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Information Governance and Management Framework (PDF, 1.4 MB)

1. Document structure

The Information Governance and Management Framework (the Framework) provides a consistent enterprise approach to information governance and information management across The University of Queensland (UQ). The document describes our obligations throughout the information lifecycle (as described in section 5.1) and describes the governance and management structures and decision rights. 

The framework supports UQ’s Information Management Policy.

The Information Governance and Management Framework supports the UQ Information Management Policy

Figure 1 - Information Governance and Management Framework document structure 

1.1 Information Governance

Information governance is a collection of policies, practices and processes that provides a formal framework to establish decision rights and apply control through defined roles and responsibilities for the management of information and data assets throughout their lifecycle.

1.2 Information Management

Information management is a collection of capabilities delivered through people, processes and technology to ensure the confidentiality, integrity, availability, quality and security of our information and data assets throughout their lifecycle.

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2. Purpose and context

The University of Queensland (UQ) is committed to appropriately managing all forms of information that it creates and holds. Effective information management ensures that the right information is available to the right person, in the right format, at the right time. To achieve this, necessary controls must be asserted over our information assets with the support of clear and effective information governance practices.

The Information Governance and Management Framework (the Framework) outlines a shared overarching approach to information governance and management at UQ.

2.1 Scope

This Framework applies to all University staff, students and users of the University's information resources including contractors, third-party agents of the University and any other University affiliate who is authorised to access institutional data or information. It covers information resources hosted on-campus or externally.

The Framework may be used to benchmark current information management practices and to identify aspects of information management and governance that require capability improvement.

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3. Information Governance and Management Framework

3.1 Vision for information 

The University of Queensland operates effectively and efficiently when members of the University community have access to the correct information at the time that they need it. Information management and governance is about maturing practices and creating a culture that ensures appropriate oversight is in place to properly manage and maintain our information assets.

Our vision for information management and governance is that:

  • information is managed in line with statutory and administrative obligations
  • information management supports and aligns with organisational drivers, University needs and strategic objectives
  • custodianship and stewardship of information is improved
  • the ability for information to be used and valued as an operational and strategic asset is increased
  • information is managed in a way that enables it to be used effectively, ethically and securely
  • information is managed according to its purpose and associated risk profile
  • appropriate controls are in place to secure our information.

3.2 Principles 

  • Information is treated as an asset.
  • Information can be found and accessed.
  • Information is suitable for all of its uses.
  • Information remains compliant.
  • Information privacy, confidentiality and security is assured.

Refer to the UQ Information Management Policy for a detailed description of the principles.

3.3 Obligations 

The University is required to meet legislative and regulatory requirements that relate to the management of data and information across all of the high-level domains of administration, teaching and learning, and research. The following legislation and policies contain provisions relevant to the management of information across its lifecycle and applies to all information held by the organisation. 

3.3.1 Federal Acts 

  • Broadcasting Services Act 1992
  • Copyright Act 1968
  • Cybercrime Act 2001
  • Education Services for Overseas Students Act 2000
  • Electronic Transactions Act 1999
  • Evidence Act 1995
  • Privacy Act 1988
  • Public Interest Disclosure Act 2013
  • Spam Act 2003
  • Telecommunications (Interception and Access) Act 1979
  • Telecommunications Act 1997

3.3.2 Queensland Acts

  • Information Privacy Act 2009
  • Public Records Act 2002
  • Right to Information Act 2009
  • University of Queensland Act 1998

3.3.3 Federal Policies

  • Education Services for Overseas Students Regulations 2001
  • National Code of Practice for Providers of Education and Training to Overseas Students 2018

3.3.4 Queensland Policies

  • Information Access and Use Policy (IS33)
  • Information Asset Custodianship Policy (IS44)
  • Information Governance Policy  Information Security Policy (IS18:2018)
  • Metadata (IS34)
  • Records Governance Policy
    • Queensland State Archives authorised disposal schedules: University Sector Retention and Disposal Schedule (QDAN 601)
    • General Retention and Disposal Schedule (GRDS)

3.3.5 UQ Policies and Procedures

  • Information Management Policy
  • Information Governance and Management Framework (this document)
  • Information Security Classification Procedure
  • Data Handling Procedure
  • Enterprise Data Ethics Framework
  • Cyber Security Incident Management Procedure
  • Cyber Security Policy
  • Privacy Policy
  • Destruction of Physical Records Procedure

    Some aspects of international legislations such as the General Data Protection Regulation (GDPR) may apply to UQ. The GDPR and the Australian Privacy Act 1988 share many common requirements.

