Data Governance Policy Page 1 of 8
Version: 1.1 Effective 1 January 2017
Data Governance Policy
Version
Approved by
Approval date
Effective date
Next review
1.1 President and Vice-Chancellor 20 February 2017 1 January 2017 March 2019
Policy Statement
Purpose
Data policies are a collection of principles that describe the rules to control the
integrity, security, quality, and usage of data during its lifecycle.
The policy also defines the roles and responsibilities of University staff,
contractors, and consultants with internal and external parties in relation to
data access, retrieval, storage, disposal, and backup of University data assets.
The purpose of the Data Governance Policy is to:
• Define the roles and responsibilities for different data creation and usage
types, cases and/or situations, and to establish clear lines of
accountability.
• Develop best practices for effective data management and protection.
• Protect the University’s data against internal and external threats (e.g.
breach of privacy and confidentiality, or security breach)
• Ensure that the University complies with applicable laws, regulations,
exchange and standards
• Ensure that a data trail is effectively documented within the processes
associated with accessing, retrieving, exchanging, reporting, managing
and storing of data.
Scope
This policy applies to all institutional data used in the administration of the
University and all of its Organisational Units. This policy covers, but is not
limited to, institutional data in any form, including print, electronic, audio visual,
backup and archived data.
This policy applies to all UNSW staff, contractors and consultants.
Policy Provisions
1. Background Information
Institutional data is a strategic asset of UNSW Australia (UNSW) and the appropriate governance for
management and use of data is critical to the University’s operations. Lack of governance can lead to
operational inefficiencies and could expose the University to unwanted risks.
The Data Governance Framework (DGF) was introduced in the Data Governance Steering Committee
meeting earlier 2015 to improve the oversight, guidance and quality of data. The framework focussed
across People, Process, Technology and Governance to improve the management of data assets from a
strategic and operational perspective. It allows UNSW to better leverage their data quality activities,
business processes and capabilities. The framework was approved and endorsed by the committee for
implementation. Data governance policies are a sub component of DGF. The policies are guided by
principles that should be adhered to support the improvement in managing and securing the data across
the University.
2. Policy Framework and Principles
The following framework outlines the principles and minimum standards that guide the University’s data
governance procedures and must be adhered to by all UNSW staff:
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Figure 1.0: Data Policy Framework
2.1. Governance and Ownership
Data Governance Role
Data Governance Responsibility
UNSW, rather than any individual or Organisational Unit, is the Custodian
of the data and any information derived from the data.
The Chief Data Officer is responsible for the overall management of the
University’s Data and Information Governance
Committee
The Data Governance Steering Committee is responsible for the overall
management of the University’s Data Governance.
A Data Executive supported by a Data Owner has the responsibility for the
management of data assigned within their portfolio.
Data Owners are delegated by a Data Executive, and are responsible for
ensuring effective local protocols are in place to guide the appropriate use
of their data asset. Access to, and use of, institutional data will generally be
administered by the appropriate Data Owner. Data Owners (or a delegated
Data Steward) are also responsible for ensuring that all legal, regulatory,
and policy requirements are met in relation to the specific data or
information asset. This includes responsibility for the classification of data
in accordance with the Data Classification Standard.
Data Owners are responsible for ensuring that data conforms to legal,
regulatory, exchange, and operational standards.
The Data Owner must ensure the process for the administration of data is
in accordance with the Data Management Life Cycle (refer Appendix 1).
Every data area must have one or more Data Stewards, who are
responsible for the quality and integrity, implementation and enforcement of
data management within their Division, Faculty, Centre or research project.
The Data Steward will classify and approve the access, under delegation
from a Data Owner, based upon the appropriateness of the User’s role and
the intended use. Where necessary, approval from the Data Executive/Data
Owner may be required prior to authorisation of access
Data Creators are academic researchers who create original research data
during the course of an academic appointment with UNSW.
Data Creators under Ownership and Responsibility category (refer
Appendix 2) are People who are responsible for the Creation and
Ownership of research data and primary materials. Original research data
and primary materials generated in the conduct of research at the
University is owned and retained by the University, subject to any
contractual, statutory, ethical, or funding body requirements. Researchers
are permitted to retain a copy of the research data and primary materials
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Version: 1.1 Effective 1 January 2017
Data Governance Role
Data Governance Responsibility
for future use, subject to any contractual, statutory, ethical or funding body
requirements.
Data Specialists are business and technical subject matter experts in
relation to the data or information asset. The Subject Matter Experts
(SME’s) under Management and Operations category (refer Appendix 2)
are Business or Information Technology specialists who will be responsible
for providing ongoing support to UNSW Operational systems, data or
informational assets.
