Safeguarding Personally Identifiable Information PII Samuel P. Jenkins Director for Privacy Defense Privacy and Civil L

2. Purpose The purpose of this presentation is to provide a summary of the administrative, physical, and technical safeguards that are applicable to systems that collect, use, maintain, or disseminate personally identifiable information (PII).

3. Objectives Upon completion of this presentation, you should be able to: Understand the role of safeguards that should be applied to systems of records (SORs). Explore the physical, technical, and administrative safeguards for protecting PII. Define the role of Privacy Impact Assessments and SORNs in safeguarding PII.

4. The Privacy Act of 1974 requires agencies to: Establish Rules of Conduct. Establish Safeguards. Maintain accurate, relevant, timely, and complete information. Privacy Act and Safeguards

5. Privacy Act and Safeguards Safeguards are used to protect agencies from “reasonably anticipated threats.” Threats may cause harm, embarrassment, inconvenience, or unfairness. Threats to personal information include: Unauthorized access. Unauthorized alteration. Unauthorized disclosure.

6. Privacy Act and Safeguards Safeguards should be tailored to the: Size and sensitivity of each system. System-specific vulnerabilities. Types of Safeguards: Administrative. Physical. Technical.

7. Physical Safeguards

8. Physical Safeguards Paper records should be stored in locked cabinets. Records being faxed or mailed should have a coversheet. Facilities handling PII should be access controlled and hardware should be locked up. Never leave files, storage media, or computers unattended or in vehicles.

9. Physical Safeguards Records Disposal – Retirement or deletion of a record does not obviate need for safeguards. Must render discarded info unrecognizable and beyond reconstruction. Destruction should be tailored to the time of media involved. Paper – burn, shred. Electronic – overwrite, degauss incinerate.

10. Technical Safeguards

11. Security Requirements include: Encryption. Control Remote Access. Time-Out Function. Log and Verify. Ensure Understanding of Responsibilities. Technical Safeguards

12. Technical Safeguards Ensure all emails with PII are encrypted and that all recipients have a ‘need to know.’ Ensure records are access controlled. PII on shared drives should only be accessible to people with a ‘need to know’ Ensure Social Security numbers (including the last 4) are not posted on public facing websites.

13. Administrative Safeguards

14. Admin Safeguards - Policies Agencies must have policies in place for PII handling, specifically defining: Affected Individuals. Affected Actions. Consequences.

15. Agencies are responsible to ensure staff handling PII are adequately trained: Training must be commensurate with an individual’s responsibilities. Training will be a prerequisite before permitted access to DoD systems. Such training is mandatory for affected DoD personnel and contractors. Admin Safeguards - Training

16. Admin Safeguards - Training Components shall ensure receipt of Privacy Act training, such as: Orientation Training. Specialized Training. Management Training. Privacy Act Systems of Records Training.

17. Admin Safeguards - Training Annual Refresher Training. Provided to ensure continued understand of their responsibilities. All personnel with authorized access to PII shall annually acknowledging their understanding.

18. DoD Components shall expand their training materials and program to include specific privacy and security awareness segments to their training program(s). Admin Safeguards - Training

19. Admin Safeguards – Breach Handling Existing Requirements: FISMA Requirements. Incident Handling and Response Mechanism. OMB M-07-16 modified breach reporting rules. Modified Agency Reporting Requirements: US-CERT Modification. Develop and Publish a Routine Use. Effective Response. Disclosure of Information.

20. Admin Safeguards – Breach Handling Breach Notification: Criteria to Consider: Whether Breach Notification is Required. Timeliness of the Notification. Source of the Notification. Contents of the Notification. Means of Providing Notification. Who Receives Notification: Public Outreach in Response to a Breach.

21. Admin Safeguards – Review & Report Under the Federal Information Security Management Act (FISMA) agencies must: Review PII holdings & report to Congress Annually. Review and reduce the volume of PII. Specifically, Agencies Must Reduce the Use of Social Security Numbers. Eliminate Unnecessary Use. Explore Alternatives.

22. As part of FISMA privacy reporting, DoD Components are required to: Confirm that they have established, or are in the process of establishing, PII review plans; or Provide a schedule for periodically updating their review of their holdings. It is DoD policy that: All automated systems containing PII are registered in the Defense Information Technology Portfolio Repository (DITPR). Admin Safeguards – Review & Report

23. It is DoD policy that (continued): Updates to OMB be designed so that: IT systems with PII reviewed on same cycle as Defense Information Assurance Certification and Accreditation Process (DIACAP). PIA/SORNs reviewed at least once every two years. Components shall report results to DPCLO on FISMA schedule. Admin Safeguard – Review & Report

24. Privacy Impact Assessments (PIA) & System of Records Notices (SORN) 

25. A Privacy Impact Assessment (PIA) is an analysis of how information is handled to: Ensure handling conforms to applicable legal, regulatory, and policy requirements. Determine the risks and effects of collecting, using, maintaining, and disseminating PII in an electronic information system, and Mitigate potential privacy risks. OMB 03-22 (9/26/2003), EGOV 208(b) Admin Safeguards – PIAs & SORNs

26. When is a PIA Required when PII is collected from: Existing information systems and electronic collections where a PIA has not previously been completed and that collects PII about Federal personnel and contractors. New information systems or electronic collections: Prior to developing or purchasing; and When converting paper records to electronic systems. Admin Safeguards – PIAs & SORNs

27. A PIA is not required when the information system or electronic collection: Does not collect, maintain or disseminate personal identifying information. Is a National Security System (including systems that process classified information). Admin Safeguard – PIAs & SORNs

28. Admin Safeguards – PIAs & SORNs What is a SORN? A SORN is a public notice of an agency’s intent to collect & retrieve PII in a SOR. SORNs include: The safeguards that will be applied to the system. The who, what, why, and where of the system. Processes for access and correction of records. A SORN must be published in the Federal Register before a system can begin to collect PII.

29. PIA/SORN Essential Elements Crosswalk

30. PIA/SORN Crosswalk 

31. PIA/SORN Crosswalk

32. 32 PIA/SORN Crosswalk

33. Summary You should now be able to: Understand the role of safeguards that should be applied to systems of records (SORs). Explore the physical, technical, and administrative safeguards for protecting PII. Define the role of Privacy Impact Assessments and SORNs in safeguarding PII.

34. Resources DoD 5400.11-R, Department of Defense Privacy Program, May 14, 2007. OMB M-07-16, Safeguarding Against and Responding to the Breach of Personally Identifiable Information, May 22, 2007. DoD Implementation: Safeguarding Against and Responding to the Breach of Personally Identifiable Information (PII), June 5, 2009. DD Form 2930, “Privacy Impact Assessment (PIA),” 2008. OSD Memorandum 13798-10, “Social Security Numbers Exposed on Public Facing & Open Government Websites.”