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Research Support

“CCSS aims to provide Cornell researchers with the most comprehensive and advanced research support in the social sciences. Let us know what else we can do to support your research needs.” – Peter K. Enns, Robert S. Harrison Director

CCSS Research Support is...

A Cornell support unit that provides a full continuum of data and compute-related services to assist the social science research and education community, with focused and multidisciplinary research and learning endeavors. There is a range of support provided through our extensive consulting team within each of our four core service areas of:

CCSS Research Support Policies

All CCSS Research Support and CRADC researchers are held to a strict standard of compliance based on CCSS and Cornell University policies. Please read the associated documents to ensure that you are in compliance.  If you have any questions regarding these policies, please contact CCSS Research Support.

Universal Policies

  • CCSS Research Support Resources Terms of Use

    POLICY STATEMENT

    The CCSS Research Support Resources Terms of Use policy outlines the expectations for the use of CCSS resources, including but not limited to CCSS Research Support computing resources (servers, software applications, file storage, secure access rooms, etc.), computing accounts (Research, Class and all levels of restricted access accounts), and the CISER Data & Reproduction Archive.

    The appropriate use and protection of all systems and associated resources is expected from all clients including faculty, students, employees, and visitors throughout the institution. In addition, each CCSS Research Support service has distinctive policies specific to usage obligations.

    A majority of the CCSS Research Support services do not require any form of registration, allowing you to visit our web site and Data Archive without telling us who you are. However, some services may require you to provide us with Personal Data. In these situations, if you choose to withhold any Personal Data requested by us, it may not be possible for you to gain access to certain services and for us to respond to your query. 

    Computing Resources and Computing Accounts:

    CCSS Research Support computing resources (servers, software applications, file storage, etc.) and computing accounts (Research, Class and all levels of restricted access accounts), are provided for research and academic needs only. Research and academic usage includes use associated with Cornell-approved research, class work for which a student is currently enrolled, and staff work associated with supporting the mission of Cornell University. These resources may not be used for any personal purposes, including but not limited to storage or backup of personal files (e.g. audio, images, photos, video files, etc.), personal email, use of social media, private consulting or business -related activities, watching streaming video or other personal activities.

    Computing Resources-Related Terms:

    1. The statistical software installed on the CCSS Research Support servers may not be used for private consulting or for non-academic research. Users may not distribute licensed software from our environment to themselves or to any other persons.

    2. CCSS Research Support servers are a limited, shared resource available to multiple clients at any time. Each client is expected to maintain an acceptable level of performance and must assure that excessive or inappropriate use of the resources does not degrade performance for others.

    3. CCSS provides multiple levels of secure computing environments. It is the client’s responsibility to select the appropriate level of technical security required to be in compliance with the terms and conditions, as well as laws and regulations, for the type of data to be used.

    Computing Accounts-Related Terms:

    1. CCSS Research Support computing accounts and passwords may not be shared with any other person. Sharing passwords and/or account information violates these Terms of Use, as well as Cornell’s Authentication to Information Technology Resources Policy 5.8.

    2. It is the responsibility of every CCSS Research Support computing account holder to keep CCSS apprised of any changes to the information provided in your account application, including change in affiliated faculty member/supervisor, academic status, and your contact information.

    3. CCSS collects personally identifiable information about you, such as your full name, phone number and email address when you register for an account. Personal Data is securely stored for the purposes of providing support services, analyzing computing usage statistics and maintenance communications.

    4. CCSS clientele are responsible for complying with all applicable federal, state and local laws and must abide by Cornell University policies. Any misuse of computing resources, proprietary software, or data violates Cornell's Campus Code of Conduct and the Authentication to Information Technology Resources Policy 5.8.

    5. CCSS reserves the right to disable a computing account immediately upon identification of possible misuse of any CCSS services, or non-compliance with CCSS or Cornell University policies. Account termination will occur if misuse is confirmed through appropriate channels, and no reinstatement will be allowed.

    6. If requested within 60-days after account expiration, files left on the CCSS file storage may be made available to the affiliated faculty/staff advisor, or account holder, based on compliance with these Terms of Use. On day 61, the account will be closed, and all data files will be deleted. CCSS will not maintain a backup of any user data.

    7. By applying for an account and using CCSS Research Support computing resources, you agree to the CCSS Research Support Resources Terms of Use as set out above.

    CISER Data Archive:

    1. Users are required to adhere to the CCSS Data & Reproduction Archive Acceptable Use Policy (review in tab below)  and any and all licensing requirements as stipulated by the providers of datasets held in the archive.

    2. CISER Data & Reproduction Archive non-public use files which require Cornell University authentication may not be distributed to anyone other than current faculty, staff, and students, or used for private consulting or for non-academic research.

    As determined by university administration, any employee found to have violated this CCSS Research Support Resources Terms of Use Policy may be subject to disciplinary action, up to and including termination of employment.

    Contact

    If you have questions about specific issues regarding this CCSS Resources Terms of Use Policy, contact CCSS by email at CCSS-ResearchSupport@cornell.edu or by telephone (607)255-1986.

  • CCSS Research Support Privacy Notice

    Cornell Center for Social Sciences (CCSS) is committed to protecting your privacy.

    The following privacy notice describes what information we collect from you when you visit our website and affiliated web applications and how we use this information. Please read this privacy notice carefully so that you understand our privacy practices.

    Effective Date of Privacy Notice

    The privacy notice was introduced on November 27, 2018.

    What information we gather during your visit

    Information we gather:

    We automatically collect certain information from you when you visit our websites. This data is used in conjunction with Google Analytics to gather metrics on site usage including geographic location of visitors, pathways navigated through the website, and which portion of our audience is internal to the Cornell network. The information we collect is not linked to anything that identifies you as an individual. Your session will be tracked but you will remain anonymous as a user. As part of Google Analytics, we also gather device and browser-related information.

    Information you may provide:

    As part of accessing our services, we collect information as described in this notice or other specific university privacy notices. In order to take advantage of our services, certain tools, such as CCSS Research Support computing account request form, and CCSS Research Support computing account password reset tool may request additional contact information and/or online identifiers (ex. name, email, Cornell netid, telephone number, affiliated faculty member, course number.)

    How we use your information

    We use gathered information to track user trends and site usage with the goal of improving our visitors’ experience and optimizing our websites. We also use the information to administer this website and prevent abuse.

    Special cases - computing accounts:

    If you use the CCSS Research Support computing account request form, the information that is gathered will be used to send you email regarding CCSS Research Support systems, notifying your faculty member of your account request, and notifying your college of your CCSS Research Support systems usage.

    If you use the CCSS Research Support computing account password reset tool, the information that is gathered will be used to send you email providing you with a verification code. The email correlates to the one sent when submitting your computing account request form.

    With whom we share your information

    Information we gather may be shared with campus constituents to improve programs, outreach, and other campus initiative. However, we will not sell this data to third-parties for their use in direct marketing, advertising, or for the promotion of their products and services.

    Partnerships Purpose Additional Safeguards
    Google Software that provides
    us information about your visits to our sites.
    https://policies.google.com/?hl=en
    Member of the EU/U.S. PrivacyShield
    Pantheon Hosting platform for
    https://socialsciences.cornell.edu/
    https://pantheon.io/privacy
    Agiloft SaaS to manage data contracts https://www.agiloft.com/privacy.htm
    Siteimprove To ensure that our website conforms to appropriate web accessibility standards https://siteimprove.com/en/privacy/privacy-policy/

    Cookies and other collection technologies

    Cookies

    Cookies are text files stored on your computer and accessible only to the websites which create them. Our websites may use cookies to keep you logged into secure areas of the website and/or to keep track of your preferences as you interact with certain services. You may disable cookies in your browser, however, our websites may not work properly if you do so.

    Log Files

    Our websites automatically gather anonymous information about our visitors including IP addresses, browser types, and the times and dates of webpage visits. The information collected does not include any personally identifiable details and is used to improve our services and administer our websites.

