Document Ref.

: Issue Date:
CU/SOP/ICTD/38 20th August, 2019
Issue No.: Revision No.:
04 00
Document Title:
STANDARD OPERATING PROCEDURE FOR INFORMATION COMMUNICATION TECHNOLOGY

CHUKA UNIVERSITY

Standard Operating Procedure

For

Information Communication Technology Management

(CU/SOP/ICTD/38)

Document Review Sheet

The signatures below certify that this Standard Operating Procedure has been reviewed and
accepted, and demonstrate that the signatories are aware of all the requirements contained herein
and are committed to ensuring their provision.

Name & Signature Position Date

Revised by Appointee COD, Computer Science & ICT 20.8.2019

Reviewed by Prof. D. K. Isutsa Deputy Vice-Chancellor (ARSA)/MR 20.8.2019

Approved by Prof. E. N. Njoka Vice-Chancellor 20.8.2019

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STANDARD OPERATING PROCEDURE FOR INFORMATION COMMUNICATION TECHNOLOGY

TABLE OF CONTENTS
Cover Page…………………………………………………………………………………...……1
Document review Sheet…………………………………………………………………………...1
Table of Contents………………………………………………………………………………....2
1.0 AMENDMENT RECORD ................................................................................................ 3
2.0 GENERAL .......................................................................................................................... 4
2.1 Purpose.................................................................................................................... 4
2.2 Scope ....................................................................................................................... 4
2.3 References ............................................................................................................... 4
2.4 Abbreviations/Acronyms ........................................................................................ 4
2.5 Definitions............................................................................................................... 4
2.6 Responsibility ......................................................................................................... 4
3.0 ADMINISTRATIVE STRUCTURE ................................................................................ 5
4.0 PROCESSES ...................................................................................................................... 5
4.1. Overview ................................................................................................................. 5
4.2. Process for Data Back-up and Archiving................................................................ 6
4.3. Process for Data Restoration ................................................................................... 7
4.4. Process for ICT Equipment Repair ......................................................................... 7
4.5 Process for ICT Equipment Maintenance ............................................................... 8
4.6. Process for Updating Website ................................................................................. 9
4.7. Process for Providing Technical Specifications ................................................... 10
4.8. Process for Creating, Updating and Deactivation of User Accounts. ................... 11
5.0 RECORDS/EVIDENCE .................................................................................................. 12
6.0 KEY PERFORMANCE INDICATORS/QUALITY OBJECTIVES.......................... 12
6.1. Key Performance Indicators…………………………………………………………… ... 12
6.2. Quality Objectives……………………………………………………………………… .... 13
RISK REGISTER………………………………………………… ........................................... 15
OPPORTUNITIES REGISTER………………………………………………… .................... 16
APPENDIX: PROCESS MAPS ................................................................................................. 16
i. Process for Data Backup and Archiving ............................................................... 16
ii. Process for Data recovery and Restoration ........................................................... 17
iii. Process for ICT Equipment Repair ....................................................................... 17
iv. Process for ICT Equipment Maintenance ............................................................. 17
v. Process for Updating Website ............................................................................... 18
vi. Process for Providing Technical Specifications ................................................... 19
vii. Process for Creating, Updating and Deactivation of User Accounts .................... 19

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Document Title:
STANDARD OPERATING PROCEDURE FOR INFORMATION COMMUNICATION TECHNOLOGY

1.0 AMENDMENT RECORD

This Standard Operating Procedure is reviewed regularly to ensure relevance to the systems and
process that it defines. A record of contextual additions or omissions is given below.

