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ITM Policy Manual
Purpose:
The purpose of this manual is to outline the University’s principles concerning the use of technology. The two primary areas of focus are IT Security & Acceptable Use and Enterprise Architecture.
The University’s primary functions depend on the quality of information provided by ITM resources. This policy manual will ensure the following:
  • Availability and reliability in the provision of ITM services;
  • Accuracy and integrity in the management and delivery of information;
  • Protection of the University’s assets, including information, knowledge, software, hardware and facilities;
  • Information privacy and confidentiality is maintained according to legislative requirements;
  • The University’s operations are secure from disruption;
  • ITM resources are used in an appropriate manner;
  • Protection of the University’s reputation.
Scope:
This manual covers all policies relating to Information and Technology Management and applies to all staff, students and members of the UC community.  
Principles:
  1. IT Security and Acceptable Use
    1. Acceptable Use
      1. Purpose & Scope
        1. This section provides information on the access available to staff, students and other members of the University community to the University’s computer network, and through it to the Internet, and their obligations when using the University network. 
      2. Principles
        1. The University network is provided for use for educational, research and administrative business of the University including related social interactions.  Limited personal use is permitted but the university network must not be used for personal gain.
        2. Users must comply with all legislation and University policies relating to access and use of the network and other IT resources.
        3. Users must act in a courteous and responsible manner in all technology-enabled communications, and must not use these in a manner which misrepresents the University or brings it into disrepute.
        4. The account owner is responsible for all information access and all changes which are carried out while accessing a system through their account/password combination.
        5. The University’s systems must not be used to harass, abuse or otherwise seek to offend other users.
        6. The University’s systems must not be used to access, store or transfer illegal material, such as unauthorised copyright material or child pornography.
        7. It is the responsibility of departing staff and their supervisors to ensure that any required electronic business files, documents and emails are appropriately stored, transferred or otherwise made accessible to the supervisor well in advance of the departing staff’s termination date.
        8. It is the responsibility of departing staff to take an appropriate backup of their email and data files ahead of their departure date if required. Backup copies of data and email will not be provided after the departure date.
    2. General IT Security
      1. Purpose & Scope
        1. This section covers assets including, but not limited to:
          • Information assets (e.g. databases, files, electronic documents);
          • Software assets (e.g. applications, software tools, licences); and
          • Physical assets (e.g. computers, servers, network infrastructure, information storage media, printers, communications equipment, AV equipment, projectors, telephones and facilities)
        2. Security breaches or any risk of threats arising from:
          • On-campus devices not approved for network connection;
          • On-campus networks not installed or approved by ITM; and
          • Off-campus networks and devices
            are within the scope of this policy insofar as taking any necessary action required to mitigate, remove or neutralize any apparent risk or threat to IT security
        3. All staff, students and users who are given access to the University’s information systems must agree to abide by the University’s information security policies.
      2. Principles
        1. At any point that University IT resources are being used, all relevant UC policies will be applicable; whether on or off campus. The University retains the right to monitor and control ITM systems and their content, including network and system activity, in accordance with the University’s “Professional Code of Ethics” and Privacy Policy and in a manner which respects the rights and legitimate interests of those concerned.
        2. The authority to inspect machines, servers and files resides with the Director of ITM.  Disclosure to an external organisation will only be considered on production of a legal authority.
        3. Systems that are deemed to pose a threat to the University network may be disconnected from the network, without prior notice, by authorised ITM staff.
        4. The University reserves the right to suspend access to a user account in cases of suspected security breaches, inappropriate or illegal activity, or unauthorised access.
        5. Security incidents will be handled in accordance with the “ITM Business Continuity Plan” and the associated “Incident Management Guidelines”. 
        6. All major systems and information assets must be accounted for and have a nominated System Custodian who is responsible for the implementation and management of this policy in relation to those assets. Where no custodian is nominated the senior business manager of the area most responsible for the system is responsible. All ITM managed systems will be patched and up-to-date to maintain a base line of security.  Network services and software applications which require higher levels of security will only be accessible remotely via the University’s Virtual Private Network (VPN).
        7. Members of the University community who use public access or other non-University IT services to access University of Canberra resources are obliged to respect the University’s security policies as well as the relevant security policies of the remote service.