    Protecting your information

    No method of transmitting over the internet or storing electronic data is 100% secure, but this site has measures in place to help protect against the loss, misuse, or alteration of the information that is under our control.

    Email Marketing

    If at any time you would like to opt-out of receiving email from CCSS Research Support, please write to CCSS-ResearchSupport@cornell.edu.

    Social Media Presence

    If you share our content through social media, such as liking us on Facebook or tweeting about us on Twitter, those social networks will record that you have done so and may set a cookie for this purpose. If you wish to opt-out of any of these social interactions please refer to the specific social media platform for instructions on how to do so.

    Special Notice for EU Residents

    If you are located within the European Economic Area (European Union, Norway, Liechtenstein, and Iceland), we acknowledge the rights granted to you under the General Data Protection Regulation (GDPR).

    These rights may include:

    1. Right to access your information held by us.

    2. Right to correct inaccurate or incorrect information about you.

    3. Right to the erasure of your information when it is no longer necessary for us to retain it.

    4. Right to restrict processing of your personal information in specific situations.

    5. Right to object to processing your information, including sending you communications that may be considered direct-marketing materials.

    6. Right to object to automated decision-making and profiling, where applicable.

    7. Right to complain to a supervisory authority in your jurisdiction within the EU.

    Please contact us with any questions, concerns, or if you wish to exercise any of these rights: itservicedesk@cornell.edu.

    Contact Information

    If you have questions about our privacy notice or the privacy practices it describes, please contact: CCSS-ResearchSupport@cornell.edu.

  • Acknowledging the Use of CCSS Research Support Resources

    CCSS Research Support receives support from the Office of the Vice Provost for Research and Member Colleges. Acknowledgment of the CCSS Research Support services (or individual staff) in posters, publications, presentations and interviews helps to demonstrate the usefulness and effectiveness of the resources provided and can help strengthen institutional support. You can help us in this effort by acknowledging CCSS Research Support’s contribution to your research, such as use of data from the CCSS Data & Reproduction Archive, use of the CCSS Research Support or CRADC computing systems, and/or assistance from CCSS Research Support staff.

    1. Add a citation acknowledging CCSS Research Support in your work

      Please acknowledge us in all posters, publications, and presentations of the work that utilized CCSS Research Support resources by using the following text:

      “This research was conducted with support and resources provided by the Cornell Center for Social Sciences (CCSS) at Cornell University.”

    2. Notify us about your work which used CCSS Research Support resources

      Please send us information about your posters, publications, presentations and interviews to CCSS-ResearchSupport@cornell.edu, so that we can reciprocate by linking to the data source to expand your research network.

    3. Cite use of Data Archive Download Centers

      If you have used any of these CCSS Data & Reproduction Archive Download Centers, please also use this form to submit a citation:


    Additional references on research citations:

Data & Reproduction Archive

  • Acceptable Use Policy

    Policy Volume: DA
    Responsible Executive: Senior Data Librarian
    Responsible Office: Cornell Center for Social Sciences
    Originally issued: 2020-02-01

    By downloading resources, you agree to the terms within our Acceptable Use Policy.

    Researchers must:

    • Use downloaded resources for statistical analysis and reporting aggregated information purposes only.
    • Protect the confidentiality of all research participants at all times, including not attempting to identify individual subjects.
    • Report inadvertent identification of individuals to CCSS Research Support immediately.
    • Remain in accordance with any and all Data Use Agreements and licensing requirements as stipulated by the providers of datasets.
    • Cite data studies appropriately using the suggested citation on the “basic information” tab of the archive catalog record.
    • Not redistribute data or documentation unless given permission by CCSS Research Support or the data is in the public domain, such as US government data.
    • Provide citation information for any books, articles, and other forms of publication created using CISER data.
    • For any questions surrounding these policies, please contact the archive staff.

  • Collection Policy

    Policy Volume: DA
    Responsible Executive: Senior Data Librarian
    Responsible Office: Cornell Center for Social Sciences
    Revised: 2017-10-20; 2020-09-16

    POLICY STATEMENT

    The CISER Data & Reproduction Archive is integral to CCSS Research Support’s overall mission to anticipate and to support the evolving data needs of Cornell social scientists and economists throughout the entire research process and data lifecycle. The goals of the archive are to make social science data available to researchers, while at the same time making data more Findable, Accessible, Interoperable, and Reusable (See The FAIR Data Principles). Towards those goals, archive staff can help researchers appraise, deposit, publish, make accessible, and preserve both research and secondary social science data. We also feature a custom-built catalog to maintain and preserve archive metadata along with our Results Reproduction (R-Squared) packages.

    Background

    The CISER Data Archive was established in 1982 to be a centralized information center and clearinghouse for the acquisition, storage, and access of machine-readable data for Cornell social science researchers. The archive’s content has gone through many changes through the years. We originally started as a clearinghouse for ICPSR, Roper, and government data, making files more accessible and usable for researchers. In more recent years, we have focused on adding to data collections in particular areas, collecting research data by individual researchers both at Cornell and beyond and archiving our Results Reproduction packages. Since the mid 2010s, most studies were assigned DOIs, and the archive catalog went through many additional improvements such as added search fields and expanded categories and keywords. In 2014 the archive earned the Data Seal of Approval, followed by the CoreTrustSeal. Also in 2014, the first Census download center was added to the archive, and in 2016 the first Results Reproduction code and data packages were added. In 2019-2020, the archive underwent a major upgrade, further expanding the download permissions system, adding additional DDI-compliant metadata, and making studies further discoverable to external researchers using Google’s dataset search. In 2020 the archive was rebranded as the CISER Data & Reproduction Archive.

    Users

    Core clientele for the data archive are Cornell faculty, graduate students, and research staff in schools and colleges that support CCSS Research Support, namely:

    • College of Agriculture and Life Sciences
    • College of Arts and Sciences
    • College of Human Ecology
    • SC Johnson College of Business
    • School of Industrial and Labor Relations

    CCSS also supports users from other Cornell schools whose interdisciplinary researchers have a need for social science data. Finally, we have publicly available data studies and most R2 packages to support the broader research community outside of Cornell.

    Data in Scope

    CCSS Research Support houses an extensive collection of research data files in the social sciences with particular emphasis on data that matches the interests of Cornell researchers. CCSS intentionally uses a broad definition of social sciences in recognition of the interdisciplinary nature of Cornell research. Our archive includes data studies which fall into three broad access categories: available to the public, available to the Cornell community, and restricted data available through various application processes.

    CCSS Research Support collects and maintains digital research data files in the social sciences, with a current emphasis on Cornell-based social science research, Results Reproduction packages, and potentially at-risk datasets. Our archive historically has focused on a broad range of social science data including data on demography, economics and labor, political and social behavior, family life, and health.

    The collection includes, but not exclusively so, federal or state censuses, files based on administrative records, public opinion surveys, economic and social data from national and international organizations, and studies compiled by Cornell researchers.

    The CISER Data & Reproduction Archive acquires or accepts data for any geographic area. The historical collection focused on data related to New York State and the United States with some international datasets as well.

    High Priority Data

    Considering the changing landscape for data archives and the ease of access of many data sources, CCSS has refocused its collection priorities to the following areas:

    • Demand – Datasets and studies required by CU researchers and unavailable elsewhere.
    • Results Reproduction packages
    • At-Risk Social Science Data – We are committed to seeking out and acquiring datasets and studies available from social science researchers and unavailable elsewhere. We are particularly interested in political conflict and political behavior data.
    • International Data
    • Local NYS and Cornell research data

    Data Not in Scope

    The following are the general criteria for data that are out of scope of CCSS Research Support’s data collection. CCSS reserves the right to archive any dataset which we believe will be useful to Cornell researchers.