2.2. Quality and Integrity:
• Data Creators and Data Users must ensure appropriate procedures are followed to uphold the
quality and integrity of the data they access
• Data records must be kept up-to-date throughout every stage of the business workflow (University
operations) and in an auditable and traceable manner. Data should only be collected for legitimate
uses and to add value to the University. Extraction, manipulation and reporting of data must be done
only to perform University business, including teaching or research.
• Where appropriate, before any data (other than publically available data) is used or shared outside
the University, verification with the Data Steward is required to ensure the quality, integrity and
security of data will not be compromised.
• Data shall be retained and disposed of in an appropriate manner in accordance with the University’s
Recordkeeping Policy, Electronic Recordkeeping Policy and associated procedures under the State
Records Act 1988 (NSW)
2.3. Classification and Security:
• Staff, contractors and consultants should refer to the Data Classification Standard and the Data
Handling Guideline for further information.
• Appropriate data security measures (see Data Classification Standard) must be adhered to at all
times to assure the safety, quality and integrity of University data.
• Personal use of institutional data, including derived data, in any format and at any location, is
prohibited.
• Records stored in an electronic format must be protected by appropriate electronic safeguards
and/or physical access controls that restrict access only to authorised user(s) Similarly, data in the
University Data repository (Databases etc.) must also be stored in a manner that will restrict access
only to authorised user(s).
• This Policy applies to records in all formats (paper, digital or audio-visual) whether registered files,
working papers, electronic documents, emails, online transactions, data held in databases or on tape
or disks, maps, plans, photographs, sound and video recordings, or microforms.
2.4. Terms and Definitions
• The definition and terms used to describe different types of data should be defined consistently or
referred to the relevant Business Glossary of the University contained within the Collibra Data
Governance Centre.
3. Policy Review
This Policy will be reviewed and updated every three (3) years from the approval date, or more
frequently if appropriate. In this regard, any staff members who wish to make any comments about the
Policy may forward their suggestions to the Responsible Officer.
4. Further Assistance
Any staff member who requires assistance in understanding this Policy should first consult their
nominated supervisor who is responsible for the implementation and operation of these arrangements in
their work area. Should further assistance be needed, the staff member should contact the Responsible
Officer for clarification.
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Accountabilities
Responsible Officer Director, UNSW Planning & Performance
Contact Officer Chief Data Officer, UNSW Planning & Performance
Supporting Information
Legislative Compliance
This Policy supports the University’s compliance with the following legislation:
Nil
Supporting Documents
Data Classification Standard
Data Handling Guideline
IT Security Policy – Information Security Management System (ISMS)
IT Security Standards
Related Documents
Collibra Data Governance Centre: https://unsw.collibra.com
Data Classification Standard
Data Handling Guideline
Electronic Recordkeeping Policy
IT Security Policy – Information Security Management System (ISMS)
Recordkeeping Policy
UNSW Privacy Management Plan
UNSW Risk Management Framework
Superseded Documents
Data Governance Policy, version 1.0 approved by the President and Vice-Chancellor on
the 11 March 2016.
File Number 2016/09756
Definitions and Acronyms
To establish operational definitions and facilitate ease of reference, the following terms are defined:
Access The right to read, copy, or query data
Business SME Refer to Data Specialist
Business/Division Area
Data Area
A Data area is a term used to denote a subset of institutional data that is the
responsibility of a team including Data Owner and Data Stewards. This could include an
entire IT system (e.g. Human Resources system) or an business area such as Identity
and Access Management, or a Research project. It may include data that is the
responsibility of University Divisions, such as Finance, HR, Library, Students, etc. and
Research.
Chief Data Officer
CDO
Senior officer of UNSW responsible for Data and Information Governance.
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Data
Institutional Data
The representation of facts, concepts or instructions in a formalised (consistent and
agreed) manner suitable for communication, interpretation or processing by human or
automatic means. Typically comprised of numbers, words or images. The format and
presentation of data may vary with the context in which it is used.
Data is not Information until it is used in a particular context for a particular purpose.
(Office of the Australian Information Commissioner (OAIC), 2013)
Data is typically considered to be conceptually at the lowest level of abstraction.
In the context of this policy this term includes all institutional data including research,
administrative, and learning and teaching artefacts.
Data Creator
Data Creators who will beare persons responsible for the Ownership of research data
and primary materials. Original research data and primary materials generated in the
conduct of research at the University will be owned and retained by the University,
subject to any contractual, statutory, ethical, or funding body requirements.
Researchers are permitted to retain a copy of the research data and primary materials
for future use, subject to any contractual, statutory, ethical or funding body
requirements.