AMENDMENT RECORD SHEET

Date Issue Revision Page Subject of Review /Modification Revised By Reviewed &
No. No. No. Approved By
20/8/2019 04 00 6 to Added “resources” in all HOD ISO M.R./VC
11 processes by revising inputs
heading to read
“inputs/resources” and expanding
the section as necessary
20/8/2019 04 00 12 Revised KPIs in quality HOD ISO M.R./VC
objectives to be “measurable”
20/8/2019 04 00 13 Revised quality objectives to HOD ISO M.R./VC
distinguish from routine duties
and responsibility, & infused
actions that will ensure customer
satisfaction
20/8/2019 04 00 15 Revised risks to capture factually HOD ISO M.R./VC
binding and persistent ones
20/8/2019 04 00 16 Generated stand-alone HOD ISO M.R./VC
Opportunities for the Department
and de-linked them from Risks

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Document Title:
STANDARD OPERATING PROCEDURE FOR INFORMATION COMMUNICATION TECHNOLOGY

2.0 GENERAL
2.1 Purpose
The unprecedented growth in hardware, software, data volumes and users has necessitated the
need for an efficient approach to quality management of ICT Systems in the university. The
purpose of this procedure is to provide details of managing ICT systems and their users to ensure
compliance with the International Standard and the Chuka University’s and Government’s
statutory policies, procedures and regulations.

2.2 Scope
This procedure applies to all the internal departments that house their hardware in the
University’s Enterprise Data Centre.

2.3 References
 CU Charter, 2013
 CU Statutes, 2014
 CU Strategic Plan, 2017-2022
 Students Record Maintenance System/NAVISION
 ISO 9001:2015 Standard Clauses 4 to 10
 CU ISO Quality Management System Manual, 2017
 Code of Conduct and Ethics for Public Universities, 2003
 CU ICT Policy, 2017

2.4 Abbreviations/Acronyms
COD Chairperson of Department
DAS Direct Attached Storage
ICTD Information Communication Technology Department
DVDs Digital Video Disks
HOD Head of Department
LAN Local Area Network
MIS Management Information System
NAS Network Attached Storage
NFS Network File System
SQL Structured Query Language
VC Vice-Chancellor
ZIP “Zip" Generic file format of a compressed archive

2.5 Definitions
Potent Risk refers to potential raw risk that is anticipated.
2.6 Responsibility
The ICT Manager has the primary responsibility of ensuring that this procedure is implemented
and remains adequate for its intended purpose, providing information from which documentation
for its processes can be compiled and initiating action to keep the processes up to date. All
Departmental staff members are responsible for implementing and following this procedure.

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STANDARD OPERATING PROCEDURE FOR INFORMATION COMMUNICATION TECHNOLOGY

3.0 ADMINISTRATIVE STRUCTURE

The ICT Department falls under the Division of AFP&D of Chuka University. The current
administrative structure for the ICT Department is as shown below:
Vice-Chancellor

Deputy Vice-Chancellor (AFPD)

ICT Manager

Information Application Webmaster Chief Technologist

Security Officer Developer

System Network Senior Technologists

Administrator Administrator

Technologists

Computer Attendants

Cleaners/messengers

4.0 PROCESSES
4.1. Overview
The ICT Manager is the head of the ICT Department where this SOP is housed. The core
activities in the Department include:
(i) To provide guidance in developing a pervasive, reliable and secure communications
infrastructure, conforming to recognized international standards and supporting all ICT
services in line with the priorities of the University.
(ii) To enhance user utilization of ICT resources through training and support.
(iii) To outline rules and guidelines that ensure users’ PCs and other hardware are in
serviceable order by specifying best practices and approaches for preventing failure.

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4.2. Process for Data Back-up and Archiving

4.2.1 Source
ISO Departments; employees; students

4.2.2 Required inputs/resources

 Back up media and/or site
 Data from key university systems
 ICT Technical staff
4.2.3 Expected outputs
 Backed up data