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    4. Information Governance

    Information governance defines the roles and responsibilities, decision rights and the controls and processes required to effectively manage information collected and/or held by the University.

    4.1 Governance context

    UQ’s institutional data and information are a valued asset that underpins effective and efficient operations. Insights from data play a growing role in shaping the strategic direction of our University. As our reliance on data and information increases, controlled access to well-understood and high-quality data and information is critical. A successful future for UQ relies on the ability to grow capabilities to leverage data and information while ensuring that the University is able to assert necessary controls over it, with the support of clear and effective information governance practices.

    4.2 Decision rights 

    Clearly defined decision rights1 across the University is a key enabler of good information governance to support efficient decision making regarding the management of data and information through its lifecycle. The decision rights model outlines a hierarchy of relationships describing levels of accountability and responsibilities, and provides a reference point for information governance decisions. An example of how this works in practice is given in Appendix A.

     

    Figure 2 - Decision rights model (also known as Information Governance model)

    The following table (table 1), describes the types of involvement necessary to inform the RACI table (Responsible, Accountable, Consulted and Informed) (table 2) which includes the high-level activities required to manage our enterprise data governance landscape.

    Table 1 - RACI definitions

    RACI Description
    RACI - Accountable The one ultimately answerable for the correct and thorough completion of the activity or task, and the one who delegates the work to those responsible. An accountable person must sign off (approve) work that a responsible person completes. There must be only one accountable person specified for each task or deliverable.
    RACI - Responsible Those who do the work to achieve the activity or task. There is at least one role with a participation type of responsible person(s), although others can be delegated to assist in the work required.
    RACI - Consulted Those whose opinions are sought, typically subject matter experts; and with whom there is two-way communication.
    RACI - Informed Those who are kept up-to-date on progress, often only on completion of the task or deliverable; and with whom there is just one-way communication.

    The following table defines the high-level activities required to manage our enterprise data governance landscape. It outlines who is accountable, responsible, contributing, informed, and how often the activities should be reviewed.

    Each activity is either a Planning activity (P), or a Control activity (C).

    Table 2 - RACI chart for high-level information governance and management activities

    Activities Information Trustee Information Leader Information Domain Custodian Information Steward Information Consumer Information Creator Chief Information Officer Information Service Provider Senate UQ Senior Executive Team (USET) UQ Senior Leadership Group Strategic Information Technology Council Information Technology Governance Committee Ethics Advisory Group
    Compliance with all legal, regulatory, and policy requirements (including University, state and federal) (P) A R R R R R R R R R R R R C
    Strategic direction, policies and standards relating to the management of information (P) A R C C I I R C R R C C C I
    Identify and assign information and data governance custodian and stewardship roles (P) R R C C I I A C I I I I I I
    Policies, procedures, and rules to manage information and data across the lifecycle (P) A R R C I I R C I I I I I I
    Collection, management, use and disposal of University’s information and data (C) A R R R R R R R I I I I I I
    Manage and resolve data related conflicts, risks and issues (C) A R R R C C R R I R R R R I
    Communicate and monitor compliance with policies, procedures and rules (C) R R R R R R A R I R R R R I
    Approve the release of information and data external to the University (C) A C R C C C R C I I I I I I
    Assess, measure, improve and/or remidiate data performance and quality (C) R R R R R R A R I R R R R I
    Approve the retention and destruction of University records (C) A I R I I I C C I I I I I I

    1 'Decision rights' are decision making structures that aren't necessarily reflective of UQ's organisational structure.


    4.3 Roles and responsibilities

    Information governance roles and responsibilities exist to champion the vision for information management, build an information aware culture and ensure fit for purpose information is maximised to achieve value across the University. The recommended governance roles and responsibilities crucial to the overall collection, management and use of information are listed below.