        8. To ensure that no private or confidential information is exposed, any user accessing a secure system remotely should do so only on trusted networks.
        9. Access to the University’s network services by students will be removed from the first day of semester if the student fails to enrol or from the date of graduation, whichever comes first
        10. Access to the University’s network services by staff will be removed at close of business, on the staff member’s termination date
    3. User Account and Password
      1. Purpose & Scope
        1. This section will define the principles governing the creation, use and ongoing management of user accounts and passwords for any IT system associated with the University of Canberra
      2. Principles
        1. Users must activate a password protection method to secure their workstation or devices with University network access or content.  All devices should be locked prior to leaving unattended.
        2. Each member of the University will be issued with a University Network Account user ID which will be based on the University staff, student or affiliate ID number.
        3. All general access to university corporate systems should be configured to utilise the University Network Account and associated password.
          1. Exceptions to this rule are:
            • Systems that do not store or transmit the password in encrypted format.  Such systems must NOT use the University Network Account and password.
            • Systems that that are not under the control of the University of Canberra and which are not operating under a contract or agreement with the University.  Such systems must NOT use the University Network Account and password.
            • Systems which require an additional level of security which warrants a separate password due to elevated levels of access - this requires approval by the Director, ITM.
        4. The onus of protecting the University Network Account password is on each individual. The University password must not be used on other systems, shared or disclosed with ANYONE - including assistants or family.
        5. The possession of an account and a password that enables access to read or update particular information does not constitute the authority to do so.  Such authority must be explicitly granted by a System Custodian. It is the responsibility of the System Custodians to audit key corporate system privileges and ensure they are commensurate with current staff roles.
        6. Passwords must be changed at intervals as follows:
          • User-level passwords: every six months.
          • Corporate Systems Group Members & System Custodians: every 8 weeks.
          • System-level passwords (e.g. root, administrator): every 4 weeks automatically where possible – where auto changes are not supported, every time a staff member knows the password leaves or yearly.
        7. All passwords must:
          • Contain eight characters or more·
          • Contain letters, numbers and special characters
        8. All system-level passwords (e.g., root, administration) must be stored in a secure place designated by the Director, ITM.
    4. Special Case Data Access
      1. Purpose & Scope
        1. This section covers the access of staff members’ files or data under special circumstances.
      2. Principles
        1. Access to a current staff member’s electronic data, which includes email, and documents stored centrally (e.g. H: drive) or locally (e.g.  C: drive), is only permitted if accompanied by a business case, approved by the relevant Dean/Director and approved by the Director, ITM.
        2. Where reasonable grounds exist to justify accessing a former staff member’s email or electronic files, access may be provided to the supervisor or other nominated staff as approved by the Dean or Director after consideration of a business case by the Director of ITM.
    5. Email Use
      1. Purpose & Scope
        1. This section covers the use of email originating from University email accounts for staff or students. 
      2. Principles
        1. University staff will utilise email for University-related communication with staff and students.
        2. Email should not be used for transfer of highly sensitive information.
        3. The content of email sent by University staff and students must not be offensive, harassing, discriminatory or illegal. In addition, University email accounts must not be used for personal gain or commercial purposes.
        4. While the University will make every endeavour to ensure that email delivered to University accounts is free from spam and viruses, it takes no responsibility for any damage caused by the failure to detect spam or viruses or the inadvertent blocking of a legitimate email.
        5. Students and alumni are permitted to utilise the University provided email account for all of their private (non-commercial) as well as University-related correspondence.
        6. Students wishing to contact the University via email regarding pastoral, administrative or academic matters need to send the email from their University account for identity verification purposes. 
        7. Staff are expected to use the University-provided email account for all University email correspondence and may not automatically forward their email to private addresses unless authorised by the Director, ITM.
        8. All staff members are required to include a signature on all email sent externally, which contains the following information as a minimum:
          LastName FirstNameTitle
          Position or Role
          Faculty or Unit
          University of Canberra  ACT 2601
          Phone:           +61 (0)2 6201 ####
          Mobile:           +04## ### ### (if appropriate)
          Email: Name.LastName@canberra.edu.au

          00212K) Registered Provider number: #CRICOSAustralian Government Higher Education (

          NOTICE & DISCLAIMER: This email and any files transmitted with it may contain confidential or copyright materials and are for the attention of the addressee only. If you have received this email in error please notify us by email reply and delete it from your system. The University of Canberra accepts no liability for any damage caused by any virus transmitted by this email.