4.2.4. Receivers
ISO Departments; employees; students

4.2.5 Process details

SN Description Output Responsibility
1. Preparation of a back-up plan containing Backup plan Systems administrator
schedule of the general backup pattern
for key University systems.
2. The Back-up Plan is documented, Authorised /ratified, ICT Manager
ratified, by the ICT Manager and filed in documented backup System administrator
the Back-up inventory File. plan
3. All back-ups are carried as scheduled on Back-up of data from Systems
the back-up schedule. However, a system Key university Administrator
administrator may also stipulate systems
additional event-dependent back-up
intervals where necessary. Back-up
media used for this purpose is then
clearly documented.
4. The Systems Administrator prepares a Special Backup plan Systems
special backup plan for archiving all Administrator
sensitive data on respective systems at
the close of each financial year.
5. The special Back-up Plan is documented, Authorised /ratified, Systems
ratified, by the ICT Manager and filed in documented special Administrator
the Back-up inventory File. backup plan ICT Manager
6. Special backup of critical data is carried Back up of critical Systems
out and back-up media used for this data Administrator
purpose is then clearly documented.
7. An archive of critical data is safely Special backup plan. ICT Manager
retained in a long storage facility for a
time frame that is beyond the normal
back-up retention period with no

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intention for re-use except cases of future

need to refer to data by University or
authorised government agencies.

4.3. Process for Data Restoration

4.3.1 Source
ISO Departments

4.3.2 Required inputs/resources

 Back up media and/or site
 Backed up Data
 Data Restoration Platform
 ICT Technical staff

4.3.3 Expected outputs

 Inspection report
 Restored data

4.3.4 Receivers
ISO Departments; employees; students

4.3.5 Process details

SN Description Output Responsibility
1. The system administrator documents a Restoration System administrator
restoration procedure for every key procedure
University System.
2. Every 3 months, an ICT team using Inspection report System administrator
restoration procedure restores a complete
set of back-up media for every key ICT Data restoration
University system on a temporary team
location, and then inspects it for accurate
data re-construction.

4.4. Process for ICT Equipment Repair

4.4.1 Source
ISO Departments; employees; students

4.4.2 Required inputs/resources

 ICT equipment faults
 Expert technicians
 Allocated budget
 Repair and Maintenance toolkit(hardware and software)

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4.4.3 Expected outputs

 Inspection report

4.4.3 Receivers
ISO Departments; employees; students

4.4.4 Process details

SN Description Output Responsibility
1. At the beginning of the year, the ICT Responsibility ICT Manager
manager prepares a responsibility matrix matrix
that guides the ICT support team to
perform day to day repairs
2. If unable to resolve a problem, users Repair request User
record repair request on the ICT help ICT help desk
desk which is channelled to the staff
responsible for supporting the user.
3. The ICT staff supporting the user Repair request ICT officer supporting
resolves the problem within one day resolution status. the user
4. If unable to resolve, the technical ICT Repair request ICT officer supporting
staff work in liaison with vendors, resolution status the user
suppliers and manufacturers to repair or ICT Manager
replace faulty ICT equipment.
[a] The ICT officer in-charge of ICT
stores keeps accurate records of the
warranty of individual equipment and
provides such information when needed]
5. The ICT staff supporting the user Repair request ICT officer supporting
documents the work done in the repairs resolution status the user
book and in the work ticket. Work ticket
6. Chief Technician checks and signs off Quarterly Chief Technician
repair book weekly to monitor resolution inspection report ICT Manager
of user problems and writes a quarterly
inspection report to ICT Manager.

4.5 Process for ICT Equipment Maintenance

4.5.1 Source
ISO Departments; employees; students

4.5.2 Required inputs/resources

 ICT equipment to be maintained
 ICT Technical staff
 Allocated budget

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 Repair and Maintenance toolkit(hardware and software)

4.5.2 Expected outputs

 Annual maintenance report

4.5.4 Receivers
ISO Departments; employees; students

4.5.5 Process details

SN Description Output Responsibility
1. The Chief Technician prepares an annual Annual Chief Technician
maintenance schedule for preventive Maintenance
maintenance carried out according to the schedule
recommendations of the manufacturer.
2. ICT support team does maintenance Work ticket ICT staff
work as per the maintenance schedule.
The team leader fills maintenance work
ticket form. The users sign the ticket
when work is done and the form is
submitted to the Chief Technician.
3. The Chief Technician prepares an annual Annual Chief Technician
maintenance report after the expiry of the maintenance report ICT Manager
annual maintenance period and submits
the report to the ICT Manager.

