DEFENSE PRIVACY & CIVIL LIBERTIES OFFICE Safeguarding Personally Identifiable Information (PII) Samuel P. Jenkins Director for Privacy Defense Privacy

DEFENSE PRIVACY & CIVIL LIBERTIES OFFICE

Safeguarding Personally Identifiable Information (PII)

Samuel P. JenkinsDirector for Privacy

Defense Privacy and Civil Liberties Office

Identity Protection and Management Expo

Orlando, Florida

April 2011


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).

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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.

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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

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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.

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Safeguards should be tailored to the:Size and sensitivity of each system.System-specific vulnerabilities.

Types of Safeguards:Administrative.Physical.Technical.

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Physical Safeguards

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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.

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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.

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Technical Safeguards

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Security Requirements include:

Encryption.Control Remote Access.Time-Out Function.Log and Verify.Ensure Understanding of

Responsibilities.


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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.

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Administrative Safeguards

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Admin Safeguards - Policies

Agencies must have policies in place for PII handling, specifically defining:Affected Individuals.Affected Actions.Consequences.

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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

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Components shall ensure receipt of Privacy Act training, such as:

Orientation Training. Specialized Training. Management Training. Privacy Act Systems of Records

Training.

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Annual Refresher Training.Provided to ensure continued

understand of their responsibilities.All personnel with authorized access

to PII shall annually acknowledging their understanding.

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


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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.

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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.

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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.

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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

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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

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Privacy Impact Assessments (PIA) & System of Records

Notices (SORN)

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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

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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.


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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

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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.

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PIA/SORN Essential Elements

Crosswalk

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PIA/SORN Crosswalk

Privacy Impact Assessment (PIA)/System of Record Notice (SORN) Essential Elements Crosswalk

PIA SORN

What privacy information is collected Categories of Records in the System

Why the information is collected Authority/Purpose(s)

What the intended uses are for the information

Purposes(s)

With whom the information is shared Routine Uses

What opportunities individuals have to decline to provide PII

Privacy Act Statement/Notification procedure

How information is secured Safeguards

What privacy risks need to be addressed Narrative Statement/Probable or potential effects on the privacy of individuals.

Whether a System of Records Notice (SORN) exists

(Not applicable)

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PRIVACY IMPACT ASSESSMENT (PIA)

DoD Information System/Electronic Collection Name:

DoD Component Name:

SECTION 4: REVIEW AND APPROVAL SIGNATURESPrior to the submission of the PIA for review and approval, the PIA must be coordinated by the Program Manager or designee through the Information Assurance Manager and Privacy Representative at the local level.Program Manager or Other Official Signature(to be used at Component discretion)Component Senior Information Assurance Officer Signatureor DesigneeComponent Privacy Officer SignatureComponent CIO Signature(Reviewing Official)

Source: DD Form 2930

PIA/SORN Crosswalk

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Focused on meeting the information requirements of the Agency while ensuring the protection of the rights of the individual in the collection, use and dissemination of PII.

Focused on protecting the information and information systems supporting the operations and assets of an organization.

Privacy’s success is

dependent on establishment of

basic foundation for

information security.

PRIVACY SECURITY

NIST Draft Guide to Protecting the Confidentiality of (PII) (1/09)

Critical Privacy – Security Interface

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PIA/SORN Crosswalk

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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.

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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.”

Documents

DEFENSE PRIVACY & CIVIL LIBERTIES OFFICE Safeguarding Personally Identifiable Information (PII) Samuel P. Jenkins Director for Privacy Defense Privacy