DATA MANAGEMENT POLICY

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 DATA MANAGEMENT POLICY SUMMARY OF PRINCIPAL CHANGES Gnrl ns Doumnt upt wt t rom 1 Sptmr 2012 to norport t Unvrsty s rvs ntrnl mnmnt strutur. (Amnmnts to vrson 03.1, UPR IM12 r sown n tls.) Strutur 1 INTRODUCTION 2 DEFINITIONS 2.1.1 t 2.1.2 Dt Dtonry 2.1.3 Dt Mnmnt Frmwork 2.1.4 t qulty 2.1.5 Dtst 2.1.6 Dt Stwr 2.1.7 Dt Exprt 2.1.8 Dt Usr 2.1.9 Inormton 2.1.10 Inormton systm 3 SCOPE 4 POLICY 5 DATA MANAGEMENT STANDARDS 5.1.1 Unvrsty Intrnl 5.1.2 Lmt Ass 5.1.3 Pul Ass 5.2 Dt Stwrs 5.3 Dt Exprts 5.4 Dt Usrs 5.5 Dt 6 DATA MANAGEMENT FRAMEWORK 1 6.2 Dt Mnmnt Frmwork 6.3 Dt Ownr 6.4 C Inormton Or 6.5 Dt Stwrs 6.6 Dt Exprts 6.7 Dt Usrs 7 RESEARCH DATA 7.4 Dt Stwr - rsr t 8 REVIEW ARRANGEMENTS 1 Appnx I, UPR IM12 Assn Dt Rsponslts Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 1/9

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 1 INTRODUCTION 1.1 T Unvrsty oprts n n nrsnly omplx, t-ornt, nvronmnt w rqurs t tv ollton, mnmnt, nlyss n ssmnton o t. T t nrt n l y t Unvrsty r ky ssts tt must mn orrtly to unrpn Unvrsty strt vlopmnt, ssntl untons n m ntrty. 1.2 Ts oumnt: provs orport rmwork wt n rols n rsponslts or t ollton, qulty, stor, surty, mntnn n ssmnton o nsttutonl t; s s ts ss t Ky Prnpls st out n UPR IM02 2 ; s n pprov y t C Exutv s Group n s tv rom 14 Jun 2010 2 ; v soul r n onjunton wt UPR IM02 2 n UPR IM11 3 n t ollown rlt rultory oumnts: UPR IM01 4 ; UPR IM03 5 ; UPR IM04 6 ; UPR IM08 7 ; UPR IM09 8 ; UPR IM10 9 ; UPR IM11 10 ; UPR CA04 11 n UPR RE02 12. (Not or un: Otr rlt oumnts nlu Unvrsty Gun or Mnn Prsonl n Conntl Inormton, St Computn Gu, n Unvrsty nstrutons or ownlon n usn TruCrypt nrypton.) 2 DEFINITIONS 2.1 For t purposs o ts oumnt t ollown ntons wll pply: 2.1.1 t : stnt unts o normton su s ts, numrs, lttrs, symols, usully ormtt n sp wy, stor n ts n sutl or prossn y omputr; 2.1.2 Dt Dtonry : l tt ns t s ornston o ts, ontnn lst o ll ls n t ts, t numr o rors n l n t nms n typs o l; 2.1.3 Dt Mnmnt Frmwork : t ornstonl strutur n pl to mn t Unvrsty s t ssts (ston 6, rrs); 2 3 4 5 6 7 8 9 10 11 12 C Exutvs Group, 26 Aprl 2010 UPR IM11 Rors Mnmnt n t Arvn n Rtnton o Prm Doumnts n Busnss Rors UPR IM01 Computr Ntworks, Surty o Inormton Systms n t Protton o Inormton Systms rom Computr Vruss UPR IM03 Inormton Surty Poly UPR IM04 Intrnt/Intrnt Bs Inormton Systms UPR IM08 Dt Protton UPR IM09 From o Inormton UPR IM10 Prvy Poly UPR IM11 Rors Mnmnt n t Arvn n Rtnton o Prm Doumnts n Busnss Rors UPR CA04 Commrl Atvts UPR RE02 Rsr Msonut Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 2/9