4.6. Process for Updating the University Website

4.6.1 Source
ISO Departments; Top Management

4.6.2 Required inputs/resources

 A new document, new information or a need for modification/update
 Approval of content
 Schedule for updating the website
 Web hosting platform
 ICT Technical staff

4.6.4 Expected outputs

 Archive of related documents
 Updated website

4.6.4 Receivers
ISO Departments; employees; students

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4.6.3 Process details

SN Description Output Responsibility
1. A new document, new information or a Request for update ICT Manager
need for modification/update to Chuka Originator of the request
University website is identified and a
request for update is made.
2. The ICT Manager checks on behalf of Change request ICT Manager
management that the request is clear, or Originator of the request
well defined and that the Vetted request
document/information is suitable for
publishing on the Chuka University
website. If not suitable for publishing,
not clear or well defined, the ICT
manager discusses with the originator on
any changes to be made. The Originator
implements the necessary changes and
resubmits the request.
3. The Webmaster is provided with an Vetted Request for ICT Manager
electronic version of the vetted request update
including PDF documents (where
applicable), description of its location,
time restrictions (i.e. not to publish until
date, publish immediately, delete after
period…), etc.
4. The webmaster updates the website as Website updated Webmaster
per the request within 1 day and notifies With the request.
the originator via email. -Notification
email.
5. Originator checks that the new version is Acknowledgement Originator
correct: content, location, format, all email
links and associated downloads work
correctly and emails back the webmaster
approving the changes
6. The Webmaster archives related Archive of related Webmaster
documents that may be needed later documents

4.7. Process for Providing Technical Specifications

4.7.1 Source
ISO Departments; employees; students

4.7.2 Required inputs/resources

 Request for specifications
 Approval of the item(s)

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 Allocated Budget
 ICT technical staff

4.7.3 Expected outputs

 Approved Specifications

4.7.4 Receivers
ISO Departments; employees; students

4.7.5 Process details

SN Description Output Responsibility
1. Users or Procurement Department provide Request for Users
a written request for ICT equipment’s specifications Procurement staff
specification to ICT Help Desk. received
2. ICT Manager authorises appropriate ICT Authorised request ICT manager
staff to prepare the specifications. for specifications
3. ICT staff members prepare the Specifications ICT staff Responsible
specification (following e-Government
Standards) and the specifications are
verified by another ICT staff.
4. The ICT Manager signs the specification Approved ICT Manager
form and forwards it to the requesting user specifications
Department or Procurement Department.

4.8. Process for Creating, Updating and Deactivation of User Accounts

4.8.1 Source
ISO Departments; employees; students

4.8.2 Required inputs/resources

 Request for account creation/updating
 Clearance form(s)
 ICT Technical staff

4.8.3 Expected outputs

 User account created, updated or deactivated

4.8.4 Receivers
ISO Departments; employees; students

4.8.5 Process details

SN Description Output Responsibility
1. To create an account, users make a Request for account User
request from ICT Help Desk for a certain creation

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system that they need to perform their

day to day duties in the University.
Current Systems include: E-mail, WIFI,
Navision, Intranet, Staff Portal, and
Student Portal.
2. The System Administrator creates a new User account System administrator
user account in the University System(s)
after verification of validity of the user
requesting a new account.
Accounts are created for staff who are registered
in the Human Resource Module, while Student
accounts are created for students registered in
the semester only. All registered students
automatically access the student portal.
3. A user requests for update of their Request for update User (staff or student)
account(s) from ICT Help Desk.
4. On receiving request for update, the Updated account System administrator
System Administrator updates existing
accounts of the concerned in appropriate
University System(s).
A system Administrator can update user accounts
for staff members who are transferred to other
Departments but inform them of any changes
made to their account.
5. To deactivate user accounts, the staff or Clearance form User(staff or student)
student presents clearance form to the
System Administrator.
6. The account is deactivated Deactivated account System administrator

5.0 RECORDS/EVIDENCE/RETAINED DOCUMENTED INFORMATION

(i) Backup inventory file
(ii) Data Source Manifest
(iii) Repairs book
(iv) Maintenance file
(v) Specification file
(vi) Website update file
(vii) User accounts file

6.0 KEY PERFORMANCE INDICATORS/OBJECTIVES

6.1 Indicators
i. Number of backups done.
ii. Number of system restoration inspection reports.
iii. Percentage of work tickets and inspection reports issued to offices.
iv. Number of work tickets.
v. Number of updates and archives made.

