Enterprise Data Transition Planning and Review Process

Overview

Background

Application Modernization: Transitioning Mainframe Data

Diagram: Data Movement / Transformation Strategy

Enterprise Data Management: Data Access Governance

Proactive Data Management

Data Transition / Retention Plan Development

Review and Approval Process

Diagram: Enterprise Data Transition Plan (DTP) Review Process

Data Transition Plan Timeline

 

Overview

The Enterprise Data Transition Planning and Review Process is a joint initiative between the Data Management Committee (DMC) and the ASMP 2.0 Application Modernization (App Mod) team to facilitate mainframe decommissioning and to ensure continued protection, access to, and use of institutional data wherever necessary. Transition planning helps colleges, schools, and units (CSU's) identify future technical tasks and verify that all mainframe data are ultimately accounted for and relocated or deleted in accordance with records management, information security, and DMC guidelines. The DMC will review plans to track the proper disposition of institutional data, while the App Mod team will provide coordination and resources to assist units in evaluating options and developing transition plans as part of the roadmapping process.

 

Background

Institutional Initiatives Approved by the Business Services Committee (BSC), Operational IT Committee (OIT), and the Strategic IT Advisory Board (SITAB) include:

Administrative Systems Master Plan - Requirement 1 - “Create Business Driven Systems and Data Management”

Initiative 1.1 - “Develop System Replacement Roadmaps”

Initiative 1.2 - “Improve Design and Management of Data to Enhance Decision-Making”

ASMP 2.0 – Enterprise Data and Application Modernization (EDAM) includes:

Application Modernization (App Mod) - Mainframe Decommissioning, Roadmaps (1.1)

Enterprise Data Management (EDM) - Data Continuity, Access, and Governance (1.2)

 

Application Modernization: Transitioning Mainframe Data

Potential dispositions for historical data:

  • Retain – Active
    • ITS managed operational servers (read/write)
    • Local (departmental) server
    • Cloud or third-party (off-premises) data store
    • EDM/IQ managed Institutional Data Store (IDS – read only)
  • Retain – Archived **
    • ITS managed archival data stores
    • Local (departmental) servers
    • Cloud or third-party (off-premises) data store
  • Delete – no longer needed by institution **

**Note: Archival and Deletion plans require Records Management Services approval per The University of Texas at Austin Records Retention Schedule (UTRRS), as well as review and approval by the Data Management Committee (DMC).

 

 

Diagram: Data Movement / Transformation Strategy  

DMC disposition rubric image 

Enterprise Data Management: Data Access Governance 

Data Management Standards were issued by Provost and CFO memo on May 1, 2013 - “Institutional Data is the property of the University of Texas at Austin and shall be managed as a key asset.”

  • Establish / Formalize Data Management Committee (DMC) and Data Governance Policy to help mitigate data access and use risks
  • Purpose is to ensure:
    • Leaders have appropriate access for decisions
    • Institutional data are regarded as a key asset and managed accordingly
    • Data are understood and used consistently
    • Roles and responsibilities are clear
    • Data are stored and used efficiently, minimizing redundant costs, resources

Data Management Committee

The scope of work for DMC is driven by the Data Management Standards and DMC is responsible for developing formal Data Governance policies and procedures.  Recent data-related risk assessments yielded mitigation work for four workgroups, one of which (Storage, Retention, and Transition) was tasked with developing an Enterprise Data Transition Plan Approval Process.

 

Proactive Data Management

  • Importance of Data Stewardship:
    • Minimized Risk – prevents lost or stolen data, identity theft, FERPA violations
    • Efficiencies – decreased storage of unused, outdated, or redundant files
    • Productivity – timely availability of readily accessible data
    • Compliance – records retention and responsiveness to open records requests
  • Proactive Data Management and Planning activities:
    • Know what data you store and its purpose/function
    • Know data characteristics, location, policies, sensitivities (category)
    • Ensure that you track and secure data appropriately
    • Be aware of dependent processes, systems, reports that consume your data
    • Don’t keep data beyond its useful life, BUT…
    • Abide by minimum records retention schedule and document destruction guidelines, AND…
    • Make sure there is not an institutional need for the data to be retained!

 

Data Transition / Retention Plans

  • CSU's identify all data under their management and proactively plan for future movement or deletion of those data
  • Formatted spreadsheets with initial list of files / data are provided by App Mod:
    • Spreadsheets use pulldown menus to minimize time and effort
    • Descriptive text can be brief
  • CSUs work with Records Management Services and App Mod to complete spreadsheet entries for each file:
    • Type of file, name, subject matter, size, brief description
    • Contact and ownership information
    • Planned disposition status, location, transition timing, responsible parties
    • Retention requirements and archival plans

 

     Sample Transition Plan Spreadsheet (blank)

 

Review and Approval Process

  • Minimize impacts of data movement on dependent areas of institution
  • Focuses on data that is being archived or deleted (access issues)
  • Identifies any potential records retention issues
  • Addresses any Open Records implications for data that are being retained (ex: Should data that are being archived be de-identified and/or aggregated?)

     Step-by-Step Process: 

  1. CSU sends completed transition plan spreadsheet to App Mod.
  2. App Mod and EDM review for tactical viability and institutional data dependencies.
  3. App Mod forwards the plan to a DMC Workgroup for review by IRRIS, Legal Affairs, Records Management, Open Records, ITS, or others, as appropriate.
  4. DMC Workgroup approves plan or may request revisions by CSU.
  5. Outstanding issues may be forwarded to DMC or BSC.

 

 

Diagram: Enterprise Data Transition Plan (DTP) Review Process

DMC Trans Plan diagram

 

Data Transition Plan Timeline

  • App Mod starts sending spreadsheets to CSUs in late Spring 2016.
  • CSUs schedule working meetings w/ Records Management and App Mod as they develop their plans.
  • CSUs send completed plans back to App Mod according to their decommissioning roadmap timelines.
  • DMC Workgroup begins reviewing transition plans as early as Summer 2016.