    4.3.1 Information trustee

    The Information Trustee (also referred to as the Information Owner) at UQ is the Vice-Chancellor.

    The Information Trustee has enterprise level authority and accountability under legislation for the ethical collection and management of the University’s information.

    The Information Trustee may delegate responsibilities to the Information Leaders or other parties.

    The Information Trustee is accountable for:

    • the collection and management of the University’s information in accordance with relevant legislative, regulatory and policy obligations.

    The Information Trustee is responsible (but may delegate that responsibility) for:

    • approving the release of the University’s information external to the University (e.g. government reporting, media or the public)
    • ensuring information is managed and governed as a strategic asset across the University
    • ensuring the security, confidentiality and privacy of information is protected in accordance with legislation and ethical standards
    • ensuring that information and records retention and destruction obligations and authorisations have been delegated to Information Custodians
    • approving University-wide policies, procedures and rules associated with governing and managing information (within the delegation of the Vice Chancellor, noting that some policies are reserved for Senate approval)
    • approving and supporting business cases relating to information management investments
    • assigning Information Leaders to the University’s high-level information domains.

    4.3.2 Information Leader

    Information Leaders provide strategic guidance regarding information requirements within one or more information domains.

    An Information Leader is responsible for:

    • providing direction regarding the quality, security, integrity, accuracy, consistency, privacy, confidentiality and accessibility of, and ethical use of, information across its lifecycle 
    • acting as a champion for information governance and information-related initiatives
    • promoting awareness and understanding of information governance across the University
    • approving the policies, procedures and rules associated with managing the University’s information specific to a functional area.

    4.3.3. Information Domain Custodian

    Information Domain Custodians (Information Custodian) define and implement safeguards to ensure the protection and ethical compliance of information within their domain2.. This must be done in accordance with the policies, procedures and rules approved by the Information Trustee or Information Leader.

    An Information Domain Custodian is responsible for:

    • defining the information domain specific procedures and rules to ensure proper quality, security, integrity, consistency, privacy, confidentiality and accessibility of information throughout its lifecycle
    • ensuring information is managed in compliance with relevant legislation, policy and standards
    • ensuring good records management practices are followed throughout the information lifecycle
    • managing and maintaining information within their domain, including metadata, to ensure that discovery mechanisms function
    • managing escalated risks related to domain-specific information through the University’s risk management processes
    • assuring the quality and integrity of information in their domain in line with relevant quality standards
    • monitoring and responding to performance measures for their information domains
    • approving the release of information, based on criteria approved by the Information Trustee, to external parties
    • ensuring that requests for archiving and disposal of information records are approved/denied in accordance with University policies and procedures
    • assigning Information Stewards to oversee day to day information management.

    2 An Information Domain is a broad category or theme under which University information can be identified and managed. UQ uses the Topics and Entities outlined in the CAUDIT Higher Education Data Reference Model, in the context of business capabilities and organisation structures, as a guide to determine appropriate information domains


     .

    4.3.4 Information Stewards

    Information Stewards are responsible for the quality, integrity and ethical use of an information assets within an information sub-domain3 on a day-to-day basis. An Information Steward may manage information within multiple information sub-domains.

    The stewards apply relevant policies, procedures and rules, including safeguarding the information from unauthorised access and abuse.

    An Information Steward is responsible for:

    • the application of relevant legal, policy and standards requirements
    • the application of security, confidentiality and privacy requirements
    • the implementation of strategies for quality improvement and resolving quality issues
    • monitoring and continuously improving the quality of information in line with the University’s data quality expectations
    • ensuring information is consistently and accurately captured in the approved information system
    • providing advice on the proper use and interpretation of information
    • reviewing and approving (or rejecting) requests for access to data and information
    • reviewing and recommending decision for archiving and disposal requests of information and records
    • assuring that information complies with all legal, regulatory and policy requirements.

    3 An Information Sub-Domain is a specific group of information that is related to an Information Domain.


    .

    4.3.5 Information Creators

    Information Creators capture or create the information as defined by the Information Domain Custodian.

