-Invasive Metadata Governance Online Learning Plan
DATAVERSITY Training Center
https://training.dataversity.net
• The Data Administration Newsletter (TDAN.com)
Twice Monthly – Data Articles, Columns, Blogs and Features
Produced by DATAVERSITY – Subscribe for emails
New Non-Invasive Data Governance Framework now being published
• KIK Consulting & Educational Services
KIKConsulting.com
Home of Non-Invasive Data Governance™
Home of Non-Invasive Metadata Governance

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#RWDG @RSeiner
• Real-World Data Governance – Monthly Webinar Series
July 18, 2019 – How to Govern Data Lakes – w/special guest
Third Thursday each Month @ 2pm EST – Register at TDAN.com, KIKconsulting.com, DATAVERSITY.net
• Non-Invasive Data Governance Book
ISBN 9781935504856 / Technics Publishing / Amazon.com
• Speaking @ Dataversity Events
Data Architecture Summit, Chicago – October 14-17
Data Governance Vision, Washington, DC – December 9-12
• Non-Invasive Data Governance Online Learning Plan
Non-Invasive Metadata Governance Online Learning Plan
DATAVERSITY Training Center
https://training.dataversity.net
• The Data Administration Newsletter (TDAN.com)
Twice Monthly – Data Articles, Columns, Blogs and Features
Produced by DATAVERSITY – Subscribe for emails
New Non-Invasive Data Governance Framework now being published
• KIK Consulting & Educational Services
KIKConsulting.com
Home of Non-Invasive Data Governance™
Home of Non-Invasive Metadata Governance
Introduction
Additional Webinar:

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#RWDG @RSeiner
• In the webinar I will share:
– The infamous (sic) “Data Governance Process”
– How to apply Data Governance to process using simple tools
– How to select the appropriate processes to govern
– How to formalize your data processes
– Advantages of governing process following the Non-Invasive Approach
Abstract

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• Data Governance
– Data Governance is the Execution and Enforcement of Authority
Over the Management of Data and Data-Related Resources.
Definitions

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• Data Governance
– Data Governance is the Execution and Enforcement of Authority
• Data Stewardship
– Data Stewardship is the Formalization of Accountability
Definitions

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• 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 assure
non-threatening management of valuable data assets.
– The goal is to be
» Transparent
» Supportive
» Collaborative.
Definitions

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• Definition of “Data Governance Process”
• Processes and the Data Governance Framework
• Processes and the Approach Comparison
• Applying Governance to Process
The Infamous (sic) “Data Governance Process”

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– This is one of my biggest DG pet peeves.
– Singular process that can be applied to everything?
– Not the way I typically see it described.
– The application of governance TO process.

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– Example of Governed Processes
• Data Quality Improvement
• Issue Resolution
• Request for Access
• Sharing Data
• Data Classification
• Data Handling
• Metadata Collection

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• Sharing Data
• Data Handling
• Business Glossary/Data Dictionary
• Change Management
• Data Integration
• Project Management
• IT Security
• Request for Data / Reports
• Data Certification

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• Sharing Data
• Data Handling
• Business Glossary/Data Dictionary
• Change Management
• Data Integration
• Project Management
• IT Security
• Request for Data / Reports
• Data Certification
The point is that every process can be governed.
And we don’t have to call it a Data Governance Process.
A followed process is Governance.

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• Process and the Data Governance Framework
– Subject of last month’s RWDG webinar
– Core Components
• Data
• Roles
• Processes
• Communications
• Metrics
• Tools
LEVELS
EXECUTIVE – SENIOR LEADERSHIP TEAM
STRATEGIC – BUSINESS & TECHNOLOGY MGMT
TACTICAL – SUBJECT MATTER EXPERTISE
OPERATIONAL – DAILY JOB FUNCTION
SUPPORT – FUNCTIONAL MANAGEMENT
COMPONENTS
DATA – ASSETS BEING GOVERNED
ROLES – FORMAL ACCOUNTABILITY
PROCESSES – APPLICATION / ENFORCEMENT
COMMUNICATIONS – EDUC, TRN, AWARENESS
METRICS – MEASUREMENTS and KPIs
TOOLS – ARTIFACTS PURCHASED / DEVELOPED