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 2.1.4 t qulty : t ury, ompltnss, vlty n urrny o t t; 2.1.5 Dtst : n ollton o t wt ommon lmnts rlt to sp unton; 2.1.6 Dt Stwr : T H o t Strt Busnss Unt or otr Or rsponsl on l o t Unvrsty or t ollton, mnmnt n us o t; 2.1.7 Dt Exprt : t prson rsponsl or t oprtonl mnmnt n prossn o t t n n normton systm wo s tl knowl n xprn n t oprtonl mnmnt n us o sp Dtsts n tr struturs, ptur, mnstrton, prossn n rportn; 2.1.8 Dt Usr : n nvul utors to ss n us t; 2.1.9 Inormton : t omn n pross nto mnnul orm; 2.1.10 Inormton systm : 3 SCOPE omputr systm us to tr, stor, strutur, sur, pross, omn n ltr t nto normton n tt mks tt normton vll on tm n n usul orm or usrs n nsttutonl rqurmnts. 3.1 T Unvrsty s Dt Mnmnt Poly ppls to: v v v t, n ll ts orms, rqur or t mnmnt n mnstrton o t Unvrsty n t onut o ts work, wtr t t r ptur n ss rom onmpus or o-mpus lotons; ll Unvrsty o Hrtorsr tvts; nvul Mmrs o t Unvrsty (UPR GV06 13, rrs); t Unvrsty s wolly-own susry ompns n tr wolly-own susrs sujt to t pprovl o tr rsptv Bors o Drtors; ollortv tvts unrtkn wt Prtnr Ornstons; t mnmnt o rsr t. (Not or un: T Dt Mnmnt Poly (UPR IM12) os not pply to oumnt mnmnt or w t Unvrsty s vlop sprt poly (UPR IM11 10, rrs).) 13 UPR GV06 Mmrsp o t Unvrsty Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 3/9

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 4 POLICY 4.1 All t rt or own y t Unvrsty, ts wolly-own susry ompns n tr wolly-own susrs, r t proprty o t Unvrsty o Hrtorsr Hr Euton Corporton n r rr s orport ssts. (Nots or un: o o Ts t nlu, ut r not lmt to, t rltn to mnmnt n mnstrton n to t onut o t Unvrsty s usnss. Altou rsponslty or rsr t my vst lswr, t soul not tt ts poly n t prnpls n stnrs tt t ns lso pply to t mnmnt n us o rsr t (ston 7, rrs). ) 4.2 T Unvrsty ronss t vlu o t s n nsttutonl rsour n onsrs tt vlu to nrs trou t wspr n pproprt us o t n y vrtu o t qulty. 4.3 T Unvrsty onsrs t vlu o t to mns trou msus, msntrprtton or unnssry ss rstrtons. 4.4 Ass to t wll rnt to Dt Usrs or ll ltmt Unvrsty purposs, sujt to ny lmt ss rstrtons tt my trmn rom tm-to-tm t t solut srton o t Unvrsty. (Not or un: Dt ss s trmn on l o t Unvrsty y t C Inormton Or.) 4.5 T Unvrsty s ommtt to t Dt Mnmnt Stnrs st out n ston 5 o ts oumnt. 5 DATA MANAGEMENT STANDARDS 5.1 T Unvrsty torss n trmns t ss s ollows: 5.1.1 Unvrsty Intrnl Dt tors s Unvrsty Intrnl my ss y ll Dt Usrs, wtout rstrton. (Not or un: Unvrsty Intrnl s t ult tory or ll t.) 5.1.2 Lmt Ass At t solut srton o t Unvrsty, sp t my tors s Lmt Ass. Dt wll tors s Lmt Ass y t C Inormton Or n lt o rommntons rom Dt Stwrs n, wr pproprt, ll n otr v. (Not or un: T rouns or torsn t s Lmt Ass nlu, ut r not lmt to, prsonl prvy, ll rqurmnts, ommrl onntlty, surty, xtrnlly mpos onstrnt or otr rons oo rson.) Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 4/9

