Successful and Sustainable Data Policies
Successful and Sustainable Data Policies: A Guide for Enabling Data Governance at Scale, by Malcolm Chisholm Ph.D.
Apply data policies to make data governance work for the long term.
Topics
Chapter 1: Introduction
Where We Are Today
The Purpose of This Book
Why Institutionalization?
Good Governance and Institutionalization
Why a Policy Lifecycle?
Audience
Conventions Used in This Book
Chapter 2: What are Policies?
Directives
Directive Definitions
Policies
Policies vs. Policy Statements
What a Data Policy Is Not
Problems with the Word “Policy”
Relationships of Policies, Standards, Practices, and Procedures
Chapter 3: A Brief History of Data
How Did We Get Here?
The Mainframe Revolution
Complexity and the Rise of Databases
Relational Databases and Data Modeling
The Rise and First Fall of IT Departments
The Return of IT
The Rise of Data
The Appearance of Data Administration
The Internet, Second Fall of IT, and Extinction of DA
The Dark Age and Emergence of Data-Centric Specializations
The Ascent of Data Governance
Data and the Global Financial Crisis (GFC)
The Appearance of The Cloud
Data-Centricity Arrives
Data Governance 2.0
Covid and Artificial Intelligence
What Does It All Mean?
Chapter 4: Why Do We Need Data Policies?
Why Do We Need Any Policies for Data?
Why Do Data Policies Need to be Centralized?
Data Governance Leadership
Chapter 5: The Policy Lifecycle
Overview of the Policy Lifecycle
Preparation for the Policy Lifecycle
RACI for Policy Lifecycle
Example of a Policy Lifecycle RACI Matrix
Checking The Validity of the Data Policy Lifecycle
Who Designs the Data Lifecycle?
Chapter 6: The Policy of Policies
Who Writes the Policy of Policies?
Regulation and Corporate Governance
The Scope of Data Policies
Accountable Organizational Unit
Conferring of Authority for Data Policies
The Policy Lifecycle and Operating Model
Approval and Review
Policy of Policies vs. Data Governance Charter
The “Data Governance Policy”
Additional Details
Final Approval
Chapter 7: Organizational Framework for Data Policies
The Data Policy Oversight Committee
Composition of the Data Policy Oversight Committee
Additional Data Policy Oversight Committee Considerations
The Data Governance Committee/Council
Data Policy Oversight Committee Operational Details
The Data Policy Operations Committee
Chapter 8: Principles
What is a Principle?
The Reality of Principles
Relationship of Principles to Policies
Analysis of Principles
Scope of Data Principles
Guiding Principles
Should There be a Data Principles Campaign?
Principles Statements
Formulating Principles
Living by the Data Principles
Updates to Principles
Chapter 9: The Data Policy Portfolio
Planning the Policy Portfolio
Managing the Policy Portfolio
Suggestions for Initial Policy Portfolio
Chapter 10: Policy Metadata
Basic Structure of the Policy Portfolio
Implementing the Policy Portfolio Table
Metadata for Managing the Policy Lifecycle
Metadata for Efficiency Reporting
Expanded Policy Metadata
Chapter 11: Taking Over Data Policies
Current State Assessment
Policy Review
Policy Analysis
Whole Policies and Partner Organizations
Citation-Level Transfer
Involvement of the Data Policy Oversight Committee
Traceability of Policies and Citations
Dealing with Uncooperative Units
Chapter 12: Policy Requests
Why Manage Policy Requests Formally?
Policy Request Log
Policy Requests from Outside Data Governance
Policy Requests from Inside Data Governance
Policy Gap Analysis
Processing of Policy Requests
Reporting of Policy Request Processing
Implications for the Policy of Policies
Chapter 13: Policy Formulation
Actioning a Policy Request
Drafting the Policy
Stakeholder Review
Alternatives to Stakeholder Review
Processing Stakeholder Feedback
Committee Approval
Policy Formulation Effort
Chapter 14: Terminology in Policies
Common and Specialized Terms
Centralized Business Glossary
Adding Policy Terms to a Centralized Business Glossary
Access and Security for Policy Business Terms
Interpretation of Business Terms
Author Once, Publish Anywhere
Chapter 15: Policy Format
Problems with Policy Format
Policy Header
What Is Not in the Policy Header
Policy Prologue
Policy Statements
Glossary
Related Documents
Support
Confidentiality and Security Markings
Other Format Elements
Definitions of Information Elements
Implications for Policy of Policies
Chapter 16: Data Policy Style
Policy Style Guide
Style Resources
Style Checklist
Chapter 17: Data Policy Harmonization
Policy Harmonization Process
Dealing with Inconsistencies
Data Policies vs. Non-Data Policies
Policy Coordination
Finalizing Policy Harmonization
Chapter 18: Data Policy Approval
Who Approves a Data Policy?