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Endorse
Enforce
Authorize
Direct
Approve
Prioritize
Resolve
EXECUTIVE
STRATEGIC
TACTICAL
OPERATIONAL
SUPPORT
Facilitate
Mediate
Promote
Operate
Manage
Handle
Formalize
Adhere
Enforce
Approve
Act
Acceptance
Participation
Performance
Subject
Quality
Metrics
Accountability
Efficiency
Effectiveness
Collect
Report
Policy
Directive
Audit
Charter
Best Practices
Guidelines
Roadmap
Standards
Requirements
Workflows
Glossary
Dictionary
Catalog
Repository
DG Tools
Metadata Tools
KIK Artifacts
Support
Sponsor
Understand
Status
Evaluate
Commend
Standards
Subject Area
Project
Orientation
Onboard
Ongoing
Plan
Develop
Deliver
Leadership
Steering
Committee
Preside
DG Program
DG Council
Domain Stewards
Data Owners
SMEs
Operational
Data Stewards
Users
Prog Mgmt
Admin
Work Groups
Partners
Copyright © 2019 – Robert S. Seiner and KIK Consulting & Educational Services, LLC
Levels
Components
ROLES
COMMUNICATIONS
TOOLS
METRICS
PROCESSES
NON-INVASIVE DATA GOVERNANCE™ FRAMEWORK
Leadership
Dashboard
KPIs
Enterprise
Performance
Subject Area
X-Business Unit
Business Unit
Function
Accountability
Inventory
Metadata
DATA
LEVELS
COMPONENTS

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#RWDG @RSeiner
Endorse
Enforce
Authorize
Direct
Approve
Prioritize
Resolve
EXECUTIVE
STRATEGIC
TACTICAL
OPERATIONAL
SUPPORT
Facilitate
Mediate
Promote
Operate
Manage
Handle
Formalize
Adhere
Enforce
Approve
Act
Acceptance
Participation
Performance
Subject
Quality
Metrics
Accountability
Efficiency
Effectiveness
Collect
Report
Policy
Directive
Audit
Charter
Best Practices
Guidelines
Roadmap
Standards
Requirements
Workflows
Glossary
Dictionary
Catalog
Repository
DG Tools
Metadata Tools
KIK Artifacts
Support
Sponsor
Understand
Status
Evaluate
Commend
Standards
Subject Area
Project
Orientation
Onboard
Ongoing
Plan
Develop
Deliver
Leadership
Steering
Committee
Preside
DG Program
DG Council
Domain Stewards
Data Owners
SMEs
Operational
Data Stewards
Users
Prog Mgmt
Admin
Work Groups
Partners
Levels
Components
ROLES
COMMUNICATIONS
TOOLS
METRICS
PROCESSES
Leadership
Dashboard
KPIs
Enterprise
Performance
Subject Area
X-Business Unit
Business Unit
Function
Accountability
Inventory
Metadata
DATA
LEVELS
COMPONENTS

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– Components of the Data Governance Framework
• Processes
– The third foundational component of a successful program is the way the
Roles are applied to processes. The notion of the “Data Governance
process” misrepresents the fact that processes are a primary component
of Data Governance success. There is not a single process that is
governed, rather there are a series of processes to which Data
Governance will be applied.
– In NIDG – Data Governance programs typically provide repeatable
processes that reflect the appropriate level of formal accountability
throughout the process. Data Governance focuses on getting the “right”
person involved in the “right” step of the process to deliver the “right”
result regardless of the process focus – issue resolution, protection,
quality, project-focused; Data Governance becomes the application of
formal governance to process.

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#RWDG @RSeiner
Endorse
Enforce
Authorize
Direct
Approve
Prioritize
Resolve
EXECUTIVE
STRATEGIC
TACTICAL
OPERATIONAL
SUPPORT
Facilitate
Mediate
Promote
Operate
Manage
Handle
Formalize
Adhere
Enforce
Approve
Act
Acceptance
Participation
Performance
Subject
Quality
Metrics
Accountability
Efficiency
Effectiveness
Collect
Report
Policy
Directive
Audit
Charter
Best Practices
Guidelines
Roadmap
Standards
Requirements
Workflows
Glossary
Dictionary
Catalog
Repository
DG Tools
Metadata Tools
KIK Artifacts
Support
Sponsor
Understand
Status
Evaluate
Commend
Standards
Subject Area
Project
Orientation
Onboard
Ongoing
Plan
Develop
Deliver
Leadership
Steering
Committee
Preside
DG Program
DG Council
Domain Stewards
Data Owners
SMEs
Operational
Data Stewards
Users
Prog Mgmt
Admin
Work Groups
Partners
Levels
Components
ROLES
COMMUNICATIONS
TOOLS
METRICS
PROCESSES
Leadership
Dashboard
KPIs
Enterprise
Performance
Subject Area
X-Business Unit
Business Unit
Function
Accountability
Inventory
Metadata
DATA
LEVELS
COMPONENTS
– Processes by Level
• Executive – Endorse, Enforce, Authorize
• Strategic – Direct, Approve, Prioritize, Resolve
• Tactical – Facilitate, Mediate, Promote
• Operational – Operate, Manage, Handle
• Support – Formalize, Adhere, Enforce

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• Process and the Approach Comparison
– Components by Program Approach
• Command-and-Control Approach
• Traditional Approach
• Non-Invasive Approach
APPROACHES
COMMAND and CONTROL – LIMITED COVERAGE
TRADITIONAL – RESPONSIVE COVERAGE
NON-INVASIVE – COMPLETE COVERAGE
COMPONENTS