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 5.1.3 Pul Ass Dt w, t t solut srton o t Unvrsty, r trmn, to mttr o pul ror n n, tror, m rly vll, wtout rstrton, r tors s Pul Ass. 5.2 Dt Stwrs Dt wll tors s Pul Ass y t C Inormton Or n t lt o rommntons rom Dt Stwrs, From o Inormton rqurmnts n, wr pproprt, ll n otr v. (Ston 6.5, lso rrs.) 5.2.1 Evry t sour n Dtst must v snt Dt Stwr. 5.2.2 Dt Stwrsp o Dtst wll lt to t H o Strt Busnss Unt or otr Or wt prmry rsponslty or t Unvrsty oprtons to w t Dtst rlts. 5.2.3 A Dt Stwr s rsponsl or t t qulty, surty n vllty o t t or w or s s Dt Stwr. 5.3 Dt Exprts (Ston 6.7, rrs.) Dt Exprts r rsponsl or n ountl to t rlvnt Dt Stwr or: t oprtonl mnmnt o t ssn nsttutonl t n ts ntrty; pplyn Unvrsty t mnmnt stnrs n prours; tv lson wt t tnl xprts rsponsl or t rpostors wr t t r stor n or t ppltons n rportn systms or us o t t; t nlyss; provn mnmnt normton to support Unvrsty son-mkn; xtrnl rportn rqurmnts; rsolvn qurs; mplmntn r t rtnton rtr n rvn pols; mkn t Dt Dtonry unrstnl to usrs. 5.4 Dt Usrs (Ston 6.8, lso rrs.) 5.4.1 Sujt to ny t ss rstrtons trmn on l o t Unvrsty y t C Inormton Or, prmsson to ss t wll rnt to: ll st or ltmt Unvrsty purposs n otr nvuls, wr r, ollown t onut o Unvrsty Dt Ass Autorston pross. 5.4.2 Dt Usrs r rqur to: ss n us t only n tr onut o Unvrsty usnss; ss only t t n to rry out tr Unvrsty work; rspt t onntlty n prvy o nvuls wos rors ty my ss; osrv ny tl, ommrl, surty or otr rstrtons trmn y t Unvrsty tt pply to t t to w ty v ss; omply wt ll rlvnt ll rqurmnts; omply wt t Dt Mnmnt Stnrs (ston 5, rrs); work wtn t lmts o t t ss tt ty v n rnt. Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 5/9

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 5.5 Dt 5.5.1 Dt: j k must rly vll to ll Dt Usrs wt ltmt Unvrsty usnss n trou sly ssl w-s ntrs; must stor n n ol Unvrsty t rpostory r wt t C Inormton Or (or nomn); soul n onsstntly ross t Unvrsty; lmnt nms, ormts n os must onsstnt ross ll rpostors n normton systms tt us t t n onsstnt wt ny r Unvrsty stnrs; soul, wrvr possl, ptur or ntr on only; struturs must unr strt n ontrol so tt usnss n systm mpltons o ny n n proprly mn; or t ptur, vlton n prossn soul, wrvr possl, utomt; uptn prosss soul stnr ross t Unvrsty n ts systms; soul ror n n utl n trl mnnr n n orn wt ny r n ontrol prosss; soul not uplt unlss uplton s solutly ssntl n s t pprovl o t rlvnt Dt Stwr; n su ss, on sour must lrly nt s t mstr n tr must roust pross to nsur ops r not mo n r kpt n stp wt t mstr sour; xn protools twn t rpostors must unr strt n ontrol so tt usnss n systm mpltons o ny n n proprly mn. 5.5.2 Arrnmnts or t stor n us o lmt ss t n ny tr prty us o t t must onorm to Unvrsty Dt Surty Gun (Appnx II, UPR IM12 14, rrs). 5.5.3 Wnvr possl, ntrntonl, ntonl or nustry stnrs or ommon t mols must opt. Wn ts s not possl, nsttutonl stnrs wll trmn. 14 Appnx II, UPR IM12 Dt Surty Gun Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 6/9

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 6 DATA MANAGEMENT FRAMEWORK 15 6.1 T ollown strutur orms n nsttutonl Dt Mnmnt Frmwork, t purpos o w s to nsur t r onsstnt, o oo qulty n vll or us y Dt Usrs. 6.2 Dt Mnmnt Frmwork Dt Ownr Unvrsty o Hrtorsr Hr Euton Corporton C Exutv s Group C Inormton Or Dt Exprt Dt Stwr Dt Usr Dt Inormton Systm Inormton 6.3 Dt Ownr T Unvrsty o Hrtorsr Hr Euton Corporton. 6.4 C Inormton Or 6.4.1 T C Inormton Or s rsponsl: j to t V-Cnllor, trou t C Exutv s Group, or t own n mn y t Unvrsty o Hrtorsr Hr Euton Corporton; or t mnmnt poly, stnrs n prours; or t Unvrsty s t mol, ts promoton n ts mplmntton; or montorn n rvwn t tvnss o t mnmnt poly, stnrs n prours; ormultn t mnmnt poly n stnrs or t pprovl o t C Exutv s Group; vsn t C Exutv s Group on tr mplmntton; stlsn prours or t mnmnt o n ss to t; ovrsn t mplmntton o n ompln wt t mnmnt poly, stnrs n prours; jutn on ny sputs tt my rs rom tm-to-tm; n onjunton wt Dt Stwrs, rvwn nnully, t Dt Mnmnt Poly (UPR IM12). 15 Appnx I, UPR IM12 Assn Dt Rsponslts Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 7/9

