Every organization needs to create and maintain a set of basic or foundational policies to manage the operations of data governance effectively.  Many people confuse the terms “policy” with “guiding principle.”  Policies are “the overall business rules and processes that an enterprise uses to provide guidance. Data Management policies might include adherence of data to business rules, providing guidance for protection of data, defining enterprise data management functions, etc.  Guiding principles are “statements that direct the organization in the course of its operations, in all circumstances”, regardless of changes in management or other impermanent things.

In data governance, several policies are essential to ensure the effective operations of a program. Creating a data governance policy as a collaborative effort involving multiple departments and gathering feedback from stakeholders is crucial. These foundational data governance policies address the structure of the data governance program and include policies on data access, data usage as well as data integrity and integration.

Following are examples of the essential data governance policies that every organization should create, maintain, and implement for successful data management.

Introduction to Data Governance

Data governance is a critical component of an organization’s overall data management strategy. It refers to the set of policies, procedures, and standards that ensure the quality, security, and integrity of an organization’s data assets. Effective data governance is essential for organizations to make informed decisions, ensure compliance with regulatory requirements, and maintain customer trust. By establishing a robust data governance framework, organizations can manage their data assets more efficiently as well as mitigate risks, and leverage data for strategic advantage.

Definition of Data Governance

Data governance is the process of managing and governing an organization’s data assets to ensure they are accurate, complete, and consistent. It involves establishing policies, procedures, and standards for data management, as well as defining roles and responsibilities for data stewards and other stakeholders. Data governance ensures that data is handled properly throughout its lifecycle, from creation and storage to usage and disposal. By clearly defining the roles and responsibilities of data stewards and other key stakeholders, organizations can ensure that their data governance principles are effectively implemented and maintained.

1) Data Governance Structure Policy

Data Governance is the practice of making strategic and effective decisions regarding the organization’s data and information assets. It assumes a responsibility to adhere to all policies and all legal constraints that govern the proper use and management of data and information by all members of the enterprise’s community, including but not limited to employees, contractors, and external partners. A comprehensive data security policy is crucial in protecting data from breaches and unauthorized access.

So the organization can achieve effective Data Governance, the organization has chosen to apply formal guidelines to manage the enterprise’s data and information assets, and will assign staff to implement them. While the organization’s Enterprise Data Management leader and Data Governance leader are assigned leadership roles and oversight for the activities of Data Governance, this function is shared among the executive sponsors, Enterprise Data Management (EDM) Council and Data Governance Committee members, data stewards, data administrators, and data users.

The Enterprise Data Management (EDM) Council is a permanent group with a senior representative from each of the company’s business units and the EDM Program Office, and the Data Governance Committee. It has strategic responsibilities to make decisions and resolve major issues concerning general enterprise information management challenges.

The Data Governance Committee is a permanent group, led by the Data Governance Leader and supported by the Chief Data Steward. The Data Governance Committee will appoint data stewards, and through the establishment of data policies and organizational priorities, provide direction to them and data administrators. The Data Governance Committee is a body that meets regularly to address a variety of data issues and concerns.

Creating and Implementing a Comprehensive Data Governance Policy

Creating and implementing a comprehensive data governance policy requires a structured approach. The following steps can help organizations develop and implement an effective data governance policy:

  1. Define the Purpose and Scope of the Policy: Clearly articulate the objectives and boundaries of the data governance policy to ensure alignment with organizational goals.
  2. Establish a Data Governance Framework and Structure: Develop a framework that outlines the governance structure, including the roles and responsibilities of the data governance team and other key stakeholders.
  3. Define Data Governance Principles and Standards: Establish guiding principles and standards for data management to ensure consistency and compliance across the organization.
  4. Identify Roles and Responsibilities for Data Stewards and Other Stakeholders: Assign specific roles and responsibilities to data stewards and other stakeholders to ensure accountability and effective implementation of the policy.
  5. Develop Policies and Procedures for Data Management: Create detailed policies and procedures that cover all aspects of data management, including data quality, data access, data security, and data retention.
  6. Implement Data Governance Training and Awareness Programs: Educate employees on the importance of data governance and provide training on the policies and procedures to ensure consistent adherence.
  7. Monitor and Review Data Governance Performance: Establish metrics and key performance indicators (KPIs) to track the effectiveness of the data governance policy and make necessary adjustments based on regular reviews.

By following these steps, organizations can create and implement a comprehensive data governance policy that ensures the quality, security, and integrity of their data assets. This structured approach helps organizations build a strong foundation for effective data governance and achieve their data management objectives.

