***DRAFT (not yet approved)***
006.2016.03 - Proactive Data Management and Transition Planning
Effective:tbd (ref. 006.2016.03)
Drafted: March 2016
Approved by DMC: tbd
I. Guideline: Proactive Data Management and Transition Planning
Every college, school, and unit (CSU) of the university is responsible for proactively managing data that are created, stored, or used by that unit. Proactive data management activities include, but are not limited to:
- Documenting data stores and their purpose/function, characteristics, location, policies, sensitivities (data categories), and dependent processes, systems, and reports
- Appropriately securing data in accordance with institutional policies
- Tracking and maintaining data in accordance with the UTRRS (records retention schedule) and document destruction guidelines
- Monitoring and responding to system, infrastructure, technology, data availability or definitional (business) changes that impact the CSU’s data availability and storage.
The Data Management Standards also call for “institutional metadata” to be recorded, managed, and utilized, including detailed information describing both the technical and business characteristics of institutional data. To that end, and given the Administrative Systems Management Plan (ASMP) initiative to decommission the mainframe, all CSU’s will develop Enterprise Data Transition Plans to identify and document all data under their management and proactively plan for any future movement or deletion of those data. Each unit will work with Records Management Services and the ASMP 2.0 Application Modernization team to complete their plans according to the timelines for their established decommissioning roadmaps.
Upon completion of each unit’s transition plan, the Data Management Committee (DMC) will review and approve the plan or request revisions, with the following objectives:
- Minimizing impacts of data movement on dependent areas of institution
- Ensuring that appropriate access levels are maintained for necessary institutional data (focusing on those data planned for archival or deletion)
- Identifying potential records retention issues
- Addressing any data accessibility impacts for fulfilling Open Records requests
The Data Management Standards (Standards) state that institutional data is to be regarded as a highly-valued institutional asset and, as such, is to be effectively managed to achieve an appropriate level of stewardship. Institutional data must be safeguarded and protected according to approved security, privacy and compliance guidelines, laws and regulations established by the university or by state or federal agencies. Roles and responsibilities for data management are to be clearly defined, and individuals assigned to specific roles will be held accountable to performing data management responsibilities as a part of their regular job duties. The Standards also call for “institutional metadata” to be recorded, managed, and utilized, including detailed information describing both the technical and business characteristics of institutional data, such as:
- Definitions regarding the purpose, use and context
- Identification of which system is the official system of record
- Identification of personnel responsible for management of data
- Descriptions of how institutional data are transferred, derived, and stored
- Rules concerning retention of records and institutional data
The Enterprise Data Transition Planning and Review Process is intended to facilitate mainframe decommissioning and to ensure continued protection, access to, and use of institutional data wherever necessary. Transition planning helps CSU’s identify future technical tasks and verify that all data are ultimately accounted for and relocated or deleted in accordance with records management, information security, and DMC guidelines. Transition plans also create a portion of the institutional metadata called for in the Standards.
III. Scope & Audience
The guideline applies to all UT colleges, schools, and units.
IV. Definitions (specific to these guidelines)
V. Website (for policy)
VII. Related Information
The Data Management Committee is currently developing a “Data Access and Use Guide” that further describes the appropriate uses of institutional data.
This guideline neither precludes nor supersedes any existing legal, regulatory, or university rule or policy.
VIII. Policy References
Last revision date: na