Ensuring IT Security: Policies, Training &Technology

USF IT Security

HIPAA Practice

• All USF workforce members utilizing/ coming in contact with HIPAA Protected Health Information (PHI) must complete this training program and pass the security quiz at the end of Part 4.

• Employees directly involved in research with PHI must complete one additional module describing the relationship of HIPAA to the research process.

The purpose of this training is to provide USFfaculty & staff information on:

• USF data security requirements & procedures

• The Privacy Rule of the Health Insurance Portability and Accountability Act (HIPAA)

• The HITECH provisions of the ARRA Act

General Network Information and Security Procedures

Part 1

Accessing the USF Network

USF Computer Network

USF employees workon computers that arelinked through a networkthat connects allcomputers at the

university

The network allows users to share computing resources and increases efficiency for all computer users.

A log-in ID and a secure password are needed to allow you to access this system.

USF Computer NetworkWith an ID and password, you are able to:

Use email

Access shared files & information stored in databases

Use hardware such as printers and scanners

Use software such as web browsers & virus protection programs.

The USF Information Technologies (IT) Office will help you establish a log-in ID that will be a unique identifier linking you to all of your computer transactions.

Secure Log-in ID

Secure Log-in ID

Like a fingerprint, your ID can be traced for all authorized and unauthorized activities conducted on the USF network.

Secure Password You will need to establish a secure password to

ensure that you and only you can access your network account and files.

Your secure password should NEVER be shared with others, including co-workers or family members.

Secure Password

To maximize security, passwords must be at least eight characters long and contain 3 of the following 4 types of characters: upper case letters, lower case letters, numbers; or special characters such as ! # &.

Example: GoBulls2!

Please don’t select this as yourown password – make up one yourself!

Password Aging All users will be asked to change their network

password every 6 months.

You will be prompted by email when it is time to change your password.

If you do not change your password in a timely manner, your account will be temporarily locked.

Appropriate Use

All USF users sign a statement agreeing to use the USF computers and network only to conduct activities related to the mission and business purposes of the University.

Closing Accounts

All USF computer accounts are automatically closed when employment ends. Some transitional services (such as auto-forwarding of e-mail messages) may be offered as allowed by USF policy.

USFNetwork Security

General Network Security It is very important to protect all computer users at

USF from loss or corruption of files and data on the network.

Network security is maintained through procedures and technical tools designed to prevent negative events like viruses, intrusion, and data loss.

These negative events have the potential to harm everyone connected within our computer network.

What is a computer virus? A computer virus is a bit of computer

programming code that instructs the computer to do something you did not intend for it to do.

The virus is usually invisible to the user until AFTER it has attached itself to the computer.

How do you get a computer virus?Most computer viruses enter a computer from program or file “downloads” (for example, e-mail attachments) or from transfers from external disks (floppies, USB drives).

Although all USF PCs have a virus protection program installed, we all must be VERY CAREFUL about what we download to our computers.

Are viruses dangerous?

Some viruses are simply a nuisance, but others can seriously harm the network and permanently damage computers and data.

The cost of restoring the system after a virus attack is very high in both time and money.

How do viruses work?

•Some viruses open pathways or holes in the system to provide access for later intrusion into the network.

Some viruses and intrusions are more damaging than others, but all of them represent a hole in the security of the network.

An intruder may not be interested in what is on your computer, but may be searching for an unprotected point of access to the network.

A virus may even send sensitive information from your computer to another unauthorized location.

USFE-mail Policies

Access to E-mail USF has established an electronic mail (e-mail)

system to improve communication and facilitate the important work at USF.

E-mail may be accessed directly from USF network computers, or remotely from other locations (e.g. home computer) through the USF web-server, using a log-in ID and secure password.

Appropriate Use

All communications using the USF e-mail system should be courteous and professional and should comply with USF anti-harassment policies, i.e., unwelcome, offensive or otherwise inappropriate messages are prohibited.

The USF e-mail system may not be used for:

• lobbying activities• political or religious causes• private, commercial ventures

E-mail Messages are Public Records All e-mail created, transmitted,

and stored in the USF e-mail system are the property of USF and become part of the public record of the University.

Your e-mail messages may be released by the University upon receipt of a public records request.

If you don’t want to read about it in the newspaper, don’t put it in email.

E-mail Monitoring

USF reserves the right to review, audit, intercept, access, and disclose email.

However, your email will be treated as confidential and will be accessed only when necessary.

RemoteAccess

Remote Access

Employees who need remote access to the USF Network for purposes other than email must use Microsoft Remote Access or for HIPAA access the GoToMyPC remote access software.

GoToMyPC uses “encryption” to transfer information in a secure manner.

An application to establish a GoToMyPC account may be obtained from the CBCS Administrative Office.

What is encryption? Encryption is the conversion of data into a form that

cannot be easily understood by unauthorized people.

An encrypted computer will require you to enter one additional password as the PC or laptop boots up.

Laptop Security

All USF owned laptops (i.e., those that have a USF Property barcode tag) must have their entire hard disk drive encrypted.

Laptops will be encrypted by the IT staff during the initial setup of all new purchases.