    • Non-social science data/science data
    • Data with prohibitive costs
    • Data within proprietary software or subscription databases
    • Data availability: Unless data studies are part of the legacy collection for CU researchers or purchased for CUL or other entities, data available in a trusted repository will not be archived.
    • Direct identifiers: The CISER Data & Reproduction Archive will not accept data that contains personal identifiers, except in such cases where these data are part of the public record. Datasets held in the archive are primarily public-use versions. Our consultants can assist in de-identifying datasets for public use. For restricted access and limited use data products CRADC provides secure access.
    • Copyright: CCSS only accepts data in which we have the right to curate, disseminate and preserve a copy of the data.
    • The CISER Data & Reproduction Archive reserves the right to reject datasets that are deemed to be inadequately documented, potentially disclosive, acquired or generated illegally, or suspected or known to contain inaccuracies.

    Data Curation

    Process: New additions to the CISER Data & Reproduction archive follow an internally modified version of the Data Curation Network CURATED Workflow, which involves the following steps: Check files/code, Understand the data, Request missing information, Augment metadata, Transform file formats for reuse, Evaluate for FAIRness, and Document curation activities. [ 1 ]

    Documentation: Where possible data studies are accompanied by comprehensive documentation: codebooks, file layout maps, technical notes, questionnaires, reports, and errata in open and accessible formats. Non-digital documentation is often available when machine-readable documentation is not. In cases where documentation is insufficient, CCSS works with data producers to ensure that data files are usable and understandable by generating additional contextual information.

    File formats: CCSS prefers file formats in the LoC list of recommended formats. The formats are commonly used within the social science and economics domain, have open specifications, and are independent of specific software, developers or suppliers. CCSS will however accept data
    regardless of physical format as long as they are convertible to supported and accessible file formats suited for long-time preservation for use by the entire Cornell community.

    [ 1 ] Data Curation Network. “The DCN Curation Workflow.”
    https://datacurationnetwork.org/resources/workflows/. Accessed 27 AUG 2020.

    Purchasing Data

    Data acquisition is primarily demand-driven. The CISER Data & Reproduction Archive will attempt to acquire any set of data required by faculty members in accordance with organizational policies regarding cost, quality, restrictions, and expected future use by a broad constituency of social science and economics users. Using the same criteria, data are also acquired for students of those faculty who are engaged in substantive social science or economic research. Pro-active collection development is undertaken in anticipation of demand.

    CCSS makes efforts to confirm that data were collected in accordance with legal and ethical criteria in place at the time and place of its collection, especially review by Ethical or Institutional Review Boards (IRB). Where this information is unavailable, the professional judgment of the Data Librarian and the Director will be used to decide on the inclusion of such data, taking into account the relative risk (usually low) associated with the data.

    Due to Contractual agreements between Cornell University and the Inter-university Consortium for Political and Social Research (ICPSR), the Qualitative Data Repository (QDR), and the Roper Center for Public Opinion Research, members of the Cornell Community are entitled to obtain any of the data offerings of the Consortium, Repository, and the Center. The CISER Data & Reproduction Archive serves any and all members of the Cornell community in terms of data acquisitions from the Consortium, regardless of subject area.

    When a data request is initiated by an individual, the requester will be asked to provide the staff with a description of the data, a written justification for the purchase of the file, and a cost estimate for data acquisition. Criteria are based on the likely usage, how well the purchase fits with our mission and scope, and price. It may be recommended that the requester go directly to another funding source, such as his own department, the library, another agency, or cooperate in pooling resources.

    The CISER Data & Reproduction Archive works with Library Collection Development staff, faculty, and departments to secure full or matching funding, especially in cases where a dataset has a potential audience representing more than one academic department. CCSS also collaborates with Cornell libraries and other information services at Cornell to assure that collection content and access are not duplicated, so long as CCSS clients can use data and material from those units with reasonable effort. When acquiring material, the archive must consider not only content but format and delivery criteria to fulfill its mission and meet the needs of its clientele.

    Policy to Review Process

    CCSS will review these policies every three years in conjunction with the CoreTrustSeal certification process or any future certification process.

    Contacts

    If you have questions about specific issues regarding this policy, contact the following CCSS Research Support Staff:

  • Security Policy

    Policy Volume: DA
    Responsible Executive: Senior Data Librarian
    Responsible Office: Cornell Center for Social Sciences
    Revised: 2014-03-21, 2020-10-30

    The Data Security policy describes physical and information technology measures undertaken to protect CCSS Research Support’s digital data collections from unauthorized access.

    All CCSS Research Support file servers, which house the CISER Data & Reproduction Archive, have Windows Antivirus virus protection software installed, and data files are scanned for viruses prior to being added to the environment. Security on the CCSS file servers is monitored by the collection and review of system log files generated on all the systems and the Cisco ASA and Cisco Firepower.

    Data Center: The CCSS Research Support servers are located in an environmentally controlled secure University data center, as part of CCSS’s commitment to take all necessary precautions to ensure the physical safety and security of the CISER Data & Reproduction Archive. The data center maintains uninterrupted power supplies (UPS), fire prevention and protection system, physical intruder prevention and detection systems and environmental control systems.

    Access to the data center is granted by an authorized proximity card (Cornell University ID card) issued only to Cornell staff with the required credentials according to Cornell University Policy 8.4 — Management of Keys and Other Access Control Systems. Entrance and exits to the data center are automatically logged and monitored by Cornell Information Technology staff within the data center, and the CCSS Research Support file servers are housed in racks with locked doors, to which only authorized system administrators have keys.

    Authentication:
    • Public Access: Authentication is not required for access to public-use datasets, if accessing via the archive online catalog. Unauthenticated guests must pass a reCAPTCHA test prior to download.
    • Managed Access: Where the Data Provider obligates, the user would be required to authenticate with CUWebLogin (Cornell NetID required) via the archive online catalog.

    Terms of Use: Terms of Use for CCSS Research Support resources and the CISER Data & Reproduction Archive are maintained on the CCSS web site.

    Authorization: Access to the CISER Data & Reproduction Archive digital collection is managed by the archive’s restriction levels. Access to non-public, restricted resources is granted by archive personnel through the archive management system. Access terms are granted based on the provider’s data use agreement. Authorization is linked to Cornell NetID authentication.

    Receipt of original media: CCSS will employ the highest standard of ingest processing to ensure the quality, integrity, and secure storage of datasets. Refer to the CCSS Data & Reproduction Archive Collection Policy (review in the tab above) for ingest details.

    Storage of original Media and electronic copies: Any original media/electronic data that is retained, will be stored in compliance with the CCSS Data & Reproduction Archive Preservation and Storage Policy (review in the tab below). 

    Disposal/Decommissioning of data: CCSS reserves the right to decommission data and/or dispose of physical media. The data will be decommissioned/disposed of in line with the directives of the Data Provider.

    Backup: Data is backed up by Cornell Information Technology EZ-Backup service.

    Security Incidents: Reporting security incidents is mandated by Cornell University Policy 5.4.2, Reporting Electronic Security Incidents.

    Policy Review Process: CCSS will review these policies every three years in conjunction with the CoreTrustSeal certification process or any future certification process.

    Related Documents

  • Versioning Policy

    Policy Volume: AC
    Responsible Executive: Senior Data Librarian
    Responsible Office: Cornell Center for Social Sciences
    Revised: 2014-04-03, 2020-11-05

    REASON FOR POLICY

    To ensure that data versioning criteria are consistently applied to changes in data files and data documentation in the CISER Data & Reproduction Archive.

    POLICY GUIDELINES

    For reasons detailed below a significant percentage of data studies are altered within the first year of being published. These changes may be initiated by the data producer, the CISER Data & Reproduction Archive, or data user. CCSS Research Support has adopted a set of criteria which distinguish between significant and minor changes to a data study to determine whether a new dataset version is merited.

    These guidelines ensure that data versioning criteria are consistently applied to changes in data files and data documentation (including, but not limited to, correction for error, amendments, additional variables, changes in access conditions, format changes) for inclusion in the CISER Data & Reproduction Archive. This will often involve working closely with the data producer.

    Significant changes are those that will have a high impact on the use or interpretation of the data, whereby minor changes are those that will have a low impact in relation to interpretation or use for research purposes. CCSS assigns a new version to a data study with significant changes such as: addition of new variables; revision of incorrect data; revision of miscoded data; formatting changes; substantial documentation changes; changes in access conditions; withdrawal of data elements or documentation files. Minor changes such as small changes in variable labels, spelling corrections in metadata, minor changes in documentation will be made to relevant content and recorded in ancillary and accompanying documentation, but no new version assigned. Any and all changes are recorded in an internal notes field in our database.

