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Audit
AUDIT QUESTIONS
View of Deck
number
Audit question
phase
Focus
1
0
2
1
Is there a standard process whereby data driven projects document and share what they intend to do with data?
Design
Action
3
2
Do projects clearly report what data they use, providing information on why this data is relevant and how it has been obtained?
Design
Detail
4
3
Are there clear guidelines and practices to enable teams to explore and review the potential consequences of their work?
Design
Emergence
5
4
Are there publicly available standards and guidelines, along with appropriate audit and monitoring processes, that define how projects should work with data?
Design
Structure
6
5
Is there a clear understanding of all external regulations and standards that projects are expected to conform to?
Design
Higher authority
7
6
Who is able to contribute to and review the data usage processes and policies for projects? Are they participants inclusive and diverse?
Design
Relationships
8
7
Where does authority and responsibility for ethics and compliance lie? How is this enforced?
Design
Edges
9
8
What guidelines and systems exist to manage the way in which data can be used to manipulate those represented in it?
Operation
Action
10
9
How is the data being collected on individuals being selected? How is this data being anonymised?
Operation
Detail
11
10
What is being done to prepare for and mitigate against potential events that could compromise data? How is data secured from leaks, hacks or "accidents"?
Operation
Emergence
12
11
What processes exist to detect and mitigate against bias and incomplete data?
Operation
Structure
13
12
What are the circumstances in which data standards would consciously be compromised? (Eg. Court orders to reveal individual identities? Whistleblowers?)
Operation
Higher authority
14
13
How is the lifespan of data governed?
Operation
Relationships
15
14
How is data shared with other organizations? When will data be sold? To whom? And under what conditions?
Operation
Edges
16
15
How does the organization incentivize individuals and teams to enforce strong data governance?
Governance/Strategy
Action
17
16
Does the organization have a clear policy on how it will respond in the event of a significant data breach?
Governance/Strategy
Detail
18
17
Does the organization provide clear guidelines on to report possible data issues?
Governance/Strategy
Emergence
19
18
What internal roles, groups and authority structures exist to oversee data governance and ethics? Is there clear authority and responsibility - especially in the event of a data breach?
Governance/Strategy
Structure
20
19
How does the organization communicate its data policies and ethics to the outside world?
Governance/Strategy
Higher authority
21
20
Are there clear communication channels, internally and externally, to allow anyone to provide feedback, ask questions and request further detail on how data is managed?
Governance/Strategy
Relationships
22
21
Is there a clear strategy/plan/roadmap for developing data governance and ethics?
Governance/Strategy
Edges
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