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vi. Number of approved specification.

vii. Number of account created, updated or deactivated
viii. Percentage intrusion incidences

6.2 Quality Objectives

Linked Strategic Objective(s):
SO17: Enhancement of Effective Use of ICT
SO 27: Compliance with Statutory Requirements
SO 30: Development of Motivated Staff
SO 34: Production of Holistic Graduates
1. Quality Objective: To offer at least one ICT skills training to staff and student
representatives every semester
Strategy (Actions/Activities required to achieve the objective)
Carry out survey to identify ICT skills gap
Develop training manuals and post on the website
Train identified staff and students
Responsibility Resources Required Timeline Measure of Success (KPIs)
ICT Manager Training manuals Yearly No. of training manuals
Trainers Semesterly developed
No. of staff and students trained
No. of manuals posted on the
website
Review dates: Yearly

Linked Strategic Objective(s):

SO 3: Enhancement of Academic Competitiveness of the University
SO18: Development of the University ICT Infrastructure
SO 24: Development and Projection of a Positive Image of the University
SO 27: Compliance with Statutory Requirements
2. Quality Objective: To safeguard key systems’ generated customer data through daily and
weekly backups up from monthly
Strategy (Actions/Activities required to achieve the objective)
Perform local and off-site back-ups
Responsibility Resources Required Timeline Measure of Success (KPIs)
ICT Manager Backup sites Weekly Number of backups effected
System administrator Backup media daily and monthly
ICT staff
Review dates: Quarterly

Linked Strategic Objective(s):

SO18: Development of the University ICT Infrastructure
SO 24: Development and Projection of a Positive Image of the University
SO 27: Compliance with Statutory Requirements

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3. Quality Objective: To expand high speed intranet and internet coverage in the University by
deploying new data points to 100% up from 95%
Strategy (Actions/Activities required to achieve the objective)
Identification of areas not covered by WLAN
Procurement and installation of access points
Responsibility Resources Required Timeline Measure of Success (KPIs)
ICT Manager Finances Yearly Number of new data points.
Technical staff Bandwidth capacity.
Review dates: Quarterly

Linked Strategic Objective(s):

SO20: Expansion of the University Web Presence
4. Quality Objective: To create a website for at least four departments up from one department
yearly and link them to the main website
Strategy (Actions/Activities required to achieve the objective)
Collection of key data from the departments
Design of departmental website prototype to collect feedback from the department
Responsibility Resources Required Timeline Measure of Success (KPIs)
ICT Manager Technical staff Yearly Number of new operational
Webmaster websites
Review dates: Quarterly

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RISK REGISTER
Note for monitoring, the responses are: What = risk described. Why = prevent/correct consequence. How = mitigations/controls. Who = risk owner.
Department: CU/SOP/ICT/38 – INFORMATION AND COMMUNICATION TECHNOLOGY
Procedure/Project/Process Name: Information and Communication Technology
Mitigations/ controls Actual Risk as @ 20/8/2019
Risk name/ Risk Likeliho Consequ Potent Risk Monitoring
(Opportunities Risk Owner LA CA RI= RR% = CE%
description Consequences od (L) ence (C) = LxC (When)
source) LA*CA RI/PR
Data storage Loss of data 2 2 4 Data backup System Continuous 1 2 2 50% 50%
media failure Administrator
Theft and Loss of data and 3 3 9 -Data backup ICT Manager Continuous 2 2 4 44% 56%
vandalism of property -CCTV
computing -Employ Security
equipment personnel
-Restrict access of
computer rooms to
only authorised users
Unauthorised Loss of 2 3 6 Implement System Continuous 1 2 2 33% 67%
access confidentiality, authentication and Administrator
integrity and role-based access Network
availability of control Administrator
stored data. -Install intrusion
detection systems
Systems/ Loss of 2 2 4 Help desk Network Continuous 2 0 0 0% 100%
network availability of Power backup Administrator
failure service System
Administrator
Help Desk
In-Charge
Key: LA= Likelihood achieved. CA= Consequence achieved. RI= Risk incidences encountered. RR% = Residual Risk EC (%) = Effectiveness of Control
Potent Risk (PR): Refers to potential raw risk that is anticipated. EC% = 100% - RR%

