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Author: Savita Farooqui, Chair, IEEE P2145 Blockchain Governance Standards Working Group
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Governance Dimensions
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Defition: Governance is about decision making for direction and control
of a dynamic (non-static) system
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Governance ConsiderationsLayer 4 - EcosystemLayer 3 - CredentialLayer 2 - ProviderLayer 1 - Utility
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Objects of Governance
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Object of Governance (system being governed)
What is governed? What is the Governance for?
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Scope
Scope of the system to be governed
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Purpose / Objectives
The purpose / objectives for the system being governed
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Requirements
Requirements for the system to meet identified objectives?
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Governance Requirements to govern the object of governance (Requirements))
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Scope
Scope of Governance (will depend on the scope of the object of governance)
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Purpose of Governance
Overall purpose (mission) of the Governance for the object of governance
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Objectves of Governance
High-level outcomes desired by Community through its adoption of the Governance
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Requirements for Governance
Any specific Governance requirements to ensure that the object of governance can meet its desired objectives
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Principles of Governance
Guiding values and principles for Governance aligned with overall objectives of the object of governance
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Governance Deliverables
What will be the outcome of Governance definition? What documents / policies will be created?
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Tactics of Governance
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Governance Structure (People)
Who is involved in Governance? How are they organized?
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Members
Who is the Governance for? Who are the members (of a community/system) that are affected by Governance decisions/policies? For the Governance to be effective, Governing Authority may engage with the member community.
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Identity
How is member identity managed?
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Roles / Responsibilities
What are member roles and responsibilities (RACI), including the members of Governing Authority or Administerring Authority?
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Organization
How are the members organized? Are there any formal / informal communities (e.g., Working groups, committees)?
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Governing Authority (Decision / rule making body)
Who are decision makers? What is the structure of decision making team (if it is a team)? Centralized, Federated, Decentralized?
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Governance Process (Process)
How do members work together to make Governance decisions (policies)?
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Membership management processes
What is the process for membership management in various groups including different member communities, Governing Authority, Administering Authority etc.? These decisions may be made by each group.
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Public / Private / Permissioned membership
The membership may be open and public, or private, permissioned. What is the supported membership type for this GF?
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Governance Decision making processes
What is the process of decision making (including decisions for scope, objectives, deliverables, and any other unanticipated decisions)?
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Voting rights
What is the process of decision making (including decisions for memberships, scope, objectives, deliverables, and any other unanticipated decisions)?
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Voting / consensus mechanism
How is consensus achieved? What are the voting rules? What is the voting process? Are the members signalled of a voting event?
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Voting method (Direct / Indirect / Delegated)
Direct voting (each member casting one vote) or indirect voting (representative) used?
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Change Management processes
Processes related to how the decisions made may be updated. For example, once the technology strategy is decided, how will it be updated, if needed
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Risks and Issue Management processes
How will risks and issues be managed? What are anticipated risks and issues? What happens when an unexpected situation arises?
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Communication / Coordination processes
How members communicate / coordinate? What tools/processes they use? How is community engagement managed, so that the Governing decisions are aware of the member community concerns?
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Governance Decisions / Deliverables (Policy)
What are the outcomes (deliverables) of Governing process? What decisions (rules, policies or other) are made?
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Documentation
What are the deliverables of Governance? The set of documents may vary depending on the object of governance and governance requirements.
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Core Governance Deliverables:
Requirements
Membership management processes
Member roles, responsibilities
Decision making processes
Change management processes
Risk and Issue management processes
Communication / coordination processes
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Document publication
How are the decisions documented? Where are they published? How should the members (for whom these rules apply) use them?
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Governance Policy Execution (Practice)
How is the Governance as defined above practiced/executed?
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Governance Administering Authority (Executing and enforcing body)
Who are responsible for ensuring that execution and enforcement of the Governance decisions made by the Governing Authority? What is the structure for the administering team? Centralized, Federated, Decentralized?
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Operations and administration
What are the considerations for administering and operating the decisions makde by the Governing Authority, if any? Processes for monitoring the execution, and ensuring compliance with the Governance Framework?
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Incentives for Governance
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Incentives / Accountability
What are available incentives for different roles?
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Legal
Are there any legal incentives/disincentives?
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Financial
Are there financial incentives? (for example cost reduction with compliance or increased costs with non-compliance)
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Social / Reputational
Are there social incentives such as social recognition or other?
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