1 IT Security-related Legislation Judy Borreson Caruso CUMREC 2004 May 18, 2004 Copyright Judy Borreson Caruso, This work is the intellectual property of the author. Permission is granted for this material to be shared for non-commercial, educational purposes, provided that this copyright statement appears on the reproduced materials and notice is given that the copying is by permission of the author. To disseminate otherwise or to republish requires written permission from the author.

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3 Presentation Outline IT Security-related Legislation – what is it? Why now? Impact on HE General overview of legislation Focus on a few laws related to E-signature How HE is responding What you should do Resources

4 IT Security-related Legislation – what is it? Includes laws, administrative code, FTC regulations, rulings, etc. Focus on Internet No such thing as “Internet Law” Disparate laws – Federal and State Confusing relationships between them Limited case law

5 Why now? 9/11 fallout Explosion in Internet use Commercialization of the Internet Web usage – easy to violate copyright

6 Why now? Increased interest in: –Protecting confidentiality and privacy –Protecting copyright New technologies enable: – Spam –Peer-to-peer –Viruses/worms/hacks

7 How do they impact higher ed? Often created for other industries –HIPAA for health insurance –GLBA for financial Higher Ed is in multiple industries –Loans –Health care –Debit cards –Publication –Research discovery –Education Need legal counsel/audit

8 FERPA Prepared by Judy Caruso, Copyright © 2004, University of Wisconsin Board of Overlap Among IT Security-Related Laws in the beginning there was FERPA...

9 FERPA GLBA UETA E-SIGN SOX CAN-SPAM Business Processes Electronic Records Prepared by Judy Caruso, Copyright © 2004, University of Wisconsin Board of Regents Overlap Among IT Security-Related Laws

10 FERPA GLBA UETA E-SIGN SOX U.S.A. PATRIOT Act CAN-SPAM CDC Select Agent Program Bio- terrorism Protection Act Business Processes Anti- Terrorism Electronic Records Law Enforcement Prepared by Judy Caruso, Copyright © 2004, University of Wisconsin Board of Regents Overlap Among IT Security-Related Laws ECPA CFAA

11 FERPA GLBA UETA E-SIGN SOX U.S.A. PATRIOT Act DMCA CAN-SPAM CDC Select Agent Program Bio- terrorism Protection Act TEACH Copyright Business Processes Anti- Terrorism Instruction Electronic Records Law Enforcement Prepared by Judy Caruso, Copyright © 2004, University of Wisconsin Board of Regents Overlap Among IT Security-Related Laws ECPA CFAA

12 FERPA HIPAA GLBA UETA E-SIGN SOX U.S.A. PATRIOT Act DMCA CAN-SPAM CDC Select Agent Program Bio- terrorism Protection Act TEACH Copyright Business Processes Anti- Terrorism Research Instruction Electronic Records Health Human Subjects Law Enforcement Prepared by Judy Caruso, Copyright © 2004, University of Wisconsin Board of Regents Overlap Among IT Security-Related Laws ECPA CFAA

13 E-Signature Legislation Student Loan E-Signature Regulations FERPA E-Signature Regulations E-Signature Law (E-sign) UETA– Uniform Electronic Transactions Act All procedural statutes

14 E-Signature Rules for Student Loans Issued by Department of Education – 2001 Creates standards for E-Signatures in Student Loan transactions Created a FAFSA-PIN service (Free Application for Federal Student Aid)

15 E-Signature modification to FERPA Proposed in 2003 – effective May 24, 2004 “Signed and dated written consent” may include a record and signature in electronic form. It must: –Identify and authenticate a person as the source of the consent –Indicate the person’s approval Technology neutral Refers to student loan standards as acceptable standard Specifically acknowledges the existence of the E-Sign Act

16 E-Sign Act (Electronic Signatures in Global and National Commerce) Signature, contract or other record may not be denied legal status solely because it’s in electronic form Has consent requirements State governments cannot pre-empt unless they do so by passing UETA

17 UETA – Uniform Electronic Transaction Act State law – passed by 44 states Allows use of electronic records and electronic signatures Drafted specifically to remove barriers to electronic commerce

18 How do these e-signature rules/laws interact? UETA/E-Signature overlap –UETA has provisions not in E-Sign –E-Sign has provisions not in E-Sign –E-sign permits states to pre-empt E-Sign if they passed UETA –Both are technology neutral –Both require consent but E-Sign goes further

19 How do these e-signature rules/laws interact? E-Sign extension to Student Loans/FERPA –Student Loans rule from 2001 is referred to in FERPA rule –For student records, some institutions already implemented e-signature before the FERPA change –It’s more specific than E-Sign but refers to it E-Sign Law and FERPA E-Sign rule –Both have consent requirements

20 How are institutions implementing E-Signature?

21 What we’re doing at Wisconsin Discussing! Consent for each individual transaction or for a group of transactions? Do E-signature and FERPA e-signature laws complement each other? When in doubt – ask consent

22 Institutional approach and costs Dedicate staff Get a lawyer/security officer/internal audit Compliance penalties Cost of a breach –Real $ –Institutional reputation –Cost of communication –Loss of trust

23 Overall steps you can take Overall: –Involve CIOs/ Institution Executives –Discuss with campus legal, auditors, security officers –Work with functional users

24 Steps you can take 1.Institutional assessment 2.Review what other institutions are doing 3.Look at advice from EDUCAUSE, NACUBO, etc. 4.Review state and local law, as well as federal

25 Steps you can take 5.Create security policies and best practices 6.Assess individual systems/procedures Printing SSN’s Sending un-encrypted patient information Data warehouse use Obsolete authorizations Etc. 7.Assess system integration processes/procedures

26 Steps you can take 8.Educate staff regarding copyright, laws, protecting confidentiality/privacy 9.Understand interaction between electronic records and physical security – work with police 10.Prioritize - addressing those areas with the greatest problems and largest vulnerabilities first 11.Monitor and enforce policies/procedures

27 What to do first Institutional assessment: –Who’s working on this? –Overall compliance Education and training

28 Resources p.htmlhttp:// p.html