Why is laptop encryption required? Because of the

portability of laptops, the chances of a lost or stolen laptop are higher than an office-based work station.

Thus, laptop encryption is used to protect our confidential data.

If only it had been encrypted…•A thief who stole a laptop from UC Berkeley might have walked off with more than a computer. The thief wandered into a building and snatched the laptop off a desk. The laptop contained personal data, on more than 100,000 UC Berkeley alumni or applicants, such as their Social Security numbers, birth dates and addresses.

•The school had to notify ALL 100,000 consumers who might have had their data compromised, some whom had graduated as long ago as 1976!

•Adapted from article by:

• MICHAEL LIEDTKE, AP Business Writer

What do I do if my laptop is stolen or lost?

Immediately contact the IT Help Desk at USF and report the loss.

The IT staff will help you secure sensitive data, investigate and document the loss, and report the incident to the proper authorities.

Adding

New Equipment

to the Network

If you purchase new computer equipment and want it connected to the USF network, it must comply with USF standards and be approved prior to purchase by the IT department.

If you purchase new equipment..•Contact the IT Help Desk at USF for additional information or go to the policy section of the IT website:

•http://it.usf.edu/policies.cfm

USF Security

Policies and

Procedures

Part 2

Part 2 of this training program provides an overview of USF

computer security policies and procedures.

Basic Principles

Faculty and staff at USF often use sensitive and confidential data to conduct research and evaluation studies.

Data security is not only an obligation of individual researchers, but also of the University, it’s Colleges and Institutes as academic entities.

Potential Dangers

Internet hackers Access by unauthorized users Improper printing or distribution of protected

electronic information Inappropriate use or access by employees Other threats to protected information

Because USF stores confidential information, our data systems must be protected against:

Risk Assessment To enhance the security of our data, USF

systematically monitors its network for intrusions, security incidents, and inappropriate activity.

USF also conducts periodic audits of all PC’s and network devices.

Security InfrastructureOur security infrastructure includes:

clear policies and procedures

secure facilities and equipment

shared responsibility for information security among faculty and staff

Information Security

The USF security infrastructure includes the:

• Information Security Officer (ISO)

• Information Security Coordinator (ISC)

• Data Network Committee

• Information Liaison to each College and Dean

USF IT Liaison

• Rick Jones acts as the liaison between USF IT and CBCS for all issues needing escalation between the two entities

Part 3

HIPAA:Basic Information for All Employees

What is HIPAA?

HIPAA stands for the Health Insurance Portability and Accountability Act.

Congress passed HIPAA in 1996 to make health insurance eligibility “portable” from one employer to the next when employees change jobs or have a change in family status.

Congress passed HITECH in 2005 significantly affected HIPAA, including changes to security and privacy rules, increased enforcement and more severe penalties

HIPAA establishes a civil right to the protection of personal health information through the U.S. Department of Health and Human Services.

Health Information is any information created or received that relates to the past, present, or future physical or mental health of an individual.

What is Protected Health Information?

Protected HealthInformation (PHI) is any information that contains data that may be used to directly or indirectly identify an individual.

Elements that can make Health Information identifiable:

Address/geographic info Name of employerName Names of relativesTelephone # Fax numberEmail address Birthdate; other datesFinger or voice prints Photo image/x-raysSocial Security # Internet IP addressVehicle I.D./device serial # Web URLHealth plan # Medical record #Certificate/license # Account #

Does USF Have PHI data?Yes, we house private information for individuals receiving services through Medicaid, Medicare, as well as mental health and substance abuse services. These data setscontain names, Social Security numbers, addresses, patient ID numbers, and other identifiers and are protected health information.

PHI is protected in any form: database or computer filesemailconversationsdocumentshand-written notesstudent logs

Can PHI be used in research?

Yes. PHI may be used for research with the express authorization of the individual or through other measures designed to protect the privacy of the individual.

What is the impact on USF?

USF must provide as good, or better, security for sensitive data than the agencies and providers from whom we obtain the data.

Non-compliance with HIPAA can result in:

Minimum Penalties“Did not know”› Tier A $100

“Reasonable cause”› Tier B $1,000

“Willful neglect”› Tier C $10,000

“Uncorrected violation”› Tier D $50,000

Maximum Penalties

› Tier A $25,000

› Tier B $100,000

› Tier C $250,000

› Tier D $1,500,000

How does USF protect PHI data?

1. policies and procedures on Information Technology & Security through a HIPAA Practice established in the IT Security Department

2. training activities for employees

3. secure technology enhancements and risk assessment procedures.

Information security is the key to protecting PHI data. USF has developed

Breach Notification

• Breach generally is the unauthorized acquisition, access, use or disclosure of PHI.

• Breach Notification – must provide notice, via first class mail, to the affected person(s) within 60 days of the breach.

• In any case in which 500 or more persons are affected by a breach, notice to major media outlets must occur.

•USF has security policies addressing:

•Data procurement and use

•Data access and security

•Security incident reporting

•Regular review of systems activity

•For more information on specific policies, please contact USF IT or go to the policy webpage:

•http://it.usf.edu/security

Policies

USF Training

Specialized training for USF faculty and staff who use data that are subject to HIPAA guidelines.