    Where possible CCSS will clearly label and make available earlier versions of data and documentation through the data catalog. Version record numbers are captured in metadata held in CCSS relational databases. CCSS retains the right to withdraw an older version of a data study where significant change may be misrepresentative or a copy is held in another major data archive (such as ICPSR).

    In some cases data studies are issued as completely new study editions (this may be as part of a series) if there are changes to data/variables, major changes to documentation, new waves have been added to a series, or there have been methodological changes.

    Policy Review Process: CCSS will review these policies every three years in conjunction with the CoreTrustSeal certification process or any future certification process.

  • Preservation and Storage Policy

    Policy Volume: DA
    Responsible Executive: CISER Senior Data Librarian
    Responsible Office: Cornell Institute for Social and Economic Research
    Revised: 2014-04-03; 2020-11-05

    POLICY STATEMENT

    The data preservation function is integrated into the operations and planning of CCSS Research Support and throughout the management stages of the research data lifecycle in order to support Social Science and Economic research at Cornell University.

    REASON FOR POLICY

    The fundamental purpose of the CISER Data & Reproduction Archive is to select, preserve and make available for use primary and secondary data, documentation and metadata, in discipline recognized digital formats that remain suitable for research in perpetuity. The data preservation and storage policy is guided by a variety of community-driven standards, (e.g. Open Archival Information Systems (OAIS) reference model, Trusted Repositories Audit and Certification (TRAC), CoreTrustSeal (CTS), Data Documentation Initiative (DDI), and FAIR Data Principles), that represent an international body of knowledge and expertise pertaining to various issues within digital preservation.

    POLICY GUIDELINES

    These guidelines address the effective implementation of procedures for the preservation of CCSS’s digital collections within the context of the CISER Data & Reproduction Archive Collection Policy. CCSS reserves the right to review the scholarly and historical value of and user accessibility into the data preservation characteristics.

    Data Integrity:

    Upon receipt of new digital content, the Archive staff process the data and documentation, assess that confidentiality concerns are addressed, in collaboration with the data producer fix errors if necessary, convert data formats, and run a checksum. The metadata pertaining to each data file is stored in a SQL database. (A backup of the SQL database is taken every evening and is retained for a finite period.) Provenance notes are maintained, which relate back to the original deposited version, as part of the metadata for any alterations made in the preservation and dissemination versions.

    To ensure that the digital content remains identical and accessible, automated tasks are run to verify checksums. The results are compared to the metadata, held within the SQL database, to validate data integrity. If degradation of any digital content is detected, CCSS would endeavor to reinstate the original version from a backup copy.

    Data Normalization:

    Evaluation of new content types and software/format obsolescence is an ongoing process. It is expected that normalizing the CISER Data & Reproduction Archive collection by migrating to updated content types when new formats become widely available will occur seamlessly. When new formats are created from data files either through migration into new file formats or through creating new file formats for dissemination, the old files are retained alongside. Version control is stored as part of the metadata, as referenced in the CISER Data and Reproduction Archive Versioning Policy.

    Management of Storage Infrastructure:

    The preservation of the CISER Data & Reproduction Archive is dependent upon CCSS’s storage infrastructure. Thus, management of the storage infrastructure is designed to accommodate scalability, reliability, and sustainability, in accordance with quality control specifications and security regulations. In light of increasing user demand and changing technologies, CCSS staff routinely monitors technical developments and evaluates potential archival solutions that will both streamline and enhance CCSS data preservation practices.

    Adequate storage capacity for all CISER Data & Reproduction Archive holdings is maintained. In addition, unlimited capacity from external media is available. The disk storage maintains a RAID 6 configuration and all infrastructures are protected by uninterrupted power supplies (UPS).

    All data are backed up on a daily basis via the University’s offering of EZ-backup, which also provides off-site storage. EZ-backup makes use of IBM’s Tivoli Storage Manager.

    Security:

    CCSS is committed to taking all necessary precautions to ensure the physical safety and security of the CISER Data & Reproduction Archive holdings that it preserves. The storage infrastructure is housed in the University data center. The data center features uninterrupted power supplies (UPS), fire prevention and protection system, physical intruder prevention and detection systems and environmental control systems. In addition, the server racks that house the CCSS’s disk storage are equipped with unique keys.

    Policy Review Process: CCSS will review these policies every three years in conjunction with the CoreTrustSeal certification process or any future certification process.

    Related Documents

Secure Data Services

  • Data Security Policy

    Policy Volume: RD
    Responsible Executive: CCSS Secure Data Services Manager
    Responsible Office: Cornell Center for Social Sciences
    Issued: 2020-10-01

    NOTE: This policy replaces these previous policies:

    • CRADC Data Security Policy [issued 2015-07-13, revised 2016-09-30]
    • Secure Standalone Desktop Data Security Policy [issued 2017-10-17]

    POLICY STATEMENT

    The fundamental obligation of the Cornell Restricted Access Data Center (CRADC) is to protect restricted‐access research data that are confidential due to applicable laws and regulations, by means of contract or agreement, and University policies.

    This policy applies to all research data regardless of the storage medium (e.g., disk drive, electronic tape, CD, DVD, external drive, paper, fiche, etc.) and regardless of form (e.g., text, graphic, video, audio, etc.), physically housed within the Cornell Center for Social Sciences (CCSS) auspices.

    POLICY REQUIREMENTS

    To protect research‐access data appropriately and effectively, CRADC researchers and staff and secure standalone desktop researchers and staff must understand and carry out their responsibilities related to data security, as set forth by the Data Provider Agreement(s) (including referenced laws and regulations), Cornell University Institutional Review Board for Human Subjects, Cornell University Office of Sponsored Programs, and Cornell University Policy. This policy applies regardless of the source of funding for the research.

    Process to Identify and Assess Security Risks:
    1. Review Data Provider’s Data Use Agreement, or Cornell University agreement for internal data, to determine if CCSS Secure Data Services is an appropriate location for the research project
    2. Evaluate applicable laws and regulations, by means of Data Provider’s Data Use Agreement, or Cornell University agreement for internal data
    3. Ensure appropriate university units are involved:
      • Institutional Review Board (IRB): Unless determined otherwise by Cornell Institutional Review Board for Human Participants (IRB), all researchers allowed on the CRADC servers and the secure standalone desktop are required to complete the CITI training course on Social & Behavioral Research Basic, Stage 1 satisfactorily. CRADC relies on the confirmation from the Office of Sponsored Programs (OSP) that approved researchers have satisfactorily passed the CITI training course on Social & Behavioral Research Basic, Stage 1, in addition to their Conflict of Interest (COI) statement. In instances where the Cornell’s IRB states that an IRB review is not necessary for a project, such as with proprietary business data, which contains no human identifying characteristics, researchers will not be expected to complete the CITI training course on Social & Behavioral Research Basic, Stage 1. CRADC relies on the confirmation from the Office of Sponsored Programs (OSP) that these data continue to be exempt from IRB review for Cornell’s processing approval.
      • Office of Sponsored Programs (OSP): CRADC accepts projects and provisions unique user accounts for faculty/staff/students once final approval from the Office of Sponsored Programs has been attained from the Data Provider, on behalf of Cornell University. Data internal to Cornell University is exempted from the need for OSP approval to be housed on the CRADC servers and/or the secure standalone desktop.
    4. Confirm that the CRADC User Agreement has been signed
      • In addition to the final approval from the OSP, which includes the IRB review as necessary, each researcher is required to complete a user agreement with CRADC covering the usage of the CRADC servers and/or the secure standalone desktop. CRADC User Agreements and Secure Standalone Desktop User Agreements are only sent to a researcher for signature once CRADC has final approval from OSP, or internal agreement from Cornell University for Cornell data.
    Process to Provision Access and Security on a Project by Project Basis:
    1. Account Creation: Upon receiving a signed CRADC User Agreement, the Secure Data Specialist may proceed with unique account creation.
      • CRADC: All temporary passwords, by Active Directory Group Policy, must be changed upon initial login to any CRADC server.
      • Secure Standalone Desktop: All temporary passwords, by group policy, must be changed upon initial login to the secure standalone desktop.
    2. Account Expiration: User account access remains dependent on the existing project requirements, as stipulated within the Data Provider’s Data Use Agreement and approved by OSP, IRB, and the CRADC User Agreement / Secure Standalone Desktop Agreement. Any project with an internal agreement from Cornell University for Cornell data is exempt from approval by OSP, but must retain approval of IRB and the CRADC User Agreement Secure Standalone Desktop Agreement.
    3. Password Requirements: The CRADC server environment and secure standalone desktop require researchers to change their passwords every 90‐days. Password complexity is enabled, and a strict password complexity policy is enforced.
    4. Dual‐Factor Authentication: The CRADC researcher must activate DUO prior to logging on to a CRADC server for the first time. Subsequent logins require DUO authentication after entering the researcher’s unique user account password.
    5. Idle Sessions: Idle sessions are suspended after a set time of non‐activity. If the Data Provider agreement establishes criteria requiring idle sessions be suspended after less than the set time of non‐activity, special requests will be accommodated.
      • CRADC: set time of non-activity = 15 minutes
      • Secure Standalone Desktop: set time of non-activity = 5 minutes
    6. Authorization: Authenticated users have read and execute access to the restricted data provided under the Data Provider Data Use Agreement.
      • CRADC: The user account has project‐based transitory storage space to store application program files and interim datasets.
      • Secure Standalone Server: each user account has personal storage space and access to project-based storage space to store application program files and interim datasets.
      Authorization is based upon Microsoft Windows NTFS permissions.
    • Also see: Provisioning / De‐provisioning section in Access Control Policy (review in tab below)
    Restricted‐access Research Data Storage:
    1. Storage of Original Media:

    The physical media on which the data were received from Data Providers (e.g., CDs, DVDs, USB drives) are stored in a locked fire‐protected safe in CRADC office Room 201A, CCSS building, 391 Pine Tree Road. Only the CCSS Secure Data Services Manager and CCSS Secure Data Support Specialist have keys to access the Sentry Media Safe.

    • Original electronic data may be copied to physical media as a backup when permitted by the Data Provider’s Data Use Agreement, and stored in the Sentry Media Safe.

    Storage of Included Documents: No documents are produced or stored by CCSS Secure Data Services, unless provided with the original media. Documents provided with original media are stored in the safe in the project folder, alongside the physical media.

    1. Data for Analysis:
      • Authenticated users have read and execute access to the restricted data provided under the Data Provider Data Use Agreement. Authorization is based upon Microsoft Windows NTFS permissions.
        • CRADC: Restricted data are copied to secure CRADC network attached storage. The user account has project‐based transitory storage space to store application program files and interim datasets.
        • Secure Standalone Desktop: Restricted data are copied to the specific project folder on the hard drive of the secure standalone desktop. The user account has personal and project-based storage space to store application program files and interim datasets.
    2. Researcher Responsibility:
      • Data Security of Researcher Copies: The Principal Investigator and others authorized by the Data Provider to have an external copy of their non‐restricted user created working files are responsible for the creation and storing of such documents in strict accordance with the Data Use Agreement they have signed with the Data Provider. It is the responsibility of the researcher to properly manage and destroy user created working files as required by the Data Use Agreement.
      • Researcher Publication of Data:It is the responsibility of the researcher to request approval from the Data Provider prior to publishing study findings that include statistics, beneficiary, or facility level data. Any questions the researcher may have pertaining to publication and Data Provider publication policies must be directed to the Office of Sponsored Programs.
      • Researcher Modification of Temporary Analysis Files: When specified within a Data Provider’s Data Use Agreement, it is the responsibility of the Principal Investigator to ensure that all stipulated temporary analysis files for the project, within all project user accounts, are deleted at the specified Agreement dates each year.
    Restricted‐access Research Data Backup:
    1. Original Media Backups:
      • Data Security of Original Media Backups: The original physical media stored in the Room 201A safe serves as the only backup of the restricted data stored at CRADC or the Secure Standalone Desktop. The disk array (CRADC) and local disk (Secure Standalone Desktop) containing original restricted‐use data files are not included in the routine backup.
      • Backups of Original Electronic Data Copies: Electronic data copies of the restricted data reside on the CRADC network attached storage and are excluded from backup routines. When permitted by the Data Provider’s Data Use Agreement, original electronic data may be copied to physical media as a backup and stored in the safe as noted above.
    2. Backups of User Created Files (Unless Prohibited by Data Use Agreement): The user created transitory files (programs, output, log files and working datasets) housed on the…
      • CRADC network attached storage are backed up via disk‐to‐disk and are never commingled with any other backups.
      • Secure Standalone Desktop are not included in a routine back up.
    De‐provisioning of Accounts:
    1. Researcher Account De‐provisioning: OSP communication initiates that an account should be de‐provisioned. CCSS Secure Services staff will contact the Principal Investigator (PI) and offer the PI the possibility to have the researcher’s personal project subfolder files copied to the project’s transitory / shared storage space. After 30‐days, or sooner if the PI notifies CCSS Secure Services staff to destroy the files, the researcher’s personal project files will be destroyed utilizing the disposal of electronic files method.
    2. CCSS Secure Data Services Staff De‐provisioning: Changes in the CCSS Secure Data Services staff will be communicated via email to the Data Provider through OSP. The staff account will be disabled on the last day of employment within CCSS Secure Data Services and terminated shortly thereafter.
    • Also see: Provisioning / De‐provisioning section in Access Control Policy (review in tab below)
    Data Destruction and Certification:
    1. Destruction of Physical Media: The Secure Data Services Manager or Data Support Specialist will be the person responsible for the return and destruction of all associated materials as determined by the Data Use Agreement. All physical media, whether originally supplied by the Data Provider or a secure data services created backup copy of electronic original data, will be destroyed and the Data Provider sent a certificate of data destruction, unless the Data Provider requests the media returned within the Data Use Agreement. As stipulated by the Data Use Agreement, requested physical media will be returned to the Data Provider using a traceable method via FedEx, with requirement for a signature by the recipient.
    2. Destruction of Original Data Files on CRADC Servers and Secure Standalone Desktop: The Secure Data Services Manager or Data Support Specialist will be the person responsible for the destruction of all original data on CRADC servers and the Secure Standalone Desktop as determined by the Data Use Agreement. All original data will be destroyed and the Data Provider sent a certificate of data destruction.
    3. Destruction of User‐Created Electronic Files: The Secure Data Services Manager or Data Support Specialist will be the person responsible for the destruction of user‐created electronic files as determined by the Data Use Agreement. Electronic files on the CRADC servers and Secure Standalone Desktop are disposed of utilizing the Department of Defense shredding algorithm.
    4. Destruction of Paper Materials: No paper materials or copies are produced or stored by CCSS Secure Data Services, unless provided with the original media. The Secure Data Services Manager or Data Support Specialist will be the person responsible for the destruction of all paper materials. If the Data Provider requests the return of any paper materials provided with the original media, the paper materials will be returned to the Data Provider using a traceable method via FedEx, with requirement for a signature by the recipient.
    5. Certificate of Destruction: Upon completion of the disposal of all project related data, the Secure Data Services Manager or Data Support Specialist will certify that the secure data and user created project‐based transitory files (and transitory files) have been securely destroyed via a CRADC / Secure Standalone Desktop Certificate of Destruction. The completed Certificate of Destruction will be sent to the Data Provider either as a paper copy through FedEx or electronically via email, with a copy of the Certificate of Destruction supplied to Office of Sponsored Programs.
    • Also see: Data Destruction and Return of Restricted Data Policy (review in tab below)
    Data Center Specifications:
    1. Managed Environment: The CRADC servers and secure standalone desktop managed environments are based on specialized security‐limited functionality, with security taking precedence over functionality. System integrity of hardware and software is verified daily on the CRADC servers. The system administrator receives notifications from Microsoft of any patches or service packs that need to be applied to the operating system. All CRADC servers have Symantec Endpoint Protection software installed. The secure standalone desktop has System Center Endpoint Protection (SCEP) software installed. Data files are scanned for viruses prior to being added to the environment. Real‐time (automatic) file scanning is enabled and will quarantine or delete the file immediately.
      • Security on the CRADC servers is monitored by the collection and review of system log files generated on all the infrastructure servers, compute servers, and the Cisco Firepower within the secure environment through a Security Information and Event Management (SIEM) application SolarWinds Log and Event Management.
      • Security on the Secure Standalone Desktop is monitored by the collection and review of security and system log files generated within the secure environment.
    2. Maintenance: Periodic maintenance is based on hardware, operating system and applications requiring updates (i.e. BIOS, firmware, Microsoft security patches, service packs, and application revisions).
      • Monthly maintenance is accomplished on the second Wednesday after the 2nd Tuesday of each month
      • Secure Standalone Server maintenance is done on an as-needed basis.
    3. Physical Location:
      • CRADC
        • The CRADC servers will be located in an environmentally controlled secure Data Center in 757 Rhodes Hall, at Cornell University, Ithaca, NY.
        • Access to the Data Center will be granted by an authorized proximity card (Cornell University ID card) issued only to Cornell staff with the required credentials according to Cornell University Policy 8.4 ‐‐ Management of Keys and Other Access Control Systems. Entrance and exits to the Data Center will be logged and monitored. The CRADC servers will be housed in racks with locked doors within the Data Center, to which only authorized administrators have keys.
      • Secure Standalone Desktop
        • The secure standalone desktop will be located in Room 201H, 391 Pine Tree Road, at Cornell University, Ithaca, NY.
        • Access to room 201H is granted by an authorized proximity card (Cornell University ID card) issued only to Cornell staff with the required credentials according to Cornell University Policy 8.4 — Management of Keys and Other Access Control Systems. Entrance are logged and monitored. A sign-in and sign-out sheet is also utilized for scheduling of the secure standalone desktop.
    4. Networking and Firewall: The CRADC servers will be installed behind a firewall with default deny applied and FIPS 140‐2 security levels implemented. The Secure Standalone Desktop will have a Microsoft Windows Defender firewall with default deny applied.

