Recommended Guidelines for Responsible Computing at the University of Delaware Draft September 1991 Prepared by staff in Computing and Network Services University of Delaware Preface The computer has become a common denominator that knows no intellectual, political, or bureaucratic bounds; the Sherwin Williams of necessity that covers the world, spanning all points of view. . . . I wish that we lived in a golden age, where ethical behavior was assumed; where technically competent programmers respected the privacy of others; where we didn't need locks on our computers. . . . Fears for security really do louse up the free flow of information. Science and social progress only take place in the open. The paranoia that hackers leave in their wake only stifles our work. -Cliff Stoll, in The Cuckoo's Egg: Tracking a spy through the maze of computer espionage One of the interesting facets of Cliff Stoll's The Cuckoo's Egg is his growing awareness of the responsibilities all computer users have to each other. It is our hope that this set of Guidelines can foster that same understanding in the University of Delaware community. It is imperative that all users of the University's computing and information resources realize how much these resources require responsible behavior from all users. Simply put, we are all responsible for the well-being of the computing, network, and information resources we use. Universities do try to promote the open exchange of ideas; however, an open, cooperative computing network can be vulnerable to abuse or misuse. As more and more schools, colleges, universities, businesses, government agencies, and other enterprises become attached to the world-wide computing and information networks, it is more important than ever that this University educate its students, faculty, and staff about proper ethical behavior, acceptable computing practices, and how "computer vandalism" interferes with the exchange of ideas that is integral to a modern education. The first item in the body of this document is the University's Policy for Responsible Computing Use, passed by the Faculty Senate of the University of Delaware on (date will go here). The remainder of this document consists of recommended guidelines for implementing this policy. If you have any questions about the policy or the guidelines, please consult with your system administrator, with the staff in Computing and Network Services, or with your dean, project director, supervisor, chair, or advisor. Table of Contents Definition of Terms iii Policy for Responsible Computing Use 1 User Responsibilities 2 System Administrator Responsibilities 3 Misuse of Computing and Information Resource Privileges 4 User Confidentiality and System Integrity 5 Penalties for Misuse of Computing and Information 6 Resource Privileges Academic Honesty 7 Works Consulted 8 Definition of Terms Administrative Officer: vice-president, dean, chair, or director to whom an individual reports. Computer Account: the combination of a user number, username, or userid and a password that allows an individual access to a mainframe computer or some other shared computer. Data Owner: the individual or department that can authorize access to information, data, or software and that is responsible for the integrity and accuracy of that information, data, or software. Specifically, the data owner can be the author of the information, data, or software or can be the individual or department that has negotiated a license for the University's use of the information, data, or software. Desktop Computers, Microcomputers, Advanced Workstations: different classes of smaller computers, some shared, some single-user systems. If owned or leased by the University or if owned by an individual and connected to a University-owned, leased, or operated network, use of these computers is covered by the Policy for Responsible Computing Use. Information Resources: In the context of these Guidelines, this phrase refers to data or information and the software and hardware that makes that data or information available to users. Mainframe Computers: "central" computers capable of use by several people at once. Also referred to as "time-sharing systems." Network: a group of computers and peripherals that share information electronically, typically connected to each other by either cable or satellite link. Normal Resource Limits: the amount of disk space, memory, printing, etc. allocated to your computer account by that computer's system administrator. Peripherals: special-purpose devices attached to a computer or computer network--for example, printers, scanners, plotters, etc. Project Director: person charged with administering a group of computer accounts and the computing resources used by the people using those computer accounts. Server: a computer that contains information shared by other computers on a network. Software: programs, data, or information stored on magnetic media (tapes, disks, diskettes, cassettes, etc.). Usually used to refer to computer programs. System Administrator: staff employed by a central computing agency such as Computing and Network Services whose responsibilities include system, site, or network administration and staff employed by other University departments whose duties include system, site, or network administration. Note that if you have a computer on your desk, you may be considered that system's system administrator. Policy for Responsible Computing Use at the University of Delaware In support of its mission of teaching, research, and public service, the University of Delaware provides access to computing and information resources for students, faculty, and staff, within institutional priorities and financial capabilities. All members of the University community who use the University's computing and information resources must act responsibly. Every user is responsible for the integrity of