    An Information Creator is responsible for:

    • accurately capturing information and data in line with legislation, policy and standards
    • complying with all information governance policies, procedures, processes and rules
    • seeking advice on information requirements and providing feedback to the appropriate Information Steward.

    4.3.6 Information Consumer

    Information Consumers select the best source of information to meet their requirements for use.

    Information Consumers are responsible for:

    • using the University’s information and data assets to which they have been granted access, and only for the purposes approved, in line with all relevant information-related legislation, policies, procedures and processes
    • using the University’s information and data assets ethically and securely while respecting confidentiality and privacy of the assets
    • defining what makes the information fit for purpose as it is important the information meets requirements
    • providing feedback about the information to relevant Information Stewards.

    4.3.7 Chief Information Officer

    The Chief Information Officer (CIO) is accountable for:

    • developing and maintaining the information management priorities
    • understanding the data security needs and implementing appropriate controls
    • developing information policies, standards and procedures.

    The CIO is responsible for:

    • interpreting the business and information needs, and strategic goals of UQ and translating them into ICT initiatives that deliver valued information assets to UQ
    • supporting the Information Trustee and Information Leaders in setting the strategic direction for UQ’s ICT and information management
    • ensuring that Information Service Providers are adequately resourced to support the Information Stewards and Custodians to fulfil their responsibilities
    • ensuring that appropriate mitigation, reparation and punitive measures are taken following investigations of misuse (e.g. the suspension of user accounts)
    • ensuring that the Information Management Policy and supporting frameworks and procedures are enforced, maintained, and alleged breaches are investigated 
    • ensuring that an Information Domain Custodian is assigned to each Information Domain.

    4.3.8 Information Service Providers

    Information Service Providers (ISP) provide support to embed and implement governance controls and processes. This group includes the technical teams that provide system support and manage access to information including our information systems4

    The ISPs at UQ include (but are not limited to):

    • Information Technology Services
    • UQ Library IT
    • UQ Schools/Institutes IT
    • Planning and Business Intelligence
    • Business Application Administrators
    • ITGC sub-committees
    • working groups
    • external service providers
      (with all external service providers, an internal UQ service provider must take full responsibility to ensure the external provider fulfils all requirements as required by an ISP).

    4 An information system is a place where a collection of data is stored and used for University business functions. An information system is often also a system of record and should therefore fulfil all information lifecycle management requirements from collection all through to disposal. Refer to section 5.1.


     

    4.3.9 Governance Bodies

    Although the following University boards and committees may not have direct responsibility for information governance, it is essential that they are informed of information governance initiatives which impact their individual charters.

    4.3.9.1 Information Technology Governance Committee

    The Information Technology Governance Committee (ITGC) governs information through strategic direction, performance evaluation, risk management and compliance. The ITGC provides tactical and operational support and resolution of escalated information governance issues. 

    Terms of reference

    4.3.9.2 Ethics Advisory Group 

    The Ethics Advisory Group is responsible for reviewing and providing advice on non-research data use cases referred for consideration. More information about the Ethics Advisory Group is available by contacting the Data Strategy and Governance team via email on datagovernance@uq.edu.au. 

    4.3.9.3 Strategic Information Technology Countil 

    The Strategic Information Technology Council (SITC) governs information through strategic direction, performance evaluation, risk management and compliance. The SITC provides strategic support and resolution of escalated information-related issues.

    Terms of reference

    4.3.9.4 University Senior Executive Team (USET)

    The University Senior Executive Team (USET) is the senior management forum of the University. USET provides guidance and oversight of matters that support the strategic priorities of the University, including: key operational matters, the performance of the University against key performance indicators, and the governance of the University. The USET also provides advice with respect to decisions made under the exercise of the Vice-Chancellor’s delegation.

    Issues and/or decision that could not be resolved by the SITC, may be escalated to the USET.

    Terms of reference

    4.3.9.5 Senate

    Senate is the peak governing body of the University as constituted by the University of Queensland Act 1998.

    The primary role of Senate is to exercise oversight of the University and its affairs. In particular, Senate ensures that the appropriate structures, policies, processes and planning are in place for UQ to effectively manage its activities and achieve its goals.

    Terms of reference

    4.4 Governance controls

    Information governance controls or business rules are the measures implemented by Information Custodians and Information Stewards to ensure that information is managed appropriately within the University’s regulatory environment.