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• Process and the Approach Comparison
– Process
• Command-and-Control Approach – New Process
• Traditional Approach – Single Process
• Non-Invasive Approach – Applied to Process

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• Applying Governance to Process
– Do Not Call it the “Data Governance Process”
– Will Focus the Attention on Data Governance (negative)
– Data Governance Bill of “Rights”
• Getting the “Right” People
• Involved at the “Right” Time
• In the “Right” Process
• To Get the “Right” Outcome
… At least most of the time.
– Use of a RACI Matrix

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• Documenting the steps of the process
• Using the RACI Matrix
• Accountability Vs. Responsibility
• Extending the RACI to include elapsed time and reasonable effort
How to apply Data Governance to process using simple tools

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• Documenting the steps of the process
– Physical Activities Step by Step
– Traditional Use of RACI
• Responsible
• Accountable
• Consulted
• Informed
– RASCI
• Supportive

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• Accountability Vs. Responsibility
– What is the difference?
– Difficult to Define One Without Using the Other
– Accountable – Ultimately Responsible
– Responsible – Accountable for the Action of the Step

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• Extending the RACI to include elapsed time and reasonable effort
– Consider Including the Following
• Who will be involved
• How much time will they be expected to spend
• Over what period of time
• Using what resources
• To deliver what
• Or what is the output of the step

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• Process Types
• Process Stewards and Documentation
• Involving Stewards and Focusing on Specific Processes
• Value from Governing / Formalizing Process
How to select the appropriate processes to govern

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• Process Types
– Processes will Depend on Your Purpose for Data Governance
• Define the Ultimately Goal of Your Program
• Focus on Proactive Vs Reactive Processes
• Where is the funding coming from? Should they decide?
• Where is the directive coming from? They should decide!
• Purpose Statements
– To manage data as an asset
– To protect classified information
– To provide G.R.E.A.T. data
– To use strategic data with confidence

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• Process Stewards and Documentation
– People responsible for defining, producing and using the processes.
– Use of RACI Charts and Governance Activity Matrices.
– The Data Governance Bill of “Rights”
– The process metadata (documentation) will not govern itself.

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• Involving Stewards and Focusing on Specific Processes
– Processes that they already do.
– Processes they should / shouldn’t be doing.
– Processes that they are going to do.
– Processes that make up their normal job function.
– Proactive and Reactive Processes

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• Value from Governing / Formalizing Process
– Processes are completed
– Processes are “executed and enforced” (definition of data governance)
– Processes involving the appropriate people at the appropriate time
– Processes are monitored and auditable
– Processes are followed per policy

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• Defined Process is a form of Governance
• Dependent on a Foundation of Data Governance Roles
• Utilize the RACI Chart
• Apply Governance to Process Rather than Redefine Process
How to formalize your data processes

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• Defined Process is a form of Governance
– Look for existing governance in already defined process.
– Documentation that states who does what and when
• Standard Operating Procedures
• Project Methodologies and Project Plans
• Roadmaps and Action Plans
• Focus on the purpose of your Data Governance program.
– Data Understanding
– Data Protection and Handling
– Data Quality
– Improve ROI from Data Investments
– Improve Data Integration Efficiency

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• Dependent on a Foundation of Data Governance Roles
– Executive – Steering Committee
– Strategic – Data Governance Council
– Tactical – Data Domain Stewards / SMEs
– Operational – Data Stewards
– Support
• Administration
• IT
• Legal / Counsel
• Audit
• HR
• Communications
• Working Teams
From the RWDG Webinar in April 2019

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– Responsible
– Accountable
– Consulted
– Informed
– Supportive (RASCI)

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– Define R, A, S, C & I
– Elapsed time
– Time per task
– Task input
– Task output

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• Apply Governance to Process Rather than Redefine Process
– Don’t use the expression “Data Governance Process”
– Followed process itself is governance – Not a single process
– May need to define additional process where process is not followed.
– Utilize the RACI or a similar tool to share the “Rights”.

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#RWDG @RSeiner
• Take-Aways from this Webinar
– Don’t use the expression “Data Governance Process”
– Apply Governance to Process Rather than Redefine Process
– Followed process itself is governance – Not a single process
– May need to define additional process where process is not followed.
– Utilize the RACI or a similar tool to share the “Rights”.
Advantages of governing process following Non-Invasive Approach

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#RWDG @RSeiner
• In the webinar I shared:
– The infamous (sic) “Data Governance Process”
– How to apply Data Governance to process using simple tools
– How to select the appropriate processes to govern
– How to formalize your data processes
– Advantages of governing process following the Non-Invasive Approach
Summary

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#RWDG @RSeiner
• Questions and Answers
Contact Information
Meet me in the Dataversity Community
to continue the conversation.
https://community.dataversity.net/

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#RWDG @RSeiner
• 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 @TDAN_com
#RWDG
Contact Information

RWDG Slides: Applying Governance to Business Processes

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RWDG Slides: Applying Governance to Business Processes