these resources. All users of University-owned or University-leased computing systems must respect the rights of other computing users, respect the integrity of the physical facilities and controls, and respect all pertinent license and contractual agreements. It is the policy of the University of Delaware that all members of its community act in accordance with these responsibilities, relevant laws and contractual obligations, and the highest standard of ethics. Access to the University's computing facilities is a privilege granted to University students, faculty, and staff. Access to University information resources may be granted by the owners of that information based on the owner's judgement of the following factors: relevant laws and contractual obligations, the requestor's need to know, the information's sensitivity, and the risk of damage to or loss by the University. The University reserves the right to limit, restrict, or extend computing privileges and access to its information resources. Data owners--whether departments, units, faculty, students, or staff--may allow individuals other than University faculty, staff, and students access to information for which they are responsible, so long as such access does not violate any license or contractual agreement; University policy; or any federal, state, county, or local law or ordinance. Computing facilities and accounts are owned by the University and are to be used for the University-related activities for which they are assigned. University computing resources are not to be used for commercial purposes or non-University-related activities without written authorization from the University. In these cases, the University will require payment of appropriate fees. This policy applies equally to all University-owned or University-leased computers. Users and system administrators must all guard against abuses that disrupt or threaten the viability of all systems, including those at the University and those on networks to which the University's systems are connected. Access to information resources without proper authorization from the data owner, unauthorized use of University computing facilities, and intentional corruption or misuse of information resources are direct violations of the University's standards for conduct as outlined in the University of Delaware Policy Manual, the Personnel Policies and Procedures for Professional and Salaried Staff, the Faculty Handbook, and the Official Student Handbook and may also be considered civil or criminal offenses. The University of Delaware treats access and use violations of computing facilities, equipment, software, information resources, networks, or privileges seriously. Disciplinary action resulting from such abuse may include the loss of computing privileges and other sanctions including non-reappointment, discharge, dismissal, and legal action--including prosecution under Title 11, $931-$939 of the Delaware Code, the Computer Fraud and Abuse Act of 1986, or other appropriate laws. May 31, 1991 User Responsibilities If you use the University's computing resources or facilities, you have the following responsibilities: - Use the University's computing facilities and information resources, including hardware, software, networks, and computer accounts, responsibly and appropriately, respecting the rights of other computing users and respecting all contractual and license agreements.1 - Use only those computers and computer accounts for which you have authorization. - Use mainframe accounts only for the purpose(s) for which they have been issued. Use University-owned microcomputers and advanced workstations for University-related projects only. - Be responsible for all use of your accounts and for protecting each account's password. In other words, do not share computer accounts. If someone else learns your password, you must change it. - Report unauthorized use of your accounts to your project director, instructor, supervisor, system administrator, or other appropriate University authority. - Cooperate with system administrator requests for information about computing activities. Under certain unusual circumstances, a system administrator is authorized to access your computer files. - Take reasonable and appropriate steps to see that all hardware and software license agreements are faithfully executed on any system, network, or server that you operate. Each user is ultimately responsible for his or her own computing and his or her own work using a computer. Take this responsibility seriously. For example, users should remember to make backup copies of their data, files, programs, diskettes, and tapes, particularly those created on microcomputers and those used on individually- or departmentally-operated systems. Furthermore, users with desktop computers or other computers that they operate themselves must remember that they may be acting as the system administrators for those computers and need to take that responsibility very seriously. If you are a project director for a group of mainframe computing users, a supervisor whose staff use computers, or a faculty member whose students use computers, you must help your project members, staff, or students learn more about ethical computing practices. You should also help your project members, staff, or students learn about good computing practices and data management. --- 1 The software made available by the University has been licensed by the University for your use. As a result, its use may be subject to certain limitations. System Administrator Responsibilities This document uses the phrase system administrator to refer to all of the following University personnel: - staff employed by a central computing agency such as Computing and Network Services whose responsibilities include system, site, or network administration - staff employed by other University departments whose duties