    The level of control applied to the information will be commensurate with the value of the information to the University and the risks associated with collection, use and exposure of the information. Enterprise level controls are applicable to all University information (e.g. except for exempted data sets for regulatory reporting requirements, data should be de-identification of personal information prior to external sharing), and business level controls applicable to information domains (e.g. HR, Finance or Local Laws).

     

    Processes to enforce the controls can be automated, manual, or technology-enabled manual processes. Processes are the methods used to apply governance controls and manage the information.

    See Appendix B for a complete list of governance controls mapped to UQ’s information lifecycle.

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    5. Information Management

    Information management at UQ is enabled through a range of capabilities that are applied throughout the information lifecycle. UQ’s information management capabilities are in line with the industry standard ‘Business Reference Model’ (Capability Model) developed by the Council of Australasian University Directors of Information Technology (CAUDIT).

    5.1 Information Lifecycle Management 

    Information lifecycle management is the consistent management of information from creation to final disposition. It is enabled through people, process, and technology and drives improved control over information as it moves through the various lifecycle stages described below.

    The information lifecycle at UQ includes the following steps. Note that in the diagram, the ‘plan and design’ phase is illustrated within the centre, as these considerations should be reviewed at every subsequent information lifecycle management stage.

    • plan and design information appropriately 
    • create, capture and classify information adequately
    • store and secure information appropriately
    • manage and maintain information in line with external and internal policies and expectations
    • share and reuse information where appropriate
    • retain and archive information for a minimum period
    • dispose of and destroy information correctly.

    Information lifecycle management at UQ is coordinated across the University by the Information Technology Services (ITS) Division.

    Information Lifecycle

    Figure 3 - Information Lifecycle Management Diagram

    5.2 Information Management Capabilities

    Information management capabilities are delivered through people, processes and technology. Information becomes a discoverable, available, trusted, protected, useful and managed asset of suitable quality through the below capabilities.

    • information planning and design
    • data management
    • data sharing
    • information protection
    • enterprise content management
    • records management
    • insights management.

    The different aspects of these capabilities are further outlined in the following sections.

    5.2.1 Information planning and design

    Information should be consciously planned and designed to meet internal business and governance requirements. To achieve this, information planning and design should encompass the following:

    Table 3 - Information planning and design capabilities 

    Information needs assessment
    • Assessment of the information that the organisation needs to design, make and keep.
    • Identification of where information requirements need to be built into process, system, service or contract design.
    Information risk assessment
    • Identification of where risks to information exist in corporate environments, processes, capabilities or services.
    • Identification of policy and compliance risks.
    • Implementation of plans to mitigate these risks.
    Information architecture
    • Assessment of the architecture needed to support information creation, use, governance and management.
    • Alignment of information management needs to enterprise architecture and future conceptual architecture planning.
    Data modelling and design
    • Assessment, design and development of the data required to support current and future business needs.
    Information lifecycle planning
    • Identification of the requirement and processes needed to support digital continuity of information/records, to give assurance of their ongoing authenticity, accessibility and readability over the period they are required to be legally kept.
    • Alignment of systems, services, processes, capabilities and requirements to support information creation, management, use and disposal.
    Information asset register
    • Identification and documentation of core information assets and systems.

    5.2.2 Data management

    Data should be managed with the assistance of plans, programs and practices that control, protect, deliver and enhance the value and management of data assets. To achieve this, data management should encompass the following:

    Table 4 - Data management capabilities

    Reference and master data management
    • Identification and management of the core data entities (e.g. student, course, research project) and reference data sets (e.g. country codes, field of research codes, classification codes) used across an organisation.
    • Matching and resolution of data entities captured in multiple sources (this also supports some aspects of identity management).
    Metadata management
    • Establishment of policies, rules and practices to ensure metadata definition, capture, access, integration, linking, sharing, maintenance and analysis.
    Data quality management
    • Processes and technologies to assess and improve the quality of organisational data.
    Data storage
    • Planning, management and coordination of data storage environments.
    Information classification
    • Identification, organisation and classification of information and information systems to enable their appropriate use and protection.
    • Note: this capability is supported by metadata management.