        9. ​​​​​​​Note that the CRICOS provider number is mandatory on all external correspondence. Staff working in some areas of the University will need to include other CRICOS numbers and should append the appropriate number in the signature block.
    6. Privately Owned Devices
      1. Purpose & Scope
        1. This section defines University policy with respect to privately owned devices which are brought onto the University campus, connected to the University network and/or used for University business.
      2. Principles
        1. Privately owned devices may be connected to the University network (wired or wireless) provided that these meet basic levels of security as determined by the University.
        2. The University reserves the right to inspect all privately owned devices which are connected to the University network to investigate suspected security breaches, inappropriate or illegal activity, or unauthorised access.
        3. Privately owned devices that are deemed to pose a threat to the University network may be disconnected from the network without prior notice, by authorised ITM staff.
        4. The University accepts no responsibility for any loss or damage to either the physical device or data contained within it as a result of bringing the device onto the University campus, connecting it to the University network and/or using it for University business.
        5. The University accepts no responsibility for the support and maintenance of privately owned devices whether or not they are used for University business. This includes privately owned data storage media connected to staff or student workstations.
        6. University corporate information should not be stored on privately owned equipment.
    7. Third Party Contract and Access Security
      1. Purpose & Scope
        1. ​​​​​​​This section sets out the conditions that are required to maintain the security of the University’s IT resources when contractors, outsourced providers, service suppliers or any other third party providers are involved in the University’s operations. This may include, but is not limited to, the following circumstances:
          • third party system design, development or operation of University services;
          • access granted from remote locations where computer and network facilities may not be under the control of the University; or
          • when authorised third party providers are given access to information or information systems.
      2. Principles
        1. All third party providers who require access to the University’s information systems must agree to comply with the University’s IT policy at the time of contract signing.
        2. Due to the confidentiality, sensitivity or value of the information that may be accessed, the University may require third party providers to sign a confidentiality agreement to protect its information assets.
        3. All contracts with third party providers for the supply of services to the University must be monitored and reviewed to ensure that information security requirements are being satisfied
        4. Authorised third party providers must be given minimum access privileges to meet their contractual requirements. They are not permitted to copy or store any University information for any reason other than that required to complete the terms of their contract.
        5. All third party providers must report any instance, including physical, of unauthorised access, transmission, or loss of UC data by a third party. In addition, third party providers must report IT security incidents that may impact systems connected to the University’s systems.
    8. IT Physical Security
      1. Purpose & Scope
        1. This section sets out the minimum standards for implementing physical control measures to protect the University’s IT architecture.  IT assets are generally associated with the physical devices on which information resides and includes, but is not limited to, workstations, servers and the physical network infrastructure.
      2. ​​​​​​​Principles
        1. Physical access controls around computing locations are to be applied in a manner that reflects the business value and criticality of IT services hosted in the location and the value of the data stored.
        2. Computer laboratories and other locations that house ITM assets must employ physical access controls such as electronic or physical locks.
        3. No computer equipment is to be removed from any office, work area or computer laboratory unless specific authorisation has been received from ITM. 
        4. Persons who are issued with portable ITM assets, such as laptops, must agree to personal responsibility of the equipment.  When not in use, all portable ITM assets must be secured.
  2. Enterprise Architecture
    1. Scope
      This section of the Policy Manual outlines the Universities principles for the design and implementation of technology.
    2. Design Principles
      1. Principles
        1. ITM is exclusively responsible for the design, provision, maintenance, upgrade, modification and management of the University’s systems.
        2. Cloud services will be adopted first, as long as they are fit for purpose, provide better value for money, provide appropriate security and risk measures and have adequate back-out and Disaster Recovery measures.
        3. Where appropriate, the University will utilise cloud services to enable testing and development of IT systems.
        4. Out of the box solutions for both cloud and in-house systems should be adopted in favour of systems that aren’t quite fit for purpose which then require further customisation.
        5. The fundamental concepts of least privilege, default to deny and defence-in-depth must be applied to all devices connected to the University network.