include system, site, or network administration. A system administrator's use of the University's computing resources is governed by the same guidelines as any other user's computing activity. However, a system administrator has additional responsibilities to the users of the network, site, system, or systems he or she administers: - A system administrator manages systems, networks, and servers to provide available software and hardware to users for their University computing. - A system administrator is responsible for the security of a system, network, or server. - A system administrator must take reasonable and appropriate steps to see that all hardware and software license agreements are faithfully executed on all systems, networks, and servers for which he or she has responsibility. - A system administrator must take reasonable precautions to guard against corruption of data or software or damage to hardware or facilities.2 - A system administrator must treat information about and information stored by the system's users as confidential. As an aid to a better understanding of responsible computing practices, all departments that own or lease computing equipment are encouraged to develop "Conditions Of Use" documentation for all systems that they operate and to make these "Conditions Of Use" documents available to users. These documents should be consistent with the University of Delaware Policy for Responsible Computing Use (reprinted on page 1 of these Guidelines) and should be approved by the department's administrative officer or other individual designated by that administrative officer. --- 2 The University is not responsible for loss of information from computing misuse, malfunction of computing hardware, malfunction of computing software, or external contamination of data or programs. The staff in central computing units such as Computing and Network Services and all other system administrators must make every effort to ensure the integrity of the University's computer systems and the information stored thereon. However, users must be aware that no security or back-up system is 100.00% foolproof. Misuse of Computing and Information Resource Privileges The University characterizes misuse of computing and information resources and privileges as unethical and unacceptable and as just cause for taking disciplinary action. Misuse of computing and information resources and privileges includes, but is not restricted to, the following: - attempting to modify or remove computer equipment, software, or peripherals without proper authorization - accessing computers, computer software, computer data or information, or networks without proper authorization, regardless of whether the computer, software, data, information, or network in question is owned by the University (That is, if you abuse the networks to which the University belongs or the computers at other sites connected to those networks, the University will treat this matter as an abuse of your University of Delaware computing privileges.) - circumventing or attempting to circumvent normal resource limits, logon procedures, and security regulations - using computing facilities, computer accounts, or computer data for purposes other than those for which they were intended or authorized - sending fraudulent computer mail, breaking into another user's electronic mailbox, or reading someone else's electronic mail without his or her permission - sending any fraudulent electronic transmission, including but not limited to fraudulent requests for confidential information, fraudulent submission of electronic purchase requisitions or journal vouchers, and fraudulent electronic authorization of purchase requisitions or journal vouchers - violating any software license agreement or copyright, including copying or redistributing copyrighted computer software, data, or reports without proper, recorded authorization - violating the property rights of copyright holders who are in possession of computer- generated data, reports, or software - harassing or threatening other users or interfering with their access to the University's computing facilities - taking advantage of another user's naivete or negligence to gain access to any computer account, data, software, or file other than your own - encroaching on others' use of the University's computers (e.g., disrupting others' computer use by excessive game playing; sending frivolous or excessive messages, either locally or off-campus; printing excess copies of documents, files, data, or programs; modifying system facilities, operating systems, or disk partitions; attempting to crash or tie up a University computer; damaging or vandalizing University computing facilities, equipment, software, or computer files) - disclosing or removing proprietary information, software, printed output or magnetic media without the explicit permission of the owner - reading other users' data, information, files, or programs on a display screen, as printed output, or via electronic means, without the owner's explicit permission. User Confidentiality and System Integrity If a system administrator is an eyewitness to a computing abuse; notices an unusual degradation of service or other aberrant behavior on the system, network, or server for which he or she is responsible; or receives a complaint of computing abuse or degradation of service, he or she should investigate and take steps to maintain the integrity of the system(s). If a system administrator has evidence that leads to a user's computing activity as the probable source of a problem or abuse under investigation, he or she must weigh the potential danger to the system and its users against the confidentiality of that user's information. While investigating a suspected abuse of computing; a suspected hardware failure; a disruption of service; or a suspected bug in an application program, compiler, network, operating