Micro Safe Settings Network

Transcription

1 Micro Safe Settings Network Supporting safe access to research data in the UK Guidance and application for a Micro Safe Setting (SafePod )

2 Copyright SafePod is a registered Trade Mark of the University Court of the University of St Andrews, Scotland, UK The copyright of the content of this document and any associated, supplementary or supporting documents and any design rights contained therein are owned by the University Court of the University of St Andrews, Scotland, UK. Front cover SafePod image for illustration purposes. Design is subject to change. Version 1.2

3 ESRC Micro Safe Settings Network Supporting safe access to research data in the UK Guidance and application details for a Micro Safe Setting (SafePod). 1. Context The ESRC s Micro Safe Settings Network (MSSN) is a new service that will provide the facilities and support for researchers to remotely access sensitive data held by data centres across the UK. The MSSN will comprise of: A network of micro safe settings (known as SafePods) based within higher education institutions and other organisations across the UK. A dedicated website to provide information about the MSSN and book SafePods. A CCTV service to enable data centres to view and monitor activity within a SafePod. A dedicated User Support Service to assist stakeholders with MSSN enquiries. An Advisory Board to plan and make decisions on the long term objectives of the MSSN. SafePods will provide dedicated safe space for researchers to remotely access sensitive data for their research project purposes, which has been approved and made available by a data centre. SafePods will securely store the data centre s hardware needed for the remote access session. SafePods could also potentially be used for other confidential or data sensitive research work. 2. Funding and management of the MSSN The MSSN is funded by the ESRC until October 2020 in the first instance. It is the intention of the ESRC for the MSSN to be a long term service and continue beyond this point, adding to their other established UK data services investments. The University of St Andrews will manage the central parts of the service, such as the MSSN website and CCTV service. The MSSN Advisory Board currently consists of members from the Universities of St Andrews, Edinburgh, Essex, Swansea and the ESRC.

4 3. About the SafePod The SafePod is a small prefabricated safe setting, which is likely to measure approximately 2.8m(w) x 3.5m (d) x 2.3m(h). The SafePod will include: Desk, chair, monitor and whiteboard. Air ventilation system. Adjustable lighting. CCTV system. Panic alarm. Connections for fire alarm. Door access control system. Secure storage for thin client and computer hardware. Locker storage for researcher possessions. SafePods will be accessible for people with wheelchairs. There is also the possibility that organisations will be able to have exterior colour options and modular design finishes for their SafePod. Illustrative designs of a SafePod are provided in the appendix. A video of a prototype SafePod at the University of St Andrews library is available to view at The design is subject to change and improvement, and intended for general illustration purposes only. 4. Data access The MSSN will work closely with the Administrative Data Research Network to provide researchers with remote access to their data (i.e. data that is currently only available from within an Administrative Data Research Centre safe setting). The UK Data Service has also agreed in principle that the majority of their Secure Lab data holdings will be remotely available to researchers through a SafePod. Over time, the MSSN will also engage with other key data centres and government departments across the UK to offer and support remote access to their administrative data. Project data and researcher approval to use the MSSN will be governed by the individual data centres and is not the responsibility of the MSSN or the SafePod owning organisations.

5 5. Indicative financial grant value and purchase process The University of St Andrews will manage and distribute the SafePods funding on behalf of the ESRC. The financial grant value for the purchase of each SafePod will cover the unit, hardware, furniture, delivery and installation. Also included are the service and maintenance costs for a SafePod for a five year period from installation. Due to the size of the investment, the University of St Andrews will carry out the procurement process for the SafePods. Awarded organisations will then purchase a SafePod directly from the chosen supplier, under a non-negotiable agreement for the manufacture, delivery and installation of the SafePod. Once the SafePod is delivered, installed, ready for operation and all other conditions are in place, then the awarded organisation can submit a copy of all the required documentation for the purchase of the SafePod to the University of St Andrews for payment. The University of St Andrews will then make payment within 30 days of the receipt of this invoice. The grant shall be subject to non-negotiable terms and conditions for funding and MSSN terms and conditions of SafePod use. 6. Organisation requirements for a SafePod grant The following summarises the requirements an organisation must need to commit to for a successful award of a SafePod grant. Full details of the organisation requirements are provided in appendix 1 of this document. i). ii). iii). iv). v). vi). Adhere to the University of St Andrews Funding agreement and MSSN SafePod Terms and Conditions of Use. Allow employees / students as well as other local researchers outside of your organisation to use your SafePod. Appoint a Senior Sponsoring Person to have overall responsibility for the SafePod at your organisation (further details of the role in the appendix). Assign two members of staff to carry out the role of a SafePod Coordinator (further details of the role in the appendix). Assign an IT member(s) of staff to be responsible for resolving local SafePod IT issues (further details of the role in the appendix). Provide a suitable location for the SafePod.