    Any employee found to have violated this policy may be subject to disciplinary action, up to and including termination of employment.

    Contacts

    If you have questions about specific issues regarding this Sharing, Transmission and Distribution of Restricted Data Policy, call the following offices:

    NAME EMAIL TITLE PHONE
    Elena Goloborodoko cradc@cornell.edu CCSS Secure Data Services Manager 607‐255‐4801
    Jonathan Bohan cradc@cornell.edu CRADC Secure Data Specialist 607‐255‐4801
    Resa Reynolds rda1@cornell.edu CAC Assistant Director, Systems 607‐254‐8686
    Kim Burlingame kb269@cornell.edu System Administrator 607‐254‐8686
    Lucia Walle lucia.walle@cornell.edu Systems Analyst/Programmer 607‐254‐8686
    Brenda Lapp bll3@cornell.edu Technical Consultant 607‐254‐8686
    Cornell University
    Security Office
    security-services@cornell.edu  

  • Access Control Policy

    Policy Volume: RD
    Chapter: AC‐1
    Responsible Executive: CCSS Secure Data Services Manager
    Responsible Office: Cornell Center for Social Sciences
    Originally Issued: 2015-12-01
    Revised: 2016-09-30, 2018-12-18, 2020-10-06

    POLICY STATEMENT

    In order to comply with the terms set forth in Data Use Agreements, Cornell Restricted Access Data Center (CRADC) must limit system and network access only to authorized users.

    This policy covers all stages in the life‐cycle of user access, including authorizing access, granting initial access, updating access as user roles change, and removing users who no longer require access.

    REASON FOR POLICY

    CRADC recognizes that protecting information technology and data requires authorized users to act responsibly when using these resources. CRADC researchers, system administrators, and data custodians must strictly control access to information resources under their direction or ownership.

    POLICY REQUIREMENTS

    These guidelines address the establishment of procedures prior to account provisioning and the effective implementation of authorization of access, account provisioning, change in status, unsuccessful logon attempts, session lockout, account expiration, account re‐enabling, record keeping, and account de‐provisioning.

    Prior to Account Provisioning:

    Institutional Review Board (IRB) Authorization: Unless determined otherwise by Cornell Institutional Review Board for Human Participants (IRB), all researchers allowed on the CRADC servers are required to complete the CITI training course on Social & Behavioral Research Basic, Stage 1 satisfactorily. CRADC relies on the confirmation from the Office of Sponsored Programs (OSP) that approved researchers have satisfactorily passed the CITI training course on Social & Behavioral Research Basic, Stage 1, in addition to their Conflict of Interest (COI) statement.

    In instances where Cornell’s IRB states that an IRB review is not necessary for a project, such as business data which contain no human identifying characteristics, researchers will not be expected to complete the CITI training course on Social & Behavioral Research Basic, Stage 1. CRADC relies on confirmation from the Office of Sponsored Programs that these data do not require IRB review for Cornell’s processing approval.

    Office of Sponsored Programs (OSP) Data Use Agreement (DUA): CRADC accepts projects and provisions unique user accounts for faculty/staff/students once the Data Use Agreement between Cornell University’s Office of Sponsored Programs and the Data Provider has been executed. Any project with an internal agreement from Cornell University for Cornell data is exempt from approval by OSP, but must retain approval of IRB and the CRADC User Agreement.

    CRADC User Agreement: Each researcher is required to complete a user agreement with CRADC covering the usage of the CRADC servers. CRADC User Agreements are only sent to a researcher for signature once CRADC has final approval from OSP or internal agreement from Cornell University for Cornell data.

    Authorization of Access:

    Access to CRADC infrastructure systems may only be granted by the CRADC staff after all appropriate processes and paperwork have been filed. In all cases, access must comply with applicable legal requirements.

    No independent authorization is required for information technology personnel to conduct routine system protection, maintenance, or management purposes in accord with internal protocols and processes. Likewise, requests for access in connection with litigation, legal processes, or law enforcement investigations, or to preserve user electronic information for possible subsequent access in accordance with this policy, need no independent authorization if made by Cornell University’s Office of the General Counsel.

    Provisioning / De‐provisioning:

    Account Provisioning: Upon receiving a signed CRADC User Agreement, the CRADC staff proceeds with account creation. Once the account has been created, the researcher is notified via an email of their unique account user name and provided a secure link to their temporary password. All temporary passwords, by Active Directory Group Policy, must be changed upon initial login to any CRADC server. [Noted exception: Specific projects require a 24‐hour delay after initial login in order to create new password.]

    Account De‐provisioning: Account de‐provisioning is based upon notification via an OSP communication. De‐provisioning occurs within three business days.

    CCSS Secure Data Services Staff De‐provisioning: Any change in the CCSS Secure Data Services staff will be communicated via email to the Data Provider through OSP. The staff account will be disabled on the last day of employment within CCSS Secure Data Services and the account terminated shortly thereafter.

    Change in Researcher Status:

    It is the responsibility of the Principal Investigator to inform the CRADC staff within ten business days of any changes in project staffing such that a researcher is no longer permitted to access the restricted data. CRADC staff will disable the researcher’s access to the project files within two business days and notify the Office of Sponsored Programs. The Office of Sponsored Programs will then notify the Data Provider of said project staff changes. CRADC will re‐enable or de‐provision the user account based on the final decision as communicated by OSP on behalf of Cornell University and the Data Provider.

    Unsuccessful Logon Attempts / Session Lockouts:

    Unsuccessful Logon Attempts: A policy is defined on the Domain Controller that locks all accounts after three unsuccessful logon attempts. A lockout period is enforced before the researcher can attempt to logon again.