system, or system utility, a system administrator should ordinarily ask a user's permission before inspecting that user's files, diskettes, or tapes. The next two paragraphs outline exceptions to this rule. If, in the best judgement of the system administrator, the action of one user threatens other users or if a system or network for which the system administrator is responsible is in grave, imminent danger of crashing, sustaining damage to its hardware or software, or sustaining damage to user jobs, the system administrator should act quickly to protect the system and its users. In the event that he or she has had to inspect user files in the pursuit of this important responsibility, he or she must notify, as soon as possible, his or her own administrative officer or other individual designated by that administrative officer of his or her action and the reasons for taking that action. The administrative officer needs to be certain that one of the following are also notified: the user or users whose files were inspected; the user's supervisor, project director, administrative officer, or academic advisor. It is a departmental responsibility that this notification occur, not a personal responsibility of the system administrator. In cases in which the user is not available in a timely fashion, in which the user is suspected of malicious intent to damage a computer system, or in which notifying the user would impede a sensitive investigation of serious computer abuse, the system administrator may inspect the information in question so long as he notifies his or her own administrative officer or other individual designated by the administrative officer of his or her actions and the reasons for taking those actions. The administrative officer needs to be certain that the user's supervisor, project director, administrative officer, or academic advisor is notified of the situation. In the case of suspected malicious intent, the administrative officer may also need to refer the matter to the appropriate University judicial body or to the Department of Public Safety. A system administrator may find it necessary to suspend or restrict a user's computing privileges during the investigation of a problem. The system administrator should confer with his or her administrative officer or other person designated by that administrative officer before taking this step. A user may appeal such a suspension or restriction and petition for reinstatement of computing privileges through the University's judicial system, through the grievance procedures outlined in the faculty collective bargaining agreement, or by petition to the Dean of Students. In general, then, a system administrator should - protect the integrity of the system entrusted to his or her care - respect the confidentiality of the information users have stored on the system - notify appropriate individuals when the above two aims have come into conflict - assist his or her administrative officer in referring cases of suspected abuse to the appropriate University judicial process. Penalties for Misuse of Computing and Information Resource Privileges Abuse of computing privileges is subject to disciplinary action. If system administrators or staff in the Department of Public Safety have a preponderance of evidence that intentional or malicious misuse of computing resources has occurred, and if that evidence points to the computing activities or the computer files of an individual, they have the obligation to pursue any or all of the following steps to protect the user community: - Notify the user's project director, instructor, academic advisor, or administrative officer of the investigation. - Refer the matter for processing through the University's judicial system. If necessary, staff members from a central computing agency such as Computing and Network Services as well as faculty members with computing expertise may be called upon to advise the University judicial officers on the implications of the evidence presented and, in the event of a finding of guilt, of the seriousness of the offense. - Suspend or restrict the user's computing privileges during the investigation. A user may appeal such a suspension or restriction and petition for reinstatement of computing privileges through the University's judicial system, through the grievance procedures outlined in the faculty collective bargaining agreement, or by petition to the Dean of Students. - Inspect that user's files, diskettes, and/or tapes. System administrators must be certain that the trail of evidence leads to the user's computing activities or computing files before inspecting the user's files. Ordinarily, the administrative officer whose department is responsible for the computing system on which the alleged misuse occurred should initiate proceedings. As the case develops, other administrative officers may, by mutual agreement, assume the responsibility for prosecuting the case. Disciplinary action may include the loss of computing privileges and other disciplinary sanctions up to and including non-reappointment, discharge, dismissal, and legal action. In some cases, an abuser of the University's computing resources may also be liable for civil or criminal prosecution. It should be understood that nothing in these guidelines precludes enforcement under the laws and regulations of the State of Delaware, any municipality or county therein, and/or the United States of America. For example, if you are found guilty of committing a computer crime as outlined in Title 11 $932-$936 of the Delaware Code, you could be subject to the penalties for a class B felony. Academic Honesty Faculty and students are reminded that computer-assisted plagiarism is still plagiarism. Unless specifically authorized by a class instructor, all of the following uses of a computer are violations of the University's guidelines for academic