We provide training through mandatory, periodic, basic training for all USF faculty and staff on security procedures and through

USF Technology Security

USF has implemented several technological enhancements to address security concerns.

USF Technology SecurityWe have installed a Firewall to protect our network. A firewall is computer hardware and/or software that limit access to a computer network from an outside source. Firewalls are used to prevent computer hackers from getting into computer systems.

Restructured the USF computer network to increase security

Implemented the use of the GoToMyPC software for external data access to HIPAA ePHI

USF Technology Security

ProtectedData

Part 4

Who can be an Authorized User ?

An authorized user is a person who has:

• completed this USF training module;

• received permission to use the sensitive data (including collecting such data themselves);

• been approved by the IT Security Office to use the USF secure data servers.

Becoming an Authorized User

To become an authorized user, submit an application to the HIPAA Security Director. The form may be obtained from USF IT.

A complete application will include supporting documentation of appropriate training as shown on next slide.

Application Documentation1. The certificate indicating that the applicant has

completed the training on Human Subjects/Institutional Review Board (IRB) procedures required by the USF Division of Research Compliance.

2. A certificate from the IT Security Department indicating that this USF training on data security and HIPAA guidelines has been completed (may be submitted electronically)

3. If applicable, a signed Data Confidentiality Procedures agreement from the source from which the data were received (e.g., DCF, AHCA)

What is a Data Custodian?The custodian of the data set is an authorized user who has primary responsibility for:

• Developing the data use agreement with the source

• Approving the scientific use of the data

• Communicating with the IT HIPAA Security Director regarding the storage of data on a secure server

• Ensuring that individuals who access data are appropriate co-investigators and have the approval of the data source (e.g., AHCA) to use these data.

All research data at USF, including data from active projects and archived data from inactive projects, are potentially subject to the regulation.

Three categories of data are subject to regulation:

• Protected Health Information (see previous section)

• Sensitive, personally identified data

• Non-sensitive or de-identified data

Sensitive, Personally Identified Data

Sensitive, personally identified data are:

Any research data (such as demographic characteristics) that contain information that might allow an individual’s identity to become known to others (who do not have authorization to see the data).

In brief, sensitive data is all non-PHI data that allows the identification of participants

Non-sensitive or de-identified data

Non-sensitive or de-identified research data is any data where all identifiers have been removed or individual persons/entities cannot be identified.

Non-sensitive or de-identified data should be secured in a manner that the data owner or investigator determines is reasonable and appropriate.

Protecting Data at USF•Any data obtained or maintained by USF faculty or staff that include sensitive and/or PHI data, should be protected from unauthorized disclosure.

•It is recommended that all such data be stored on USF secure data servers.

•Any data not stored on an USF secure server should be stored according to the Generally Accepted System Security Principles (GASSP) of the International Information Security Foundation.

Sharing data with other users…

If the source of the sensitive data asks you to provide or share sensitive data with specific individuals, specific procedures must be used (continued on next slide).

• The request from the source should be in writing (or via confirmed e-mail) and kept on file

• The request should be specific as to what data sets are to be given the person

• The person who will gain access to the data must complete the process to become an authorized user

• No authorized user can allow anyone else to access or use data without following credentialing/approval by the USF IT HIPAA Security Director.

Archived DataIf you have data that are no longer needed:

•Determine if the data can be destroyed or deleted from server (this should comply with any data use agreements);

•Maintain documentation on file that the PI has removed the data from his/her PC or other form of data storage and secured it appropriately.

Paper Copies of Data If you print copies of

sensitive/PHI data, the printed documents should never leave the USF premises and should be secured promptly.

Non-secured printouts should be shredded – never discarded or recycled.

Notification of Data Acquisition

The department chair or other designated authority should notify the HIPAA Security Director when a research project that will use sensitive data is approved at the departmental level.

Any USF investigator acquiring sensitive data should send a brief description of the data to the HIPAA Security Director.

•The investigator may request that the data be kept on a Data Server under high security.

• The investigator may also choose to keep sensitive, primary data (data collected by the researcher for a specific research project) outside of a secure data server providing that the researcher demonstrates adequate proof of security. That proof must be filed with the HIPAA Security Director.

Data Access by Non-Authorized Users

•All disclosures of sensitive/PHI data to non-authorized users must be approved by the custodian, with notice provided to the HIPAA Security Director.

Project Closure

Custodians for sensitive data sets should inform the HIPAA Security Director when:

• Projects have ended and the data can be archived

• Computers are to be removed from the network and inactivated

• We hope this training program has increased your understanding of the importance of utilizing secure procedures in your job.

• All employees will need to complete a short quiz to reinforce your knowledge of critical security procedures.

HIPAA Training• Individuals who will be conducting research

projects or who will be working with PHI data should also complete the training module on the impact of HIPAA on research at USF.

•Please proceed to the security quiz.

•Click on the following link, print and complete the quiz, and send it to the USF IT HIPAA Security Office, SVC 4010.

•LINK