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Security Options for Restricted-Use Research Data (263709309)
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Transcript of Security Options for Restricted-Use Research Data (263709309)
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Security Options forRestricted-use Research Data
John E Marcotte, PhD
ICPSR
University of Michigan
May 2015
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Security Options forRestricted-use Research Data
Research Data often have special security requirements. Laws and regulations compel compliance.
The purpose of security is to prevent disclosure (or at least make disclosure difficult!)
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My Perspective
� Research Data Provider
� Security Professional
� Researcher
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Security Options forRestricted-use Research Data
I. Data and Disclosure
II. Requirements
III.Compliance
IV.Security Options
V. Questions and Discussion
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I. Data and Disclosure
� Data
� Restricted-use Data
� Sensitive Data
� Disclosure Risk
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Data
� The term “Data” can convey different ideas to researchers and computing professionals.
� For researchers, Data refer to the information to be analyzed
� For computing professionals, Data refer to all information.
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Restricted-use Data
Restricted-use Data contain information that is not publicly available
� Restricted-use Data have security requirements
� Data may be restricted-use because they are sensitive, disclosive or proprietary
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Sensitive Data
Information that can cause harm or legal jeopardy; damage reputation
� Some examples are:
� Health information
� Drug use
� Criminal record
� School record
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Disclosure Risk
Chances of re-identification of research subjects (individuals or organizations)
Disclosure is the identification of subjects
� Personally Identifiable Information (PII)
� Indirect or inferential risk based on combination of variables
� Disclosive data may lead to re-identification
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Disclosure
� Unauthorized people obtain access to data or summary of data
� Explicit identifiers
Laws requiring notification and remediation
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II. Requirements
For researcher to analyze restricted-use data, they must submit:
� Data Security Plan
� IRB approval
� Data Use Agreement between institutions
� Confidentiality pledges
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Data Security Plan
Data Security Plan describes how researcher and institution will prevent misappropriation of data and inadvertent disclosure
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Security Risks
� Unauthorized access
� Break-ins
� Hijacking of the system by malware or botware
� Interception of network traffic
� Loss
� Theft
� Eavesdropping
� Paper output
� Human error
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Special Security
Special security to prevent disclosure:
� Encrypting information at rest and transport
� Blocking unencrypted files and information from being copied to the Internet
� Vetting of results for disclosiveness
� Monitoring of processing to prevent the unauthorized transcribing of disclosivematerial
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Data Leaks
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II. Compliance
� How to ensure compliance:
� Rely on researcher’s agreement to follow protocols
� Implement technology
� External review
� Regulations
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Regulations
� FISMA/NIST
� FIPS 140-2
� Laws:
� Confidential Information Protection and Statistical Efficiency Act, (CIPSEA)
� Family Educational Rights and Privacy Act (FERPA)
� Health Insurance Portability and Accountability Act (HIPAA)
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Professional Staff
Professional staff are needed to:
� Document and implement FISMA/NIST security controls
� Implement special security
� Administer systems
� Vet output
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Loss versus Disclosure
� For secondary data analysis, loss is often preferable to backups and redundancies that might increase the risk of disclosure.
� Loss of encryption keys will render data unreadable but is preferable to increasing disclosure risk
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Consequences
may occur even if disclosure is inadvertent
� Costs of remediation
� Loss of reputation
� Suspension of research
� Suspension of funding
� Barred from future projects
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III. Security Options
� Locked room
� Guarded room
� Vetted output
� Terminal Server
� Non-networked computer
� Private network
� Encryption
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Concerns
� Where are data stored
� Where are data viewed
� Collaboration
� Simultaneous access to data from different sources
� Costs and usability
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Secure Server and Client
� Client computer is
as important as server
� Client can still
disclose
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Collaboration
Data protection
requirements often
impede collaborations
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Simultaneous Access
� Researcher can have access to data from multiple sources but not at the same time
� Data become unacceptably disclosivewhen sources are combined
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Security levels
Depending on the sensitivity and the disclosiveness, restricted-use data for research can be accommodated in one three levels
1)Low to Moderate
2)Moderate to High
3)High to Very High
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Security Levels
Encryption Internet Output Processing
Restricted-use 1 Encrypted Internet blocked Self-vetted Self-monitored
Restricted-use 2 Encrypted Internet blocked Vetted Self-monitored
Restricted-use 3 Encrypted Internet blocked Vetted Monitored
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Restricted-use 1
Option 1
� Non-networked computer
� Locked office
� Server and client are same machine
� Pro: Relatively cheap to setup; two computers with KVM switch
o Con: Impedes collaboration
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Restricted-use 1
Option 2
� Private network without Internet
� Locked room for client and server
� Server and client are different
� Pro: Better collaboration
o Con: May need two client computers
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Restricted-use 2
Option 1
� Terminal Server or Virtual Appliance that allows incoming connections only; files cannot be copied out
� Only authorized personnel can transfer files
� Pro: Allows external vetting
� Pro: Data never leave server
� Pro: Collaboration space
o Con: Expensive to setup for only one or two projects
o Con: Still need office for client
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Restricted-use 2
Option 2
� “Cold” room with secure access
� Only keyboard, mouse and monitor are accessible
� Only authorized personnel can transfer files
� Pro: Allows external vetting
� Pro: Data never leave “cold” room
o Con: Researchers must go to special room
o Con: Impedes research because of inconvenience
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Restricted-use 3
Option 1
� Batch server
� Results are vetted before being returned
� No access to original data
� Pro: Allows external vetting
� Pro: No travel required
o Con: Slow process for getting results that may only be intermediate or for debugging
� Extra: Synthetic data with same structure as original data for interactive testing before batch runs
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Restricted-use 3
Option 2
� “Cold” room with guard
� Only keyboard, mouse and monitor are accessible
� Only authorized personnel can transfer files
� Pro: Allows external vetting and monitoring
� Pro: Data and notes never leave “cold” room; guard inspects everything
o Con: Researchers must travel to special location
o Con: Impedes research because of inconvenience
o Expensive because of personnel
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Costs and Usability
� Restricted-use 3 is the most expensive
and presents the most barriers to research
� Restricted-use 2 is expensive for one project and requires researchers to submit output for vetting.
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Two-factor Authentication
Increasing requirement
for research data
� Something you know
password
� Something you have
fob
� Biometric authentication:
fingerprint, retinal scanners
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Questions and Discussion