honesty and are punishable as acts of plagiarism: - copying a computer file that contains another student's assignment and submitting it as your own work - copying a computer file that contains another student's assignment and using it as a model for your own assignment - working together on an assignment, sharing the computer files or programs involved, and then submitting individual copies of the assignment as your own individual work - knowingly allowing another student to copy or use one of your computer files and to submit that file, or a modification thereof, as his or her individual work. For further information on this topic, students are urged to consult the University of Delaware Official Student Handbook, to consult with their individual instructors, and to refer to the pamphlet "Academic Honesty & Dishonesty: Important information for faculty and students." Faculty members are urged to develop specific policies regarding all aspects of academic honesty and to communicate those policies to their students in writing. Works Consulted Augustine, Charles. The Pieces of a Policy: Categories for Creation of a Computer Ethics Policy. Capitalizing on Communication: Proceedings of ACM SIGUCCS User Services Conference XVII. 1989. Baylor University. Computer Policies. 1989. Copy located in the computer file ethics/Baylor.policy on ariel.unm.edu. Catholic University of America, The. Statement of Ethics in the Use of Computers. 1988. [Reprinted in ACM SIGUCCS Newsletter. Volume 19, Number 1. 1989.] Chapman, Gary. CPSR [Computer Professionals for Social Responsibility] Statement on the Computer Virus. Communications of the ACM. Volume 32, Number 6. 1989. Colgate University. Agreement for use of Computing Facilities. 1989. Copy located in the computer file ethics/ColgateU.policy on ariel.unm.edu. Columbia University. Administrative Policies [of the Center for Computing Activities]. No date. Copy located in the computer file ethics/ColumbiaU.policy on ariel.unm.edu. Corporation for Research and Educational Networking. Acceptable Use of CSNET and BITNET. 1990. Received via electronic mail from Bernard A. Galler, March 23, 1990. Delaware Code (Annotated). Computer Related Offenses. Title 11, $931-$939. 1987. Delaware Code (Annotated), 1989 Supplement. Computer Related Offenses. Title 11, $937. 1989. EDUCOM and ADAPSO. Using Software: A guide to the ethical and legal use of software for members of the academic community. EDUCOM. 1987. Eichin, Mark W. and Jon A. Rochlis. With Microscope and Tweezers: An Analysis of the Internet Virus of November 1988. Paper presented at 1989 IEEE Symposium on Research in Security and Privacy. Copy located in the file pub/virus/mit.PS on bitsy.mit.edu. Ermann, M. David; Mary B. Williams; and Claudio Gutierrez. Computers, Ethics, and Society. Oxford University Press. 1990. Faculty Senate of the University of Delaware. Ethetical [sic] Conduct in Computing. Unpublished draft statement discussed by Faculty Senate in 1989. Farber, David J. NSF [National Science Foundation] Poses Code of Networking Ethics. Communications of the ACM. Volume 32, Number 6. 1989. Fraser Valley College. DRAFT: Fraser Valley College Computing and Ethics Policy, April 23, 1991. Copy received via electronic mail, April 24, 1991, from Paul Herman, Fraser Valley College. Hafner, Katie and John Markoff. Cyberpunk: Outlaws and Hackers on the Computer Frontier. Simon and Schuster. 1991. Hoffman, W. Michael and Jennifer Mills Moore, eds. Ethics and the Management of Computer Technology: Proceedings of the Fourth National Conference on Business Ethics Sponsored by the Center for Business Ethics, Bentley College. Oelgeschlager, Gunn, and Hain. 1982. Indiana University, Academic Computing Policy Committee, Subcommittee on Ethical Use of Computers. Computer Users' Privileges and Responsibilities: Indiana University. 1990. Copy received via electronic mail April 25, 1990, from Mark Sheehan, Indiana University Computing Services. Internet Activities Board. Ethics Policy Statement. 1988. [Reprinted in Purdue University's PUCC Newsletter. March 1989.] Internet Engineering Task Force. Site Security Handbook: RFC 1244. P. Holbrook and J. Reynolds, eds. July 1991. Copy located in the file pub/ssphwg/rfc1244.txt on cert.sei.cmu.edu. Johnson, Deborah G. Computer Ethics. Prentice Hall. 1985. Lees, John. [Michigan State University] College of Engineering Computer Use Policy - DRAFT. 1990. 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Stoll, Cliff. The Cuckoo's Egg: Tracking a spy through the maze of computer espionage. Doubleday. 1989. Syracuse University. Computer Use Policy. No date. Temple University. Rules of Conduct for Using Computing Resources at Temple University. 1988. University of Delaware. Academic Honesty & Dishonesty: Important information for faculty and students. 1989. University of Delaware. Code of Conduct. Official Student Handbook. 1991. University of Delaware. Code of Ethics. Personnel Policies and Procedures for Professional and Salaried Staff. 1989. University of Delaware. Computer Software. University of Delaware Policy Manual. Policy 6-9. 1989. University of Delaware. Misconduct in Research. University of Delaware Policy Manual. Policy 6-11. 1989. University of Delaware. University of Delaware Faculty Handbook. 1991. University of Delaware. 1989-1990 Residence Halls Handbook. 1989. University of Delaware Libraries. Circulation Procedures and Services. No date. University of Michigan, Ann Arbor. Think About It: The Proper Use of Information Resources, Information Technology, and Networks at the University of Michigan. No Date. University of New Mexico. UNM Ethics Code for Computer Use [Draft]. 1989. Copy located in the computer file ethics/UofNewMexico.policy on ariel.unm.edu. Weissman, Ronald F. E. Ethical and Responsible Computing. The OPEN WINDOW (Brown University), Volume 3, Number 1. 1989. [Cited in Ryland's article.]