1. Data Protection in Higher Education: Recent Experiences in Privacy and Security Institute for Computer Law and Policy Cornell University June 29, 2005 Dave Millar, Information Security Officer Lauren Steinfeld, Chief Privacy Officer

2. 2 Overview Why is Privacy Challenging in Higher Education Recent Environment Role of CPO and ISO Privacy and Security: Conflicts and Collaborations Risk Assessment Tool -- SPIA Conclusions

3. 3 Why is Privacy Challenging for Higher Ed? Range and volume of personal data held: Employees Faculty Students Alumni Donors Research subjects Parents Others Vast and complex services Academic programs Patient care Research Financial aid Legal Audit Library IT Housing Dining Parking Facilities management Decentralization / distributed systems and processes Older, less manageable systems – often containing SSNs as keys to identity Open IT systems Academic Freedom Greater security risks

4. 4 Recent Environment Increased regulation in privacy and security –Previously: data protection for higher ed was largely covered by FERPA –Recent regulation: HIPAA privacy and security, GLBA safeguards, FACTA, CAN SPAM, PCI Standards, and more More local data opportunities in decentralized environment –More people building their own –More independent and creative uses and sharing of data More security threats to data, systems, networks

5. 5 Role of CPO Relatively new in higher ed At Penn: Housed in Office of Audit, Compliance, and Privacy (new) Official Activities –Education, Training, Awareness –Risk Assessment –Risk Remediation –Oversight and Monitoring Other functions –Championing discussion of issue –Serving as point of contact for questions / concerns –Coordinating compliance activities

6. 6 Role of ISO Education, awareness, training Incident response Protecting data –Enforce existing policy – primarily by managing exceptions identified through pro-active scanning –Identify weaknesses where best practices are not being followed – e.g. password policies, patching, Windows domain administration –Bring management attention to problem areas –Advancing new security policy agendas

7. 7 Examples of Recent Initiatives CPO Awareness focus: ID Theft, Records Destruction SSN Usage Survey Electronic Payments Policy Online Directory HIPAA Privacy FERPA Consent Online Security and Privacy Impact Assessments CAN SPAM Guidance FACTA compliance Incident Response Privacy Liaisons ISO Proactive Scanning Policy Work –Additional on Critical Host Policy –Host Security HIPAA Assessments and Policy Security and Privacy Impact Assessments Wired Authentication Incident Response Incident Management Reports Patch Management Campus-wide awareness

8. 8 Privacy and Security: Conflicts and Collaborations Conflicts: –Wired Authentication –Electronic Monitoring –Intrusion Detection Collaborations –Awareness –SPIA –Incident Response –PCI Standards

9. 9 High Impact Example: Risk Assessments – Security and Privacy Recognizes the complementary potential of the two issues Team: Security, Privacy, Audit, Business Services Draws on: –Pilot results of v1 SPIA tool –Randy Marchany’s STAR Virginia Tech model –HIPAA Security model –Audit approach

10. 10 Security and Privacy Impact Assessments – Basic Approach Phase I: High Level Inventory, Prioritization / SPIA Planning –IT Director of Unit performs inventory and high-level prioritization of assets for 3 year plan for performing SPIAs –Highest priority (including “Critical Hosts” in next FY) Phase II: Actual Risk Assessment –Inventory specific assets (applications only) –For each asset Score likelihood and consequence of certain risks / threats Evaluate potential risk mitigation strategies and develop plan for such mitigation Re-assign, based on mitigation plan, likelihood and consequence of risks / threats Phase III: Reporting –IT Director? –CPO / ISO? –Source Steward(s)? (link to data stewardship) –Advisory Board?

11. 11 Conclusions Close collaboration between privacy and security is very effective –Organizational independence allows us to be more effective. –We fine-tune each others’ educational materials and messages. Double the person-power reaching out to different audiences broadens impact –The issue of privacy and risks of identity theft and institutional risk bring a high level of management attention to technical lapses. –Areas of conflict are addressed in a manner that gives due attention to each of the competing interests Continued work on how to best leverage the different focus areas, backgrounds, expertise, partnerships from each office for the overall institutional benefit