    Session Lockouts: Dependent upon the Data Provider’s Data Use Agreement, a screensaver session lockout will occur after 10‐minutes of non‐activity. If the Data Provider agreement establishes criteria requiring idle sessions be suspended after less than 10‐minutes of non‐activity, special requests can be accommodated.

    Account Expiration:

    User account access remains dependent on the existing project requirements, as stipulated within the Data Provider’s Data Use Agreement and approved by OSP, IRB, and the CRADC User Agreement. At the expiration of any existing project requirement, the user account will be disabled. When the requirement has been approved and all existing project requirements are complete, the user account will be re‐enabled.

    Record Keeping:

    The CRADC staff oversees the management of CRADC projects and user accounts through a contract management system, and implements the unique project and user accounts within Active Directory Users and Computers on the CRADC domain controller. User accounts are created by the CRADC staff upon notification of completion of all required University and Data Provider signatures (i.e. Data Use Agreement, internal Cornell data, and/or Institutional Review Board). During any status update, the CRADC staff ensures that both the management system and the CRADC domain controller are synchronized on researcher status and forthcoming expiration dates.

    Any employee found to have violated this policy may be subject to disciplinary action, up to and including termination of employment.

    Contacts

    If you have questions about specific issues regarding this Sharing, Transmission and Distribution of Restricted Data Policy, call the following offices:

    NAME EMAIL TITLE PHONE
    Elena Goloborodoko cradc@cornell.edu CCSS Secure Data Services Manager 607‐255‐4801
    Jonathan Bohan cradc@cornell.edu CRADC Secure Data Specialist 607‐255‐4801
    Resa Reynolds rda1@cornell.edu CAC Assistant Director, Systems 607‐254‐8686
    Kim Burlingame kb269@cornell.edu System Administrator 607‐254‐8686
    Lucia Walle lucia.walle@cornell.edu Systems Analyst/Programmer 607‐254‐8686
    Brenda Lapp bll3@cornell.edu Technical Consultant 607‐254‐8686
    Cornell University
    Security Office
    security-services@cornell.edu

  • Sharing, Transmission and Distribution of Restricted Data

    Policy Volume: RD
    Responsible Executive: CCSS Secure Data Services Manager
    Responsible Office: Cornell Center for Social Sciences

    Issued: 2020-10-01

    NOTE: This policy replaces these previous policies:

    • Sharing, Transmission and Distribution of Restricted Data [issued 2015-05-11, revised 2016-09-30, 2017-11-09, 2019-04-18]
    • Secure Standalone Desktop – Sharing, Transmission and Distribution of RestrictedData [issued 2017-09-17]

    POLICY STATEMENT

    This policy is to establish secure standards for the sharing, transmission and distribution of restricted data.

    POLICY REQUIREMENTS

    For the purpose of this document, restricted data relates to any nonpublic data that is protected by regulation, law or policy and/or is subject to contractual access restrictions as defined by a Data Use Agreement (DUA). Cornell Restricted Access Data Center (CRADC), as the Data Custodian of these data, along with the authorized research team (Researcher), are obligated to adhere to the conditions set forth by the Data Provider in a signed DUA and this policy.

    Sharing:

    The Researcher is authorized to access only the restricted data residing within the folders (and subfolders) on the CRADC computing system and Secure Standalone Desktop in accordance with their DUA to maintain the security and confidentiality of the encompassed data.

    Providing anyone else with given credentials to access the restricted data or CRADC computing systems or the Secure Standalone Desktop is strictly forbidden.

    The Researcher is not to attempt to circumvent, or disable any of the security controls in place on the CRADC computing systems or the Secure Standalone Desktop. If at any time the Researcher is aware of a potential security incident that may place the restricted data at risk of unauthorized access, it is the responsibility of the Researcher to contact CRADC’s Security Liaison and abide by Cornell University Policy 5.4.2, Reporting Electronic Security Incidents.

    Restricted data on the CRADC system or the Secure Standalone Desktop may only be used for non‐proprietary scientific research.

    Transmission:

    When required by the DUA, the CCSS Secure Data Services staff will disclosure proof any files uploaded to, or downloaded from, the CRADC computing system or the Secure Standalone Desktop. Such files will be delivered by Cornell’s Secure Dropbox service, SFTP or HTTPS to authorized IP addresses, or other methods considered appropriate by CCSS Secure Data Services staff to insure compliance with the DUA.

    CRADC:

    If permissible by the Data Provider, researchers may utilize either SFTP or HTTPS protocol to transmit restricted data.To secure access to use SFTP or HTTPS protocol, the Researcher must provide a pre‐designated static IP address that is specific to a campus or industry location (no personal residences allowed). SFTP and HTTPS access is limited to the Researcher’s personal project folder only.

    Email or instant messaging should not be used to transmit restricted data. Nor should restricted data be placed on portable devices or media such as mobile phones, PDAs, USB drives, and CDs/DVDs unless allowable according to the DUA.

    Secure Standalone Desktop:

    CCSS Secure Data Services staff are the only individuals permitted to transfer data on and off the Secure Standalone Desktop, as permissible by the Data Provider. Researcher access to hardware auxiliary devices (e.g. CD-ROM, DVD, USB, etc.) is not permitted.

    Distribution:

    Approved distribution methods for restricted data, as performed by the CCSS Secure Data Services staff, are Cornell’s Secure Dropbox service, SFTP or HTTPS to an authorized IP address that is specific to a campus or industry location (no personal residences allowed), or methods vetted and considered appropriate by CCSS Secure Data Services staff to insure compliance with the DUA.

    Restricted data should only be distributed to known computing systems, with verified security measures in place prior to the transfer. Person(s) receiving the restricted data must have a current signed DUA that asserts an understanding of the required security protections, including the governed regulations, policies and laws, as appropriate.

    Any employee found to have violated this policy may be subject to disciplinary action, up to and including termination of employment.

    Contacts

    If you have questions about specific issues regarding this Sharing, Transmission and Distribution of Restricted Data Policy, call the following offices:

    NAME EMAIL TITLE PHONE
    Elena Goloborodoko cradc@cornell.edu CCSS Secure Data Services Manager 607‐255‐4801
    Jonathan Bohan cradc@cornell.edu CRADC Secure Data Specialist 607‐255‐4801
    Resa Reynolds rda1@cornell.edu CAC Assistant Director, Systems 607‐254‐8686
    Kim Burlingame kb269@cornell.edu System Administrator 607‐254‐8686
    Lucia Walle lucia.walle@cornell.edu Systems Analyst/Programmer 607‐254‐8686
    Brenda Lapp bll3@cornell.edu Technical Consultant 607‐254‐8686
    Cornell University
    Security Office
    security-services@cornell.edu

  • Restricted Data Security Breach Reporting and Response

    Policy Volume: RD
    Responsible Executive: CCSS Secure Data Services Manager
    Responsible Office: Cornell Center for Social Sciences
    Issued: 2020-10-06

    NOTE: This policy replaces these previous policies:

    • CRADC Restricted Data Security Breach Reporting and Response Policy [issued 2015-07-15, revised 2016-09-30, 2019-04-18]
    • Secure Standalone Desktop – Restricted Data Security Breach Reporting and Response Policy [issued 2017-09-17]

    POLICY STATEMENT

    This policy establishes measures that must be taken to report and respond to a possible breach or compromise of restricted data, including the determination of the systems affected, whether any restricted data have in fact been compromised, what specific data were compromised and what actions are required for forensic investigation and legal compliance.

    POLICY REQUIREMENTS

    Cornell Restricted Access Data Center (CRADC) is committed to compliance of restricted data. For the purpose of this document, restricted data relates to any nonpublic data that is protected by regulation, law or policy and/or is subject to contractual access restrictions as defined by a Data Use Agreement (DUA). CRADC, as the Data Custodian of these data,along with the authorized research team (Researcher),are obligated to adhere to the conditions set forth by the Data Provider in a signed DUA and this policy.