    5.2.3 Data sharing

    Data should be available to the community and within our systems in a controlled, coordinated way. To achieve this, data sharing should encompass the following:

    Table 5 - Data sharing capabilities

    Data Integration and Interoperability
    • Processes and technology for managing the controlled sharing of data between applications. This includes the acquisition, extraction, transformation, movement, delivery, replication, federation, virtualisation and operational support for data movement.
    • Governance and monitoring of data sharing arrangements.
    Information search and discovery
    • Making data and information from multiple environments available for coordinated searching and controlled access.
    Data opening and public release
    • Processes to ensure data is made available for public use and reuse.
    • Development of governance and control processes to ensure personal and sensitive information is protected in open data arrangements.
    • Community and business liaison to ensure information is released that meets current and future community needs and expectations.

    5.2.4 Information protection

    Information protection should be embedded in University activities and business processes. To achieve this, information protection should encompass the following:  

    Table 6 - Information protection capabilities

    Information access management
    • Arrangements to ensure access to information is controlled, monitored and appropriate to risk and business requirements.
    • Application of processes to maintain currency and appropriateness of access and restriction arrangements, including during staff on boarding, off boarding or movement within the organisation.
    • Development of monitoring processes for information access arrangements.
    Privacy management
    • Development and implementation of privacy by design approaches to support compliant and effective information design, use and management.
    • Adoption of processes and practices to support the protection, control and management of personal information.
    Cyber security controls
    • Identification, risk assessment and management of high value information systems and assets.
    • Development of governance frameworks to support cyber security for information assets.
    • Definition of the controls needed to protect high value information assets.
    • Development and implementation of relevant security by design approaches.

    5.2.5 Enterprise content management

    Activities and processes should be managed in a way that allows content to be leveraged to enhance innovation. To achieve this, enterprise content management should encompass the following:

    Table 7 - Enterprise content management capabilities

    Content management
    • Tracking and management of information content to enable its appropriate definition, searchability, use and reuse (e.g. web sites, knowledgebase, documents).
    Digital asset management
    • The organisation and management of digital assets to enable their controlled and managed reuse (e.g. digital images used on websites).
    University collaboration
    • Processes for building and sourcing knowledge from within the University and other national and international universities.
    Community collaboration
    • Mechanisms for building and sourcing knowledge through collaboration with the community, industry and research sectors.

    5.2.6 Records management

    Records should be managed throughout the information lifecycle, with processes in for capturing and maintaining the evidence of, and information about, business activities and transactions in the form of records. To achieve this, records management should encompass the following:

    Table 8 - Records management capabilities

    Record creation
    • Processes for ensuring appropriate records, and associated metadata, are collected, stored and protected as required to support regulatory, operational, strategic or analytic requirements needs.
    Retention and disposal
    • Processes to ensure records are kept or disposed of in accordance with legal needs and business requirements (including digital preservation/continuity of accessibility).

    5.2.7 Insights management

    Operational and strategic decision making should be supported by insights derived from an organisation’s information and data assets. To achieve this, insights management should encompass the following:

    Table 9 - Insights management capabilities

    Business intelligence and reporting
    • Practices for analysing information to optimise business decisions and performance.
    • Practices for ensuring that the information generated through business intelligence activities are retained, applied and fed back into business process and data quality improvement activities.
    Data engineering
    • Processes for preparing data for analytical or operational uses.
    Data analytics
    • Activities including the discovery, interpretation, and communication of meaningful patterns in data; and the process of applying those patterns towards effective decision making.
    Data science
    • A multi-disciplinary field that uses scientific methods, processes, algorithms and systems to extract knowledge and insights from structured and unstructured data.

    Note: Significant interdependencies exist between all capabilities. A single
    business initiative could be informed by multiple or all capability areas.

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    Metadata for document management

    Version 1.1
    Approval Authority Information Technology Governance Committee
    Document Custodian Chief Information Officer
    Last Approval Date 05 August 2021
    Next Review Date 05 August 2024
    Audience / Users UQ all
    Information Security Classification Official - Public
    Author Sasenka Abeysooriya
    Notes  

     

     

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