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OPPORTUNITIES REGISTER
S/N Opportunities Action Plan Timeline Effectiveness
Status
1. Accessible and good Expand internet Annual 100%
communication network connectivity capacity
and scope to cover all
campuses
2. Demand for establishment of Interconnect all Annual 90%
campuses in other regions established satellite
Campuses
3. Increasing demand for higher Provide ICT support to Continuous 90%
education and professional students enrolled for
programmes ODEL
4 Increasing student population Offer internship Once per 100%
in the country opportunities to year
learners
5 Increasing staff population Offer ICT literacy Three 75%
needing ICT skills courses to the staff times per
year

APPENDIX: PROCESS MAPS

i. Process for Data Backup and Archiving
ACTION
RESPONSIBILITY

ICT Manager and System

Administrator
Back-up plan preparation and general backup schedule pattern
Authorization of a ratified, documented back-up plan NO
ICT Manager YES

Carrying out back-ups as scheduled in the back-up plan

SYSTEMS ADMINISTRATOR

Maintenance and archiving of critical data

ICT DEPARTMENT

Archiving of data
SYSTEMS ADMINISTRATOR

Documenting of back-up media and its storage

SYSTEMS ADMINISTRATOR

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ii. Process for Data Recovery and Restoration

ACTION
RESPONSIBILITY

ICT Manager
Preparation of data restoration procedure and guidelines
Selected ICT team and
Regular audits of backup media
System Administrator
Running of database recovery scripts
SYSTEMS ADMINISTRATOR

iii. Process for ICT Equipment Repair

ACTION
RESPONSIBILITY

User

Report a support Issue

Receive support calls and record in repairs book
ICT Helpdesk
Allocate a support issue to appropriate ICT support staff
ICT Helpdesk
Works on the user problem and solves it and signs the repair book
ICT Support Staff
Signs the repairs book and the support issue is closed
Chief Technician & ICT Manager

iv. Process for ICT Equipment Maintenance

ACTION
RESPONSIBILITY

Chief Technician
Prepare annual Maintenance Schedule
Perform annual maintenance of ICT equipment.
ICT Support Staff
Sign annual maintenance work ticket NO
Users
YES
Prepare annual maintenance Report
Chief technician

ICT Manager
Receive maintenance report

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v. Process for updating website

Start

1.0 New information/

request found

2.1 Inform originator that No 2.0 Suitable

document is not suitable for publishing

END 3.1 Finalize document and prepare for sign

3.0 Any No off Modification needed
modification

Yes
4.0. Create changes and prepare for
sign off 3.2 Sign for publication

5.0 Webmaster uploads the request

Yes

6.0 Awaits for webmaster

confirmation

7.1 email for

corrections
7.0. Uploaded No
correctly?

Yes
8.0 Email for approval

9.0 Archive all related documents

END

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vi. Process for providing technical specifications

ACTION
RESPONSIBILITY

User

Provide written request for ICT equipment’s specification

Authorise ICT staff to prepare the specifications
ICT Manager
Prepare and forward the specifications to the ICT manager
ICT Staff
Signs and forward the specification YES

ICT Manager

vii. Process for creating, updating and deactivation of user accounts

ACTION
RESPONSIBILITY

ICT Help Desk

Receive request for account creation

Create account for staff who are active in the Human Resource module and
System Administrator
Students who are registered in the Academic module.
Train the staff/students on how to use their accounts
System Administrator
Update user account appropriately
System Administrator
Receive staff or students clerance form and deactivates all accounts of the
user
System Administrator

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