    Reporting:

    It is the responsibility of the Researcher to contact the CRADC Security Liaison or the CCSS Secure Data Services staff in a timely manner, in accordance with Cornell University Policy 5.4.2, Reporting Electronic Security Incident, if the Researcher suspects or is aware of a compromise creating risk of unauthorized access to restricted data.

    Response:

    Upon receipt of such report, the CCSS Secure Data Services Manager, and the System Administrator will convene to review the report. Upon initial review, the Cornell University Security Office will be notified to assist, according to Cornell University Policy 5.4.2, Reporting Electronic Security Incident.

    Process Steps:

    1. Identify:

    1. Nature of incident to best of knowledge
    2. Identify data involved
    3. Establish Data Provider contact information
    4. Identify systems involved, remove from network if applicable
    5. Review applicable policies, regulations and/or laws involved

    2. Recovery and Response 

    1. Contact Cornell University IT Security Office for assistance in forensics
    2. Secure the system and preserve it without change
    3. If deemed necessary, the Security Office will alert Cornell University Data‐Loss Incident Response Team
    4. Resolve situation

    3. Communicate

    1. Contact Office of Sponsored Programs (OSP)
    2. OSP will contact Data Provider to inform of current situation
    3. If required, notify individuals of data theft

    4. Document

    1. Create an incident report
    2. Document lessons learned
    3. Update necessary documentation

    Any employee found to have violated this policy may be subject to disciplinary action, up to and including termination of employment.

    Contacts

    If you have questions about specific issues regarding this Sharing, Transmission and Distribution of Restricted Data Policy, call the following offices:

    NAME EMAIL TITLE PHONE
    Elena Goloborodoko cradc@cornell.edu CCSS Secure Data Services Manager 607‐255‐4801
    Jonathan Bohan cradc@cornell.edu CRADC Secure Data Specialist 607‐255‐4801
    Resa Reynolds rda1@cornell.edu CAC Assistant Director, Systems 607‐254‐8686
    Kim Burlingame kb269@cornell.edu System Administrator 607‐254‐8686
    Lucia Walle lucia.walle@cornell.edu Systems Analyst/Programmer 607‐254‐8686
    Brenda Lapp bll3@cornell.edu Technical Consultant 607‐254‐8686
    Cornell University
    Security Office
    security-services@cornell.edu  

  • Data Destruction and Return of Restricted Data

    Policy Volume: RD
    Responsible Executive: CCSS Secure Data Services Manager
    Responsible Office: Cornell Center for Social Sciences

    Issued: 2020-10-07

    NOTE: This policy replaces these previous policies:

    • CRADC Data Destruction and Return of Restricted Data Policy [issued 2015-07-13, revised 2019-09-16]
    • Secure Standalone Desktop – Data Destruction and Return of Restricted Data Policy [issued 2017-09-17]

    POLICY STATEMENT

    In order to comply with the terms set forth in the Data Use Agreement, Cornell Restricted Access Data Center (CRADC) staff must certify to the Data Provider that the associated data have been destroyed and/or returned to the Data Provider at the termination of the agreement.

    This policy applies to all research data regardless of the storage medium (e.g., disk drive, electronic tape, CD, DVD, external drive, paper, fiche, etc.) and regardless of form (e.g., text, graphic, video, audio, etc.), physically housed within the Cornell Center for Social Sciences (CCSS) auspices.

    POLICY REQUIREMENTS

    To protect restricted‐access data appropriately and effectively, CRADC researchers and staff must understand and carry out their responsibilities related to data security, as set forth by the Data Provider Agreement(s) (including referenced laws and regulations), Cornell University Institutional Review Board for Human Subjects, Cornell University Office of Sponsored Programs, and Cornell University Policy. This policy applies regardless of the source of funding for the research.

    Destruction of Physical Media:

    The Secure Data Services Manager staff will be the person responsible for the return and destruction of all associated materials as determined by the Data Use Agreement. All physical media, whether originally supplied by the Data Provider or by CCSS Secure Data Services created backup copy of electronic original data, will be destroyed and the Data Provider sent a Certificate of Data Destruction, unless the Data Provider requests the media returned within the Data Use Agreement. As stipulated by the Data Use Agreement, requested physical media will be returned to the Data Provider using a traceable method via FedEx, with requirement for a signature by the recipient.

    • Physical destruction methods:
      • CDs/DVDs are destroyed using a crosscut shredder.
      • USB flash drives are first sanitized by utilizing Department of Defense shredding algorithm, using seven‐rounds of overwriting and/or degaussing. After sanitation, the flash drives are turned over to Cornell University’s R5 recycling unit whom then delivers the drives to a licensed company for physical destruction.
      • Hard disk drives are first sanitized by utilizing Department of Defense shredding algorithm, using seven‐rounds of overwriting and/or degaussing. After sanitation, the hard disk drives are turned over to Cornell University’s R5 recycling unit whom then delivers the drives to a licensed company for physical destruction.
    Destruction of Original Data Files on CRADC Servers and the Secure Standalone Desktop:

    The Secure Data Services staff will be responsible for the destruction of all original data on the CRADC servers and the Secure Standalone Desktop as determined by the Data Use Agreement. All original data will be destroyed and the Data Provider sent a Certificate of Data Destruction.

    • Electronic destruction method: Electronic files on the CRADC servers and Secure Standalone Desktop are disposed of utilizing Department of Defense shredding algorithm, using seven‐rounds of overwriting.
    Destruction of User‐Created Electronic Files:

    The Secure Data Services staff will be responsible for the destruction of user‐created electronic files as determined by the Data Use Agreement. Electronic files on the CRADC servers and the Secure Standalone Desktop are disposed of utilizing Department of Defense shredding algorithm, using seven‐rounds of overwriting.

    • Researcher Requested Copy of User‐Created Electronic Files: If permitted by the Data Use Agreement, researchers may request a copy of their user‐created, disclosure proofed, application code and log files, to be transferred to the researcher prior to the destruction of the project files.
    Destruction of Paper Materials:

    No paper materials or copies are produced or stored by CCSS Secure Data Services, unless provided with the original media. The Secure Data Services staff will be responsible for the destruction of all paper materials. If the Data Provider requests the return of any paper materials provided with the original media, the paper materials will be returned to the Data Provider using a traceable method via FedEx, with requirement for a signature by the recipient.

    • Paper Destruction Method: Paper materials are destroyed using a crosscut shredder.
    Certificate of Destruction:

    Upon completion of the disposal of all project related data, the Secure Data Services staff will certify that the secure data and user created project‐based transitory files have been securely destroyed via a CRADC Certificate of Destruction or Secure Standalone Desktop Certificate of Destruction. The completed certificate of destruction will be sent to the Data Provider either as a paper copy through FedEx or electronically via email, with a copy of the certificate of destruction supplied to Office of Sponsored Programs.

    • Requested Formats for the Certificate of Destruction: In the case that the Data Provider requires the completion of a specific certificate of destruction, or certification of destruction format, for the conclusion of the Data Use Agreement, the requested certificate will be completed in replacement of the CRADC Certificate of Destruction or Secure Standalone Desktop Certificate of Destruction. Notarized affidavits may be requested as a section of a specific certificate of destruction, to be completed by the Secure Data Services staff as required.

    Any employee found to have violated this policy may be subject to disciplinary action, up to and including termination of employment.

    Contacts

    If you have questions about specific issues regarding this Sharing, Transmission and Distribution of Restricted Data Policy, call the following offices:

    NAME EMAIL TITLE PHONE
    Elena Goloborodoko cradc@cornell.edu CCSS Secure Data Services Manager 607‐255‐4801
    Jonathan Bohan cradc@cornell.edu CRADC Secure Data Specialist 607‐255‐4801
    Resa Reynolds rda1@cornell.edu CAC Assistant Director, Systems 607‐254‐8686
    Kim Burlingame kb269@cornell.edu System Administrator 607‐254‐8686
    Lucia Walle lucia.walle@cornell.edu Systems Analyst/Programmer 607‐254‐8686
    Brenda Lapp bll3@cornell.edu Technical Consultant 607‐254‐8686
    Cornell University
    Security Office
    security-services@cornell.edu

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