Preparing for Approval
What Gets Approved?
Disbanding the Working Group
Updating the Policy Portfolio
Conclusion
Chapter 19: Data Policy Promulgation
What Has to be Communicated
Where to Publish a Policy
Posting a Data Policy on an Intranet Site
The Policy Bulletin
General Promulgation Actions
Targeted Promulgation Actions
Promulgation Planning
Training
Promulgation Log
Chapter 20: Data Policy Operationalization
Non-Operationalization
Operationalization Support
Tracking Support Requests
Preparing for Data Policy Administration
Strategy for Policy Operationalization
Chapter 21: Data Policy Variances
Reason for Policy Variances
Mandate for Policy Variances
The Data Policy Variance Procedure
Consideration of the Variance Request
Policy Variance Request Follow-Up
Closing Policy Variances
Policy Impact of Variances
Coordination with Other Units
Variance Metadata
Planning for Variances
Chapter 22: Data Policy Compliance Checking
Attestation
Attestation Software
Attestation and Personally Oriented Policies
Attestation at the Business Unit Level
Internal Audits
External Auditors
Data Surveillance
Data Surveillance and Separation of Duties
Whistleblowers
Reporting about Compliance
Chapter 23: Policy Compliance Follow-Up
Internal Audit Findings
External Audit Findings
Findings by Regulators
Reactions to Compliance Issues with Data Policies
Chapter 24: Data Policy Review
Scheduling Reviews
Metadata Requirements for Policy Reviews
Uniform Review Procedure
Simple Policy Changes
Material Changes to a Policy
New Policy Version and Policy Bulletin
Higher Level Process Reviews
Chapter 25: Data Policy Discontinuation
Policy Discontinuation Criteria
Policy Review and Discontinuation
Approval of Discontinuation
Promulgation of a Discontinuation
Operationalization of Discontinuation
End of the Policy Lifecycle
Chapter 26: Conclusion
Glossary of Terms
Data policies are the most powerful instrument a Data Governance unit has for achieving good data management practices across an entire enterprise. Yet, all too often, Data Governance units encounter difficulties as they embark on policy work. Simply drafting a data policy is only a small part of what is required. Policies have to be governed and managed across an entire lifecycle consisting of many different phases, each with its own unique needs and concerns, and must be sustained for years.
This book presents a detailed end-to-end methodology for implementing successful and sustainable data policies that will bring positive results over the long run. It goes deeply into the entire policy lifecycle, describing how each phase must be carried out, including roles, responsibilities, and metadata management requirements. In addition, the book outlines a set of permanent governance structures for institutionalizing data policy work. Such structures are critically important for data policy sustainability, since relying on specific individuals to drive the work is inherently unstable.
Readers of the book will find detailed guidance not only on the specific data policy work, but also on how Data Governance can take a leadership role in the policy area. Learn how to apply practical steps for Data Governance to achieve coordination with other corporate functions such as Risk, Legal, and Internal Audit. These corporate functions have a strong interest in data policies and need to be kept in alignment with Data Governance.
The vision of the book is to equip readers with a complete, detailed framework that they can use to implement successful and sustainable data policies for the benefit of their enterprises.
About Malcolm
Malcolm Chisholm is a well-known thought leader in the data industry. He has been an independent consultant for 25 years, working in many aspects of data, including data governance, metadata management, database design, master data management, and data and AI privacy. During this time, Malcolm worked in a variety of sectors, including the UN system, financial services, defense and intelligence, retail, pharmaceuticals, and more. Malcolm is the recipient of the prestigious DAMA Lifetime Achievement Award, and is a frequent conference presenter, also publishing content about data in a variety of platforms. On the personal side, Malcolm has a Ph.D. in zoology, and enjoys gardening, fishing, beekeeping, and foraging to keep in touch with the natural world.
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