6 vii). Provide power and networking to the SafePod. viii). Provide a suitable fire alarm inside the SafePod with connection to your organisation s main fire alarm system. ix). Provide a suitable telephone for installation into the SafePod with restrictions on outbound calls. x). Provide a mobile phone for the SafePod Coordinators for use until the end of October xi). Ensure that the SafePod is available for use. xii). Provide drawings for the location of the SafePod to the SafePod supplier. xiii). Ensure that the location for the SafePod is available six weeks following an award of a SafePod grant. xiv). Implement a lone working policy for researchers using your SafePod. xv). Comply with the University of St Andrews CCTV policy. xvi). Provide assistance and support to people with disabilities to use the SafePod. xvii). Provide resources to ensure that the SafePod is kept clean and tidy. xviii). Conduct any electrical inspections after SafePod installation in line with your local Estate Management policy. 7. Structural loading for the SafePod The SafePod will be designed for placement on a floor to a minimum loading restriction of 2.5kn per square metre plus 1kn per square metre for live loading. Your organisation is responsible for checking the structural loading capacity is suitable for installation of the SafePod in its intended location. 8. Service and maintenance of the SafePod Each SafePod will have a 5 year warranty with an annual service and maintenance agreement with the SafePod supplier. Any repairs to damage outside of the service and maintenance agreements are the responsibility of the SafePod owning organisation. Full details of the service levels and maintenance agreements will be provided in the MSSN SafePod Terms and Conditions of Use. 9. Cleaning of the SafePod It is the responsibility of the owning organisation to provide the resources to ensure that their SafePod(s) are kept clean and tidy for researcher use.

7 10. Planned roll out of SafePod Network Phase 1 - Pilot UK Network of 20 SafePods (2018) All UK Higher Education Institutes and other organisations eligible for RCUK funding can apply for a SafePod(s). This will be a competitive process. An application not selected for a SafePod(s) at phase 1 will automatically be considered for phase 2. Phase 2 - Full UK Network of SafePods (2019) Following assessment and approval of the pilot network, a competitive second phase will expand the network in line with demand and available funding. Phase two will consist of all applications for a SafePod(s) not selected at phase 1. A separate call may also be published to other organisations and bodies that may benefit from a SafePod. Organisations applying for more than one SafePod, will, if awarded, receive an award for only one SafePod at Phase 1. Any further SafePods detailed in an application will be considered at Phase 2. To allow a review of Phase 1, it is anticipated that the lead time between the end of Phase 1 and the start of Phase 2 will be around three months. 11. Making an application for a SafePod Please read this section carefully. This call replaces the Administrative Data Research Network - prefabricated sensitive data secure rooms (SafePods) call issued in A new application is required for this call. Institutions and organisations can apply for more than one SafePod but must only submit one application. Therefore, it is advised that if applying for more than one SafePod, a central person within a research office or similar office takes responsibility for the application to cover their faculties, schools and departments interested in a SafePod. There are two stages to the application, an expression of interest and a case for support statement.

8 Stage 1 - Expression of Interest If your organisation is interested in applying for a SafePod(s) you must complete an expression of interest by filling in the online web form at Note: The completion of the expression of interest is all that is required at this stage. The information you need to provide into this web form is detailed below: The total number of SafePods your institution is interested in applying for. Only one SafePod can be allocated at the pilot network stage though. The intended locations of the SafePod(s). Details of the main contact person to include name, job title, address and telephone number. Confirmation that your research office or finance office supports the expression of interest. Provide the name, job title, address and telephone number for the appropriate person from either of those offices. The deadline for receipt of your expression of interest is Friday the 27 th October If you experience any issues or problems with using the online web form then please contact Darren Lightfoot at MSSN@st-andrews.ac.uk or phone The decision to proceed with the Case for Support application will be subject to sufficient expressions of interest for SafePods being received at this stage. The indicative date that applicants will be notified of the decision to proceed to the full case for support application will be the week beginning Monday the 23rd of November Expressions of interest will not be reviewed in their own right. Details of the intended Stage 2 case for support application and award process are provided in Appendix 2 of this document. The University of St Andrews Funding agreement for a SafePod award, the MSSN SafePod Terms and Conditions of Use and the CCTV policy will be made available for the Case for Support application process.