Data Executive
Is a Senior Executive with planning and decision-making authority for part or all of
UNSW’s institutional data.. The Data Executives, as a group, are responsible for
overseeing the continuous improvement of the University’s data governance and
management.
Data Governance roles and
responsibilities
Outlines the access rights, roles and responsibilities of UNSW staff, contractors and
consultants in relation to the management and protection of data.
Data Governance Steering
Committee
DGSC
Is a University wide committee, with members consisting of Data Executives, Data
Stewards and designated Data Userssenior academic and professional staff. The
DGSC has oversight of the Data Governance Program and is responsible for approving
endorsing the procedures related to the Data Governance Policy. The DGSC also
assures appropriate data processes are used in all of the University’s data-driven
decisions.
Data Management Life Cycle
Refers to the process for planning, creating, managing, storing, implementing,
protecting, improving and disposing of all institutional data of the University
Data Owner
Has operational responsibilities in assisting Data Stewards with day-to-day data
administration activities; including, but is not limited to: develop, maintain, distribute,
and secure institutional data. Data Owners are expected to have high-level knowledge
and expertise in the content of data within their responsible area. This role is also the
organizational Data Custodian. UNSW, rather than any individual or Organisational
Unit, is the Custodian of the data and any information derived from the data.
Data Quality
Quality
Refers to the validity, relevancy and currency of data
Data Specialist
Data Specialists are business and technical subject matter experts in relation to the
data or information asset. The Subject Matter Experts (SME’s) under Management and
Operations category (refer Appendix 2) are Business or Information Technology
specialists who will be responsible for providing ongoing support to UNSW Operational
systems, data or informational assets.
Data Steward
Every data area must have one or more Data Stewards, who are responsible for the
quality and integrity, implementation and enforcement of data management within their
Division, Faculty, Centre or research project.
The Data Steward will classify and approve the access, under delegation from a Data
Owner, based upon the appropriateness of the User’s role and the intended use. Where
necessary, approval from the Data Executive/Data Owner may be required prior to
authorisation of accessIs a Member of the Executive who oversees the capture,
maintenance and dissemination of data for a particular Organisational Unit. Data
Stewards are responsible for assuring the requirements of the Data Governance Policy
and the Data Governance Procedures are followed within their Organisational Unit
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Data User
Is any staff member, contractor, consultant or authorised agent who accesses, inputs,
amends, deletes, extracts, and analyses data in UNSW IT system to carry out their day-
to-day duties. Data Users are not generally involved in the governance process, but are
responsible for the quality assurance of data. Appropriate security and approval is
required from Data Stewards to maintain the quality and integrity of the Data.Any
member of the university community that has access to university data, and thus is
entrusted with the protection of that data.
Information Security
Management System
ISMS
In response to UNSW Data Classification and Handling requirements, Tthe ISMS
provides Information Security governance and sets out people, process and technology
related controls to assure the confidentiality, integrity and availability of UNSW data. The
ISMS is a response to UNSW Data Classification and Handling requirements.
Moreoverrequirements. Moreover, the deployment and measurement of ISMS controls
provides input into the risk management process enabling informed business decisions.
Integrity or data integrity Refers to the accuracy and consistency of data over its entire life-cycle.
Management Board
MB
The senior executive team of the University.
Record
Institutional Record
Metadata records stored in any digital format
Record
Institutional Record
Metadata records stored in any digital formatIs any document or other source of
information compiled, recorded or stored in written form or on film, or by electronic
process, or in any other manner or by any other means.
Source: State Records Act 1998 (NSW)
Security
Rrefers to the safety of University data in relation to the following criteria:
Access control; Authentication; Effective incident detection, reporting and solution;
Physical and virtual security; and Change management and version control.
ISMS
Information Security
Management System
In response to UNSW Data Classification and Handling requirements, the ISMS provides
Information Security governance and sets out people, process and technology related
controls to assure the confidentiality, integrity and availability of UNSW data. Moreover,
the deployment and measurement of ISMS controls provides input into the risk
management process enabling informed business decisions.
Revision History
Version Approved by Approval date Effective date Sections modified
1.0
President and Vice-Chancellor
11 March 2016
1 March 2016
New Policy
1.1
President and Vice-Chancellor 20 February 2017 1 January 2017
Minor information management
amendment
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APPENDIX 1 - DATA MANAGEMENT LIFE CYCLE
Data Management Life Cycle refers to the process for planning, creating, managing, storing,
implementing, protecting, improving and disposing of all institutional data of UNSW.
Figure 2.0 – Data Management Lifecycle
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APPENDIX 2 - DATA GOVERNANCE ROLES AND RESPONSIBILITIES
Management and Operations
Ownership and Responsibility