Spalding University Breach of Personal Information Notification Policy

I. Introduction

This policy is designed to conform to Federal and State laws regarding notification of the potential loss or theft of personal information of faculty, staff and students by the University. This Protocol sets forth the circumstances and procedures under which required notification will be made.

II. Definition

A. “Personal Identifiable Information” is defined by the Act to mean a person’s first name or first initial and last name in combination with other personal information such as:

1. Social security or employer taxpayer identification number.
2. Driver’s license, State identification card, or passport numbers.
3. Checking account numbers.
4. Savings account numbers.
5. Credit card numbers.
6. Debit card numbers.
7. Personal Identification Number (PIN code).
8. Electronic identification numbers, electronic mail names or addresses, Internet account numbers, or Internet identification names.
9. Digital signatures.
10. Any other numbers or information that can be used to access a person's financial resources.
11. Biometric data.
12. Fingerprints.
13. Passwords.
14. Parent's legal surname prior to marriage.

Personal information does not include publicly available directories containing information an individual has voluntarily consented to have publicly disseminated or listed, including name, address, and telephone number, and does not include information made lawfully available to the general public from federal, State, or local government records.

B. “Security Breach” is defined by the Act to mean: an incident of unauthorized access to and acquisition of unencrypted and unredacted records or data containing personal information where illegal use of the personal information has occurred or is reasonably likely to occur or that creates a material risk of harm to a consumer. Any incident of unauthorized access to and acquisition of encrypted records or data containing personal information along with the confidential process or key shall constitute a security breach.

Good faith acquisition of personal information by an employee or agent of the University for a legitimate purpose is not a security breach, provided that the personal information is not used for a purpose other than a lawful purpose of the University and is not subject to further unauthorized disclosure.

III. Procedures in the Event of a Security Breach

A. Containment, Classification, and Report of a Breach.

1. Containment: The first priority after a security breach is discovered is to contain the breach and notify supervisory personnel as quickly as possible. For any category of breach, the data must be secured, and the reasonable integrity, security, and confidentiality of the data or data system must be restored.
2. Classification: The next step is to determine the exact nature of the breach in terms of its extent and seriousness. Is personal information easily accessible?
3. Internal Reporting of a Breach: As soon as a breach has been identified, the employee who discovered it must take immediate steps to report the breach to his or her supervisor. The supervisor must take immediate action to determine the extent and category of the breach and to take such further action as is necessary to contain the breach or recover the missing data. Assistance from the Information Technology Department, Campus Safety, or any other office with relevant expertise should be requested as soon as possible. For example, if the potential or actual breach involves electronic equipment, Campus Safety must be immediately notified. If the potential or actual breach involves loss or theft of University-owned equipment or other criminal activity, notify Campus Safety. In all cases of a breach, University Counsel must be notified as soon as practicable.

The supervisor must document the breach, noting the category involved, the scope of the breach, steps taken to contain the breach, and the names or categories of persons whose personal information was, or may have been, acquired by an unauthorized person. A copy of that documentation must be sent to University Counsel

B. Notification to Victims

1. Time for Providing Notification. The University shall notify affected individuals without unreasonable delay according to the attached “Security Breach Notification Guidelines.” However, notification shall be delayed if law enforcement informs the University that disclosure of the breach would impede a criminal investigation or jeopardize national or homeland security. A request for delayed notification must be made in writing or documented contemporaneously by the University in writing, including the name of the law enforcement officer making the request and the officer’s agency engaged in the investigation. The required notification shall be provided without unreasonable delay after the law enforcement agency communicates to the University its determination that notification will no longer impede the investigation or jeopardize national or homeland security.

2. Responsibility for Providing Notification. The responsibility for providing notification shall lay with the Vice President of Academic Affairs or University Registrar for students and faculty and the Director of Human Resources for staff, or, in some cases the University President. The University Counsel will review the proposed notification before it is sent and will assist in drafting as required. A copy of the notification will also be provided to the Executive Director of Marketing prior to the time it is posted or sent to affected individuals.

3. Contents of the Notification. Notification shall be clear and conspicuous and include a description of the following:

a. The incident in general terms.
b. The type of personal information that was subject to the unauthorized access and acquisition.
c. The actions taken by the University to protect the personal information from further unauthorized access. However, the description of those actions may be general so as not to further increase the risk or severity of the breach.
d. A telephone number that the person may call for further information and assistance.
e. Advice that directs the person to remain vigilant by reviewing account statements and monitoring free credit reports.

4. Method of Notification. Notification to affected persons must be provided by one of the following methods unless substitute notification is permitted:

a. Written notification, or
b. Electronic notification, for those persons for whom the University has a valid e-mail address and who have agreed to receive communications electronically, or
c. Telephonic notification provided that contact is made directly with the affected persons.

5. Substitute Notification. Substitute notification may be given if:

a. The cost of providing the notification exceeds $250,000;
b. The University does not have the necessary contact information to notify an individual in any of the aforementioned manners; or
c. The University is not able to identify particular affected individuals.

Substitute notification shall include all of the following:

d. E-mail notification when the University has an electronic e-mail address for subject persons;
e. Conspicuous posting of the notification on the University’s Web page; and
f. Notification to major local media.

6. Additional Notification Requirements. If a security breach involves notification to more than 1,000 persons, the University Counsel shall notify, without unreasonable delay, Louisville Metro Police Department and State Attorney General’s Office, as well as all consumer reporting agencies that compile and maintain files on consumers on a nationwide basis of the timing, distribution, and content of any notification.

IV. Effective Date
This Protocol is effective June 30, 2009.