9 Contact For further enquiries about this call, please contact Darren Lightfoot by at or telephone Thank you for your interest.

10 Appendices 1. Detailed organisation requirements for a SafePod. 2. Role requirements for a SafePod Coordinator. 3. Case for Support application and award process. 4. Overview of how a SafePod would be used. 5. Illustrative SafePod design.

11 Appendix 1 Detailed organisation requirements for a SafePod i). Agreement to the MSSN SafePod Terms and Conditions of Use. Your organisation must agree to abide by the MSSN SafePod Terms and Conditions of use from the period of SafePod installation until October 2020 at the earliest. The terms and conditions will be made available with your case for support application. ii). SafePod researcher use It is a requirement that your organisation must allow its own employees / students and other local researchers outside of your organisation to be able to book and use the SafePod. If your organisation has a specific internal use need for a SafePod outside of this requirement, then a justification must be made in your case for support application. iii). Staffing - appointment of a Senior Sponsoring Person Your organisation must provide a suitable and permanent member of staff to be a Senior Sponsoring Person until October 2020 in the first instance. The Senior Sponsoring Person must: Have or obtain the authority to place the SafePod in its intended location until at least October Must implement and maintain compliance with the MSSN Terms and Conditions of SafePod use and SafePod Funding Agreement. Appoint personnel to the role of SafePod Coordinator and IT personnel (as detailed below). Have a commitment to the long term use of the SafePod beyond October iv). Staffing - appointment of SafePod Coordinator (x2) Your organisation must assign at least two members of staff (such as staff from library or IT services) to carry out the role of SafePod Coordinator and support the operational use of the SafePod. Note that for efficient running of the SafePod, a need for more than two coordinators maybe required but this will be a decision for your organisation. Details of the role requirements are provided in appendix 2. v). Staffing - appointment of IT personnel Your organisation must assign a member(s) of staff from your IT department to

12 assist with local SafePod IT issues as required. Skills and knowledge for this role must include: A basic knowledge of networking, installation of equipment configured by others, and configuration of items such as CCTV cameras, door control and embedded interfaces. A basic understanding of the concepts surrounding standards for data security. Troubleshooting the identification of failed components in a moderately complex network IT system. vi). Provide a suitable location for the SafePod. Your organisation must endeavour to meet the following location requirements for a SafePod(s) as follows: To be in a managed environment (that is in an environment where there are existing staff members on duty) and which is accessible to persons that need to use the SafePod. An example would be a library; Has controlled access to the area where the SafePod will be located (such as entry and exit barriers); Has mobile phone reception from inside the SafePod (the location must be able to receive and make phone calls using the four major UK networks - Vodafone, 02, EE, 3G); Be in such a position so that the SafePod can meet the technical and fire alarm requirements; Be able to take the load and weight of the SafePod (as detailed above); Not interfere with any electrical or environmental systems; Be in accordance with your local facilities management policy. Note: Where your organisation is unable to meet the requirements under (i) and (ii) above, a justification can be made with details for an alternative suitable location. vii. Technical requirements The SafePod will include connections for the installation of computer / thin client hardware, an IP CCTV system and a door access controller. Organisations must therefore confirm that they are able to provide the following technical requirements for each SafePod: Physical connectivity (i) The SafePod requires 1 x RJ45 Ethernet outlet connected to suitable networking as detailed below. (ii) Ethernet outlets need to be provided from either a floor box covered by the SafePod after installation or provided in a lockable enclosure. (iii) A minimum network connection speed of 100Mbps.