2) Data Access Policy

The purpose of the data access policy is to ensure that employees have appropriate access to organizational data and information.  While recognizing the company’s responsibility for the security of data, the procedures established to protect that data must not interfere unduly with the efficient conduct of the organization’s business.  This policy applies to all business units and to all uses of company data, regardless of the offices or format in which the data reside.

The policy will protect its data assets through security measures that assure the proper use of the data when accessed. A comprehensive data security policy, including measures such as password management and access controls, is essential to safeguard data assets effectively. Every data item will be classified by the relevant data steward to have an appropriate access level.  Data access will be conducted in accordance with the policies established by the organization.

Any employee or non-employee denied access may appeal the denial to the Data Governance Committee; decision is final from the DG Committee.

3) Data Usage Policy

The purpose of the data usage policy is to ensure that company data are not misused or abused, and are used ethically, according to any applicable law, and with due consideration for individual privacy.  Use of data depends on the security levels assigned by the relevant business data steward.

Personnel must access and use data only as required for the performance of their job functions, not for personal gain or for other inappropriate purposes; they must also access and use data according to the security levels assigned to the data.  Data usage falls into the categories of create, update, read-only, and external dissemination.

Authority to update data shall be granted by the appropriate data steward only to personnel whose job duties specify and require responsibility for data update.  This restriction is not to be interpreted as a mandate to limit update authority to members of any specific group or office but should be tempered with the company’s desire to provide excellent service to employees, customers / members, representatives, and other constituents.  Company employees, contractors and business partners who fail to comply with the data usage policy will be considered in violation of the relevant Thrivent codes of conduct and may be subject to disciplinary action or to legal action if laws have been violated.  In less serious cases, failure to comply with this policy could result in denial of access to data.

4) Data Integrity and Integration Policy

The purpose of this policy is to ensure that the organization’s data have a high degree of integrity and that key data elements can be integrated across functional units and electronic systems so that staff,  contractors and management may rely on data for information and decision support.

Data integrity refers to the validity, reliability, and accuracy of data.  Data integrity relies on a clear understanding of the business processes underlying the data and the consistent definition of each data element.

Data integration, or the ability of data to be assimilated across information systems, is contingent upon the integrity of data and the development of a data model, corresponding data structures, and domains.

Data must be defined as data that are maintained in support of a functional unit’s operation and meet one or more of the following criteria:

  • the data elements are key fields, that is, integration of information requires the data element;
  • the organization must ensure the integrity of the data to comply with internal and external administrative reporting requirements, including enterprise planning efforts;
  • the data are reported on or used in official / regulatory reports;
  • a broad cross section of users requires the data.

It is the responsibility of each data steward, in conjunction with the Data Governance Committee and the Enterprise Data Architect, to determine which core data elements are part of the organization’s essential / core data.

Documentation (metadata) on each data element will be maintained within a corporate repository according to specifications provided by the director of enterprise data management and informed by the Data Governance Committee. These specifications will include both the technical metadata and definition of each element, as well as a complete interpretation that explains the meaning of the element and how it is derived and used.  The interpretation will include acceptable values for each element, and any special considerations, such as the values that determine whether a person is a member or a customer.

All employees are expected to bring data problems and suggestions for improvements to the attention of the appropriate data stewards, the Data Governance Committee, or the director of enterprise Data management.

For effective data governance and data management, developing and maintaining these foundational data policies is an essential step.  Using these samples from actual EWSolutions clients can assist any organization in writing these necessary data policies.

Ensuring Compliance with Data Governance Policies

Effective data governance policies play a crucial role in achieving and maintaining regulatory compliance. A robust data governance policy framework helps organizations align their data management processes with key regulatory standards, such as GDPR, HIPAA, and other sector-specific compliance requirements. To ensure adherence:

  • Collaborative Effort: Compliance is not the sole responsibility of a single team. Engaging multiple departments—including legal, IT, and operations—enables a more comprehensive approach to developing and enforcing data governance policies.
  • Training and Awareness: Educating employees on data governance policies, including roles and responsibilities, is essential for consistent compliance across the organization.
  • Regular Audits and Assessments: Implementing periodic audits to verify adherence to data governance policies and ensure data integrity reduces risks of non-compliance and data breaches.
  • Data Quality and Accuracy: Policies that prioritize data accuracy and quality help organizations maintain compliance while improving decision-making processes.
  • Documentation and Reporting: Maintaining a clear data governance policy document allows for transparent reporting, essential for audits and regulatory reviews.