        6. In support of the use of privately owned devices on campus, the University is committed to providing ubiquitous power and WiFi access campus-wide within the constraints dictated by budget and resources.
        7. Unless specifically required, all new services and applications must be designed to be accessible for users regardless of the network being used, resulting in the same experience whether on campus or off.
        8. The University will design infrastructure that is flexible and scalable, future-proofed to allow for migration to other platforms (including cloud) and capable of future orchestration. Where hardware must be purchased, it should be reusable and efficient.
        9. Password complexity for University account passwords is determined by the strongest accepted rules of our weakest system and subject to change as systems mature or are updated. The strongest password that can be used within the restrictions of that particular facility, system or service shall be used.
        10. Modifications to any system or network are only permitted where authorised by ITM.
    3. Records Management
      1. Purpose & Scope
        1. The purpose of this section is to provide direction to all staff on the management of University records and applies to all records created and/or captured during the conducting of University business
        2. The University is committed to adhere to the requirements of all relevant legislation. Therefore adherence to the requirements in this Policy and the accompanying Records and Archives Management Procedures is mandatory for all staff
        3. All staff employed by the University in any capacity are responsible for recordkeeping.
      2. Principles
        1. It is a crime under legislation for anyone to destroy, erase, alter or add to any information on the network unless they are the author/owner/custodian of the information with the right and responsibility to ensure the currency and completeness of the information
        2. Recordkeeping will be a routine part of conducting business and will be closely aligned to the University’s business processes.  An analysis of these processes within the context of business needs, legal and regulatory obligations, as well as meeting broader community expectations is to be used as the basis of design for a recordkeeping system. These needs and obligations will be reviewed on an annual rolling review plan or as the result of significant change.
        3. All records created or captured by the University Community are corporate assets that are owned by the University and managed accordingly.  No records belong to individual employees
        4. The Records Management Program is to conform to the Territory Records Act 2002 as well as the Territory Recordkeeping Standards for Records Management.  In cases where recordkeeping issues arise which are not covered by this policy, the University will follow advice from the Territory Records Office and be guided by the Australian Standard on Records Management, AS ISO 15489.
        5. No records are to be destroyed without an approved Records Disposal Schedule.
        6. The University is to use a controlled language system to title its records. The business classification system (thesaurus) is to be based on the functions and activities that it carries out.  This includes using the Territory Records Administrative Disposal Schedule terms for common administrative functions such as Financial Management, Personnel and OH&S
        7. Everyone employed by or contracted to the University of Canberra is to make and keep full and accurate records that are incorporated into the University’s recordkeeping system.  That is, the University’s recordkeeping practices will ensure that its records are adequate for:
          • facilitating action by employees at any level, and their successors;
          • making possible a proper scrutiny of the conduct of business by anyone authorised to undertake such a scrutiny; and
          • protecting the financial, legal and other rights of the University, its clients and any other people affected by its actions and decisions
        8. Records management methods and recordkeeping system are to be reviewed every 24 months to ensure their continuing suitability and effectiveness. The Director, ITM may initiate an earlier review when significant functional or other changes affecting recordkeeping occur. Records of these reviews are to be maintained by the Records Management unit.
        9. Records and Archives Management Procedures are to be designed to detail the way all staff will make, modify, use, handle and care for records, as well as how and for how long records will be kept. The procedures are also to describe how to identify, search for and retrieve records as well as gain access to them.
    4. Backup Policy
      1. Purpose & Scope
        1. This section mandates and communicates the University’s principles relating to the backing up and retention of corporate data assets.
        2. Any non-corporate data assets are considered out of scope of this backup policy.
      2. Principles
        1. All corporate data is to be stored on ITM-managed facilities, which are regularly backed up.
        2. A full backup from each year is retained for a minimum of seven years.
        3. Where a data custodian has identified or requested a different set of backup requirements, some data sets may be backed up outside of the standard practice described above.
        4. The physical and logical security of the backup media must be at least equivalent to the security required for the access to the data on the server itself, as dictated by the Records Management section of this document.
        5. The backup medium must be of a type that will remain readable and be accessible for the length of time for which the backups are to be retained.