13 IP addressing and firewalling (i) 1 x fixed external IP address to connect a thin client / PC to the outside world. It should be possible to assign this address via DHCP to multiple MAC addresses. This IP address shall be provided to data centres and controllers as needed to allow connectivity, and must not change without consultation. (ii) The connected thin client / PC would require unrestricted outbound connectivity to the Internet, and have site DNS servers provided to it. The door access controller and software provided should be accessible to the SafePod Coordinator for management and audit purposes. The controller obtains its address by DHCP, and provides a secure web portal for administration. The SafePod contains a CCTV controller which is connected to the SafePod camera. The controller obtains its address by DHCP, requires site DNS servers provided to it, and requires outbound ports 22,123, 80 and 443. vii. Provide a fire alarm Your organisation must provide a suitable fire alarm sensor with sound and light flashing capabilities to your local fire officer s specification. This is to be fitted into the fire alarm space in the SafePod ceiling, through the supplied cable route and connected to your organisation s main fire alarm system. Your organisation must also provide an interface to communicate with the door access control system to unlock the SafePod door in the event of a fire alarm. viii. Provide power to the SafePod The SafePod must be connected to a 16 amp supply to be either from: (i) a fixed connection with a 20 amp double pole switch in a lockable enclosure. (ii) a 16 amp IEC60309 outlet provided from either: (a) a floor box covered by the SafePod after installation. (b) from a lockable enclosure on a wall, leaving enough space to allow access to the enclosure. The supply will be connected into a 2 pole Surface Mount Non-Fused Switch Disconnector, 20 amp (ac) supplied with the SafePod. Following installation, an electrical inspection of the SafePod must be made by a suitably qualified member from your organisation. ix. Provide a telephone into the SafePod Your organisation must provide a suitable telephone for installation into the SafePod that can be restricted to only dial out to numbers supplied by the MSSN. The cost of calls is the responsibility of your organisation.

14 x. Provide a mobile phone Your organisation must supply a mobile phone for use by the SafePod Coordinator(s). The primary purpose is to allow a researcher using the SafePod to contact the SafePod Coordinator. The mobile phone must be on a contract which finishes no earlier than the end of October The cost of the mobile phone and phone plan is the responsibility of your organisation. xi. Ensure that the SafePod is available for use Your organisation must make each SafePod available for booking and use between the hours of 09:30 to 16:30 on weekdays (except national holidays). As a minimum expectation, your organisation must aim to ensure that each SafePod is available for booking and use for 95% of the time throughout each calendar year. xii. Supply location drawings to the SafePod supplier Your organisation must produce a drawing outlining the intended location of the SafePod with intended service points, and provide this to the SafePod supplier when requested. xiii. Additional organisation requirements Within 6 weeks of a grant award, ensure that there will be suitable space for placement of a SafePod that complies with the location and technical requirements specified in this document. To make arrangements and oversee the delivery and installation of the SafePod(s) with the supplier. Implement a lone working policy for when a researcher is using the SafePod. Comply with the University of St Andrews SafePod CCTV policy (document forthcoming). Provide assistance and support to people with disabilities to use the SafePod. Conduct an inspection of the electrical installation for the SafePod in line with your Estates Management policy. Allow audit and inspection of the SafePod by representatives from the MSSN. Provide the resources to ensure the SafePod is kept clean and tidy for use.

15 Appendix 2 Details about the SafePod Coordinator Prior to appointment of the SafePod Coordinator Each organisation must certify that the SafePod Coordinator has a suitable identity and background check. Because of the nature of the material that can be potentially accessed within the SafePod, these checks must be aligned to the HMG Baseline Personnel Security Standard 1. Details on how to complete these checks will be provided. As part of these background checks, each SafePod Coordinator must also consent to a basic Disclosure Scotland check. The cost of the checks ( 25 as at July 2017) is the responsibility of the SafePod owning organisation. Each SafePod Coordinator must attend and complete a recognised training course approved by the MSSN Advisory Board. Each organisation must provide confirmation that these requirements are met and provide contact details of the SafePod Coordinator to the MSSN. Duties for the SafePod Coordinator After appointment, each SafePod Coordinator will need to take responsibility for the following: To ensure the SafePod is operational in line with the MSSN SafePod Terms and Conditions of Use. To confirm a researcher s identification (such as checking photographic identification) when researchers arrive for the first time to use the SafePod. To provide an induction of the SafePod to researchers when they first use a SafePod. To liaise with researchers and data centres / controllers to coordinate SafePod bookings. To update the MSSN website with SafePod booking details, procedural control data and other information as needed. To manage the door controller access software, swipe cards and booking procedures in accordance with the MSSN SafePod terms and conditions. Conduct systematic routine checks of the SafePod to ensure it is fully operational and maintained. To demonstrate the SafePod to the researcher when using for the first time and assist them as necessary. To respond or delegate responsibility to respond to the activation of panic or emergency alarms in the SafePod. 1 Refer to baseline personnel security standard for more information.