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 6.5 Dt Stwrs 6.5.1 Dt Stwrs r rsponsl or n ountl to t C Inormton Or or: j k t mnmnt o t ssn nsttutonl t; o-ornton o t ssot Dt Exprts; t ollton n uptn o t ssn nsttutonl t; rommnn ns to nsttutonl t mnmnt poly n prours; t qulty; t mplmntton o Dt Mnmnt Stnrs n prours; t promoton o t mnmnt o Unvrsty t s vtl orport rsour; unrstnn n promoton o t vlu o t or Unvrsty-w purposs n ltton o t srn n ntrton; utorston n mnmnt o ny tr prty us o t t n orn wt Unvrsty pols n prosss; lson wt otr Dt Stwrs s rqur; vsn n rportn on t mnmnt ssus to t C Inormton Or. 6.6 Dt Exprts 6.6.1 Dt Exprts r rsponsl or n ountl to t rlvnt Dt Stwr or: t oprtonl mnmnt o t t ssn to tm n ts ntrty; pplyn Unvrsty t mnmnt stnrs n prours; tv lson wt t tnl xprts rsponsl or t rpostors wr t t r stor n or t ppltons n rportn systms or us o t t; t nlyss; provn mnmnt normton to support Unvrsty son-mkn; xtrnl rportn rqurmnts; rsolvn qurs; mplmntton o r t rtnton rtr n rvn pols; mkn t Dt Dtonry unrstnl to usrs. 6.7 Dt Usrs 6.7.1 Dt Usrs r rsponsl or n ountl to tr mnrs or: nsurn tr us o t t ompls wt ts poly (UPR IM12) n ll rlt stnrs n prours; or ll t ss m trou tr usr ount n t susqunt us n struton o t t; ntyn ny potntl prsonl onlts o ntrst rsultn rom t utors t ss rnt to tm trou tr usr ount (nlun potntl onlts o ntrst wr t t usr s ot mmr o st n stunt o t Unvrsty) n or skn v rom t rlvnt Dt Stwr; or otnn prmsson rom t Dt Stwr or us o t t or mrktn mpns or otr ontt lst purposs; or ontrutn to t ury n ntrty o t t trou t tmly orrton n uptn o t wr utors to o so n or otr t, trou tmly notton to t rlvnt Dt Stwr. 6.7.2 Dt usrs must: not slos tr usr lon ount psswor to nyon; not us t or tr own prsonl n or or t n or prot o otrs; not ss t or prsonl usnss purposs or prsonl ntrst; not slos t to unutors prsons or to ny tr prty wtout t onsnt o t rlvnt Dt Stwr; Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 8/9

Dt Mnmnt Poly Vrson 04.0, UPR IM12 Etv: 2 Mr 2011. R-ssu: 1 Sptmr 2012 not slos t out n nvul to notr prson, rrlss o tt prson s rltonsp wt t nvul onrn, wtout t onsnt o t nvul onrn n/or wtout t onsnt o t rlvnt Dt Stwr; prsnt t t urtly n ojtvly n ny us tt s m o t. 7 RESEARCH DATA (Appnx III, UPR IM12 16, rrs.) 7.1 Dt mnmnt s n ssntl n ntrl prt o t rsponsl onut o rsr. 7.2 T Unvrsty s rsponsl or: nsurn tv t mnmnt to mt ntrnl n xtrnl rqurmnts, nlun nln t r-us o rsr t n rly vll pul ss to rsr t outputs n orn wt ntonl n unn oy pols; rtnton o rsr t n sunt tl or n pro to nl pproprt rsponss to ny qustons out ury, utntty, prmy n ompln wt ll n rultory rqurmnts ovrnn t onut o rsr; or supportn nvstton nto ny lltons o msonut or rultory r (UPR RE02 17, rrs). 7.3 Ts poly n t prnpls n stnrs tt t ns lso pply to t mnmnt n us o rsr t. 7.4 Dt Stwr - rsr t For t purposs o rsr t, t Prnpl Invsttor or r quvlnt rol (su s t Prnpl Suprvsor o Rsr Stunts) sll ull t rol n rsponslts o t Dt Stwr or t purposs o t ollton, mnmnt n rtnton o rsr t. (Not or un: For urtr normton rr to Unvrsty Gu to Rsr Dt Mnmnt (Appnx III, UPR IM12 16, rrs).) 8 REVIEW ARRANGEMENTS Ts Dt Mnmnt Poly (UPR IM12) n t rrnmnts or ts mplmntton wll rvw nnully y t C Inormton Or n onjunton wt t Dt Stwrs. P E Wtrs Srtry n Rstrr Sn: 1 Sptmr 2012 16 17 Appnx III, UPR IM12 Unvrsty Gu to Rsr t Mnmnts UPR RE02 Rsr Msonut Unvrsty Pols n Rultons (UPRs) Unvrsty o Hrtorsr Hr Euton Corporton (2012) IM12-Dt Mnmnt Poly-v04.0.o 9/9