Responsibilities:
The Deans of Faculty or Directors of Unit are responsible for ensuring that ITM policy is implemented and adhered to within their respective Faculty or Unit.Information security of each system/application will primarily be the responsibility of its custodian
It is recognised that various units of the University provide services that relate to information security, both directly and indirectly.  ITM will work collaboratively with such units on generation of standards and implementation of policy. 
It is the responsibility of the data custodian to ensure that processes are in place for backing up the data in the domain of custody.
It is the responsibility of the Director of ITM to ensure that all University owned corporate servers are backed up as required by this policy statement.  The execution of backup processes is shared between ITM and the current outsourced service provider.

Implementation
This policy manual will be reviewed every two years. The Director, ITM may initiate an earlier review when significant functional or other changes occur.
Legislation:
  • In all instances relevant law supersedes UC policy.
  • This policy manual has as its underpinnings relevant legislation including the Privacy Act (Cth), the Copyright Act (Cth), the Freedom of Information Act (ACT) and the Crimes Act (Cth). A Legislative Responsibility Schedule is maintained by the Governance Unit and lists all legislation pertaining to the University. 
  • This policy’s record management principles are governed by the Territory Records Act 2002
Supporting Information:
Related Documents
Definitions:
Terms Definitions
Activities Activities are the major tasks performed by the University to accomplish each of its functions. Several activities may be associated with each function. Activities are often described as actions or verbs, such as Reporting.
Approved Devices University-owned and ITM-configured devices
Archival Record Archival records are those records that have been appraised as having long-term, enduring or permanent value such as Council Minutes, University Research Reports (of major national or international significance) and Examination Results.
Authorised User Any user who has been authorized by the relevant supervisor/officer to access a system or IT facility, and includes (but is not limited to) staff of the University of Canberra or any company in which the University of Canberra has an interest or any company or organization with which the University of Canberra is pursuing a joint venture, students, consultants, visitors, Honorary appointees.
Availability Availability refers to the ongoing operations and delivery of intended services by a system (e.g. finance or payroll) and its components.
Business Information Systems (BIS)
  1. Organised collection of hardware, software, supplies, policies, procedures and people, which stores, processes and provides access to the University’s business information.
  2. Automated systems that create or manage data about the University’s activities. Includes applications whose primary purpose is to facilitate transactions between an organisational unit and its customers – for example, the student management system, finance or human resources systems, an e-commerce system, and purpose-built or customised databases.
Confidentiality Confidentiality refers to the need to ensure that information is accessible only to those authorized to have access.
Corporate Data Data which forms a part of the University’s records for internal, external or public use pertaining to the University’s business including operational, administrative, teaching and/or research activities.
For Example:
  • All Home Drive Data (H:\) – Staff and Students
  • All Group Shares (\\ucstaff\dfs\...)
Targeted data from within key systems such as recorded lectures from Echo360
Data Custodian The custodian is the individual responsible for the content of any data file or system.  Note that it is not usually the creator of a document or a system operator.
Database Data The content and configuration of all databases including:
  • Callista
  • Alesco
  • Finance One
  • Research Master
  • Mail Filtering
Default to deny Means the setting of the norm to denying access so that specific instruction must be provided to all access.
Designated authority The person with the authority to formally assume responsibility for the action or decision in question
Email Data All email and calendar items in all subfolders of staff email accounts.
Full Backup Back up of all targeted files
Functions Functions are “the largest unit of business activity”. They represent the major responsibilities that are managed by the University of Canberra to fulfil its goals. Functions are high-level aggregates of the University’s activities. Functions are often described as things or with nouns, such as Teaching and Learning, Research and Student Management.
Incremental Backup An incremental backup is a type of backup that only copies files that have changed since the last backup.
For example; if you had 10 files on your desktop which you backed up to a USB drive, making a copy of all 10 files is termed as a FULL backup. If you have made changes to 2 of those files since your last FULL then copying only the two files that have changed to your USB drive is termed an INCREMENTAL backup.
The strength of incremental backups include; significant time savings and effective use of storage. The downside is that an incremental is dependent on the last successful full backup.
Integrity Integrity refers to the veracity of data. Loss of data integrity may be gross and evident, as when a computer disc fails, or subtle, as when a character in a file is altered.