16 Liaise with the MSSN User Support Service for user infringement, maintenance and fault reporting. Plug in thin client / computer hardware into the SafePod in line with MSSN procedures. To monitor and review CCTV footage if needed or required by the MSSN. Ensure the SafePod is kept clean and well maintained. To comply with any other request made by the MSSN to ensure the SafePod remains operational or accredited. Ensure their organisation s lone working procedures for researchers occupying the SafePod are adhered too. Be available or comply with any request by the MSSN for inspection or auditing of the SafePod(s). Collect any SafePod usage statistics as required by the MSSN.

17 Appendix 3 Case for support application and award process. Note: This is for information purposes and does not need to be completed at this stage. You will be advised when and how to submit this case for support following your expression of interest. Following an expression of interest, organisations interested in a SafePod and becoming part of the MSSN network must provide a written case for support covering the following three areas: 1. Provide the full name and contact details for the person who is responsible for submitting the application. This applicant must be a permanent member of staff at the university. A short CV for the applicant should accompany the application. Please note that the applicant can be academic or non-academic staff members but should have some relevant knowledge of secure environments, or using sensitive data for research purposes. 2. A justification for the grant covering: The number of SafePods that your institution wishes to be considered for. If applying for more than one SafePod, detail the reasons why additional SafePods are needed. The location of the SafePod(s) e.g. university library, department, other (please state). The estimated number of social science researchers at your organisation that would use the SafePod(s) (include academic staff and postgraduate researchers) and respective disciplines and the assumptions on which these are based. The number of staff at your organisation actively engaged in research using large scale social science micro datasets. The amount of social science grant funding awarded by ESRC and equivalents over the last five years. The types of data that researchers would wish to use and the potential research areas of interest and impacts. Partnership arrangements with any neighbouring institutions or organisations to use the SafePod(s). The existing security surrounding the intended SafePod(s) location. Any other existing arrangements for safe data access. Resourcing plan for the Senior Sponsoring Person and SafePod Coordinators. Cleaning policy for the SafePod(s). A communication strategy for raising researcher awareness and ensuring continual demand for the SafePod.

18 A lone working policy for researchers using the SafePod. An accessibility policy for researchers with disabilities to access and use the SafePod. The justification for the grant should be a maximum 5 pages. 3. Two letters of support should be attached as follows: From an authorised appropriate senior budget holder from where the SafePod is to be located; From your research office / finance office to confirm their support for the application. The budget holder letter (such as a Head of Library Resources) and/or from those who will be responsible for any additional maintenance costs should outline their support for the SafePod and confirm that they will be able to provide the necessary resources and support as detailed under Organisation requirements and commitments until October A checklist will be sent to help you complete the Stage 2 application. Only one application can be received from each institution or organisation. It is therefore advised that a central person takes responsibility for the application to cover their faculties, schools and departments if applying for more than one SafePod.

19 Appendix 4 Overview of how a SafePod would be booked and used A university has installed a SafePod in their library. A researcher has agreement with a data centre that they can remotely access their project data at the SafePod in the university. As this is the first time that the SafePod has been used by the data centre, the data centre sends their hardware requirements (such as a thin client or PC) to the SafePod Coordinator at the university. On receipt, the Coordinator then securely installs the hardware into the dedicated secure area in the SafePod and plugs it into the monitor. The researcher books the SafePod through the MSSN website and confirmation is provided by the SafePod Coordinator. The researcher arrives at the university at the designated date and time and provides photographic identification to the SafePod Coordinator, who then verifies the researcher and issues a swipe card to them to open the SafePod. The SafePod Coordinator provides an induction on the SafePod to the researcher. The researcher opens the SafePod and logs onto the hardware as detailed by the data centre and then accesses their project data. The SafePod Coordinator updates the MSSN website booking system and confirms the various procedural steps have been completed for the booking. At the end of the session, the researcher logs off the hardware and returns the swipe card to the SafePod Coordinator.

20 Appendix 5 - Illustrative design for a SafePod University of St Andrews Safety Pod

21 University of St Andrews Safety Pod

22 University of St Andrews Safety Pod

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