IT services and systems All information technology hardware, software, networks, processes and procedures utilized by the University of Canberra. ‘IT services and systems’ includes all stored data and information regardless of their storage or presentation media. ‘IT services and systems’ includes all environmental and support facilities.
ITM Information and Technology Management
ITM applications Includes all software owned or licensed by the University.
ITM architecture The University’s information, ITM applications, and ITM infrastructure
ITM assets Include all computers, terminals, telephones, end host devices, licences, centrally managed data, computing laboratories, video conference rooms, and software owned or leased by the University.
ITM Authorised Staff University of Canberra staff authorised by the Director of ITM to monitor accounts, files, stored data and/or network data, and to disconnect IT equipment in the event of an Information Security breach.
Least privilege Means that each user be granted the most restrictive set of privileges needed for the performance of authorised tasks.
Member of the University University staff, students and other individuals who have a role within the University that entitles them to a University Network Account and/or to the use of University ITM resources.
Monitoring refers to tasks (including testing and scanning) undertaken by ITM Authorised staff to ensure maintenance of security of IT services and systems within the University of Canberra’s domain
Network Resources Include any networks connected to the University’s backbone, any devices attached to these networks and any services made available over these networks.  These include network servers, peripheral equipment, workstations and personal computers.
Normal Administrative Practice (NAP) A process established to allow for the destruction of ephemeral, duplicate or transitory material of no evidentiary or continuing value.  Examples include:  Working papers consisting of rough notes, calculations, diagrams, used for the creation of records; Duplicates and copies of documents where the original is safely retained within the University’s recordkeeping system and Personal material such as invitations, tickets, and brochures.
Offsite storage Offsite storage is prescribed in consideration of geographical factors, with adequate separation being determined by distance, propensity of fire, flood, structure and materials. Storage at or above ground level, in fireproof containment, within buildings with only concrete and steel structure, in areas of low vegetation will deliver far lower risk than only considering distance. Therefore, this offsite storage policy statement will be superior to industry standards based on separation alone. Given this, the majority of buildings on the UC campus will fulfill this requirement and therefore can be used as Offsite Storage sites if required.
Outsourcing A contractual arrangement whereby services to or on behalf of the University that would otherwise be carried out internally are provided by an external organisation.  Examples are financial, personnel, fleet or facilities management functions.
Physical  and Virtual Server Data Files and configuration required for the normal operation of each server.
Privacy Privacy refers to the restriction of access and appropriate use of personal information as defined by law.
Privately Owned Device A privately owned device is a device that is not fully owned, leased or controlled by the University.  It could be owned by an individual staff member or student of the University or by a third party.  Devices which are funded by research or consultancy funding are regarded as University owned.
Public Information Information that, from time to time, is available for general access without the requirement for authentication.
Record A record, in written, electronic or any other form, under the control of the University of Canberra or that it is entitled to control, kept as a record of its activities, whether it was created or received by the University.  Briefly records "reflect what was communicated or decided or what action was taken". (AS/ISO 15489 Records Management 2002, Part 1: General, 7.2.1).
Recordkeeping Systems Information systems that capture maintain and provide access to records over time. While the term is often associated with computer software, Recordkeeping Systems also encompass policies, procedures, practices and resources which are applied within the University to ensure that full and accurate records of business activity are made and kept.
Responsible IT Security Officer University of Canberra staff delegated to be responsible for IT security matters.
Security Security is defined as "the state of being free from unacceptable risk".
System Custodian The staff authorized as the person responsible for the system and/or its information content. 
Threat Threats are the potential causes of loss or damage. These threats may be human or non-human, natural, accidental, or deliberate.
Unauthorized User Any user who is not an Authorized User and who is accessing information other than Public Information.
University Network Account The computer account provided by the University to all current staff, University visitors and students, which has a user ID based on the staff or student ID number, and which is used for user authentication for most IT systems via a corporate directory system. 
University Visitor The term University Visitor covers all non-staff who have an authorized role within the University or on the University campus.  It includes contractors, adjunct staff, consultants, external committee members and workshop or conference attendees.
User account a defined user code with an associated set of privileges for access to information and update functionality.  Access to the account is controlled by security measures which commonly include a password.  The password is the confidential part of the logon process and must be protected by the account holder